Split (1)

train · ~481k rows (showing the first 208k)

text stringlengths 1.36k 1.27M
Backdoored Hash Functions: Immunizing HMAC and HKDF Marc Fischlin Christian Janson Sogol Mazaheri Cryptoplexity, Technische Universität Darmstadt, Germany {marc.fischlin, christian.janson, firstname.lastname@example.org August 20, 2018 Abstract. Security of cryptographic schemes is traditionally measured as the inability of resource-constrained adversaries to violate a desired security goal. The security argument usually relies on a sound design of the underlying components. Arguably, one of the most devastating failures of this approach can be observed when considering adversaries such as intelligence agencies that can influence the design, implementation, and standardization of cryptographic primitives. While the most prominent example of cryptographic backdoors is NIST’s Dual_EC_DRBG, believing that such attempts have ended there is naive. Security of many cryptographic tasks, such as digital signatures, pseudorandom generation, and password protection, crucially relies on the security of hash functions. In this work, we consider the question of how backdoors can endanger security of hash functions and, especially, if and how we can thwart such backdoors. We particularly focus on immunizing arbitrarily backdoored versions of HMAC (RFC 2104) and the hash-based key derivation function HKDF (RFC 5869), which are widely deployed in critical protocols such as TLS. We give evidence that the weak pseudorandomness property of the compression function in the hash function is in fact robust against backdooring. This positive result allows us to build a backdoor-resistant pseudorandom function, i.e., a variant of HMAC, and we show that HKDF can be immunized against backdoors at little cost. Unfortunately, we also argue that safe-guarding unkeyed hash functions against backdoors is presumably hard. Keywords. Hash functions · Backdoors · Malicious hashing · Kleptography · Immunization · HMAC · HKDF 1 Introduction The Snowden revelations in 2013 have exposed several ongoing surveillance programs targeting people all over the world, violating their privacy, and endangering their security [BBG13, Gre14]. Different techniques have been used from installing backdoors, injecting malware, and undermining standardization processes to simply name a few. A prominent example is NIST’s pseudorandom generator Dual_EC_DRBG, which is widely believed to have been backdoored by the National Security Agency (NSA) [BK12, BLN16]. An entity choosing the elliptic curve parameters used in Dual_EC_DRBG can not only distinguish the outputs of the pseudorandom generator (PRG) from random but also predict future outputs. Studying deliberate and covert weakening of cryptosystems by embedding backdoors in primitives and subverting implementations was initiated already over two decades ago by Young and Yung [YY96, YY97] in a line of work referred to as kleptography. Recent revelations have drawn our community’s attention more than ever before to the realness and the gravity of such attacks and the increasing importance of their rigorous treatment (cf. Section 1.2 for related work). In this work we turn our attention to understanding and immunizing backdoored hash functions. A hash function is a function that compresses an arbitrary-length input to a short, fixed-length output. To name a few applications, hash functions are used in message authentication codes (MACs) such as HMAC (RFC 2104), signature schemes, pseudorandom generation, randomness extraction such as HKDF (RFC 5869), and password protection. The security of these applications among others relies crucially on the security of the underlying hash function. Naturally, if the employed hash function is backdoored by its malicious designer, all bets on the standard security guarantees are off. We believe that studying the impact of backdoored cryptographic primitives on their applications and developing strategies to build backdoor-resistant constructions is of utmost necessity. Unfortunately, immunizing hash functions against backdoors and reviving their security against the backdooring adversary is far from easy. Most repellents against backdoors in cryptographic primitives are cumbersome, and often require additional means like reliable alternative primitives or complex detection mechanisms. Interestingly, we argue here that lightweight immunization of hash-based MACs (namely, HMAC) and hash-based key derivation functions (namely, HKDF) is possible. ### 1.1 Our Results Backdoored Hash Functions. Our work begins with formalizing backdoored hash functions. A backdooring adversary generates a backdoored hash function family together with a short bit string corresponding to a backdoor key. The adversarial influence in the design is captured by this definition, since the hash function family and its constants can be chosen maliciously in a way that a short backdoor key co-designed with the family enables bypassing the security guarantees. We revisit the main security requirements, i.e., collision resistance, preimage resistance, and second-preimage resistance to include the possibility of backdoored hash function generation. Intuitively, a backdoored hash function retains security against adversaries that do not hold a backdoor key, since a rational malicious designer would want the backdoor to be exclusive. How to Immunize. Withstanding backdoor attacks is hard. Therefore, we pursue the quest of identifying cryptographic properties that provide a successful immunization against all types of backdoors in hash functions. Fortunately, we are able to identify a promising candidate property of the compression function which cannot be weakened by a backdoor. This property is weak pseudorandomness, saying that the compression function’s outputs on random inputs look random. The reason for our optimism is that we can show that distinguishing the outputs (on random inputs) from random with a backdoor implies public-key encryption. In other words, placing a backdoor in the hash function design implicitly needs to embed a tedious public-key scheme and makes the design look suspicious. Hence, unless there is surprising progress in the efficiency of public-key schemes, fast compression functions will not be built from public-key tools and hence will remain weakly pseudorandom, even with knowledge of the backdoor. This result follows an idea of Pietrzak and Sjödin [PS08] for building key agreement from secret-coin weak pseudorandom functions. Using the assumption of weak pseudorandomness we are able to provide an immunization strategy for HMAC based on the randomized cascade construction introduced by Maurer and Tessaro [MT08]. On a high level, the construction makes use of a prefix-free encoding to map blocks of the input message to (honestly chosen) random strings. We argue that since the randomized cascade construction yields a pseudorandom function (PRF), it can be used in the inner HMAC chain showing that such a modified HMAC is a PRF. However, there is a small caveat in terms of efficiency since the underlying transformation in the randomized cascade construction from a weak PRF to a full-fledged PRF can be expensive in terms of the number of compression function evaluations. We further investigate whether there exist simpler immunization solutions (compared to the randomized cascade construction) for key derivation functions based on hash functions, especially HKDF based on HMAC. Fortunately, we answer this in the affirmative and show that an idea by Halevi and Krawczyk [HK06] for strengthening hash-and-sign schemes via input randomization can be used to immunize HMAC when used as a key derivation function. The result again relies on the weak pseudorandomness of the compression function. Backdoored Constructions. We finally demonstrate the feasibility of embedding a backdoor in a hash function by constructing a backdoored Merkle-Damgård-based hash function, which iterates a backdoored compression function, and a backdoored sponge-based hash function, which iterates a backdoored permutation. One may think that building a backdoored hash function, which is secure without the backdoor but insecure with the backdoor key would imply public-key encryption (or equivalently trapdoor permutations), as it does in case of backdoored weak pseudorandom functions (as mentioned above) and backdoored PRGs [DGG+15]. We show, however, that for unkeyed (aka., publicly keyed) hash functions and (strong) pseudorandom functions this is unfortunately not necessarily true. They can in principle be as fast as an unbackdoored one. Our construction is inspired by many-to-one trapdoor one-way functions with an exponential preimage size as studied by Bellare et al. [BHSV98]. On a high level, a malicious designer can build a backdoored compression function from an arbitrary secure compression function, where the backdoored function basically “mimics” the behavior of the healthy function unless a backdoor key, which is a particular bit string, is given as part of the input. For this exceptional input the altered function returns something trivial, e.g., a part of its input. In other words, the backdoor key acts as a logical bomb for the backdoored compression function, thereby triggering a malicious behavior. Since the inputs to hash functions can be chosen by the adversary, finding collisions, preimages, and second preimages becomes easy when triggering the backdoor. It is noteworthy that the backdoor can only be triggered by an adversary with prior knowledge of the backdoor key, since it is cryptographically hidden in the construction. Furthermore, we show that even though HMAC uses a secret key, it is not secure against an adversary that can exploit the backdoor for the underlying hash function. This enables the adversary to find collisions in the inner hash chain which is exactly what makes forging MAC tags possible. ### 1.2 Related Work Techniques of mass-surveillance in the kleptographic setting can be roughly divided into backdooring cryptosystems and algorithm-substitution attacks (ASAs). A backdoor targets the design and/or the public parameters of a primitive, while ASAs target the implementation. In the realm of backdoored hash functions, Albertini et al. [AAE+14] investigate backdoored hash functions designed by abusing the freedom of choice in selecting the round constants. They illustrate the possibility of malicious hash function designs by providing a tailored version of SHA-1, such that two certain colliding messages that are adaptively chosen with the malicious round constants during the design are found with an approximate complexity of $2^{48}$. In comparison, the complexity of finding collisions for the standard SHA-1 function is believed to be over $2^{63}$. Similarly, Aumasson [Aum] presents a malicious version of the SHA-3 competition’s finalist BLAKE where the attacker adaptively modifies operators in the finalization function to find collisions. Furthermore, Morawiecki [Mor15] proposes a malicious variant of Keccak (the winner of the SHA-3 competition) and AlTawy and Youssef [AY15] present a backdoored version of Streebog which is a Russian cryptographic standard. Both papers introduce modified round constants generating collisions using differential cryptanalysis. Inspired by the Dual-EC tragedy, Dodis et al. [DGG+15] initiated the formal study of backdoored pseudorandom number generators, proving their equivalence to public-key encryption and discussing immunization strategies. Their notion is extended by Degabriele et al. [DPSW16] in order to investigate stronger “backdoorability” of forward-secure pseudorandom generators and pseudorandom number generators with refreshed states. Bernstein et al. [BCC+15] analyzed the possibilities of maliciously standardized elliptic curves. Bellare et al. [BPR14] formalize algorithm-substitution attacks in the context of symmetric key encryption. They describe attacks, where subverted randomized encryption algorithms can leak the user’s secret key subliminally and undetectably to the adversary. Understanding ASAs and possible detection and prevention mechanisms was followed by several work [AMV15, BJK15, DFP15, MS15, RTYZ16, RTYZ17, FM17]. Notable works in the context of the Dual_EC_DRBG-related incidents are [CMG+16] and [CNE+14] by Checkoway et al. that provide a systematic analysis as well as a study on the practical exploitability of the backdoor. ### 1.3 Structure of the Paper In Section 2, we provide a formal definition of backdoored hash functions and establish security notions for standard and backdoored hash functions. In Section 3, we show that backdoored weak pseudorandom functions imply public-key encryption. Based on this positive result, we provide a solution for immunizing backdoored HMAC constructions in Section 4 and give a more efficient solution for immunizing HKDF in Section 5. We discuss applications to the pre-shared key mode of the TLS 1.3 handshake protocol candidate in Section 6. In Section 7, we concretely show that security of a Merkle-Damgård-based backdoored hash function and HMAC can unfortunately be completely undermined if the iterated compression function is backdoored. We establish a similar result for a sponge-based hash function in Section 8. Finally we conclude the paper in Section 9. ## 2 Modeling Backdoored Hash Functions In this section we give some background on hash functions and their security, recall the Merkle-Damgård transform for building hash functions from fixed input-length compression functions as well as the HMAC construction. Finally, we give a formal definition of backdoored hash functions and extend standard security notions to additionally capture security against the backdooring adversary. ### 2.1 Notation We denote the set of bit strings of length $n$ by $\{0, 1\}^n$ and the set of bit strings of length at most $n$ by $\{0, 1\}^{\leq n}$. The set of bit strings of arbitrary length is denoted by $\{0, 1\}^$. By $(\{0, 1\}^n)^+$ we denote the set of bit strings with a length that is a non-zero multiple of $n$. The length of a bit string $s \in \{0, 1\}^$ is denoted by $\|s\|$ and the concatenation of two bit strings $s_1$ and $s_2$ by $s_1 \|\| s_2$. By $s_{[i,j]}$ we denote the substring of $s$ starting from the $i$-th bit $i$ and ending with the $j$-th bit $j$, where the first index of a string is $i = 0$. We write $s \xleftarrow{\$} S$ to denote the sampling of a value uniformly at random from a finite set $S$. By $\text{Func}(i, o)$ we denote the set of all functions $f : \{0, 1\}^i \rightarrow \{0, 1\}^o$. For an arbitrary string $s \in \{0, 1\}^$ the notion $\|s\|_n$ denotes truncating the string to its $n$ least significant bits. We use PPT to denote probabilistic polynomial-time and denote by $\text{poly}(\lambda)$ an unspecified polynomial in the security parameter. For a run of a randomized algorithm $A$ on input $x$ and with randomness $r$ we write $A(x; r)$. Accordingly, for a probabilistic algorithm $A$ the random variable $A(x)$ describes its output, and we write $y \xleftarrow{\$} A(x)$ for the sampling. For a deterministic algorithm we simply write $y \leftarrow A(x)$. An optional input value $x$ for an algorithm is put in square brackets $[x]$. It is sometimes convenient to write $[x]_b$ to make the presence of the optional input dependent on a bit $b$, i.e., $A([x]_b)$ means that $A$ receives the input if $b = 1$, and not if $b = 0$. ### 2.2 Hash Functions Informally, a hash function is an efficiently computable function which compresses bit strings of arbitrary length to bit strings of a fixed length. Inputs of hash functions are often referred to as messages* and their outputs are often called digests. Depending on concrete applications, cryptographic hash functions are required to meet certain security requirements, among which collision resistance, preimage resistance, and second-preimage resistance are the most common ones. Roughly speaking, collision resistance means that it is computationally infeasible to find any two distinct messages which will be mapped to the same digest. Preimage resistance, also known as one-wayness, concerns the infeasibility of finding a message that hashes to a given random digest of the hash function. Finally, second-preimage resistance indicates that given a random message it is computationally infeasible to find a second distinct message that collides with the given message. We formalize the above security notions later in this section. To bridge the gap between keyed hash functions in theory and unkeyed hash functions in practice, we adopt the more general notion of hash functions as families of keyed functions. The keys are public such that a key here can be thought of as an index specifying which particular hash function from the family is being considered. For unkeyed hash functions the key can be set to some constant. Definition 2.1 (Hash Function). A hash function is a pair of efficient algorithms $\mathcal{H} = (\text{KGen}, \text{H})$ with associated key space $\mathcal{K}$, message space $\mathcal{M}$, and digest space $\mathcal{D}$, such that: - $k \leftarrow_s \text{KGen}(1^\lambda)$: On input of a security parameter, this probabilistic polynomial-time algorithm generates and outputs a key $k \in \mathcal{K}$; - $d \leftarrow \text{H}(k, m)$: On input of a key $k \in \mathcal{K}$ and a message $m \in \mathcal{M}$, this deterministic polynomial-time algorithm outputs a digest $d \in \mathcal{D}$. We write $\text{H}_k(m)$ as a shorthand for $\text{H}(k, m)$. Since the key is public, it is often helpful to identify it as an initialization vector in concrete constructions of hash functions, denoted by IV. #### 2.2.1 Merkle-Damgård-based Hash Functions The Merkle-Damgård construction [Dam90, Mer90] is one of the most commonly used approaches for building a full-fledged hash function with arbitrary input length. The construction works by iterating a compression function, processing a single block of the input message in each iteration and using padding techniques to make the entire input message length comply with the block length. In terms of security, for appropriate paddings it preserves the collision resistance of the iterated compression function. The Merkle-Damgård domain extender is extensively used in practice for hash functions including the MD family, SHA-1 and SHA-2, while each one employs a different compression function. In the following, we describe a generic Merkle-Damgård-based hash function $\mathcal{H}_h^{\text{md}} := (\text{KGen}^{\text{md}}, \text{H}_h^{\text{md}})$ with associated key space $\mathcal{K} := \{0, 1\}^\ell$, message space $\mathcal{M} := \{0, 1\}^{\leq 2^p}$ for some fixed integer $p$, and digest space $\mathcal{D} := \{0, 1\}^\ell$, iterating a compression function $h : \{0, 1\}^\ell \times \{0, 1\}^b \rightarrow \{0, 1\}^\ell$. As described in Figure 1, an input message $m$ is first padded such that its length becomes a multiple of the block size $b$ that is processable by the compression function. The padded message is then split into blocks $m_0, m_1, \ldots, m_{n-1}$, where each message block is of size $b$. Below we discuss the padding function in more detail. Next the compression function $h$ is iterated in such a way that the output of the previous compression function and the next message block become the input to the next compression function. The iteration starts with an initialization value $\text{IV} \leftarrow_s \text{KGen}^{\text{md}}(1^\lambda)$ and the first message block $m_0$. Length padding. The padding used in the domain extender must itself be collision free. Length padding is typically used for Merkle-Damgård-based hash functions. It appends the length of the message to the end, while making sure that the length of the padded message is a multiple of the block size $b$ required by the compression function. We consider a compact length padding function $\text{lpad}$ that uses $p$ bits to represent the message length, where $p$ is usually smaller than or equal to $\ell$ (e.g., $p = 64$ for SHA-256). Hence, the padded message contains the message length in its last $b$-bits block possibly together with some of the least significant bits of the message. Such a length padding function is commonly used in practical Merkle-Damgård-based hash functions, such as MD5, SHA-1 and SHA-2. A similar padding that additionally prepends the length of the message with a bit of 1 is used in BLAKE. Let $\text{binary}(x, y)$ be the binary representation of $x$ in $y$ bits, then $\text{lpad}$ is defined as: $$\text{lpad}(m, b, p) := 1\|\|0^{(b - \|m\| - p - 1) \mod b}\|\|\text{binary}(\|m\|, p).$$ A less compact and mostly theoretical variant of length padding uses exactly $b$ bits for representing the message length, which is then encoded in a separate block. ### 2.2.2 The HMAC Scheme Message authentication codes (MACs) provide message integrity, i.e., they can be used to prevent adversaries from tampering with a communication without being detected by the receiver. The widely used HMAC scheme [BCK96a] is built on a cryptographic hash function. It has been standardized in IETF RFC [KBC97] and NIST [FIP02], and is widely deployed in various security protocols such as for example TLS and IPSec. HMAC (to be precise, its theoretical counterpart NMAC) is provably a pseudorandom function, i.e., indistinguishable from a random function, under the assumption that its underlying compression function is a pseudorandom function [Bel15]. Note that PRF security implies the standard notion of unforgeability for MAC schemes. Definition 2.2 (HMAC). Let $\mathcal{H}_h^{\text{md}} = (\text{KGen}^{\text{md}}, \text{H}_h^{\text{md}})$ be a Merkle-Damgård-based hash function with associated key space $\mathcal{K}$, message space $\mathcal{M}$, and digest space $\mathcal{D}$. The hash-based message authentication scheme $\mathcal{HMACh} = (\text{KGen}, \text{HMAC}_h)$ with associated secret key space $\mathcal{SK}$, message space $\mathcal{M}$, and tag space $\mathcal{T}$ is defined as: - $(k, \text{IV}) \leftarrow \text{KGen}(1^\lambda)$: On input of a security parameter, this PPT algorithm outputs a secret key $k \in \mathcal{SK}$ and an initial value $\text{IV} \in \mathcal{K}$, where $\text{IV} \leftarrow \text{KGen}^{\text{md}}(1^\lambda)$. • $ t \leftarrow \text{HMAC}_h(k, IV, m) $: On input of a key $ k \in SK $, an initial value $ IV \in K $, and a message $ m \in M $, this deterministic polynomial-time algorithm outputs a tag $ t \in T $: \[ \text{HMAC}_h(k, IV, m) = H_{h, IV}^{md}((k \oplus \text{opad}) \|\| H_{h, IV}^{md}((k \oplus \text{ipad}) \|\| m)), \] where $ \text{ipad} $ and $ \text{opad} $ are fixed, distinct $ b $-bit constants. ![Illustration of HMAC](image) Figure 2: Illustration of HMAC. ### 2.3 Backdoored Hash Functions A backdoored hash function is a function which is designed by an adversary together with a short backdoor key, whose knowledge allows for violating the security of the hash function. More precisely, we consider an efficient algorithm $ \text{BDHGen} $, which outputs a hash function family $ \mathcal{H} $, a backdoor $ bk $, and a string $ r $. The latter, if not empty, is used as the randomness in key generation. Otherwise, the key generation algorithm uses its own random coins. The algorithm $ \text{BDHGen} $ can be seen as a designer of a hash function $ \mathcal{H} $ installing a backdoor $ bk $, potentially depending (via $ r $) on a specific instance of the hash function family. Definition 2.3 (Hash Function Generator). A PPT algorithm $ \text{BDHGen} $ is called a hash function generator, if on input of a security parameter $ 1^\lambda $, it outputs (the description of) a hash function family $ \mathcal{H} $, a backdoor key $ bk \in \{0, 1\}^{\text{poly}(\lambda)} $, and a potentially empty randomness string $ r \in \{0, 1\}^{\text{poly}(\lambda)} $. Before formally defining backdoored hash functions, we give definitions for the most commonly used security notions of hash functions. We deviate slightly from the classic formulations and generate the key with adversarial chosen randomness (if provided by $ \text{BDHGen} $). Moreover, we optionally give the adversary the backdoor key, the availability depending on a bit $ b $. Our definitions are thus general enough to capture standard security notions without backdoors ($ b = 0 $) as well as security against backdoored hash functions ($ b = 1 $), both with and without influencing the key generation. Definition 2.4 (Collision Resistance). The advantage of an adversary $ \mathcal{A} $ in finding collisions for a hash function generated by a PPT hash function generator $ \text{BDHGen} $ is defined below. The bit $ b $ indicates whether the adversary knows the generated backdoor key. \[ \text{Adv}_{\text{BDHGen}, \mathcal{A}, b}^{\text{CR}}(\lambda) := \Pr \left[ \begin{array}{l} H_k(m) = H_k(m') \land \\ m \neq m' \\ (H, bk, r) \leftarrow \$ \text{BDHGen}(1^\lambda) \land \\ k \leftarrow \$ \text{KGen}(1^\lambda; r) \land \\ (m, m') \leftarrow \$ \mathcal{A}([bk]_b, k, \mathcal{H}) \end{array} \right], \] where the probability is over the internal random coins of $ \text{BDHGen} $, $ \mathcal{A} $, and potentially $ \text{KGen} $. We call $ \text{BDHGen} $ collision resistant (resp. collision resistant with backdoor) if for all PPT adversaries $ \mathcal{A} $, the above advantage for $ b = 0 $ (resp. $ b = 1 $) is negligible. Definitions of preimage resistance and second-preimage resistance are parameterized with an integer $n$ which indicates the length of the challenge message. Doing so allows us to easily circumvent the technicality of uniformly sampling from an infinite set. Definition 2.5 (Preimage Resistance). Let $n$ be an integer such that $\{0,1\}^n \subseteq M$. The advantage of an adversary $\mathcal{A}$ in finding preimages for a hash function generated by a PPT hash function generator BDHGen is defined below. The bit $b$ indicates whether the adversary knows the generated backdoor key. $$\text{Adv}_{\text{BDHGen},\mathcal{A},b}^{\text{PR},n}(\lambda) := \Pr \left[ H_k(m') = H_k(m) \quad \bigg\| \quad \begin{array}{l} (H, bk, r) \xleftarrow{s} \text{BDHGen}(1^\lambda) \land \\ k \xleftarrow{s} \text{KGen}(1^\lambda; r) \land m \xleftarrow{s} \{0,1\}^n \land \\ m' \xleftarrow{s} \mathcal{A}([bk]_b, H_k(m), k, H) \end{array} \right],$$ where the probability is over the random choice of $m$ and the internal random coins of BDHGen, $\mathcal{A}$, and potentially KGen. We call BDHGen preimage resistant or one-way (resp. preimage resistant with backdoor) for parameter $n$ if for all PPT adversaries $\mathcal{A}$ the above advantage for $b = 0$ (resp. $b = 1$) is negligible. Definition 2.6 (Second-Preimage Resistance). Let $n$ be an integer such that $\{0,1\}^n \subseteq M$. The advantage of an adversary $\mathcal{A}$ in finding second preimages for a hash function generated by a PPT hash function generator BDHGen is defined below. The bit $b$ indicates whether the adversary knows the generated backdoor key. $$\text{Adv}_{\text{BDHGen},\mathcal{A},b}^{\text{SPR},n}(\lambda) := \Pr \left[ H_k(m') = H_k(m) \land m \neq m' \quad \bigg\| \quad \begin{array}{l} (H, bk, r) \xleftarrow{s} \text{BDHGen}(1^\lambda) \land \\ k \xleftarrow{s} \text{KGen}(1^\lambda; r) \land m \xleftarrow{s} \{0,1\}^n \land \\ m' \xleftarrow{s} \mathcal{A}([bk]_b, m, k, H) \end{array} \right],$$ where the probability is over the random choice of $m$, and the internal random coins of BDHGen, $\mathcal{A}$, and potentially KGen. We call BDHGen second-preimage resistant (resp. second-preimage resistant with backdoor) for parameter $n$ if for all PPT adversaries $\mathcal{A}$, the above advantage for $b = 0$ (resp. $b = 1$) is negligible. Definition 2.7 (Backdoored Hash Function). Let BDHGen be a PPT hash function generator and $S \in \{\text{CR}, \text{PR}, \text{SPR}\}$ denote a security notion for hash functions. We call BDHGen a backdoored hash function generator (and its output hash function a backdoored hash function), if there is a PPT adversary $\mathcal{A}$ such that the advantage $\text{Adv}_{\text{BDHGen},\mathcal{A},1}^{S,[n]}(\lambda)$ is non-negligible. We call BDHGen a weakly backdoored hash function generator (and its output hash function a weakly backdoored hash function) if the randomness string $r$ output by BDHGen is not empty. At the same time, however, for all PPT adversaries $\mathcal{A}$ without bk the advantage $\text{Adv}_{\text{BDHGen},\mathcal{A},0}^{S,[n]}(\lambda)$ is still negligible. Weakly backdoored hash functions only provide a backdoor if the key generation algorithm is run on the randomness $r$. They are defined for the sake of completeness, since hash functions are usually used with fixed keys in practice. However, throughout this paper we consider the stronger notion of backdoors, which allow attacks for randomly chosen keys. In this case, the malicious designer of the hash function does not need to influence the hash key generation, i.e., $r$ is empty. ## 3 On the Implausibility of Backdoored Weak Pseudorandom Functions We argue that it is reasonable to assume that a backdoored weak PRF, which is secure in the standard sense against distinguishers who do not know the backdoor, remains a weak PRF even against distinguishers who know the backdoor. We prove that if a backdoor allows for distinguishing outputs of a weak PRF on random inputs from uniform random bit strings, then that weak PRF family already implies public-key encryption. Put differently, any such backdoored function would need to already contain some form of public-key encryption. Such systems, however, are significantly slower than symmetric-key based pseudorandom functions. ### 3.1 Weak Pseudorandom Functions A family of functions $f : \{0, 1\}^k \times \{0, 1\}^i \rightarrow \{0, 1\}^o$ is called weakly pseudorandom if no efficient adversary can distinguish a random function of the family from a uniform random function when queried on random inputs. More precisely, let a family of functions, and potentially a backdoor, be generated by a PPT generator $(f, bk) \xleftarrow{\$} \text{BDPRFGen}(1^\lambda)$. An adversary attacking the weak pseudorandomness of $f$ can only query an oracle on an integer $q \leq \text{poly}(\lambda)$, where the oracle either implements a function $F(k, \cdot)$ or a random function $f_S(\cdot)$. Upon being queried on $q$, the oracle outputs $q$ input-output pairs $(x, y)$ such that $x \xleftarrow{\$} \{0, 1\}^i$ is random and $y = f(k, x)$ (resp. $y = f_S(x)$). Here, $k \xleftarrow{\$} \{0, 1\}^k$ is also chosen at random (resp. $f_S \xleftarrow{\$} \text{Func}(i, o)$ is a randomly chosen function from the set $\text{Func}(i, o)$ of all functions from $\{0, 1\}^i$ to $\{0, 1\}^o$). The weak PRF-advantage of an adversary $\mathcal{A}$, optionally using the backdoor $bk$ (based on a bit $b$), is then defined by: $$\text{Adv}_{\text{BDPRFGen}, \mathcal{A}, b}^{w\text{PRF}}(\lambda) := \left\| \Pr \left[ \mathcal{A}^{F(k, \cdot)}(1^\lambda, [bk]_b, f) = 1 \mid (f, bk) \xleftarrow{\$} \text{BDPRFGen}(1^\lambda), k \xleftarrow{\$} \{0, 1\}^k \right] \right.$$ $$- \Pr \left[ \mathcal{A}^{F_S(\cdot)}(1^\lambda, [bk]_b, f) = 1 \mid (f, bk) \xleftarrow{\$} \text{BDPRFGen}(1^\lambda), f_S \xleftarrow{\$} \text{Func}(i, o) \right] \right\|,$$ where the probability is over the choice of $f_S$ resp. $k$, $\text{BDPRFGen}$ and $\mathcal{A}$’s coin tosses. Remark. When saying that a compression function $h : \{0, 1\}^\ell \times \{0, 1\}^b \rightarrow \{0, 1\}^\ell$ is weakly pseudorandom we mean that the key $k$ is chosen from $\{0, 1\}^\ell$ and that we consider the function $h(k, \cdot) : \{0, 1\}^b \rightarrow \{0, 1\}^\ell$. Remark. Note that if the backdoor key is not given to the adversary, we obtain the standard security notion for weak PRFs. We say that $f$ is a backdoored weak PRF if $f$ is a weak PRF against adversaries without the backdoor, while with the backdoor there exists a PPT distinguisher $\mathcal{A}$ against its weak pseudorandomness that has a non-negligible advantage. ### 3.2 Backdoored Weak PRFs Imply Public-Key Encryption In the following we construct a public-key scheme, given a backdoored weak PRF. The idea for this construction is based on the work of Pietrzak and Sjödin [PS08] for building key agreement from secret-coin weak pseudorandom functions. Since the backdoor allows to distinguish pseudorandom from random strings, even on random inputs, we can use the backdoor to decrypt bit encryptions. The sender encodes the bit $b$ to be sent by using pseudorandom answers $y_j = f(x_j)$ for random inputs $x_j$ for $b = 1$, and truly random answers $y_j$ instead to encode the bit $b = 0$. The backdoor holder can then distinguish the two cases and hence recover the bit with some probability bounded away from $\frac{1}{2}$ (and we can amplify the success probability via repetitions). Since one cannot distinguish random outputs of a weak PRF from uniform outputs without the backdoor, we obtain a secure public-key encryption scheme. We give the construction and proof in terms of concrete security but occasionally refer to the common asymptotic setting. As for asymptotic behavior, we note that we get an infinite-often public-key encryption scheme, where infinitely often means that the decryption algorithm works for infinitely many security parameters. Theorem 3.1. Let $ f : \{0, 1\}^k \times \{0, 1\}^i \rightarrow \{0, 1\}^\omega $ be a backdoored weak pseudorandom function. Then we can build an IND-CPA-secure public-key bit encryption scheme from $ f $. Proof. Let $ \text{BDPRFGen} $ be a generator for a backdoored weak pseudorandom function family. Let $ A $ be a PPT adversary and suppose without loss of generality that $ A $'s only query to its oracle is on a fixed integer $ q \leq \text{poly}(\lambda) $ and it holds that $ \text{Adv}_{\text{BDPRFGen},A,1}^{\text{wPRF}}(\lambda) = \varepsilon \not\approx 0 $. In particular, $ \varepsilon \geq \frac{1}{\text{poly}(\lambda)} $ infinitely often. Then we can construct a public-key bit encryption scheme with overwhelming correctness as follows.$^1$ For sake of simplicity we first construct an encryption scheme $ E := (\text{KGen}, \text{Enc}, \text{Dec}) $ with correctness $ \frac{1}{2} + \frac{\varepsilon}{2} $ and explain afterwards how to boost the correctness bound. \[ \begin{align} \text{KGen}(1^\lambda) \\ (f, bk) &\leftarrow_{\$} \text{BDPRFGen}(1^\lambda) \\ pk &\leftarrow f \\ sk &\leftarrow bk \\ \text{return } (pk, sk) \end{align} \] \[ \begin{align} \text{Enc}(pk, b) \\ d &\leftarrow_{\$} \{0, 1\}, \; b' \leftarrow d \oplus b \\ \text{if } b' = 0 \text{ then} \\ c' &\leftarrow_{\$} \{0, 1\}^{(i+\alpha)\cdot q} \\ \text{else} \\ k &\leftarrow_{\$} \{0, 1\}^k, c' \leftarrow \epsilon \\ \text{for } j = 1 \ldots q \text{ do} \\ x_j &\leftarrow_{\$} \{0, 1\}^i, y_j \leftarrow f(k, x_j) \\ c' &\leftarrow c'\|\|x_j\|\|y_j \\ c &\leftarrow (d, c') \\ \text{return } c \end{align} \] For correctness observe that by construction a ciphertext can be correctly decrypted if $ A $ successfully distinguishes random outputs of $ f(k, \cdot) $ from uniformly random bit strings (simulated by the oracle $ F $ in Dec). Hence we obtain the following correctness: \[ \Pr[\text{Dec}(sk, pk, \text{Enc}(pk, b)) = b] = \Pr[A(sk, \text{Enc}(pk, b)) = b] = \frac{1}{2} + \frac{\varepsilon}{2}. \] In other words, the decryption error is noticeably smaller than $ \frac{1}{2} $ for infinitely many security parameters. It remains to show that $ E $ is indistinguishable under chosen-plaintext attacks. Suppose in the contrary that there exists a PPT adversary $ B $ against the security of $ E $. Since we are concerned with security of bit encryption, this means that $ B $ can decrypt a ciphertext with a non-negligible advantage $ \varepsilon' $. We can build from $ B $ a PPT adversary $ C $ against the weak PRF security of $ \text{BDPRFGen} $, i.e., the generated family $ f $ (when not holding a backdoor). When $ C $ queries its oracle on an integer $ q $, it obtains a string $ c $ containing $ q $ pairs of random messages with the result of the oracle evaluation on them. It then runs $ B $ on that value $ c $. When $ B $ finally terminates with output bit $ b $, the adversary $ C $ also outputs $ b $ as its guess. We obtain: \[ \text{Adv}_{\text{BDPRFGen},C,0}^{\text{wPRF}}(\lambda) = \text{Adv}_{\varepsilon,B}^{\text{IND-CPA}}(\lambda) = \Pr[B(pk, \text{Enc}(pk, b)) = b] - \frac{1}{2} = \varepsilon'. \] Thus our adversary $ C $, who does not know a backdoor key, has a non-negligible advantage against the weak pseudorandomness of $ f $. This contradicts our assumption of $ f $ being weakly pseudorandom (without the backdoor key). $^1$ Joseph Jaeger pointed out to us that the correctness of a previous version of our public-key bit encryption scheme could not be amplified by a simple majority decision and suggested masking the plaintext bit. To see the issue with directly encrypting the plaintext, consider an adversary $ A $ that given a pseudorandom function outputs 1 with probability 1, and given a truly random function outputs 1 with probability $ 1 - \varepsilon $, for a noticeable $ \varepsilon $, and note that a majority decision would then lead to incorrect decryption of ciphertexts of 0. The final step is to note that we can reduce the decryption error by standard techniques. For this we repeat the basic encryption step above polynomial times, letting the sender always generate pseudorandom ($b = 1$) or truly random strings ($b = 0$) in each of the repetitions. The decrypter outputs a majority decision for all the extracted bits. If we use $\lambda \cdot \varepsilon^2 \leq \lambda \cdot \text{poly}(\lambda)^2$ repetitions, where $\varepsilon \geq \frac{1}{\text{poly}(\lambda)}$ is the lower bound for the distinguisher’s advantage, then the Hoeffding-Chernoff bound implies that the decryption error is upper-bounded by $e^{-\lambda}$. At the same time, the security of the public-key encryption scheme remains intact for a polynomial number of repetitions. 4 Immunization of HMAC According to the result presented in the previous section, we may assume that the compression function used in an HMAC construction preserves weak pseudorandomness in the presence of backdoors. In the following we use the randomized cascade (RC) construction introduced by Maurer and Tessaro [MT08] in order to immunize HMAC under the weak pseudorandomness assumption. In basic terms, the RC construction is an iterated construction of a PRF from a (constant-query) weak PRF. The first construction of a PRF from a weak PRF is due to Naor and Reingold [NR99], and a further construction was later proposed by Maurer and Sjödin [MS07]. In our case, we are interested in an iterated construction of a PRF where the candidate for a weak PRF may be a compression function of hash functions. Maurer and Tessaro note that both constructions [MS07, NR99] may be turned easily into iterative versions with the drawback that the number of calls to the function would increase significantly. In contrast, the randomized cascade construction is more efficient and requires for input length $b$ approximately $\frac{b}{\log s}$ (for $s \geq 2$) many calls to the function and also only requires the weaker underlying assumption of an $s$-query weak PRF\footnote{We say that a function $f : \{0, 1\}^k \times \{0, 1\}^i \rightarrow \{0, 1\}^o$ for some constant $s$ with $k < s \cdot o$ is an $s$-query weak PRF if $f(k, \cdot)$ (under a secret key $k$) is indistinguishable from a random function when evaluated at $s$ independent known random inputs. This notion is weaker than a (regular) weak PRF where we require indistinguishability for polynomially many random inputs.} than weak PRF. Let us now review the idea of the RC construction which itself is based on the cascade construction for hash functions by Bellare, Canetti and Krawczyk [BCK96b]. The RC construction requires a prefix-free encoding of the input (from some set $\mathcal{X}$). We say an efficiently computable encoding $\text{Encode} : \mathcal{X} \rightarrow \{1, \ldots, s\}^+$ is prefix-free if for all distinct inputs $x, x' \in \mathcal{X}$ the sequence $\text{Encode}(x)$ is not a prefix of the sequence $\text{Encode}(x')$. On a high level, the RC construction follows the principles of the Merkle-Damgård construction (cf. Figure 1) with some additional randomness where the underlying building block is a $s$-weak PRF. The RC construction with parameter $s$ and input set $\mathcal{X} \supseteq \mathcal{M}$ for the function $h : \{0, 1\}^\ell \times \{0, 1\}^b \rightarrow \{0, 1\}^\ell$ and a prefix-free encoding as described above is a mapping $\text{RC}_{s, \mathcal{X}, \text{Encode}}^h : \{0, 1\}^\ell \times \{0, 1\}^{s \cdot b} \times \mathcal{X} \rightarrow \{0, 1\}^\ell$. The mapping uses as input a private key $k$ of length $\ell$ and a $(s \cdot b)$-bit long public part which can be interpreted as the concatenation of $s$ $b$-bit strings $r_1, \ldots, r_s$ and an input $x \in \mathcal{X}$. The input $x$ is first padded (following Section 7) such that the length becomes a multiple of $b$ and is then further processed with the above prefix-free encoding outputting a sequence $(m_1, \ldots, m_n) \in \{1, \ldots, s\}^+$. Then for $i = 1, \ldots, n$ the cascade is computed as $y_{i+1} \leftarrow h(y_i, r_{m_i})$ with $y_1 \leftarrow k$. First let us remark that in each iteration the $r_{m_i}$’s are chosen according to the outputted sequence from the encoding. Maurer and Tessaro formally prove given that $h$ is a $s$-weak PRF then the resulting RC construction is a PRF. The proof relies on the encoding being done via a tree structure, where it is argued that by the definition of $s$-weak PRF whenever we evaluate the function under some secret key at $s$ independent random inputs, it produces $s$ pseudorandom outputs and in particular sets all vertices in the tree to be pseudorandom. Now let $\mathcal{HMAC}_h := (\text{KGen}, \text{HMAC}_h)$ be a backdoored HMAC construction. Our goal is to replace the Merkle-Damgård construction with the randomized cascade construction from above and argue that one can salvage HMAC in the context of backdoored hash functions. The idea is that we first pad the input message $m$ with the usual length padding function and then use a prefix-free encoding obtaining a sequence $m'$. According to the sequence the correct random string will be chosen and used as the input to the compression function. More formally it follows that $$\text{HMAC}_h^{\text{RC}}(k, IV, m) = H_{h,IV} \left((k \oplus \text{opad}) \|\| H_{h,IV}((k \oplus \text{ipad}) \|\| r_{m'_1} \|\| \ldots \|\| r_{m'_{n-1}})\right).$$ The above HMAC construction is a secure PRF, since its inner hash chain is a PRF even against backdooring adversaries. In particular, the first iteration in the inner chain (i.e. $h(IV, k \oplus \text{ipad})$) is computationally indistinguishable from a uniformly-distributed random string, assuming as a weak dual PRF [Bel06]. This guarantees that the first chaining value is pseudorandom and hence can be used as a “good” key in the RC construction. The same argument applies for the first chaining value in the outer chain. The last iteration in HMAC receives as input from both chains a pseudorandom input, and hence the output is still pseudorandom and thus HMAC is secure. 5 Immunization of Key Derivation Functions The above transformation from a weak PRF to a full-fledged PRF can be expensive in terms of the number of compression function evaluations, which depends on the parameter $s$. Here we argue that for key derivation functions based on hash functions, in particular HKDF based on HMAC, there exists a simpler solution. 5.1 The Approach for HKDF The HMAC-based key derivation function HKDF [Kra10, KE10] consists of two steps: an extraction step to smooth the entropy in some input key material like a Diffie-Hellman key, and an expansion step where sufficient key material is generated. The extraction step may use some public salt $\text{extsalt}$ (if not present then it is set to 0) and produces a pseudorandom key $\text{PRK}$ from the input key material $\text{IKM}$. The expand step takes the key $\text{PRK}$, some context information $\text{info}$ like a transcript in a key exchange model, and the requested output length $\text{len}$ (in octets). It iterates HMAC on $\text{PRK}$, the previous value, $\text{info}$, and a counter to generate sufficient key material. Formally, $$\text{PRK} \leftarrow \text{HKDF-Extract}(\text{extsalt}, \text{IKM}) = \text{HMAC}(\text{extsalt}, \text{IKM})$$ $$k = k_1 \|\| k_2 \|\| \ldots \leftarrow \text{HKDF-Expand}(\text{PRK}, \text{info}, \text{len})$$ where $k_0 = \epsilon$, i.e., is the empty string, and $k_i = \text{HMAC}(\text{PRK}, k_{i-1} \|\| \text{info} \|\| i)$, with the counter value $i$ being encoded as an octet. The last key part in the output may be truncated to match the requested output length. Immunizing HKDF boils down to hardening HMAC and therefore the round function $h$. The security of HKDF relies on the pseudorandomness of $h$, which does not hold for backdoored functions according to our attacks on HMAC which we will describe in Section 7.2. As argued in the previous section, assuming that $h$ is still a weak PRF in the presence of a backdoor appears to be more reasonable. Hence, our goal is to tweak HKDF to base its security on $h$ to be a weak PRF. We use the idea of Halevi and Krawczyk [HK06] to strengthen hash-and-sign schemes via input randomization. They propose to pick a fresh random string $r$ with each signature generation and then compute the hash as $H((m_1 \oplus r) \|\| \cdots \|\| (m_n \oplus r))$, XORing the random string to each message block. This alleviates the necessary assumption for the compression function $h$ from collision resistance to some kind of second-preimage resistance. We stress that this strategy does not work to immunize hash functions against backdoors, as our attacks in Section 7.1.1 show that a backdoored compression function would even allow to break second preimage resistance. In fact, one can show that a backdooring adversary can still break the randomized hash-and-sign scheme. The idea of Halevi and Krawczyk does apply, nonetheless, in the case of HMAC when used as a key derivation function, if we allow for a random value salt in the computation. Suppose that, when computing keying material, one is allowed to pick a random string salt of b bits. Then, instead of using the compression function h in the HMAC computations, we use the function $ h^{\text{salt}}(x, y) = h(x, y \oplus \text{salt}) $. Note that this means that we add salt to each input in each of the iteration steps.$^3$ When outputting the key material in the computation one can also return the value salt. The salt sometimes even needs to be published, e.g., in a key exchange protocol where the other party, too, should be able to derive the same key. The downside of our construction is that each HMAC call in the expansion requires a fresh salt. However, usually only a few iterations in the expansion step are required. For example, the cipher suite AES_256_CBC_SHA256 in TLS 1.2 requires 128 key bytes such that four iterations, each with 256 bits output, suffice. ### 5.2 Security of Salted Key Derivation To define security of the salted key derivation functions we adopt the approach of Krawczyk [Kra10], demanding that the key derivation function provides pseudorandom outputs even when the adversary can ask to see derived keys on different information info. Since we use a fresh salt for each KDF call, we can even allow the adversary to query the same information info multiple times and still demand indistinguishability from fresh random key material. In the security experiment below we again assume that we have a PPT generator BDKDFGen$(1^\lambda)$ which outputs a family of key derivation functions KDF and possibly a backdoor bk. We assume that the function KDF takes two inputs, a context information info and a length input len, and returns a random value salt (of b bits) and keying material of len bits. To claim indistinguishability from random we consider an oracle $$(\cdot)$$ which on any input pair (info, len) returns a fresh random value salt and a random string k of len bits. The salted-KDF-advantage of an adversary A, optionally using the backdoor bk, is then defined by: \[ \text{Adv}^{\text{skdf}}_{\text{BDKDFGen},A,b}(\lambda) := \\ \left\| \Pr \left[ A^{KDF(k,\cdot),KDF(k,\cdot)}(1^\lambda,[bk]_b,KDF) = 1 \mid (KDF,bk) \leftarrow \text{BDKDFGen}(1^\lambda), k \leftarrow \{0,1\}^k \right] \right. \\ - \left. \Pr \left[ A^{KDF(k,\cdot),\$(\cdot)}(1^\lambda,[bk]_b,KDF) = 1 \mid (KDF,bk) \leftarrow \text{BDKDFGen}(1^\lambda), k \leftarrow \{0,1\}^k \right] \right] \right\|, \] where the probability is over the choices of (KDF, bk), k, the oracles answers, and A’s coin tosses. ### 5.3 HKDF Expansion based on NMAC We first discuss the case of expansion being based on NMAC instead of HMAC and argue afterwards that the result can be lifted to HMAC and the extraction step, making some additional assumptions. Recall that there are two differences between NMAC and its “practical cousin” HMAC. First, NMAC takes two independent keys $ k_{\text{in}}, k_{\text{out}} \in \{0,1\}^\ell $ instead of using correlated keys $ k \oplus \text{ipad}, k \oplus \text{opad} $ as in HMAC. Second, the keys in NMAC are used directly as a substitute for the initialization vector IV, instead of making an extra iteration to first compute $ h(\text{IV}, k \oplus \text{ipad}) $ resp. $ h(\text{IV}, k \oplus \text{opad}) $ as in HMAC. Let sNMAC$(k_{\text{in}}, k_{\text{out}}, \cdot)$ (for salted NMAC) be the probabilistic algorithm which, on being called, picks a fresh salt $ \leftarrow \{0,1\}^b $ and then computes NMAC on keys $ k_{\text{in}}, k_{\text{out}} $ for the salted compression function $ h^{\text{salt}} $. $^3$As pointed out by Halevi and Krawczyk in [HK06] this also means that the padded message for the hash computation is masked with the random salt. It outputs the result of the computation together with the salt. By the construction of HKDF-Expand we can assume that the adversary in the salted-KDF experiment only queries the key derivation function for length values $ \text{len} = \ell $ equal to the output size of NMAC. This would already allow the adversary to assemble the full key material by sequentially making the corresponding queries. Theorem 5.1. Let BDPRFGen be a backdoored PRF generator. Then sNMAC is a secure salted KDF, i.e., for any adversary $ A $ against sNMAC we obtain an adversary $ B $ against the weak PRF property with \[ \text{Adv}_{\text{sNMAC},A,b}^{\text{skdf}}(\lambda) \leq 2nq \cdot \text{Adv}_{\text{BDPRFGen},B,b}^{\text{wPRF}}(\lambda) \] where $ B $ is the maximal number of message blocks and each of them has at most $ q $ key derivation queries, and $ n := B + 2 \cdot \lceil \ell/b \rceil + 3 $. Furthermore the run times of $ A $ and $ B $ are essentially the same. The proof idea is that each computation of sNMAC starts with an evaluation of the backdoored compression function for $ x_2 = h(k_{\text{in}}, y_1 \oplus \text{salt}) $, where $ y_1 $ is the first input block according to the adversary’s query and $ \text{salt} $ is a fresh random value, picked independently after $ y_1 $ has been determined. This means that the input pair is random, such that we can conclude by the weak pseudorandomness that the output value $ x_2 $ looks random, too. The argument then applies to the next iteration step as well, since the next input $ (x_2, y_2 \oplus \text{salt}) $ to the compression function is (indistinguishable from) random. The approach can be set forth to show that all final answers in the computations look random, where the formal way to show this is via a hybrid argument. Since we pick a fresh $ \text{salt} $ in each computation, the result also holds for multiple queries. Proof. The proof strategy is to first show that in case $ A $ has access to two sNMAC oracles, then we can replace both oracles by two (independent) oracles of the type $$(\cdot)$$. This will be indistinguishable by the wPRF property of the compression function. Then we can switch back the left oracle to sNMAC because the right oracle $$(\cdot)$$ is easy to simulate, concluding again that this is indistinguishable by the wPRF property. So let $ A $ be an attacker against two sNMAC oracles, making at most $ q $ queries to both oracles together, each input information of at most $ B $ blocks. This means that, together with the counter $ i $, the $ \ell $-bit value $ k_{i-1} $ of the previous iteration, and the padding, we evaluate $ h $ at most $ B + \lceil \ell/b \rceil + 2 $ times in the inner NMAC computation. We make at most another $ \lceil \ell/b \rceil + 1 $ iterations for the outer computation. For the proof it is instructive to write down all pairs $ (x_i^j, y_i^j \oplus \text{salt}_i) $ inserted into the compression function $ h $ during the experiment, where $ i $ denotes the number of the query, $ \text{salt}_i $ is the $ i $-th chosen salt value, and $ j $ the iteration within a full NMAC computation. We order these elements in a table, where we put the iteration of the computation in the rows. The columns then correspond to the iteration round, where different queries may have a different number of iterations. We put all the outer computations in the final columns. In particular, since this number only depends on the hash function parameters, the numbers of columns required for the outer computation are identical over all queries. If $ A $ makes at most $ q $ queries we thus evaluate the compression function $ h $ on a table of the following form: \[ \begin{array}{cccc\|c} \rightarrow & \text{inner NMAC computation} & \rightarrow & & \text{outer NMAC} \\ \text{query} & \text{column 1} & \text{column 2} & \text{column 3} & \ldots & \text{column } n \\ 1 & (x_1^1, y_1^1 \oplus \text{salt}_1), & (x_1^2, y_1^2 \oplus \text{salt}_1), & (x_1^3, y_1^3 \oplus \text{salt}_1), & \ldots & (x_1^{n_1}, y_1^{n_1} \oplus \text{salt}_1) \\ 2 & (x_2^1, y_2^1 \oplus \text{salt}_2), & (x_2^2, y_2^2 \oplus \text{salt}_2), & (x_2^3, y_2^3 \oplus \text{salt}_2), & \ldots & (x_2^{n_2}, y_2^{n_2} \oplus \text{salt}_2) \\ & \vdots & & & & \\ q & (x_q^1, y_q^1 \oplus \text{salt}_q), & (x_q^2, y_q^2 \oplus \text{salt}_q), & (x_q^3, y_q^3 \oplus \text{salt}_q), & \ldots & (x_q^{n_q}, y_q^{n_q} \oplus \text{salt}_q) \\ \end{array} \] where $ n_i \leq n $ is the number of evaluations in the $ i $-th query. Note that $ x_i^1 = k_{\text{in}} $ is always the inner key and in the part referring to the inner computations of NMAC we always have $ x_i^{j+1} = h(x_i^j, y_i^j \oplus \text{salt}_i) $ for all $i, j$. When proceeding to the outer computation, one has $x_i^j = k_{\text{out}}$ for the outer key, and $y_i^j$ is determined by the final hash value $h(x_i^{j-1}, y_i^{j-1} \oplus \text{salt}_i)$ of the inner computation. By construction, the column where we progress to the outer computation is identical for all queries. Our claim is now that the final output values in the last $n$-th column all look random. This follows by a slightly involved but nonetheless standard hybrid argument over the columns of the table. Since the argument is fairly straightforward to formalize we only explain the main idea. First note that in the first column of the table we apply $h$ for the same key $k_{\text{in}} = x_i^1$ on random inputs $y_i^1 \oplus \text{salt}_i$ for uniformly chosen $\text{salt}_i$. Intuitively, we can thus replace the output $x_i^2 = h(x_i^1, y_i^1 \oplus \text{salt}_i)$ by a random value by the weak PRF property of the (backdoored) function $h$. The formal argument is via a black-box reduction, where an algorithm $\mathcal{B}$ against the weak PRF property simulates $\mathcal{A}$’s attack against sNMAC. Adversary $\mathcal{B}$ initially receives as input $q$ pairs $(a_i, b_i)$, where each $a_i$ is random and each $b_i$ is either $h(k, a_i)$ or random, too. It uses the $b_i$’s as replacements for the values $x_i^2$, and sets $\text{salt}_i = a_i \oplus y_i^1$ for all $i$. Note that this makes $\text{salt}_i$ a correctly distributed uniform value. Algorithm $\mathcal{B}$ performs the remaining computations of the table as before, using the now derived value $\text{salt}_i$ in each row and picking the outer key $k_{\text{out}}$ itself. If the $b_i$’s are pseudorandom, then this corresponds exactly to the original computation, whereas for truly random $b_i$’s we simulate the slightly changed game. Given that the values $x_i^2$ are random now, we can set the argument forth, noting that we can pick the salt values $\text{salt}_i$ afresh in the next hybrid step (because the values $x_i^1, y_i^1 \oplus \text{salt}_i$ have become irrelevant). The argument in this step is nonetheless slightly more involved since we may have different $x_i^2$’s, but some of these values may coincide. This can be resolved by handing over multiple values $(a_{i,j}, b_{i,j})$ to $\mathcal{B}$ for $i, j = 1, 2, \ldots, q$, where $b_{i,j} = h(k_j, a_{i,j})$ for $q$ independent keys $k_j$, or all $b_{i,j}$’s are random. By another hybrid argument it follows from the pseudorandomness of $h$ that the two cases are indistinguishable. Algorithm $\mathcal{B}$ can then “consume” sufficiently many values for the simulation for identical $x_i^2$. In the formal hybrid argument, $\mathcal{B}$ picks a column $k$ among the $n$ ones at random and injects values from the $q^2$ input pairs $(a_{i,j}, b_{i,j})$ as above. For this injection strategy it sets all values $x_i^j$ for “earlier” columns $j < k$ to be independent random values, except for the $x_i^j$’s corresponding to the inner and outer key (which are set to be an equal random value). This results in a security loss equal to the number $n$ of columns, and the number $q$ of input sequences $(a_{i,j}, b_{i,j})_{j=1,\ldots,q}$ for $\mathcal{B}$. This yields the claimed bound, taking into account that we derive the factor 2 by switching the left oracle back to sNMAC. □ ### 5.4 Lifting the Result to HKDF To extend the above argument to also cover the extraction step we need to assume, as in the original security proof of HMAC [Bel06], that the compression function $h$ is a weak dual PRF. This means that $h(\cdot, \text{IKM})$ is weakly pseudorandom for the input keying material $\text{IKM}$ (with sufficient entropy). This appears to be a widely accepted assumption, but in our case this should also hold for backdoored compression functions. With a similar argument as in the wPRF case we can argue that a weak dual PRF remains secure (for fixed extraction salt $\text{extsalt}$) even when having a backdoor, or else one can again construct a public-key encryption scheme. The argument is as before, putting $\text{extsalt}$ as part of the public-key and using the backdoor to distinguish random values (for encryptions of 0’s) from $h(\text{extsalt}, \text{IKM})$ values (for encryptions of 1’s, where the sender chooses $\text{IKM}$). Similarly, we need to argue that using $k_{\text{in}} = h(\text{IV}, k \oplus \text{ipad})$ and $k_{\text{out}} = h(\text{IV}, k \oplus \text{opad})$ in the HMAC computation, instead of random values $k_{\text{in}}, k_{\text{out}}$ as in NMAC, does not endanger the security, even for backdoored $h$. The argument that the backdoored case should not make a difference is as before: pseudorandomness of the (correlated values) $h(\text{IV}, k \oplus \text{ipad})$ and $h(\text{IV}, k \oplus \text{opad})$ should also hold in the backdoored case, unless the backdooring already embeds a public-key encryption scheme. 6 Immunization of TLS-like Key Exchange Once we have immunized HMAC and HKDF the next question is how we can use these building blocks in higher-level protocols to make them backdoor-resistant. We discuss this here briefly for the case of the TLS 1.3 protocol (in version draft-28 [Res18]), and especially for the pre-shared key (PSK) mode. The PSK mode covers the case in which client and server already hold a shared key and do not need to run a Diffie-Hellman key exchange sub-protocol; immunizing the latter would be beyond our work’s scope. The PSK protocol only relies on a cryptographic hash function, but used in different contexts: as a collision-resistant hash function, as a MAC via HMAC, and as a key derivation function via HKDF. 6.1 Pre-Shared Key Mode of TLS 1.3 The PSK mode is displayed in Figure 3. We follow the presentation in [DFGS15, DFGS16]. In the protocol the client starts with the ClientHello message, containing a nonce $ r_c $, and specifies identifiers for shared keys via the ClientPreSharedKey message. The server replies with the ServerHello message, also containing a nonce $ r_s $, and the choice of key identifier in ServerPreSharedKey. The server then starts deriving keys via HKDF on the pre-shared key PSK and the transcript hashes. It sends the encrypted extension information \{EncryptedExtensions\}. The server also computes a finished message ServerFinished which is an HMAC over the derived keys and the transcript hash. The client subsequently computes the keys, checks the HMAC, and sends its finished message ClientFinished. Both parties once more use HKDF and transcript hashes to derive the shared session key. 6.2 Towards Immunizing the PSK Mode Not surprisingly, we are not able show that the PSK mode of TLS 1.3, as is, can be immunized against backdoors. There are both security-related as well as functional reasons. In terms of security, the main problem is that the protocol crucially relies on the collision-resistance of the hash function to compute the transcript hashes. As we discuss in the next section, planting backdoors in collision-resistant hash functions is rather easy, such that we may not get immunity for the given protocol. Fortunately, the transcript hashes are only used to enable the parties to store the intermediate hash values instead of the entire transcript. In terms of security, one can easily forgo the transcript hashes and feed the full transcript into the immunized version of HMAC resp. HKDF. Another obstacle to use our immunization strategy via salting of HKDF is that the salt needs to be picked independently of the input to the hash function. This can only be done by the party which evaluates the hash function next, e.g., when the server computes \[ \text{HTS}_C/\text{HTS}_S \leftarrow \text{HKDF.HKDF-Expand(HS, label_1/label_2\|\|H_1)} \] over the transcript hash $ H_1 \leftarrow H(\text{CH}\|\|\text{SH}) $, or rather the full transcript $ H_1 \leftarrow \text{CH}\|\|\text{SH} $, to send the encrypted \{EncryptedExtensions\} message, then the entire input is only determined when the server is deriving the keys. The same holds on the client side for the finished message key CFK. Hence, we require that both parties at some point pick a random salt in a trustworthy way and therefore can only cover “backdooring” attacks against outsiders, eavesdropping on the communication. Still, we preserve active security against adversaries which cannot tamper with the cryptographic primitives. Another problem with TLS 1.3 in its current form is that it is not clear how to embed the salt in the protocol flow. The extensions currently do not offer a variable field for this. Hence, one would need to change the specification to enable the inclusion of such extra data, as well as the algorithm specifiers to capture the salted versions. ClientHello: $r_c \xleftarrow{\$} \{0,1\}^{256}$ + ClientPreSharedKey: psk_id, ... ServerHello: $r_s \xleftarrow{\$} \{0,1\}^{256}$ + ServerPreSharedKey: psk_id $H_1 \leftarrow H(CH\|\|SH)$ (incl. extensions) ES $\leftarrow$ HKDF.HKDF-Extract(0, PSK) XES $\leftarrow$ HKDF.HKDF-Expand(ES, "derived") DHE $\leftarrow 0$ HS $\leftarrow$ HKDF.HKDF-Extract(XES, DHE) HTS_C/HTS_S $\leftarrow$ HKDF.HKDF-Expand(HS, label_1/label_2\|\|$H_1$) $tk^c_{hs}/tk^s_{hs} \leftarrow$ HKDF.HKDF-Expand(HTS_C/HTS_S, label_3) $H_2 \leftarrow H(CH\|\|...\|\|EncryptedExtensions)$ SFK $\leftarrow$ HKDF.HKDF-Expand(HTS_S,"finished") {ServerFinished}: HMAC(SFK, $H_2$) check SF = HMAC(SFK, $H_2$) CFK $\leftarrow$ HKDF.HKDF-Expand(HTS_C,"finished") {ClientFinished}: HMAC(CFK, $H_2$) XHS $\leftarrow$ HKDF.HKDF-Expand(HS, "derived") MS $\leftarrow$ HKDF.HKDF-Extract(XHS, 0) $H_3 \leftarrow H(CH\|\|...\|\|SF)$ TS_S/TS_C $\leftarrow$ HKDF.HKDF-Expand(MS, label_4/label_5\|\|$H_3$) $tk_{app} = (tk^c_{app}/tk^s_{app}) \leftarrow$ HKDF.HKDF-Expand(TS_S/TS_C, label_3) Protocol flow legend MSG: Y TLS 1.3 message MSG containing Y + MSG message sent as extension within previous message {MSG} message MSG AEAD-encrypted with $tk^c_{hs}/tk^s_{hs}$ a/b alternative usage of a or b for server and client label, specific label in derivation step Figure 3: The TLS 1.3 draft-28 [Res18] PSK handshake protocol. With all the modifications above, one obtains a PSK mode which only relies on the backdoor-resistant modified primitives HMAC and HKDF. We omit a formal analysis as it would require to define security of key exchange protocols and is beyond the scope here. 7 Backdoored Merkle-Damgård-based Hash Functions and HMAC In this section, we turn our attention to demonstrating the feasibility of embedding a backdoor in ordinary hash functions, such that the adversary in possession of the backdoor is able to undermine the most crucial security properties of the hash function. At the same time, the hash function retains all those security properties against adversaries without knowledge of the backdoor key. Moreover, the specification only uses symmetric-key primitives and is secure against reverse engineering attempts, in that it cryptographically hides the backdoor key. For our construction we drew inspiration from many-to-one trapdoor one-way functions with an exponential preimage size as studied by Bellare et al. [BHSV98]. They show that such trapdoor one-way functions can be built from one-way functions and hence building secure public-key encryption from them is hard. We construct a backdoored Merkle-Damgård-based hash function by iterating a backdoored compression function, which behaves like a secure compression function unless the backdoor is triggered by a special key as part of the input message. The proposed construction might seem rather simple but demonstrates how easy it is to embed a backdoor into the building block such that its knowledge enables an adversary to easily violate the hash function’s security properties. We also investigate whether our construction has any weakening impact when used in HMAC (where HMAC is used as is, without our immunization modifications). Unfortunately, we have to answer this in the affirmative and show that even though HMAC uses a secret key, it is not secure, since the adversary has full control over the input message and can trigger the backdoor for the underlying hash function. 7.1 Backdoored MD-based Hash Functions Let $ h : \{0, 1\}^\ell \times \{0, 1\}^b \rightarrow \{0, 1\}^\ell $ be a collision-resistant compression function with $ b \geq 2\ell $. The algorithm BDHGen creates a backdoored compression function $ \tilde{h} : \{0, 1\}^\ell \times \{0, 1\}^b \rightarrow \{0, 1\}^\ell $ and its backdoor key $ \text{bk} \in \{0, 1\}^\ell $, as defined below. In order for $ \tilde{h} $ to be collision-resistant against adversaries without knowledge of the backdoor, $ \tilde{h} $ behaves essentially like $ h $, unless the backdoor is triggered. The backdoor $ \text{bk} $ is defined in a way that $ h(\text{bk}, c) = \beta $, for fixed values $ c \in \{0, 1\}^b $ and $ \beta \in \{0, 1\}^\ell $. The values $ \text{bk} $ and $ c $ can for instance be chosen randomly by the malicious designer of $ \tilde{h} $, from which $ \beta $ is determined. \[ \begin{align} \text{compression function:} \\ \tilde{h} : \{0, 1\}^\ell \times \{0, 1\}^b & \rightarrow \{0, 1\}^\ell \\ \tilde{h}(x, y) & := \begin{cases} y_{[\ell, 2\ell-1]}, & \text{if } h(y_{[0,\ell-1]}, c) = \beta \\ h(x, y), & \text{otherwise} \end{cases} \end{align} \] \[ \begin{align} \text{backdoor key:} \\ \text{random } \text{bk} & \in \{0, 1\}^\ell \\ \text{and } c & \in \{0, 1\}^b \text{ such that } h(\text{bk}, c) = \beta \end{align} \] Figure 4: Backdoored compression function $ \tilde{h} $ and its backdoor key $ \text{bk} $, built from any compression function $ h : \{0, 1\}^\ell \times \{0, 1\}^b \rightarrow \{0, 1\}^\ell $ with $ b \geq 2\ell $. The backdoor key is a particular point $ \text{bk} $ of admissible inputs of $ h $. The malicious compression function $ \tilde{h} $ simply evaluates $ h $, except if it detects a backdoor key in the input. Let us take a closer look at the definition of $ \tilde{h} $ from Figure 4. In the first case, the first $ \ell $ bits of the processed $ b $-bit block correspond to the backdoor value $ \text{bk} $ (or another preimage of $ \beta $ under $ h(\cdot, c) $), then $ \tilde{h} $ sets the output to the next $ \ell $ bits of that input string. This allows to program the output of this iteration since the message block can be thought of as being under adversarial control. For all other inputs, the second case of $ \tilde{h} $ applies, which simply calls the underlying compression function $ h $ on the inputs. In the next section, we describe the attacks in more detail. Our backdoor uses an if-then-else construct. Such constructs, or derivatives thereof, are often implicit in the design of round functions of hash algorithms for nonlinearity reasons. For instance, SHA-1 and SHA-2 use the function $ \text{Ch}(x, y, z) = (x \land y) \oplus (\neg x \land z) $ on 32-bit words in the round evaluations, implementing a bit-wise “if $ x_i $ then $ y_i $ else $ z_i $” simultaneously over words. In SHA-3 the $ \chi $ operation $ \chi(a, b, c) = c \oplus (\neg a \land b) $ on 64-bit words can be viewed to implement “if $ a_i $ then $ c_i $ else $ b_i \oplus c_i $” for each bit in the words. We stress, however, that we are not claiming that SHA-1, SHA-2, or SHA-3 actually have backdoors. In particular, embedding our backdoors would introduce additional complications since one has less control over the inputs when the operations $ \text{Ch} $ and $ \chi $ are applied in the iterations of the round functions. Our construction merely demonstrates that incorporating hidden backdoors is possible in principle, and that only mild operations are necessary to exploit the backdoor. Proposition 7.1. The compression function $ \tilde{h} $ given in Figure 4 is collision resistant if the underlying $ h $ is collision resistant and $ h(\cdot, c) $ is preimage resistant (for parameter $ \ell $) for randomly chosen $ c \leftarrow \{0, 1\}^b $. The idea is that a collision finder can only take advantage of the embedded case if it finds a preimage for $ \beta $ for $ h(\cdot, c) $. Else it needs to find a collision from scratch. Proof. Suppose that a PPT adversary $ \mathcal{A} $ finds collisions for $ \tilde{h} $ with some probability $ \varepsilon $, i.e., outputs $ (x, y) \neq (x', y') $, such that $ \tilde{h}(x, y) = \tilde{h}(x', y') $. We make a case distinction: - Assume that $ h(y_{[0,\ell-1]}, c) = \beta $ or $ h(y'_{[0,\ell-1]}, c) = \beta $. Then it is straightforward to build an adversary against the preimage resistance of $ h(\cdot, c) $, since $ y_{[0,\ell-1]} $ resp. $ y'_{[0,\ell-1]} $ constitutes a preimage for $ \beta $. - According to the other case we thus have $ \tilde{h}(x, y) = h(x, y) = h(x', y') = \tilde{h}(x', y') $ for $ (x, y) \neq (x', y') $. This, however, contradicts the collision resistance of $ h $. In summary, an adversary $ \mathcal{A} $ successfully attacking collision resistance of $ \tilde{h} $ can be used to build an adversary that can either find preimages for $ h(\cdot, c) $ or find collisions under $ h $ (in the same time). Hence, $ \mathcal{A} $'s success probability is bounded by the sum of these cases. $ \square $ With a similar argument we can show that the same holds for the other properties: Proposition 7.2. The compression function $ \tilde{h} $ given in Figure 4 is preimage resistant if the underlying $ h $ is preimage resistant for parameter $ \ell + b $ and if $ h(\cdot, c) $ is preimage resistant for parameter $ \ell $ for randomly chosen $ c \leftarrow \{0, 1\}^b $. As in the proof for collision resistance this holds as an adversary $ \mathcal{A} $ against preimage resistance either needs to find a preimage for parameter $ \ell $ (i.e., a backdoor key), or under the original function $ h $ for parameter $ \ell + b $. Proposition 7.3. The compression function $ \tilde{h} $ given in Figure 4 is second-preimage resistant for parameter $ \ell + b $ if the underlying $ h $ is second-preimage resistant for $ \ell + b $ and $ h(\cdot, c) $ is preimage resistant for parameter $ \ell $ for randomly chosen $ c \leftarrow \{0, 1\}^b $. Next we build from $ \tilde{h} $ a backdoored hash function $ H_{\tilde{h}}^{\text{md}} := (\text{KGen}^{\text{md}}, H_{\tilde{h}}^{\text{md}}) $ using the standard Merkle-Damgård domain extender, which iterates the backdoored compression function $ \tilde{h} $. Intuitively, with the backdoor key an adversary can trigger one or more iterations of the compression function to land in a weak mode, and abuse it to break the hash function, i.e., find collisions, preimages, and second preimages. In the following section we discuss the attacks in detail. Remark. Although it is hard to find the backdoor itself, the fact that the above construction is backdoored is fairly obvious. However, techniques such as practical obfuscation may be employed to better hide the (implicit) if-clause and the constants used for backdooring. The complexity of permutations and compression functions used in practice makes detection even harder. Alternatively, the attacker may also aim at the implementation and insert malicious code in a software update. The new backdoored implementation remains indistinguishable from its specification via black-box testing. 7.1.1 Attack Description In this section we describe how a backdoor key $ \text{bk} $ as described in Figure 4 can be used to break collision resistance, preimage resistance and second-preimage resistance of the above backdoored hash function $ H_{\text{md}}^{\text{md}} $. Precise definitions of these properties were given in Section 2.3. For finding collisions and preimages, the adversary does not need to actually evaluate the hash function at all. For finding second preimages, the adversary evaluates the hash function once and only for computing the digest of the given message. Here, we consider the compact length padding defined in Section 2.2.1. However, we remark that backdoored compression functions, similar to the one that we discuss below, do exist for other padding functions. Finding Collisions. The adversary’s goal is to find two messages $ m, m' \in \{0, 1\}^{\leq 2p} $, that will be mapped to the same digest. We argue that any two messages $ m $ and $ m' $ of the same length that have a common suffix starting with $ \text{bk} $ and an arbitrary prefix of the same size, which is a multiple of the block size $ b $, collide. It immediately follows from the exponential size of the message space that the backdoor enables finding an exponential number of collisions. More precisely, for all prefixes $ v, v' \in (\{0, 1\}^b)^+ $ with $ \|v\| = \|v'\| $ and suffixes $ w \in \{0, 1\}^* $ the colliding messages are: \[ m = v\|\|\text{bk}\|\|w \quad \text{and} \quad m' = v'\|\|\text{bk}\|\|w. \] Observe that, after padding, both messages contain the backdoor $ \text{bk} $ at the beginning of the same block. This triggers the “bad” case of the backdoored compression function, which then outputs the following $ \ell $ bits of the message, ignoring the intermediate value $ x $ obtained from the previous iteration. Since the messages do not differ after the backdoor and neither does the padding of the equal length messages, their digests eventually coincide. In a similar attack, the adversary may be able to encode an expected digest $ d \in \{0, 1\}^\ell $ directly in the messages. That is, for all prefixes $ v, v' \in (\{0, 1\}^b)^+ $ of the same size (i.e., $ \|v\| = \|v'\| $), and short suffixes $ u, u' \in \{0, 1\}^{\leq b - 2\ell - p - 1} $ the following messages are both mapped to the same value by the backdoored hash function: \[ m = v\|\|\text{bk}\|\|d\|\|u \quad \text{and} \quad m' = v'\|\|\text{bk}\|\|d\|\|u'. \] If $ b \geq 2\ell + p + 1 $, the lengths of the messages fit in the same block as $ \text{bk} $, $ d $, and $ u $ resp. $ u' $. Hence, the encoded length $ \text{binary}(\|m\|, p) $ resp. $ \text{binary}(\|m'\|, p) $ is simply ignored by the backdoored compression function and $ d $ is output as the digest for both. Here, the messages do not even have to be of the same size. However, if $ 2\ell \leq b < 2\ell + p + 1 $ the binary encoding of the message lengths cannot be included in the same block as $ \text{bk} $ and $ d $, hence, the above messages will collide (mapped to a different digest than $ d $) if their last blocks after padding (in particular their lengths) are equal. Finding Preimages. Here we describe how an adversary can use the backdoor to find a preimage for a random digest $ d \in \{0, 1\}^\ell $. We distinguish two cases based on the length of message blocks. First we consider $ b \geq 2\ell + p + 1 $, where the backdoor key, the challenge digest, and the padded message length can all fit in a single block. Second, we consider $ 2\ell \leq b < 2\ell + p + 1 $, where at least the backdoor key and the message length can fit into the same block, however not together with the challenge digest. If $ b \geq 2\ell + p + 1 $, the adversary can encode the digest $ d $ in the message directly after the backdoor key $ \text{bk} $, while still leaving space in the last block for the message length to be encoded in by the padding. More precisely, for all prefixes $ v \in (\{0, 1\}^b)^+ $ and all short suffixes $ u \in \{0, 1\}^{b-2\ell-p-1} $ the following message $ m $ is a valid preimage for $ d $: \[ m = v \|\| \text{bk} \|\| d \|\| u. \] Here, after the first malicious case of the compression function is triggered by $ \text{bk} $, the digest $ d $ will be output, and the rest of the last block, containing the encoded length is simply ignored. The attack is slightly more subtle in case of $ 2\ell \leq b < 2\ell + p + 1 $. However, one can still trigger the backdoor in the last message block, causing the next $ \ell $ bits to be output by the backdoored compression function. Consider the message $ m = v \|\| \text{bk} \|\| u $ now with $ u \in \{0, 1\}^{b-\ell-p-1} $. If the $ \ell $ bits of the padded message immediately following the backdoor key $ \text{bk} $, i.e., $ u $ and a prefix of $ \text{lpad}(m, b, p) $, correspond to the challenge digest $ d $, then $ m $ is a valid preimage. Finding Second-Preimages. Finding second preimages is very similar to finding preimages. In fact the adversary can perform the above attacks to find a second preimage $ m' $ for a given message $ m $, after setting $ d = H_{\tilde{h}, \text{IV}}^{\text{md}}(m) $. Note that since the adversary can find an exponential number of preimages by choosing different prefixes and suffixes, she can easily find a preimage $ m' $ of $ d $ that is not equal to the original message $ m $. Remark. Exploiting the above attacks, it is easy to compromise the security of, e.g., signature schemes and nothing up my sleeve numbers (NUMS). For example, for a “hash-then-sign” signature scheme the attacker can trigger the backdoor making the scheme vulnerable against unforgeability. Here the attacker can easily find a second preimage of the digest and hence forge a signature. Nothing up my sleeve numbers are widely used in practical cryptographic designs. Constants used in cryptographic algorithms are often hashed in order to destroy any potential structure that might give some advantage to the authority that has chosen those constants. However, when the NUMS are generated using a backdoored hash function, an adversary can use the backdoor in order to find a preimage and hence manipulate the constants. ### 7.1.2 Exposure of Backdoor Key As discussed, a backdoor can enable adversaries to break security of a hash function. The same backdoored construction is unexploitable by an adversary who does not know the backdoor key. Attempts at detecting a potential backdoor via black-box testing or finding the backdoor key by reverse engineering the code may easily fail. However, observe that every collision, preimage, or second preimage found using the backdoor key, encodes the backdoor key in the message. Therefore, using the backdoor may put the adversary in risk of being exposed. It is unclear whether constructions of backdoored compression functions are possible that do not expose their backdoor key in adversarial inputs and do not rely on indistinguishability obfuscation to hide a secret key in the compression function and use it to internally decrypt malicious triggers. ### 7.2 Backdoored HMAC In this section, we discuss that building HMAC upon the backdoored Merkle-Damgård hash function $ H_{\tilde{h}}^{\text{md}} $ of Section 7.1 yields a backdoored HMAC scheme, which is easily forgeable using the backdoor key. More precisely, the backdoored HMAC scheme is defined as $ \mathcal{HMAC}_{\tilde{h}} := (\text{KGen}, \text{HMAC}_{\tilde{h}}) $. However, note that $ \tilde{h} $ is still a PRF against adversaries that do not know a backdoor, as we prove below. Therefore, the resulting HMAC construction $ \mathcal{HMAC}_{\tilde{h}} $ is also a PRF against such adversaries. Lemma 7.4. The compression function $\tilde{h}$ from Section 7 is a PRF if the underlying function $h$ is a PRF, and if $h(\cdot, c)$ is preimage resistant for parameter $\ell$ for random $c \leftarrow \{0, 1\}^b$. Proof. Assume that there exist an adversary $\mathcal{A}$ with a non-negligible advantage $\text{Adv}_{\tilde{h}, \mathcal{A}, 0}^{\text{PRF}}(\lambda)$ in distinguishing $\tilde{h}: \{0, 1\}^\ell \times \{0, 1\}^b \rightarrow \{0, 1\}^\ell$ from a random function with the same domain and range. We use $\mathcal{A}$ to build an adversary $\mathcal{B}$ against the PRF-security of $h$ as follows. By definition $\mathcal{B}$ gets access to an oracle which either implements $h(k, \cdot)$, for a random key $k$, or a truly random function $f_S$. Initially, $\mathcal{B}$ picks random values $bk, c$ and computes $\beta$ as $\beta = h(bk, c)$. Upon receiving a query $y \in \{0, 1\}^b$ from $\mathcal{A}$, our new adversary $\mathcal{B}$ simply forwards this query to its oracle and returns the answer unless $h(y_{[0,\ell-1]}, c) = \beta$ is met, in which case $y_{[\ell,2\ell-1]}$ is returned. When the adversary $\mathcal{A}$ terminates with output $b$, then so does $\mathcal{B}$. For the analysis note that, in case that $\mathcal{B}$ is communicating with the oracle $h$, the only difference in the answers handed to $\mathcal{A}$ lie in the exceptional case that $h(y_{[0,\ell-1]}, c) = \beta$. This means that we can compute a preimage of $\beta$ under $h(\cdot, c)$ with the help of $\mathcal{A}$’s queries, which straightforwardly leads to a contradiction to the preimage resistance of $h$ (via the construction of some algorithm $\mathcal{C}$ against preimage resistance derived from $\mathcal{A}$ resp. derived by a pure guessing strategy) and thus have small probability only. Hence, $$\Pr\left[\mathcal{B}^{h(k,\cdot)}(1^\lambda) = 1\right] \geq \Pr\left[\mathcal{A}^{\tilde{h}(k,\cdot)}(1^\lambda) = 1\right] - \text{Adv}_{h, \mathcal{C}, 0}^{\text{PR}, \ell}(\lambda).$$ For a truly random function oracle the behavior of $\mathcal{A}$ and $\mathcal{B}$ are identical. Therefore, $$\text{Adv}_{h, \mathcal{B}, 0}^{\text{PRF}}(\lambda) \geq \text{Adv}_{\tilde{h}, \mathcal{A}, 0}^{\text{PRF}}(\lambda) - \text{Adv}_{h, \mathcal{C}, 0}^{\text{PR}, \ell}(\lambda)$$ This, however, contradicts the PRF-security (or the preimage resistance) of $h$. Note that it is also unlikely that the HMAC case of first computing $\tilde{h}(\text{IV}, k \oplus \text{ipad})$ resp. $\tilde{h}(\text{IV}, k \oplus \text{opad})$ triggers the exceptional branch. The reason is that this could only happen if the key parts constituted a preimage of the backdoor value $\beta$. 7.2.1 Attack Description Recall that the backdoor $bk$, defined in Figure 4, allows an adversary to find collisions for the underlying hash function $\mathcal{H}_h^{\text{md}}$. Finding collisions for the inner hash chain of the backdoored HMAC construction is precisely what makes forging MAC tags possible. First, the adversary queries $\text{HMAC}_{\tilde{h}}$ on a message $m = v\|\|bk\|\|w$, where $v \in (\{0, 1\}^b)^+$ and $w \in \{0, 1\}^$. After receiving the corresponding tag $t$, the adversary returns the pair $(m^, t) = (v'\|\|bk\|\|w, t)$ as a forgery, where $v' \in (\{0, 1\}^b)^+, v \neq v'$, and $\|v\| = \|v'\|$. As discussed in Section 7.1.1, the messages $m$ and $m^$ lead to collisions in $\mathcal{H}_h^{\text{md}}$. Since their prefixes $v$ and $v'$ of equal length can be arbitrary, they can in particular start with a block of $b$-bits equal to $k \oplus \text{ipad}$. Hence, it is easy to see that after the messages are prepended by $k \oplus \text{ipad}$, they still lead to a collision in the inner hash chain of $\text{HMAC}_{\tilde{h}}$. Since the outer chain is equal for all messages, $m$ and $m^$ both have the same tag $t$. Putting differently, HMAC is not backdoor-resilient just because it uses a secret key. In summary, since an adversary holding a backdoor can forge a tag for a new message, $\mathcal{HMA}_{\tilde{h}}$ is forgeable and hence not pseudorandom. 8 Backdoored Sponge-based Hash Functions In this section, after a brief review of the sponge construction, we discuss how backdooring the underlying permutation can lead to a backdoored sponge-based hash function. \begin{align} \text{H}^{\text{sponge}}_{p, \text{IV}}(m, \ell) \\ s_0 &\leftarrow \text{IV} \\ m &\leftarrow m \|\| \text{pad}_{10^}(m, r) \\ \text{parse } m &\text{ as } m_0 \|\| \ldots \|\| m_{n-1} \\ &\quad \text{where } \|m_i\| = r \text{ for all } 0 \leq i < n \\ \textbf{for } i &= 0 \ldots n - 1 \textbf{ do} \\ \tilde{s}_i &\leftarrow s_i \oplus (m_i \|\| 0^c) \\ s_{i+1} &\leftarrow p(\tilde{s}_i) \\ d &\leftarrow s_{n[0,r]} \\ \textbf{while } \|d\| &< \ell \textbf{ do} \\ s_n &\leftarrow p(s_n) \\ d &\leftarrow d \|\| s_{n[0,r]} \\ \textbf{return } d_{[0,\ell]} \end{align} Figure 5: Sponge-based hash function (illustration from [Jea16]). ### 8.1 The Sponge Construction The sponge* construction was introduced by Bertoni et al. [BDPVA11]. It processes the message in two phases, namely the absorbing phase and the squeezing phase, as illustrated in Figure 5. The construction itself is similarly to the Merkle-Damgård construction of iterative nature. It can be used to build a function with variable-length input and arbitrary output length based on a permutation $p$ operating on a fixed number of bits $b$, where $b$ is called the width. The sponge construction operates on a state of size $b = r + c$ bits. The value $r$ is the bit rate and denotes the length of the first part of the state, where message blocks of length $r$ are absorbed. The value $c$ is called the capacity and describes the length of the remaining state, and generally it holds that $r > c$. The construction starts with the state being initialized with a value of length $b$. The message $m$ is first padded to a multiple of $r$ bits and then cut into blocks of this length. In the first phase, the absorbing phase, the message blocks are simply XORed into the first $r$ bits of the state and then the permutation $p$ is applied to the entire state. After all message blocks were processed, the construction switches to the second phase, the so-called squeezing phase. Here the first $r$ bits of the state are returned as output blocks and the permutation $p$ is applied to the state. The squeezing process is repeated until the desired number of blocks are returned. Note that the capacity of the state is never directly affected by the input message blocks and is not returned during the squeezing phase. The sponge construction is used to build the SHA-3 hash function which is a subset of the cryptographic hash function family known as Keccak [BDPVA09]. A sponge-based hash function $\mathcal{H}^{\text{sponge}}_p := (\text{KGen}^{\text{sponge}}, \text{H}^{\text{sponge}}_p)$, as formally described in Figure 5, is constructed by iterating a permutation $p : \{0, 1\}^b \rightarrow \{0, 1\}^b$ as follows. The initial state $s$ of the sponge is set to an initialization vector $\text{IV} \leftarrow \text{KGen}^{\text{sponge}}(1^\lambda)$. However, note that we use a more general terminology and usually in SHA-3 the state is simply initialized with the zero bit string of length $b$. On the input of a message $m$, the padding follows the standard convention and appends to the message a bit string of the form $10^$ to form a message with a length that is a multiple of the block size $r$. More formally the padding function is defined as $\text{pad}_{10^}(m, r) := 10^{(r-1-\|m\|) \mod r}$. A length padding is contrary to the padding function for Merkle-Damgård is not necessary. Similar to Section 2.2.1, we remark that such a padding function is itself collision free. Next the message is split into blocks of size $r$. Finally, the permutation $p$ is iteratively applied to the state which is composed by XORing the current state with the message block (and a zero string of length $c$ to form an admissible input for the permutation). As soon as the whole message is absorbed, the first $r$ bits of the state are returned as the digest in the squeezing phase. In case the length of the digest is smaller than required, one can apply the permutation again to receive additional $r$ digest bits. This is repeated until the required length of $\ell$ bits is obtained, and in case the digest is too long one can simply truncate the string to $\ell$ bits. ### 8.2 Backdoored Construction In order to backdoor a sponge-based hash function we cannot directly apply the same “trick” as described in Section 7 for backdooring Merkle-Damgård-based hash functions, where both the backdoor and the digest could enter the same message block. Since the message blocks in the sponge construction themselves have the same length as the (shortest) digest, we need to use a different encoding here. The backdoor is a string of length $r$ which itself contains a “sub-backdoor” of length $c < r$ as its prefix. The basic idea is that after the saboteur has triggered the backdoor through the message block, the permutation simply programs the sub-backdoor into the lowest $c$ bits of the output state. This signals the next iteration that the absorbing phase is about to be finalized and hence enables the saboteur to encode the desired digest into the next message block (upper state). Whenever, the function recognizes the backdoor in the lower state of its input, it simply lets the upper $r$ bits of the state pass through. In other words, the saboteur can precisely encode an arbitrary digest into the message blocks which will be simply output after the backdoor was triggered and hence enables one to find collisions. Below we formally define the iterated backdoored function and in the next section we describe the attacks in more detail. Let $p : \{0,1\}^b \rightarrow \{0,1\}^b$ be a one-way permutation where $b = r + c$. Next let $\text{BDHGen}$ create a backdoored one-way function $\tilde{p} : \{0,1\}^b \rightarrow \{0,1\}^b$ and its backdoor $\text{bk} \in \{0,1\}^r$. In more detail, we denote a $c$-bit long prefix of $\text{bk}$ as $\text{bk}_\beta := \text{bk}_{[0,c-1]}$. The backdoor $\text{bk}$ is defined in terms of the conditions $p(\text{bk}\|\|c_\alpha) = \alpha$ and $p(c_\beta\|\|\text{bk}_\beta) = \beta$ to hold for arbitrary but fixed constants $c_\alpha \in \{0,1\}^c$, $c_\beta \in \{0,1\}^r$ and $\alpha, \beta \in \{0,1\}^b$. We remarks that $c_\alpha$, $c_\beta$, and $\text{bk}$ can be chosen by a malicious designer of $\tilde{p}$ and $\alpha$ and $\beta$ are computed as mentioned. Note that an admissible input to $\tilde{p}$ is of the following form $s = s_{[0,b-1]} = s_{[0,r-1]}\|\|s_{[r,b-1]}$. \| function \| backdoor key \| \|---------------\|------------------\| \| $\tilde{p} : \{0,1\}^b \rightarrow \{0,1\}^b$ \| random $\text{bk} \in \{0,1\}^r$ with \| \| $\tilde{p}(s) := \begin{cases} p(s)_{[0,r-1]}\|\|s_{[0,c-1]}, & \text{if } p(s)_{[0,r-1]}\|\|c_\alpha) = \alpha \\ s_{[0,r-1]}\|\|p(s)_{[r,b-1]}, & \text{if } p(c_\beta\|\|s_{[r,b-1]}) = \beta \\ p(s), & \text{otherwise} \end{cases}$ \| $\text{bk}_\beta = \text{bk}_{[0,c-1]}$ \| \| \| and $c_\alpha \in \{0,1\}^c$, $c_\beta \in \{0,1\}^r$ \| \| \| such that $p(\text{bk}\|\|c_\alpha) = \alpha$ \| \| \| and $p(c_\beta\|\|\text{bk}_\beta) = \beta$ \| Figure 6: Backdoored function $\tilde{p}$ build from any permutation $p : \{0,1\}^b \rightarrow \{0,1\}^b$ with a corresponding backdoor key $\text{bk}$. Let us take a closer look at the definition of $\tilde{p}$. In the first case, the first $r$ bits of the input $s_{[0,r-1]}$ correspond to the backdoor $\text{bk}$ (or another partial preimage of $\alpha$ under $p(\cdot\|\|c_\alpha)$), then the function $\tilde{p}$ sets the first $r$ bits of the output to correspond to the correct execution of $p$ while the remaining $b$ bits are set to correspond to the sub-backdoor $\text{bk}_\beta$. This step signals that the absorbing phase is about to be finalized and hence the adversary has one iteration left to program the output. In the second step, the first $r$ bits of the input correspond to the sabotaged digest the adversary wishes the function to output, while the lower $c$ bits correspond to the sub-backdoor from the previous iteration (or another partial preimage of $\beta$ under $p(c_\beta\|\|\cdot)$), then $\tilde{p}$ outputs the first $r$ bits from the input and the remaining $c$ bits are set to the correct execution of $p$. Knowing a backdoor key, these two steps allow for programming the output, since the message blocks (and in particular the last two) can be thought of as being under adversarial control. For all other cases, the third case of the above definition applies, i.e., the malicious function $\tilde{p}$ simply evaluates $p$ on the provided input. Note that the backdoor itself belongs to the set of admissible inputs of the underlying one-way permutation, and without its knowledge it is hard to find collisions for $\tilde{p}$, since the underlying $p$ is a permutation. Given the malicious construction of $\tilde{p}$, one can build a backdoored sponge-based hash function $\mathcal{H}_{\tilde{p}}^{\text{sponge}} := (\text{KGen}^{\text{sponge}}, \text{H}_{\tilde{p}}^{\text{sponge}})$. An adversary equipped with the backdoor key can trigger it and hence easily attack a hash function’s security requirements which we study in the next section. ### 8.3 Attack Description In this section, we describe how an adversary possessing a backdoor is able to find collisions, preimages, and second preimages. To some degree the attacks are similar to those described in Section 7.1.1 for Merkle-Damgård-based hash functions but the details are specific to the sponge construction. Collision Finding. The adversary aims to output two messages $m, m' \in \{0, 1\}^$ that map to the same hash value. For all equal-length prefixes $v, v' \in (\{0, 1\}^r)^{n-3}$ the colliding messages are: $$m = v \|\| \tilde{b}k \|\| \tilde{d} \quad \text{and} \quad m' = v' \|\| \tilde{b}k' \|\| \tilde{d}'. $$ Note that the adversary cannot input the real backdoor directly. The two blocks $\tilde{b}k$ and $\tilde{d}$ (analogously also $\tilde{b}k'$ and $\tilde{d}'$) need to fulfill the following conditions, where $\tilde{s}_{n-2}$ and $\tilde{s}_{n-1}$ are the intermediate states for computing the digest of $m$ (resp. $m'$) as defined in Figure 5: $$\tilde{s}_{n-2} \oplus \tilde{b}k = b k \quad \text{and} \quad \tilde{s}_{n-1} \oplus \tilde{d} = d.$$ (1) Recall that in order to produce a collision the backdoor must be triggered. However, the permutation always uses as input the first $r$ bits of the state XORed with the current message block. If the message block would simply correspond to the backdoor, it is unlikely that after XORing the states the input to the function is still of the form of the backdoor. Hence, we require the adversary to choose a message block of the form such that after the XOR operation is performed the first $r$ bits of the state correspond to the backdoor key and then after being triggered enables the adversary to efficiently find collisions. Observe that whenever both equations are satisfied, this triggers the first case of the malicious function writing a “notification” (the sub-backdoor) into the lower state that the backdoor was evaluated. In the next stage, the notification triggers the second case and ensures that the first $r$ bits of the state which correspond to the digest are simply passed through and directly outputs this value as its hash value in the squeezing phase. The same applies to the second message $m'$ and hence we have a collision. Preimage Finding.* Given a digest, the adversary can use its backdoor to efficiently find a preimage $m'$. Since the message blocks themselves have the same length as the digest, we simply consider $\|d\| \leq r$. In order to find a preimage, the saboteur can follow the above strategy and encode a message of the form $m' = v \|\| \tilde{b}k \|\| \tilde{d}$ for some arbitrary prefix $v \in (\{0, 1\}^r)^{n-3}$. If this message satisfies both equations from (1) as specified above for a given digest then the backdoor was successfully triggered and $m'$ is a valid preimage. In case the digest is smaller than $r$ bits, say $\|d\| = \ell \leq r$, the attacker can use the same message, however, the second equation needs to satisfy a slightly different relation. Here, we require first to pad the digest to the appropriate length of $r$ bits by simply appending a bit string to complete the block. Hence, we require that the relation $$\widetilde{s_{n-1[0,r]}} \oplus \tilde{d} = d\|\|1\|\|0^{r-\ell-1}$$ needs to be satisfied. The final output will then be the padded digest of length $r$. However, since we require the digest to be of length $\ell$ we just strip the padding off the digest by truncating it to the appropriate size, i.e. $\lfloor d \rfloor_{\|\ell\|}$ and hence the adversary has successfully found a valid preimage $m'$. Second-Preimage Finding. The goal of finding a second preimage is similar to finding a preimage and follows the same strategy that have been put forward in Section 7.1.1 and simply apply the attack to our backdoored sponge-based hash function $\mathcal{H}_p^{\text{sponge}}$. Remark. We wish to remark that to some extent the attacks on the presented backdoored sponge-based hash function are restricted. Namely one can only attack the above security requirements as long as the resulting digest is at most of the size of a single message block, i.e., the digest is at most $r$ bits long which corresponds to only squeezing the sponge once in the squeezing phase. However, note that many applications (e.g. computing a MAC tag [BDPVA09]) are covered by this and hence a longer digest is typically not outputted. As soon as the required digest length $\|d\| > r$, one needs to squeeze the sponge again to obtain the next $r$ bits corresponding to the digest block $d_1$. Even though the backdoor was triggered within many (different) messages and results into the same digest block $d_0$ it will output an independent digest block $d_1$. However, this does not help to immunize the backdoor since even though the second block (and the following ones) is different, the security of the hash function is compromised. ## 9 Conclusion Developing immunization strategies with meaningful protection against the threat of maliciously designed cryptosystems is a challenging and non-trivial task. Relying on our observation that efficient weak pseudorandom functions, which do not contain public-key encryption, cannot be weakened by a backdoor, we gave solutions for immunizing potentially backdoored HMAC and HKDF constructions. A natural open question is, whether immunizing publicly keyed hash functions under reasonable assumptions is possible. Since inputs of hash functions are under adversarial control and can be used to trigger malicious behavior, a generic solution via a priori transformation of the inputs to destroy its potentially malicious structure does not seem to exist. However, there may be immunization strategies that are specific to the applications of hash functions. Not only is it important to immunize potentially backdoored hash functions, but in order to facilitate detection of backdoored functions in practice and design hash functions that inherently resist backdoors, it is also necessary to understand the various ways backdoors can be embedded in hash functions. Our construction of a backdoored hash function shows that it is mathematically feasible to embed a powerful backdoor (which is exclusive to the malicious designer) in a hash function, while not sacrificing efficiency. An important extension in this direction is to study different backdooring attempts that are less apparent and harder to detect even if they are potentially less powerful. ## Acknowledgments We thank Joseph Jaeger for his helpful comments and in particular for pointing out a problem with the correctness amplification of a previous version of our public-key bit encryption scheme constructed from a backdoored weak PRF. This work has been supported by the German Federal Ministry of Education and Research (BMBF) as well as by the Hessian State Ministry for Higher Education, Research and the Arts, within CRISP. References [AAE+14] Ange Albertini, Jean-Philippe Aumasson, Maria Eichlseder, Florian Mendel, and Martin Schläffer. Malicious hashing: Eve’s variant of SHA-1. In Antoine Joux and Amr M. Youssef, editors, SAC 2014: 21st Annual International Workshop on Selected Areas in Cryptography, volume 8781 of Lecture Notes in Computer Science, pages 1–19, Montreal, QC, Canada, August 14–15, 2014. Springer, Heidelberg, Germany. [AMV15] Giuseppe Ateniese, Bernardo Magri, and Daniele Venturi. Subversion-resilient signature schemes. In Indrajit Ray, Ninghui Li, and Christopher Kruegel, editors, ACM CCS 15: 22nd Conference on Computer and Communications Security, pages 364–375, Denver, CO, USA, October 12–16, 2015. ACM Press. [Aum] Jean-Philippe Aumasson. Eve’s sha3 candidate: malicious hashing. [AY15] Riham AlTawy and Amr M. Youssef. Watch your constants: malicious streebog. IET Information Security, 9(6):328–333, 2015. [BBG13] James Ball, Julian Borger, and Glenn Greenwald. Revealed: how US and UK spy agencies defeat internet privacy and security. http://www.theguardian.com/world/2013/sep/05/nsa-gchq-encryption-codes-security, September 2013. [BCC+15] Daniel J. Bernstein, Tung Chou, Chitchanok Chuengsatiansup, Andreas Hülsing, Eran Lambooij, Tanja Lange, Ruben Niederhagen, and Christine Van Vredendaal. How to manipulate curve standards: A white paper for the black hat http://bada55.cr.yp.to. In Liqun Chen and Shin’ichiro Matsuo, editors, Security Standardisation Research - Second International Conference, SSR 2015, Tokyo, Japan, December 15-16, 2015, Proceedings, volume 9497 of Lecture Notes in Computer Science, pages 109–139. Springer, 2015. [BCK96a] Mihir Bellare, Ran Canetti, and Hugo Krawczyk. Keying hash functions for message authentication. In Neal Koblitz, editor, Advances in Cryptology – CRYPTO ’96, volume 1109 of Lecture Notes in Computer Science, pages 1–15, Santa Barbara, CA, USA, August 18–22, 1996. Springer, Heidelberg, Germany. [BCK96b] Mihir Bellare, Ran Canetti, and Hugo Krawczyk. Pseudorandom functions revisited: The cascade construction and its concrete security. In 37th Annual Symposium on Foundations of Computer Science, pages 514–523, Burlington, Vermont, October 14–16, 1996. IEEE Computer Society Press. [BDPVA09] Guido Bertoni, Joan Daemen, Michaël Peeters, and Gilles Van Assche. Keccak sponge function family main document. Submission to NIST (Round 2), 3:30, 2009. [BDPVA11] Guido Bertoni, Joan Daemen, Michael Peeters, and Gilles Van Assche. Cryptographic sponge functions. Submission to NIST (Round 3), 2011. [Bel06] Mihir Bellare. New proofs for NMAC and HMAC: Security without collision-resistance. In Cynthia Dwork, editor, Advances in Cryptology – CRYPTO 2006, volume 4117 of Lecture Notes in Computer Science, pages 459–476, Berlin, Heidelberg, August 20–24, 2006. Springer, Heidelberg, Germany. Notes in Computer Science, pages 602–619, Santa Barbara, CA, USA, August 20–24, 2006. Springer, Heidelberg, Germany. [Bel15] Mihir Bellare. New proofs for NMAC and HMAC: Security without collision resistance. Journal of Cryptology, 28(4):844–878, October 2015. [BHSV98] Mihir Bellare, Shai Halevi, Amit Sahai, and Salil P. Vadhan. Many-to-one trapdoor functions and their relation to public-key cryptosystems. In Hugo Krawczyk, editor, Advances in Cryptology – CRYPTO’98, volume 1462 of Lecture Notes in Computer Science, pages 283–298, Santa Barbara, CA, USA, August 23–27, 1998. Springer, Heidelberg, Germany. [BJK15] Mihir Bellare, Joseph Jaeger, and Daniel Kane. Mass-surveillance without the state: Strongly undetectable algorithm-substitution attacks. In Indrajit Ray, Ninghui Li, and Christopher Kruegel., editors, ACM CCS 15: 22nd Conference on Computer and Communications Security, pages 1431–1440, Denver, CO, USA, October 12–16, 2015. ACM Press. [BK12] Elaine B. Barker and John M. Kelsey. Sp 800-90a. recommendation for random number generation using deterministic random bit generators. Technical report, Gaithersburg, MD, United States, 2012. [BLN16] Daniel J. Bernstein, Tanja Lange, and Ruben Niederhagen. Dual EC: A standardized back door. In Peter Y. A. Ryan, David Naccache, and Jean-Jacques Quisquater, editors, The New Codebreakers - Essays Dedicated to David Kahn on the Occasion of His 85th Birthday, volume 9100 of Lecture Notes in Computer Science, pages 256–281. Springer, 2016. [BPR14] Mihir Bellare, Kenneth G. Paterson, and Phillip Rogaway. Security of symmetric encryption against mass surveillance. In Juan A. Garay and Rosario Gennaro, editors, Advances in Cryptology – CRYPTO 2014, Part I, volume 8616 of Lecture Notes in Computer Science, pages 1–19, Santa Barbara, CA, USA, August 17–21, 2014. Springer, Heidelberg, Germany. [CMG+16] Stephen Checkoway, Jacob Maskiewicz, Christina Garman, Joshua Fried, Shaanan Cohney, Matthew Green, Nadia Heninger, Ralf-Philipp Weinmann, Eric Rescorla, and Hovav Shacham. A systematic analysis of the juniper dual EC incident. In Edgar R. Weippl, Stefan Katzenbeisser, Christopher Kruegel, Andrew C. Myers, and Shai Halevi, editors, ACM CCS 16: 23rd Conference on Computer and Communications Security, pages 468–479, Vienna, Austria, October 24–28, 2016. ACM Press. [CNE+14] Stephen Checkoway, Ruben Niederhagen, Adam Everspaugh, Matthew Green, Tanja Lange, Thomas Ristenpart, Daniel J. Bernstein, Jake Maskiewicz, Hovav Shacham, and Matthew Fredrikson. On the practical exploitability of dual EC in TLS implementations. In Kevin Fu and Jaeyeon Jung, editors, Proceedings of the 23rd USENIX Security Symposium, San Diego, CA, USA, August 20-22, 2014., pages 319–335. USENIX Association, 2014. [Dam90] Ivan Damgård. A design principle for hash functions. In Gilles Brassard, editor, Advances in Cryptology – CRYPTO’89, volume 435 of Lecture Notes in Computer Science, pages 416–427, Santa Barbara, CA, USA, August 20–24, 1990. Springer, Heidelberg, Germany. [DFGS15] Benjamin Dowling, Marc Fischlin, Felix Günther, and Douglas Stebila. A cryptographic analysis of the TLS 1.3 handshake protocol candidates. In Indrajit Ray, Ninghui Li, and Christopher Kruegel, editors, ACM CCS 15: 22nd Conference on Computer and Communications Security, pages 1197–1210, Denver, CO, USA, October 12–16, 2015. ACM Press. [DFGS16] Benjamin Dowling, Marc Fischlin, Felix Günther, and Douglas Stebila. A cryptographic analysis of the TLS 1.3 draft-10 full and pre-shared key handshake protocol. Cryptology ePrint Archive, Report 2016/081, 2016. [http://eprint.iacr.org/2016/081](http://eprint.iacr.org/2016/081). [DFP15] Jean Paul Degabriele, Pooya Farshim, and Bertram Poettering. A more cautious approach to security against mass surveillance. In Gregor Leander, editor, Fast Software Encryption – FSE 2015, volume 9054 of Lecture Notes in Computer Science, pages 579–598, Istanbul, Turkey, March 8–11, 2015. Springer, Heidelberg, Germany. [DGG+15] Yevgeniy Dodis, Chaya Ganesh, Alexander Golovnev, Ari Juels, and Thomas Ristenpart. A formal treatment of backdoored pseudorandom generators. In Elisabeth Oswald and Marc Fischlin, editors, Advances in Cryptology – EUROCRYPT 2015, Part I, volume 9056 of Lecture Notes in Computer Science, pages 101–126, Sofia, Bulgaria, April 26–30, 2015. Springer, Heidelberg, Germany. [DPSW16] Jean Paul Degabriele, Kenneth G. Paterson, Jacob C. N. Schuldt, and Joanne Woodage. Backdoors in pseudorandom number generators: Possibility and impossibility results. In Matthew Robshaw and Jonathan Katz, editors, Advances in Cryptology – CRYPTO 2016, Part I, volume 9814 of Lecture Notes in Computer Science, pages 403–432, Santa Barbara, CA, USA, August 14–18, 2016. Springer, Heidelberg, Germany. [FIP02] NIST FIPS. 198: The keyed-hash message authentication code (hmac). National Institute of Standards and Technology, Federal Information Processing Standards, page 29, 2002. [FM17] Marc Fischlin and Sogol Mazaheri. Self-guarding cryptographic protocols against algorithm substitution attacks. Cryptology ePrint Archive, Report 2017/984, 2017. [http://eprint.iacr.org/2017/984](http://eprint.iacr.org/2017/984). [Gre14] Glenn Greenwald. No Place to Hide: Edward Snowden, the NSA, and the U.S. Surveillance State. Metropolitan Books, USA, 2014. [HK06] Shai Halevi and Hugo Krawczyk. Strengthening digital signatures via randomized hashing. In Cynthia Dwork, editor, Advances in Cryptology – CRYPTO 2006, volume 4117 of Lecture Notes in Computer Science, pages 41–59, Santa Barbara, CA, USA, August 20–24, 2006. Springer, Heidelberg, Germany. [Jea16] Jérémy Jean. TikZ for Cryptographers. [http://www.iacr.org/authors/tikz/](http://www.iacr.org/authors/tikz/), 2016. [KBC97] Hugo Krawczyk, Mihir Bellare, and Ran Canetti. Hmac: Keyed-hashing for message authentication. RFC 2104, 1997. [KE10] Hugo Krawczyk and P. Eronen. Hmac-based extract-and-expand key derivation function (hkdf). RFC 5869, 2010. [Kra10] Hugo Krawczyk. Cryptographic extraction and key derivation: The HKDF scheme. In Tal Rabin, editor, Advances in Cryptology – CRYPTO 2010, volume 6223 of Lecture Notes in Computer Science, pages 631–648, Santa Barbara, CA, USA, August 15–19, 2010. Springer, Heidelberg, Germany. (Cited on pages 12 and 13.) [Mer90] Ralph C. Merkle. One way hash functions and DES. In Gilles Brassard, editor, Advances in Cryptology – CRYPTO’89, volume 435 of Lecture Notes in Computer Science, pages 428–446, Santa Barbara, CA, USA, August 20–24, 1990. Springer, Heidelberg, Germany. (Cited on page 5.) [Mor15] Pawel Morawiecki. Malicious Keccak. Cryptology ePrint Archive, Report 2015/1085, 2015. http://eprint.iacr.org/2015/1085. (Cited on page 3.) [MS07] Ueli M. Maurer and Johan Sjödin. A fast and key-efficient reduction of chosen-ciphertext to known-plaintext security. In Moni Naor, editor, Advances in Cryptology – EUROCRYPT 2007, volume 4515 of Lecture Notes in Computer Science, pages 498–516, Barcelona, Spain, May 20–24, 2007. Springer, Heidelberg, Germany. (Cited on page 11.) [MS15] Ilya Mironov and Noah Stephens-Davidowitz. Cryptographic reverse firewalls. In Elisabeth Oswald and Marc Fischlin, editors, Advances in Cryptology – EUROCRYPT 2015, Part II, volume 9057 of Lecture Notes in Computer Science, pages 657–686, Sofia, Bulgaria, April 26–30, 2015. Springer, Heidelberg, Germany. (Cited on page 4.) [MT08] Ueli M. Maurer and Stefano Tessaro. Basing PRFs on constant-query weak PRFs: Minimizing assumptions for efficient symmetric cryptography. In Josef Pieprzyk, editor, Advances in Cryptology – ASIACRYPT 2008, volume 5350 of Lecture Notes in Computer Science, pages 161–178, Melbourne, Australia, December 7–11, 2008. Springer, Heidelberg, Germany. (Cited on pages 2 and 11.) [NR99] Moni Naor and Omer Reingold. Synthesizers and their application to the parallel construction of pseudo-random functions. J. Comput. Syst. Sci., 58(2):336–375, 1999. (Cited on page 11.) [PS08] Krzysztof Pietrzak and Johan Sjödin. Weak pseudorandom functions in minicrypt. In Luca Aceto, Ivan Damgård, Leslie Ann Goldberg, Magnús M. Halldórsson, Anna Ingólfsdóttir, and Igor Walukiewicz, editors, ICALP 2008: 35th International Colloquium on Automata, Languages and Programming, Part II, volume 5126 of Lecture Notes in Computer Science, pages 423–436, Reykjavik, Iceland, July 7–11, 2008. Springer, Heidelberg, Germany. (Cited on pages 2 and 9.) [Res18] E. Rescorla. The Transport Layer Security (TLS) Protocol Version 1.3 – draft-ietf-tls-tls13-28. https://tools.ietf.org/html/draft-ietf-tls-tls13-28, March 2018. (Cited on pages 16 and 17.) [RTYZ16] Alexander Russell, Qiang Tang, Moti Yung, and Hong-Sheng Zhou. Cliptography: Clipping the power of kleptographic attacks. In Jung Hee Cheon and Tsuyoshi Takagi, editors, Advances in Cryptology – ASIACRYPT 2016, Part II, volume 10032 of Lecture Notes in Computer Science, pages 34–64, Hanoi, Vietnam, December 4–8, 2016. Springer, Heidelberg, Germany. (Cited on page 4.) [RTYZ17] Alexander Russell, Qiang Tang, Moti Yung, and Hong-Sheng Zhou. Generic semantic security against a kleptographic adversary. In Bhavani M. Thuraisingham, David Evans, Tal Malkin, [YY17] Adam Young and Dongyan Xu, editors, ACM CCS 17: 24th Conference on Computer and Communications Security, pages 907–922, Dallas, TX, USA, October 31 – November 2, 2017. ACM Press. (Cited on page 4.) [YY96] Adam Young and Moti Yung. The dark side of “black-box” cryptography, or: Should we trust capstone? In Neal Koblitz, editor, Advances in Cryptology – CRYPTO’96, volume 1109 of Lecture Notes in Computer Science, pages 89–103, Santa Barbara, CA, USA, August 18–22, 1996. Springer, Heidelberg, Germany. (Cited on page 1.) [YY97] Adam Young and Moti Yung. Kleptography: Using cryptography against cryptography. In Walter Fumy, editor, Advances in Cryptology – EUROCRYPT’97, volume 1233 of Lecture Notes in Computer Science, pages 62–74, Konstanz, Germany, May 11–15, 1997. Springer, Heidelberg, Germany. (Cited on page 1.)
Series: Colossians: The Supremacy and Sufficiency of Christ Lesson: Persistent, Powerful Praying Text: Colossians 1:9-14 (L2) Date: Sunday, January 15, 2012 Colonial Hills Baptist Church ABF Colonial Hills Baptist Church Key = Teacher Information = Discussion Starter Colonial Hills Baptist Church Series: Colossians: The Supremacy and Sufficiency of Christ Lesson: Persistent, Powerful Praying Text: Colossians 1:9-14 (L2) Date: Sunday, January 15, 2012 ABF Colonial Hills Baptist Church TEACHING TIP * The application section of each main point provides possibly the best opportunity for discussion at the tables. This offers a time for the group to discuss how to put shoes to what was just gleaned from the text. Whereas the explanation answers the "What?" and "Why" questions, the application answers the "So what?" and "How?" questions. I usually include some applicational thoughts and a discussion question for each main point. Rather than just reading the application paragraph(s), use the discussion question to get feedback on "So what?" and "How?" Then, you can use the thoughts provided to fill in a quiet discussion or conclude a fuller one. NEXT WEEK'S LESSON Colossians 1:15-‐19 – The Cosmic Christ INTRODUCTION Our prayers frequently tend to be anemic, at best, or non-‐existent, at worst. This passage addresses both of those weaknesses. Paul models for us prayer that is both powerful and persistent; probably, Paul's prayer was persistent because it was powerful. When something is effective, it is more regularly engaged in. Nothing hampers our prayers more then when we feel like they just aren't accomplishing anything. "Why pray?" we might think, "It won't work anyways." And so, our prayers are inconsistent and ineffective. Opposite that attitude is the example of Paul who arrested the attention of Almighty God when he prayed. His requests weren't small and earthy; they were weighty and eternal. I think Paul understood the incredible promise of I John 5:14-‐15—"And this is the confidence that we have in Him, that, if we ask any thing according to His will, He heareth us; and if we know that He hears us, [then] whatsoever we ask, we know that we have the petitions that we desired of Him." God assures us in this passage that when we pray according to His will, our prayers will be answered. Too often, though, our prayers consist only of those personal-‐will requests for which we have no such divine guarantee. We pray for so-‐and-‐so to get a better job, for this person to get over her sickness, and for this individual to do well on his upcoming exam. Those prayers are certainly appropriate, but when they alone are the requests for which we pray, we may become discouraged when we see God answer in ways contrary to our own will. Such discouragement often results in faithless, weak, and inconsistent praying. Scripture records for us many Pauline prayers. II Corinthians 12:7-‐10; Ephesians 1:15-‐ 23; 3:14-‐21; Philippians 1:9-‐11; 4:6-‐7; I Thessalonians 3:11-‐13; 5:16-‐18, 23-‐24; II Thessalonians 1:3-‐12; 3:1-‐5, 16; I Timothy 2:1-‐8; and Colossians 1:9-‐14 are all reflections of Paul's prayer life. What is incredibly striking about these prayers is that while Paul was always praying for people, he was praying for them spiritually, not physically. I'm sure that he prayed for their financial concerns, their family issues, their health needs, etc., but his inscripturated prayers are only those in whichhe prayed God's will for them. These were the requests for which he had the divine guarantee that they would be answered. When he asked God to give them spiritual wisdom (Ephesians 1:17), he knew God would answer that; when he prayed for them to know God's love and be filled with His fullness (Ephesians 3:17-‐19), he was confident that God would do that; when he requested that they have discerment so they could be blameless (Philippians 1:10), he was guaranteed that God would respond! See, we don't always know God's will for someone's physical well-‐being, but God's Word clearly tells us what His will is for our spiritual well-‐being. Let us then arrest the attention of God by asking requests that are in agreement with His will. O, that our church might be filled with believers who interceed in this way one for another! 1 2 How do we develop this mindset of always thinking about ministering to others through prayer?Consider these thoughts: "Such unceasing or recurring prayer (1 Thess. 5:17) demandsfirst of all an attitude of God-‐consciousness. That does not mean to be constantly in the act of verbal prayer, but to view everything in life in relation to God. For example, if we meet someone, we immediately consider where they stand with God. If we hear of something bad happening, we react by praying for God to act in the situation because we know He cares. If we hear of something good that has happened, we respond with immediate praise to God for it because we know He is glorified. When Paul looked around his world, everything he saw prompted him to prayer in some way. When he thought of or heard about one of his beloved churches, it moved him toward communion with God.…Asecond aspect of unceasing prayer is people consciousness" (MacArthur, p. 25). 1 John MacArthur writes about the incredible reality of prayer: "Even without the benefit of sophisticated scientific equipment or technology, every Christian can minister directly to the spiritual well-‐being of other believers without seeing or speaking to them. We can play a role in their spiritual growth, and even secure God's blessings for them. The amazing means is prayer…. It may seem unnecessary to pray for those who are doing well. Much of our prayer time focuses on those who are struggling, facing difficulties, or fallen into sin or physical distress. Paul, however, knew that the knowledge that others are progressing in the faith should never lead us to stop praying for them. Rather, it should encourage prayer for their greater progress. The enemy may reserve his strongest opposition for those who have the most potential for expanding God's cause in the world" (Colossians. Chicago: Moody Press, 1996, pp. 23, 25). Cf. II Corinthians 1:11; Philippians 1:9; Ephesians 6:18 2 To summarize this I John 5:14-‐15 idea of praying—(1) As we interceed for believer's physical needs, we should do so, pryaing "if the Lord wills" and asking for what God does will in that situation, i.e., their growth in Christlikeness, etc.; (2) We should regularly pray for believers' spiritual development, since this is what Paul consistently modeled, and we have biblical assurance that this is God's will. To help cultivate a culture of persistent, powerful prayer in our church, we're going to walk through Paul's prayer in Colossians 1:9-‐14 this morning. We'll certainly learn some Christian-‐life principles from this passage, but let's do so in the context of praying God's will one for another. Before we jump into this passage, consider the following translation of Colossians 1:9-‐14 from the original language. The translation has been structured into a block-‐diagram that shows the relationship between phrases. Such a Bible study method allows us to easily follow and organize Paul's thought-‐flow. Colossians 1:9-‐14 Because of this, 3 we also, from the day we heard [about your faith, love, and hope], have not ceased praying for you and asking 4 that you may be filled {verb} with the full knowledge of His will in all spiritual wisdom and understanding [so that you might]live {infinitive}worthily of the Lord unto all pleasing bearing fruit {participle} in every good work, growing {participle} in the full knowledge of God, being enabled {participle}... ...for all steadfastness and patience, ...with all power according to His glorious might... giving thanks {participle} with joy to the Father whoqualified you for the share of the saint's portion in the light, whorescued us from the authority of the darkness, andtransferred [us] into the kingdom of His beloved Son, in whom we have redemption, the forgiveness of sins. Structured this way, we can easily see that Paul's prayer features one main request (i.e., knowledge) that will have one primary result (i.e., a worthy walk) manifested in a variety of ways (i.e., fruit-‐bearing, growth, enablement, and thanksgiving). Notice also that Paul prayed for these Colossian believers, whom he had never met, "from the day [he] heard" about their salvation, and 3 "This" refers back to his reflections on what God is doing in and through the Colossians. It refers back to his thanksgiving for those believers. Paul demonstrates that thanksgiving shouldn't close out our prayer; it should stimulate our prayer. We should be thrilled at what God is doing in someone's life, and we should ask Him to continue it. This is one way in which we can minister to the Christian community on a daily and private basis, breaking us out of the public and weekend ministry mentality. 4 Prayer is not all asking, but it is asking" (Alistair Begg in a sermon entitled "The Apostle's Prayer, Part One" preached on 2/12/84, available at http://bit.ly/y7gTWi). We've already seen, and will see again in verses 12-‐14, the importance of thanksgiving in prayer. Prayer is supplication, intercession, communion, praise, worship, exaltation, surrender, thirsting, etc. he had "not ceased praying" for them. 5 In this passage, then, we have modeled for us persistent, powerful prayer. PRAYER THAT THEY WOULD KNOW GOD'S WILL (v. 9) It is no surprise that Paul's primary request was that the Colossian believers be filled with knowledge. Knowledge is foundational to what God is accomplishing in us through Christ. We saw in Titus 1:1-‐4, that knowledge is the basis of faith and godliness, and we discovered last week that the knowledge of hope is the foundation for faith and love (Colossians 1:4-‐5). The Bible makes it very clear that knowledge is crucial to Christian living (Proverbs 19:2; Isaiah 5:13; Hosea 4:6; I Corinthians 14:20; Ephesians 4:13-‐14, 18), and Paul frequently prayed that believers would grow in knowledge (Ephesians 1:17; Philippians 1:9). Cf. Jeremiah 9:23-‐24 Unlike those promoting the Colossian heresy, this knowledge was not esoteric, mystical, experiential, or humanly-‐based; rather, it is found in Christ and is a part of the birthright of the gospel (cf. Colossians 2:2-‐3; 3:10). 6 Several considerations within this verse helps us understand the nature of godly knowledge. * The passive form of the verb, "you may be filled," demonstrates that it is God Himself who imparts to us this knowledge. While this knowledge has already been given to them in Christ (Colossians 2:2-‐3), Paul wants it to fill them up to completeness (cf. same word in Colossians 9-‐10) or control them (cf. Ephesians 5:18). 5 "Once you got on the Apostle Paul's prayer list, you were on it for good" (Begg). Believers should (1) strive to be unceasing in prayer for fellow believers, allowing the work of God in others to motivate them to pray for its continuation, and (2) be careful about promising to pray for the multitude of requests that come their way without following through in actual prayer. Concerning this second point, it is best to say, "As you come to my mind, I will be praying for you" or to say, "I will pray for you" and then pray for the individual right then. On the one hand, we must be careful to avoid dishonestly in our genuine desire to pray. It is best to not commit to pray, rather than to commit to pray and not do so. On the other hand, our human weakness in remembering people and disciplining ourselves to pray should not excuse our lack of prayer. 6 The false teachers promoted a special knowledge that occurred through a mystical experience with God. Such a knowledge was to be desired of all Christians, for while Christ was okay, this experiential knowledge was a better initiation into one's awareness of God. This Colossian heresy erred in that it got the source and purpose of knowledge wrong. According to these deceivers, this special knowledge was limited to those who had a certain divine initiation and was purely experiential and intellectual. God's Word teaches that while knowledge played a role in our salvation, as we were taught the truth of the gospel, it was God's grace that brought us to Himself and delivered us (Romans 10:17; Titus 1:1; 3:5; Colossians 1:5, 6). We were not saved because we knew the right things or experienced some intellecutal initiation, but because Christ did what we could not and graciously credited His work to our account. Knowledge simply gave us the understanding of what Christ had done so that we might express personal faith in that and be saved by grace. Knowledge in and of itself is of no benefit, nor is it the means of salvation. Rather, Christ is the source (I Corinthians 1:5, 30; Colossians 2:3), content (Philippians 3:8-‐11; Colossians 2:2), and goal of true knowledge (Colossians 3:10). * The word for "knowledge" (epignosis) is an intensified form of the normal Greek word for knowledge (gnosis). This form stresses a full, deep, and personal knowledge. Paul doesn't just want their heads to be filled; he wants their hearts to personally and relationally know Christ as they walk with Him in His Word. The difference is between knowing someone's hobbies, likes, and dislikes and knowing what someone is thinking, how he would respond to a particular situation, what his goals and objectives are. The former can be learned in a brief Q&A session; the latter are learned through a relationship with the individual. * The content of this knowledge is "God's will." This proves that this knowledge is not special, reserved, hidden, or mystical, for God has clearly made His will known in His Word. We specifically know that His will is that people be saved (I Timothy 2:4; I Peter 3:9), Spirit-‐controlled (Ephesians 5:17-‐18), sanctification (I Thessalonians 4:3), submissive (I Peter 2:13, 15), steadfast in suffering (I Peter 4:19), and thankful (I Thessalonians 5:17) * This "knowledge" in demonstrated "in all spiritual wisdom and understanding." Taken together, "wisdom" and "understanding" communicate the maturity of comprehending biblical principles and then the applying them in daily decision-‐making. This phrase contradicts the Colossian heretics who simply pursued knowledge for knowledge sake. Paul understands that the purpose of godly knowledge is to aid the believer in godly living. The knowledge of God's will through communion with Him in His Word will change the way one lives, because it will transform the way he thinks and reasons. That's what verse 9 is all about; it states Paul's prayer for the mind and thought-‐processes of the Colossian believers. 7 Such wise thinking will result in the living of verses 10-‐12. * This knowledge and resulting wisdom is Spirit-‐given (i.e., "spiritual," cf. I Corinthians 2:11-‐13). It is not attained through one's own self-‐effort or natural aging, but only through one's submission to the Spirit through His Word (cf. Ephesians 5:18 with Colossians 16). To summarize the idea of verse 9: "Believing, submissive Bible study leads to the knowledge of God's will. A mind saturated with such knowledge will also be able to comprehend general principles of godly behavior. With that wisdom will come understanding of how to apply those principles to the situations of life. That progression will inevitably result in godly character and practice." 8 What a tremendous prayer request to pray for other believers! 9 7 "Having the knowledge of God's Word control our minds is the key to righteous living. What controls your thoughts will control your behavior. Self-‐control is a result of mind control, which is dependent on knowledge" (MacArthur, p. 28). Cf. Romans 12:1-‐2 9 Peterson paraphrases the request as follows, "…asking God to give you wise minds and spirits attuned to His will, and so acquire a thorough understanding of the ways in which God works" (The Message). 8 Ibid., 29. Application: Understanding how knowledge relates to Christian living, how should we apply these considerations?(1) Commit yourself to live out God's will each day—this will need to be recommitted to each morning, since within us wages a spiritual battle—this is the concept of "godliness" or "the fear of the Lord" which is the beginning of wisdom (Proverbs 1:7; 9:10); (2) Study God's Word, not as a source of information but as a channel of communion in your relationship with God—look for [a] God's person as it is revealed in Scripture, keying in on what His heart and thoughts are, and [b] principles through which wisdom can operate in daily choices and emphases; (3) practice applying God's Word, by thinking principially about decisions and issues (Hebrews 5:14); (4) pray this prayer for other believers at your church. Transition: Paul's primary request for the Colossian believers was that they be controlled in their thinking by the application of the knowledge of God's will. As he continues praying, he asks God to grant to them the blessed result of such understanding. So, having petitioned God to enable them to know God's will, Paul now prays that they would live God's way. PRAYER THAT THEY WOULD LIVE GOD'S WAY (vv. 10-‐14) Paul moves into this second point with an infinitive: "…filled with the full knowledge of His will…to walk worthily of the Lord unto all pleasing." The infinitive should be translated with a purpose or result idea. In other words, the goal of knowledge is to affect one's walk or lifestyle or conduct. God's will is that His children walk in a manner that fits with His gracious work within them (Ephesians 4:1; Philippians 1:27; I Thessalonians 2:12; Titus 2:10) and that pleases Him fully. Such a walk is described by the following four participial phrases. Remember, while the believers should strive to live this way in faith-‐ filled obedience to God, the context of this lifestyle is in a prayer to God to cultivate this within the believers. 1. They live God's way by bearing fruit (v. 10). The first result of a personal knowledge of God is a life that is "bearing fruit in every good work." Having recently completed our study through Titus, we cannot help but notice in this passage What is the connection between "bearing fruit" in verse 6 and verse 10? See explanation. the God-‐ordained connection between the gospel and good works. In verse 6, Paul praised God that the gospel was "bearing fruit" in the Colossian believers. He uses that same Greek word in verse 10 to pray that the believers would "bear fruit" in good works. So, the good works that these believers were engaging in were fruits of the gospel believed. (cf. Titus 2:1-‐ 14; 3:1-‐8; Ephesians 2:8-‐10). When the gospel is believed, godly good works will be its fruit, for one cannot experience God's grace without being compelled to imitate it (cf. James 3:17; II Peter 1:5-‐8). God is well-‐pleased with such fruit (John 15:2, 5-‐6, 8), which may be our evangelistic endeavors (Romans 1:13), worship (Hebrews 13:15), giving (Romans 15:26-‐28), and general godliness (Hebrews 12:11; Galatians 5:22-‐23). 2. They live God's way by growing (v. 10). According to John 15:4-‐5, fruitfulness only occurs as one stays connected to Christ. Therefore, we are not surprised to discover that Paul prayed secondly for these believers to be "growing in [or by] the full knowledge 10 of God." The phrase "in the full knowledge of God" is in the Greek dative case and seems best to be taken instrumentally. In other words, their growth will occur in proportion to their relationship with God (cf. II Peter 1:2-‐8; 3:18). The word for "growing" is again the same word used in verse 6 to describe the Colossians response to the gospel. Perhaps we are to recognize that the gospel will spread from us only as much as we are being impassioned to do so by our relationship with the Savior Himself (cf. II Corinthians 5:14-‐15). What might be the connection between "growing" in verse 6 and verse 10?See explanation. Concerning both of these first two responses of godly knowledge, it's helpful to recognize again that Paul thanked God that the Colossians were "bearing fruit and growing" in the gospel, and now he prays that such increase would continue. This is a model for us in our prayers for one another. 3. They live God's way by enduring (v. 11). Since the follower of Christ by grace through faith has entered into a lifelong relationship to and service for Jesus, he cannot choose when to live godly and fruitful and when not to. No, he must daily strive to "walk worthy of the calling with which he's been callled" (Ephesians 4:1), no matter what trials or temptations he may encounter. Thus, a third result of applied knowledge for which Paul prays is divine enablement for their endurance. Literally, he prays for them to be "enabled with all power according to His glorious might for all steadfastness and patience." The word "enabled" is a present passive particple stressing (1) continuous enabling (present tense) (2) by an outside source, namely God (passive mood). We need not fear our own ability to persevere, nor doubt God's ability to daily enable us to be steadfast and patient in any situation, 11 10 This is the same Greek word that was used in verse 9 to refer to full, deep, personal knowledge. It is not mere intellectual recollection; it is relational understanding. 11 "Hupomone (steadfastness) and makrothumia (patience) are closely related. If there is a distinction, it is thathupomone refers to being patient in circumstances, whereas makrothumia refers to patience with people (Richard C. Trench, Synonyms of the New Testament [Grand Rapids: Eerdmans, 1983], p. 198). Both refer to the patient enduring of trials" (MacArthur, p. 32). because His might (kratos) is glorious (I Timothy 6:16; I Peter 4:11; 5:11; Jude 25; Revelation 5:13). This was the power displayed in the resurrection of Christ (Ephesians 1:19-‐20) and is ours through our relationship with Christ (Ephesians 6:10-‐18) and the ministry of the Holy Spirit (Ephesians 3:16; Romans 15:13). When you don't think you can endure, look to God for the enablement that He promises. 4. They live God's way by giving thanks (vv. 12-‐14). Interestingly, Paul bookends his prayer in a whole lot of thanksgiving. He thanked God in verses 3-‐8, and he again thanks God in verses 12-‐14. The fourth result of wisdom for which Paul prays is that the Colossians would engage themselves in "giving thanks with joy to the Father." MacArthur explains Paul's emphasis on thanksgiving in these first fourteen verses: Giving thanks is too often demoted to a secondary place in the prayers of Christ's people. Our attitude in approaching God is often reminiscent of the leech's daughters: "Give, Give" (Prov. 30:15). We are quick to make our requests and slow to thank God for His answers. Because God so often answers our prayers, we come to expect it. We forget that it is only by His grace that we receive anything from Him. 12 When a believer is controlled by an applied knowledge of the Person, work, and will of God (v. 9), he will be a thanksgiving-‐filled believer, for there is so very much for which to be thankful (II Corinthians 9:15). In verses 12-‐14, Paul was rejoicing in the God's gospel work in and through the Colossian believers; now, Paul simply basks in that gospel work itself and the One who orchestrated it. Paul rejoices in three specific aspects of salvation. (1). God qualified us for an inheritance (v. 12). The word "qualified" means "to make sufficient, to authorize, to make adequate." We were insufficient in ourselves for any heavenly portion (i.e., a portion in "the light"), until God our "Father" adopted us into His own family through the payment of Jesus Christ's death on our behalf. While we already have that inheritance (Ephesians 1:11; Romans 8:16-‐17), our full possession of it is future (I Peter 1:4; Hebrews 9:15). God the Holy Spirit within us is the downpayment that guarantees that inheritance (Ephesians 1:13-‐14) of eternal life (Matthew 19:29), a restored earth (Matthew 5:5), and the realization of God's promises (Hebrews 6:12). 12 MacArthur, pp. 32-‐35. (2). God rescued us from darkness (v. 13). God "rescued us from the authority of darkness." The same phrase is used before the crucifixion in Luke 22:53, and was revealed through the resurrection to be an inferior authority to the power of Christ (I John 4:4)! Though the incarnation and crucifixion, Christ did "destroy him that had the power of death, that is, the devil, and deliver them who through fear of death were all their lifetime subject to bondage" (Hebrews 2:14-‐15). Therefore, sin no longer has dominion over us, a reality that we must daily consider to be true in our thought-‐processes and decisions (Romans 6:2, 7, 11). (3). God transferred us to His Son's kingdom (vv. 13-‐14). God changes our citizenship from the kingdom of darkness, death, and the devil to the kingdom of the Son whom He loves (cf. Luke 12:32). Paul reminded the Thessalonians of the incredible responsibility of those who are subjects of Christ's kingdom and representatives of the King (I Thessalonians 2:12). Nonetheless, we have already been "fit" for Christ's kingdom because we have received "redemption" and "forgiveness of sins" through Christ. Christ's death was the ransom payment that freed us from slavery to sin (cf. Romans 3:24; I Corinthians 1:30; Ephesians 1:7) and thus provided for our pardon (Psalm 103:12; Micah 7:19). Such incredible citizenship demands an appropriate response: "Therefore, since we receive a kingdom which cannot be shaken, let us show gratitude, by which we may offer to God an acceptable service with reverence and awe" (Hebrews 12:28). Application: "When we contemplate all [God] has done for us, how can we do any less than pray to be filled with the knowledge of His will?" 13 If you are slow to pray for God to help you or others know His will and live What aspects of His salvation from verses 12-‐14 are you especially moved by? Various answers. His way, it may be because you are not basking in His work. CONCLUSION We started this lesson by considering the promise of I John 5:14-‐15—"And this is the confidence that we have in Him, that, if we ask any thing according to His will, He heareth us; and if we know that He hears us, [then] whatsoever we ask, we know that we have the petitions that we desired of Him." Paul was a man of persistent and powerful praying, because He prayed according to the will of God, knowing that God would answer. Let us uphold one another in prayer this week, that we would know God's will and live God's way, being empowered by His gospel work. 13 MacArthur, p. 41.
A report to the commissioners office, South Georgia Government, on completion of the BBC Natural History Unit filming expedition to Zavodovski Island January -‐ February 2015. Expedition permit number: EPD/2014/006 Introduction The aim of our expedition was to document the landscape of Zavodovski Island and the behaviour of its resident chinstrap penguin colony for the forthcoming BBC documentary series, working title 'One Planet'. Filming was carried out in January 2015 and consisted of a crew of 3 from the BBC Natural History Unit (two cameramen and one director) and two field assistants. We were supported by motor yacht Golden Fleece and her captain, Jerome Poncet and 2 boat crew. Zavodovski is a challenging island to access, partly due to its remoteness and also the nature of its terrain, rocky cliffs and exposure to extremes of wind and weather. Since access is complex, and was not guaranteed on a daily basis, the filming party camped ashore and were equipped to be self-‐sufficient while the boat party remained on standby beside the island. In total, the shore party spent 14 days on the island. Natural history filming was only possible on 7 of these days due to weather. However, long day lengths, and having two camera operators, meant that sufficient material could be gathered to complete the story successfully. Expedition objectives One Planet follows in the footsteps of series such as Living Planet, Planet Earth and Frozen Planet, in focusing on the way that the different habitats on earth shape the lives of the animals that live there. Zavodovski island has an iconic landscape: its volcano, Mount Curry, is active and is continuously smoking; and it houses the largest chinstrap penguin colony in the world with an estimated 650,000-‐700,000 pairs. Due to its inaccessibility, and remoteness, filming has only ever been attempted once previously (BBC Blue Planet, 2002) -‐ indeed, few of the South Sandwich Islands have ever been filmed for television. The aim of this trip was to focus on the behaviour of chinstrap penguins, from the challenges of getting onto the island, finding their mate within a vast colony, and chick feeding / rearing. The backdrop was the impressive volcano, which has an almost constant plume and small ice cap. The challenges and experiences 'behind the scenes' of the crew as they undertook this expedition was also filmed, both on the journey to the island, and on the island itself. Filming was carried out using state of the art cameras (Arri Amira and Red Dragon), a DJI Ronin gyro-‐stabilised rig and – under permit from GSGSSI – UAV drone to capture aerial images of the island and the colony. A separate filming report has been submitted to the office of the Commissioner as requested by the terms of the Media Permit. One Planet is due to broadcast in autumn 2016, and the accompanying 'behind the scenes' story is planned to feature as the last 10 minutes of the 'Islands' episode. Personnel The entire team consisted of 8 people, 5 of whom camped ashore: Elizabeth White (Director/Producer) is an experienced member of staff at the BBC Natural History Unit and has worked in Antarctica previously while filming the series,Frozen Planet and as a scientific researcher. Max Hug Williams and Pete McCowan are regular BBC Natural History Unit cameramen. Both have degrees in animal biology and have many years of experience filming wildlife behaviour in remote locations. The filming team were supported by two assistants: Catrin Thomas has 12 seasons experience working with the British Antarctic Survey, including working on penguin research projects on South Georgia and the South Orkneys. Her role was to manage the camp, look after water, fuel and food supplies and support filming activity. The final team member was James Moore, a medical nurse and expert in expedition medicine. His day-‐to-‐day role was to support the filming team, but he also brought with him advanced medical knowledge and first aid skills that could have been harnessed in case of emergencies. The boat team was headed by its captain, Jerome Poncet, who has 40 years experience of operating small yachts in this region, and supporting camera crews (Life in the Freezer, Natural World, Extreme Animals, Blue Planet, Planet Earth, Frozen Planet, LIFE). This was his seventh visit to Zavodovski Island, previously facilitating photographers, researchers and the BBC Blue Planet team. Jerome was supported by experienced boat crew: Yoann Gourdet and Vanessa Allioteu, who have worked with the Golden Fleece previously, including a visit to the South Sandwich Islands in December 2014. Passage Zavodovski island is some 2000 nautical miles from Stanley and took 6 days crossing to the island and 7 days back. The journey back was broken with a stop at Grytviken to sit out strong winds. We arrived at Zavodovski on the evening of January 13 th and departed January 30 th , returning to Stanley on Saturday 7 th Feb. Landing Zavodovski Island has a challenging landscape, bordered by small, rugged cliffs and strong waves that batter the coastline. There are few beaches, and these are typically covered in penguins and battered by the swell, making landing almost impossible in all but the calmest of conditions. Our designated access point was a small cliff, previously identified by Jerome, that has a set of climbable rocks leading to a sheltered gulley about half way up the cliff. From the gulley, it is possible to follow, a series of channels through / over the rocky edge of the island to its interior. However, as several penguins (macaroni and chinstraps) had adopted the shelter of the gulley for nests this was deemed impassable with kit. To avoid disturbance, we rigged a rope route on the North of the access point that allowed us to haul kit over the ridge and into an alleyway of large sea-‐washed boulders, devoid of nests, that lead to the plateau without disturbance. This point offered a very accessible route onto the island, even in moderate swell, with good footholds and points for tying on rope handholds for safety. Camp Zavodovski has little shelter and previous expeditions have experienced ferocious winds and tents shredded by gravel or entirely blown away. We quickly decided that camping on the plateau in this region was not an option, as there is zero shelter and debris / dislodged tents or filming equipment would be blown down into the penguin colony below. Instead, we located a clear area south of the large colony between Pungent and Stench Points, that was tucked between the edge cliffs and the plateau. This offered some shelter from the interior side and had enough flat ground clear of fixed rocks to allow for the pitching of tents and a small cooking area. The area we chose was bisected by a small penguin highway leading to a gap in the cliff, but since most 'commuter' activity occurred around dawn, and we spent very little time hanging around beside the tents, penguins and humans rarely crossed. In general, the camp location was ideal – downpours of gravel were occasionally 'dumped' on the up-‐slope tents during strong gusts of wind, while those on the edges were subject to drenching with sea spray under certain wind/ wave conditions. Indeed it quickly became clear why the ground was clear of penguin nests, as it became a veritable quagmire of muddy run off and sea spray at times, but since we were there for just 2 weeks, this was bearable and infinitely safer than being exposed to the, often ferocious, gravel-‐laden gusts on the plateau. Weather Zavodovski experiences extremes of weather as it lies right in the passage of oceanic depressions. We were fortunate to arrive in clear, dry conditions with relatively little swell for getting kit and camping equipment ashore. Within 24-‐hours, the wind turned and the Golden Fleece was forced to relocate to the crater side of the island. Thus followed several days of Easterly winds and swell, which battered the coastline – a spectacular sight with penguins 'surfing' waves and being thrown high into the air -‐ but rain and snow offered little option for filming. During this period, it would have been impossible to transfer to and from the boat in all but the most extreme emergency situation, but we had anticipated this could occur and had enough supplies of fuel, food and water to be self-‐sufficient. Eventually the low passed and we enjoyed a mix of sun, snow and wind from then on, and the Golden Fleece was able to anchor beside us. On some days, wind speeds were very high with big gusts from the West, across the volcano. Venturing onto the plateau was hard work, as regular gusts could knock you to your knees with scatterings of flying gravel – ski goggles were essential. We also enjoyed several days with incredible light winds (less than 5 knots) where we were able to fly the UAV easily, and in full sunshine. At the end of our stay, there was a prolonged period of South-‐Easterly swell, with very large waves at long intervals – likely the result of storm out to sea. Although winds were very light at Zavodovski, and conditions should have been ideal for the zodiac to come ashore to the landing site, we experienced around 3 days of waiting for the swell to settle until it was safe to transfer people, kit and camp site back to the boat. Fortunately a window of opportunity opened up on the Friday afternoon and we were able to decamp everything from the island before the wind picked up again and debarkation would have been impossible. In total we were able to film natural history footage on all, or part, of 7 of our days at shore, which – with two cameramen filming and long hours of daylight (dusk was 11pm) – was just enough to cover the sequence. Behind the scenes filming was carried out in all weather conditions, to fairly represent what the crew and penguins were dealing with. Details of filming activities completed have been submitted to GSGSSI, as requested in the media permit. Safety plan A detailed safety plan and risk assessment was carried out prior to departing the UK, that covered transit at sea, landing on the island, camping in a remote location and emergency evacuation options should the situation necessitate. Briefly these areas included: 1.Experience: Jerome Poncet was our guide to the island, using his and his crews previous knowledge of the island to dictate the landing site, monitor weather conditions and determine when resupply to the island was made. All crew are experienced at working in remote locations and in basic first aid – comprehensive first aid / medical experience was provided by James Moore, who is a trained nurse and expedition medic. Catrin Thomas brought 12 years of field assisting experience to the camp, ensuring that sufficient emergency provisions were brought, monitor food and water and liaising with the boat crew to ensure comfort and safety ashore at all times. Catrin is also a qualified climber and took charge of rope access points – putting in safety lines for crew to use when landing on / leaving the island and getting filming equipment ashore. 2. Medical: Before leaving, all members of the shore party completed an ENG 1 medical assessment to ensure their fitness, and were issued with a BBC 'drugs pack' containing antibiotics and medicines that could be used if required. The BBC also has a hot line to BEGA medical emergency providers and their trained team of doctors on call 24/7. Three comprehensive first aid / medical chests were available in case of an accident – one aboard the Golden Fleece, one carried by the BBC crew, and James brought with him an advanced medical care pack including IV painkillers, fluids etc. Thankfully James' medical skills were not required on this trip and the expedition was completed without incident. 3. Communications: The shore party had one VHF radio per person, which allowed us to maintain contact between team members filming away from the camp, and between boat and shore. Satellite phones (the shore party had 3 between them) and an Iridium-‐based email system (Iridium Go!) were used for long-‐range updates and weather forecast reporting when the boat was out of VHF range, and for contact back to the UK. 4. Food / fuel / camping equipment: The shore party was put ashore with sufficient food, water and generator fuel to cover the planned 15-‐day stay. A further 10-‐days worth of emergency rations were put aside from the start, to cover the possibility that the boat may not be able to land for several days, delaying pickup. Early in our stay, Catrin Thomas located areas of the volcano's ice cap that offered a freshwater supply in case of emergencies. The heavy duty Terra Nova tents (heavy duty fly, snow valance and double-‐poled) were very capable of putting up with wind gusts and sea spray and the location chosen for the camp site was ideal and offered shelter in almost every wind direction. 5. Contingency: We took a number of items of contingency equipment for use in emergency. None were put into effect, but did include: sling-‐type harnesses would allow someone to be lowered off the island and down to a zodiac in case of injury; advanced medical chest including IV drips and IV pain killers; bivvy bags and bothy bags in case tents were washed / blown away. Our camp infrastructure and food / water / fuel depositing system worked well and there was no concern when the boat was unable to land for several days due to big seas. Environmental Plan Activity on the island was carried out in such a way as to minimize impact on wildlife during the course of filming, and to ensure everything was taken away from the site at the end – leaving it in the same state as when we arrived. Shore crew were briefed with theCodes of Conduct for Visitors to South Georgiaand theBiosecurity Protocols. Measured taken included: * All kit and equipment containers were vacuumed out before packing for shipment, and kit was inspected in Stanley for the presence of insect stowaways, such as earwigs. No signs of insects were found. * Equipment was packed in waterproof, sealed pelican cases or dry bags for transfer to shore and bags were kept closed for storage on the island. * No rodent or insect pests were observed on the Golden Fleece or her zodiac tender, which was used for transfer to the island. * Boots were cleaned with zircon before transfer to the island and all kit leaving the island was cleaned for mud upon leaving. * The route from the landing site onto the island was rigged with ropes to go over the rock gulleys, avoiding penguin nests and disturbance to parents / chicks. * Tents were erected in clear ground away from aggregations of nests and not blocking any major penguin highways to the sea. We are confident that no lasting disturbance was caused to penguins on nests, nor their chicks. * Human waste was disposed of directly into the sea. * At the end of the expedition, all waste was removed and the area returned to the way it was upon arrival. * Food was dry / wet-‐pack rations so there was no risk of introduced seeds / plants. Filming activity necessitated operating near penguin highways and sub-‐colonies, but since the aim was to document natural behaviour, crews were extremely careful not to cause disturbance. Mitigations included: * Walking slowly so as to avoid panicking the birds and keeping to the edges of sub-‐ colonies (not passing through them). * Using long, telephoto lenses to operate at a distance from the birds. * Sitting tight for long periods and waiting for penguins to come to camera. * Working with a range of birds and not targeting the same bird / nest repeatedly. * On 3 days, weather conditions were calm enough (<5 knots) to allow UAV filming. This was carried out following recommendations by NOAA scientists who have flown surveys around penguin colonies previously and included launching the UAV away from the colony, avoiding skuas and keeping to around 30m/100' height (at this height the noise of the propellers was unnoticeable above the noise of the colony and, since it is above skua attack height, the penguins took no notice whatsoever). We found this an incredibly useful tool for documenting the size of the colony in relation to the landscape. Expedition Application and processing The application process worked well and communications with the expeditions panel were constructive. They also pointed us to others who have visited Zavodovski, which helped in gaining a broader picture of what to expect. Summary The expedition was a great success and important and spectacular footage was collected which will serve to inform and educate the BBC audience about this unique island and its wildlife.
CORNELIUS CARDEW WORKS BY GENRE Undetermined Forces Octet '61, undetermined forces (1961) [partly graphic] [dedicated to Jasper Johns] Solo with Accompaniment , undetermined forces (1964) Volo Solo, undetermined forces (1964) Treatise, undetermined forces (1963-‐67) [193 page graphic score] Sextet -‐ The Tiger's Mind, undetermined forces (1967) [text] Schooltime Compositions, undetermined forces (1968) [text, graphic] Schooltime Special , undetermined forces (1968) [text] Scratch Music, undetermined forces (1971) Octet '71, [undetermined forces?] (1971?) Orchestra Autumn '60, orchestra (1960?) Arrangement for Orchestra (1960) Third Orchestra Piece 1960(1960) [arr. as Material, harmony instruments, 1964] Movement for Orchestra (1962) Bun No. 2, orchestra (1964) Bun No. l, orchestra (1965) Choral Ah Thel, chorus w/opt. piano (1963) Three Bourgeois Songs, soprano and orchestra or unison chorus and piano (1973) -‐ Our Joy -‐ High Heaven -‐ The Turtledove Chamber String Trio No. 1 (1955-‐56) String Trio No. 2 (1955-‐56) Octet 1959, picc, alto fl, ob, ob, Ebcl, bass cl, dbl bsn, vln, db (1959) Autumn '60, chamber ensemble (1960) First Movement for String Quartet (1961) Material, harmony instruments (1964) [arr. from Third Orchestra Piece 1960 (1960)] Solo Instrument Three Rhythmic Pieces, trumpet and piano (1955) Piece (for Stella), guitar (1961) The East is Red, violin and piano (1972) Mountains, bass clarinet (1977) Workers' Song , violin (1978) Piano February Pieces, piano Piano Sonata No. 1 (1955-‐58) Piano Sonata No. 2 (1955-‐58) Piano Sonata No. 3 (1959) February Piece 1959, piano (1959) February Piece 1960, piano (1960) February Piece 1961, piano (1961) 2 Books of Study for Pianists, 2 pianos (1958) Three Winter Potatoes, piano (1961-‐65) [some material fromOctet '61, 1961 and Material, 1964] Memories of You, piano (1964) Unintented Piano Music, piano (1970 or 71) Piano Album 1973 (1973) -‐ Charge! -‐ Song and Dance -‐ Bring the Land a New Life -‐ Sailing the Seas Depends Upon the Helmsman -‐ Red Flag Prelude -‐ Soon (There Will Be A High Tide Of Revolution In Our Country) [one of Cardew's first political pieces] -‐ The Croppy Boy -‐ Father Murphy -‐ Four Principles on Ireland -‐ Long Live Chairman Mao! Piano Album 1974 (1974) -‐ Bethanien Song -‐ Red Aid Song -‐ Revolution is the Main Trend In The World Today -‐ The East is Red Thalmann Variations , piano (1974) Vietnam Sonata, piano (1975) We Sing for the Future, piano (1981) Boolavogue, 2 pianos (1981) Vocal Why Cannot the Ear Be Closed To Its Own Destruction? (W. Blake), soprano/tenor and piano (1957) Three Bourgeois Songs, soprano and orchestra or unison chorus and piano (1973) The Great Learning, 7 paragraphs, various performers (1968-‐70; paragraphs 1 and 2, rev. 1972) -‐ Our Joy -‐ High Heaven -‐ The Turtledove The Old and the New, soprano, chorus and orchestra (1973) Political Songs, voice and piano (1971-‐81) -‐ Consciously [written by Cornelius Cardew] -‐ Founding of the Party [written by Cornelius Cardew] -‐ Four Principles On Ireland [written by Cornelius Cardew] [based partly on an old Irish melody] -‐ Law Of History (1975) [written by Cornelius Cardew] -‐ Nothing To Lose But Our Chains [written by Cornelius Cardew] -‐ Revolution Is The Main Trend [written by Cornelius Cardew] -‐ Smash The Social Contract (1977) [written by Cornelius Cardew] -‐ Song of the CYUB (Communist Youth Union of Britain) [written by Cornelius Cardew/Devenport] -‐ There is Only One Lie, There is Only One Truth [written by Cornelius Cardew] -‐ Watkinsons' Thirteens [written 1794; arranged by Cornelius Cardew] -‐ We Sing for the Future (1979) [written by Cornelius Cardew/Hardial Bains] -‐ The Workers of Ontario [written by Cardew/Canadian Cultural Workers Committee (CCWC); arr. Lamburn] Recorded Albums of Liberation Songs: Consciously(Peoples Liberation Music, Progressive Cultural Association Band, Fight Back Band and others)(2006) Consciously [written by Cornelius Cardew] The Spirit of Cable Street [written by Laurie Scott Baker] We People [written by Burgie/Jackson] Solidarity Song (1932) [written by Brecht/Eisler] Bold Fenian Men [traditional/Kearney; arr: Marcangelo/Baker/Silva] Join in the Fight [traditional/Robeson; arr. Silva] Take Up the Fight [written by Laurie Scott Baker] Himno de Riego [written by Machedo/Esplá; arr. Baker/Silva] We're Not Afraid [written by Dermot; arr. Baker] Golden Mountain in Beijing [traditional; arr. Rowe/Marcangelo/Baker] The Blackleg Miner [traditional; arr. Baker] Mr. Media Man [written by Baker/Tilbury] Fight the Cuts [written by Thompson; arr. Marcangelo/Baker, TRAD] The Lords of Labour [written by Thompson] Cripplin' Blows [written by DeGale] The Worker's Song [written by Thompson/traditional; arr. Baker] Hammer of the Working Class [traditional; arr. Jackson] People of St. Pauls, Bristol [written by DeGale] In Imperialist Wars [written by Thompson] Song for the British Working Class [written by Laurie Scott Baker/Thompson] The Workers of Ontario [written by Cornelius Cardew/Canadian Cultural Workers Committee (CCWC); arr. Lamburn] Montreal Textile Worker [written by Shrapnel/CCWC] The Dream of the Generations [written by Peter Devenport/CCWC] There You Will Find My Bones [written by Thompson/CCWC] Song of the CYUB (Communist Youth Union of Britain) [written by Cornelius Cardew/Peter Devenport] Founding of the Party [written by Cornelius Cardew] We Sing for the Future (1979) [written by Cornelius Cardew/Hardial Bains] We Only Want the Earth (the Peoples' Liberation Music Tapes & other Songs) (2001) El Pueblo Unido Jamas Sera Vencido [written by Sergio Ortega] Will Of The People (1974) [written by Laurie Scott Baker] Hail Ireland's Glorious Martyrs [written by John Marcangelo] Peat Bog Soldiers [written by Johann Esser, Wolfgang Langhaff and Goguel] Men Behind The Wire [written by Paddy McGuigan] Give Ireland Back To The Irish (1972) [written by Paul McCartney and Linda McCartney] Revolution Is The Main Trend [written by Cornelius Cardew] Nothing To Lose But Our Chains [written by Cornelius Cardew] School Days [written by Laurie Scott Baker, Tilbury] Watkinsons' Thirteens [written 1794; arranged by Cornelius Cardew] Smash The Social Contract (1977) [written by Cornelius Cardew] Law Of History (1975) [written by Cornelius Cardew] Thälmann Song [lyrics by Erich Weinert; written by Arma] Freiheit [written by Peter Daniel and Karl Ernst] United Front Song (1934) [written by Brecht/Eisler] De Madregada [written by Ferura] Four Principles On Ireland [written by Cornelius Cardew] [based partly on an old Irish melody] British Imperialism [written by Laurie Scott Baker] We Only Want The Early [lyrics by James Connolly] [original melody by Tomas Davies for A Nation Once Again, 1840's] CARDEW LINKS Apartment House -‐ Cornelius Cardew: Chamber Music, 1955-‐64 (Ken Waxman, jazzweekly.com) Cornelius Cardew: A Life Unfinished (John Tilbury, Copula) Cornelius Cardew: a Life Unfinished (John Tilbury, Matchless Recordings) Cornelius Cardew: a Life Unfinished (David Hayes, open Democracy) Cornelius Cardew -‐ Material (Stewart Voegtlin, Stylus Magazine) Cornelius Cardew -‐ a Memorial Lecture, revised (John Tilbury, Journal of Experimental Music Studies) Cornelius Cardew -‐ Piano Music 1959-‐70 (Matchless Recordings) Cornelius Cardew Posts (hyperreal.org) Cornelius Cardew -‐ Treatise (differentwaters.blogspot.com) Cornelius Cardew Lives (Virginia Anderson, open Democracy) Making Marx in the Music: A HyperHistory of New Music and Politics -‐ Cornelius Cardew (NewMusicBox) Notes from the underground: Damon Krukowski on Cornelius Cardew (findarticles.com) Pilgrimage From Scattered Points – A Film by Luke Fowler (45mins, UK, 2007) orhere "A Question of Language": Frederic Rzewski in Conversation About Cornelius Cardew (Daniel Varela, JEMS) Scratch Music Remembering Cornelius Cardew, a Vernacular Troubadour (Richard Gott, guardian.co.uk) (see Amazon review by Rachel Abbinanti, Amazon.com) Survival Scrapbooks (Simon Yuill, metamute.org) Treatise: An Animated Analysis (blockmuseum.northwestern.edu) Turning Circles and Squares Into Noise (Adam Shatz, The New York Times) A Young Persons Guide to Treatise (spiralcage.com) Writings Stockhausen Serves Imperialism (Cornelius Cardew) Towards an Ethic of Improvisation 1971, Edition Peters, UbuWeb) Cardew @ Wikipedia Cardew @ Answers.com Cardew @ Ask.com Cardew @ British Composers Project Cardew @ composition:today Cardew @ Classical Composers Database Cardew @ Classical Net Cardew @ ClassicsToday Cardew @ Dead Pop Stars (from original German) Cardew @ Dilettante Music Cardew @ Edition Peters Cardew @ everything2.com Cardew @ Facebook Cardew @ HDtracks Cardew @ Killed in Cars Cardew @ Matchless Recordings Cardew @ MSN Music Cardew @ music.hyperreal.org Cardew @ musicianguide.com Cardew @ musicnow.co.uk Cardew @ mymusicbase.ru Cardew @ NationMaster.com Cardew @ scaruffi.com Cardew @ Seattle Improv Meeting Cardew @ Solidarity Cardew @ UbuWeb Streaming Audio Cardew @ last.fm Cardew @ Rhapsody Cardew @ UbuWeb alsohere (Cornelius Cardew, from "Treatise Handbook,"
European University Viadrina Courses offered in foreign languages Summer Term 2012 Faculty of Social and Cultural Sciences Courses in English \| Lecturer \| Title \| Type \| ECTS \| Level \| \|---\|---\|---\|---\|---\| \| Minkenberg, Michael \| Comparative Government in Europe. \| Seminar \| 6 ECTS \| Bachelor \| \| Neyer, Jürgen \| European as a Political Community. \| Seminar \| 8 ECTS \| Bachelor \| \| Sturm, Lisa \| Introduction to Global History. \| Seminar \| 6 ECTS \| Bachelor \| \| Jakubowski- Jeshay, Jehuda \| Introduction to the World of Today Part II \| Seminar \| 8 ECTS \| Bachelor \| \| Höfler, Concha Maria \| Language Policy and Cultural Identity in the Successor States of the Soviet Union. \| Seminar \| 8 ECTS \| Bachelor \| \| Bonapfel, Elisabeth \| Reading Joyce’s Writing: Styles and Effects. \| Seminar \| 8 ECTS \| Bachelor \| \| Gordian, Michael \| The culture of secrecy and the art of worldly wisdom in Early Modern Europe 1500-1650. \| Seminar \| 8 ECTS \| Bachelor \| \| Ehling, Ulrike \| Viadrina Model United Nations: Regional instability in Eastern Africa. \| Seminar \| 3/8 ECTS \| Bachelor \| \| Lecturer \| Title \| Type \| ECTS \| Level \| \| Wimmler \| „Apocalypse Now!“ An Economic and Social History of the End of the World \| Seminar \| 3 / 6 / 9 ECTS \| Master \| \| Benedikter / von Stillfried / Walach \| Critical Scientific Theory - Towards a Transdisciplinary, Inclusive Model of Scientific Discovery and Practice \| Seminar \| 3 / 6 / 9 ECTS \| Master \| \| Benedikter / von Stillfried / Walach \| Critical Scientific Theory - Towards a Transdisciplinary, Inclusive Model of Scientific Discovery and Practice \| Seminar \| 3 / 6 / 9 ECTS \| Master \| \| Poprawski \| Cultural Policies and Research Methods. Cross-border Projects \| Seminar \| 3 / 6 / 9 ECTS \| Master \| \| Musekamp \| Ethnic Cleansing and the German East \| Seminar \| 3 / 6 / 9 ECTS \| Master \| \| Schiffauer / Buchowski \| New Theories in Anthropology \| Seminar \| 3 / 6 / 9 ECTS \| Master \| \| Buchowski \| Old and New Forms of Alterity in Europe Today \| Seminar \| 3 / 6 / 9 ECTS \| Master \| \| Poprawski \| Reading Intercultural Communication Classics \| Seminar \| 3 / 6 / 9 ECTS \| Master \| \| Wielgohs \| Russian Politics and Society 1985-2012 \| Seminar \| 3 / 6 / 9 ECTS \| Master \| \| Beichelt \| The Political Economy of Football (Core Course VSU) \| Seminar \| 3 / 6 / 9 ECTS \| Master \| \| Ehling, Ulrike \| Viadrina Model United Nations: Regional instability in Eastern Africa \| Seminar \| 3/8 ECTS \| Master \| \| Lecturer \| Title \| Type \| ECTS \| Level \| Courses in French \| Lecturer \| Title \| Type \| ECTS \| \|---\|---\|---\|---\| \| Serrier \| La France: une Nation, des mémoires? Débats mémoriels dans la France contemporaine \| Seminar \| 8 ECTS \| \| Serrier \| Mémoires partagées. Usages publics de la Seconde Guerre mondiale (France, Allemagne, Pologne 1945-200…) \| Seminar \| 3 / 6 / 9 ECTS \| \| Serrier \| La France: une Nation, des mémoires? Débats mémoriels dans la France contemporaine \| Seminar \| 3 / 6 / 9 ECTS \| \| Jungbluth \| Ceci n'est pas une pipe. \| Seminar \| 3 / 6 / 9 ECTS \| \| Lechevalier \| Politiques publiques en Allemagne et en France. \| Seminar \| 3 / 6 / 9 ECTS \| \| Lechevalier \| Vieillissement démographique et avenir de l’Etat social dans l’Union Européenne. \| Seminar \| 3 / 6 / 9 ECTS \| Faculty of Business Administration and Economics Courses in English \| Lecturer \| Title \| Type \| ECTS \| Level \| \|---\|---\|---\|---\|---\| \| Schmidt \| Statistic 1 \| Lectures \| 6 ECTS \| Bachelor \| \| Almeder \| Production and Service Management \| Lectures \| 6 ECTS \| Bachelor \| \| Schmid \| Statistical Methods in Envirnonment Science \| Lectures \| 5 ECTS \| Bachelor \| \| Lowitzsch \| Employee participation with regard to EU economic and enterprise policy \| Lectures \| 5 ECTS \| Bachelor \| \| Schmid \| Statistical Methods in Envirnonmental Science \| Lectures \| 5 ECTS \| Bachelor \| \| Kurben \| Information system Development \| Lectures \| 5 ECTS \| Bachelor \| \| Keiber \| Corporate Finance \| Lectures + Tutorial \| 5 ECTS \| Bachelor \| \| Meller \| European Integration \| Lectures + Tutorial \| 5 ECTS \| Bachelor \| \| Becker \| Development Economics \| Lectures + Tutorial \| 5 ECTS \| Bachelor \| \| Pedley \| International Marketing \| Lectures + Tutorial \| 5 ECTS \| Bachelor \| \| Keiber \| Microeconomics of Financial Markets \| Lectures + Tutorial \| 5 ECTS \| Bachelor \| \| Croonbroeck; Stadtmann \| Macroeconomics \| Lectures +Tutorial \| 6 ECTS \| Bachelor \| \| Keiber \| Finance \| Lectures +Tutorial \| 6 ECTS \| Bachelor \| \| Kurbel; Stawnicza \| Project Management \| Lectures +Tutorial \| 5 ECTS \| Bachelor \| \| Vigliano \| Accounting / Case Study Course \| Seminar \| 6 ECTS \| Bachelor \| \| Keiber \| Seminar in Finance \| Seminar \| 5 ECTS \| Bachelor \| \| Gomez \| Financial Marketing and Institution \| Seminar \| 5 ECTS \| Bachelor \| \| Vörös \| Production and Operations Management / Case Study \| Seminar \| 5 ECTS \| Bachelor \| \| Kowalewski \| Financial Crisis \| Seminar \| 5 ECTS \| Bachelor \| \|---\|---\|---\|---\|---\| \| Böing \| International Finance \| Tutorial \| 5 ECTS \| Bachelor \| \| Traxler \| Production and Operations Management \| Tutorial \| 5 ECTS \| Bachelor \| \| Canbazogul \| Buyer Behavior \| Tutorial \| 5 ECTS \| Bachelor \| \| Lecturer \| Title \| Type \| ECTS \| Level \| \| Wüstemann \| IFRS advance \| Lectures \| 5/7 ECTS \| Master \| \| Lowitzsch \| Insolvency, restructuring and sovereign default \| Lectures \| 6 ECTS \| Master \| \| Stadtmann \| International Finance \| Lectures \| 5/7 ECTS \| Master \| \| Schmid \| Statistical Methods in Envirnonmental Science \| Lectures \| 5/7 ECTS \| Master \| \| Lowitzsch \| Employee participation with regard to EU economic and enterprise policy \| Lectures \| 6 ECTS \| Master \| \| Okhrin \| Information Management \| Lectures + Tutorial \| 5/7 ECTS \| Master \| \| Nowak \| Information System Development \| Lectures + Tutorial \| 5/7 ECTS \| Master \| \| Wojcik \| Leadership \| Lectures + Tutorial \| 5/7 ECTS \| Master \| \| Almeder; Traxler \| Production and Operations Management \| Lectures + Tutorial \| 5/7 ECTS \| Master \| \| Kurbel \| Programming & Software Technology \| Lectures + Tutorial \| 5/7 ECTS \| Master \| \| Simon; Stadtmann \| The Law and Economics of European Competition Policy \| Lectures + Tutorial \| 6 ECTS \| Master \| \| Almeder \| Advance Topics in Operations Management \| Seminar \| 5/7 ECTS \| Master \| \| Kowalewski \| Economic Transformation in Central and Eastern Europe \| Seminar \| 6 ECTS \| Master \| \| Keiber \| Microeconomics of Financial Markets \| Seminar \| 5/7 ECTS \| Master \| \| Schmid; Garthoff \| Quantitative Risk Management \| Seminar \| 5/7 ECTS \| Master \| \| Almender; Lech \| Simulation as Decision Support \| Seminar \| 5/7 ECTS \| Master \| \| Stadtmann \| The Foudations of International Macroeconomics II \| Seminar \| 5/7 ECTS \| Master \| \| Kowalewski \| Financial Crisis \| Seminar \| 5/7 ECTS \| Master \| \| Rabyk \| Statistical Methods in Envirnonmental Science \| Tutorial \| 5/7 ECTS \| Master \| \| Bolle \| Inequality \| Seminar \| 6 ECTS \| Master \| \| Canbazogul \| Buyer Behavior \| Seminar \| 5/7 ECTS \| Master \| Courses in Spanish \| Lecturer \| Title \| Type \| ECTS \| \|---\|---\|---\|---\| \| Rocha \| Lenguas Ocultas \| Seminar \| 5 ECTS \| Courses in English \| Lecturer \| Title \| Type \| ECTS \| \|---\|---\|---\|---\| \| Prof. Gerard C. Rowe \| Common Law \| Seminar \| 4 \| \| Prof. Gerard C. Rowe \| Common Law II \| Seminar \| 4 \| \| Prof. Dr. Wablat Wolfgang \| International Protection of Intellectual Property \| Seminar \| 4 \| \| RA Donald Black \| English for Law Students \| Seminar \| 4 \| Courses in Polish \| \| Lecturer \| \| Title \| \| Type \| \| ECTS \| \| Level \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Prof. Dr. Zdzislaw Kedzia \| \| Prawo konstytucyjne \| \| Lectures \| \| 4 \| \| Bachelor \| \| \| Dr hab. Michal Skapski \| \| Polskie prawo pracy i socjalne \| \| Lectures \| \| 8 \| \| Bachelor \| \| \| Prof. d hab. Janina Panowicz-Lipska \| \| Polskie prawo cywilne: prawo rzeczowe, spadkowe i rodzinne II \| \| Lectures \| \| 8 \| \| Bachelor \| \| \| Prof. dr hab. Leopold Moskwa \| \| Prawo spółek \| \| Lectures \| \| 4 \| \| Bachelor \| \| \| Prof. dr hab. Andrzej J. Szwarc \| \| Prawo karne II \| \| Lectures \| \| 4 \| \| Bachelor \| \| \| Prof. Dr. Marian Kepinski \| \| Prawo cywilne – cz. ogólna II \| \| Lectures \| \| 4 \| \| Bachelor \| \| \| Dr. Marcin Krzymuski \| \| Konwersatorium prawa cywilnego II \| \| Konversa -torium \| \| 2 \| \| Bachelor \| \| \| Mgr Piotr Józwiak \| \| Konwersatorium prawa karnego \| \| Konversa -torium \| \| 2 \| \| Bachelor \| \| \| Lecturer \| \| Title \| \| Type \| \| ECTS \| \| Level \| \| \| Prof. dr hab. Bozena Popowska \| \| Polskie administracyjne prawo gospodarcze \| \| Lectures \| \| 3 \| \| Master \| \| \| Prof. dr hab Gomulowicz \| \| Polskie prawo finansowe \| \| Lectures \| \| 3 \| \| Master \| \| \| Mgr Agata Klorek \| \| Konwersatorium polskiego postępowania administracyjnego \| \| Konversa -torium \| \| 2 \| \| Master \| \| \| Prof. dr hab. Barbara Adamiak \| \| Polskie postępowanie administracyjne \| \| Lectures \| \| 6 \| \| Master \| \| \| Dr Marzena Kordela \| \| Teoria prawa \| \| Lectures \| \| 3 \| \| Master \| \| \| Prof. Dr. Arkadiusz Wudarski \| \| Strukturalne porównanie polskiego i niemieckiego prawa cywilnego \| \| Lectures \| \| 3 \| \| Master \| \| \| Prof. Dr. Bartosz Makowicz \| \| Strukturalne porównanie polskiego i niemieckiego prawa publicznego \| \| Lectures \| \| 3 \| \| Master \| \| \| Prof. Dr. Maciej Malolepszy \| \| Strukturalne porównanie polskiego i niemieckiego prawa karnego \| \| Lectures \| \| 3 \| \| Master \| \| \| Prof. dr Marian Kepinski \| \| Seminarium magisterskie polskiego postępowania cywilnego \| \| Seminar \| \| 16 \| \| Master \| \| \| Prof. dr Janina Panowicz-Lipska \| \| Seminarium magisterskie polskiego prawa cywilnego \| \| Seminar \| \| 16 \| \| Master \| \| \| Dr hab. Michal Skapski \| \| Seminarium magisterskie polskiego prawa pracy i socjalnego \| \| Seminar \| \| 16 \| \| Master \| \| \| Prof. dr hab. Popowska \| \| Seminarium magisterskie administracyjnego prawa gospodarczego \| \| Seminar \| \| 16 \| \| Master \| \|
Juggling Drops and Descents Joe Buhler, David Eisenbud, Ron Graham, and Colin Wright As circus and vaudeville performers have known for a long time, juggling is fun. In the last twenty years or so this has led to a surge in the number of amateur jugglers. It has been observed that scientists, and especially mathematicians and computer scientists, are disproportionately represented in the juggling community. It is difficult to explain this connection in any straightforward way, but music has long been known to be popular among scientists; juggling, like music, combines abstract patterns and mind-body coordination in a pleasing way. In any event, the association between mathematics and juggling may not be as recent as it appears, since it is believed that the tenth century mathematician Abu Sahl started out juggling glass bottles in the Bagdad marketplace ([3], p. 79). In the last fifteen years there has been a corresponding increase in the application of mathematical and scientific ideas to juggling ([1], [2], [7], [11], [13], [18]), including, for instance, the construction of a juggling robot ([8]). In this article we discuss some of the mathematics that arises out of a recent juggling idea, sometimes called “site swaps.” It is curious that these idealized juggling patterns lead to interesting mathematical questions, but are also of considerable interest to “practical” jugglers. The basic idea seems to have been discovered independently by a number of people; we know of three groups or individuals that developed the idea around 1985: Bengt Magnusson and Bruce Tiemann ([12], [11]), Paul Klimek in Santa Cruz, and one of us (C. W.) in conjunction with other members of the Cambridge University Juggling Association. A precursor of the idea can be found in [14]. Although our interests here are almost entirely mathematical, the reader interested in actual juggling or its history might start by looking at [21] and [19]; a leisurely discussion of site swaps, aimed at jugglers, can be found in [12]. In the first section we describe the basic ideas, and in the second section we prove the basic combinatorial result that counts the number of site swaps with a given period and a given number of balls. This theorem has a non-obvious generalization to arbitrary posets ([6]). Special cases of that result can be interpreted in terms of an interesting generalization of site swaps; we find it delightful that a question arising from juggling leads to new mathematics which in turn may say something about patterns that jugglers might want to consider. 1. JUGGLING. As mathematicians are in the habit of doing, we start by throwing away irrelevant detail. In a juggling pattern we will ignore how many people or hands are involved, ignore which objects are being used, and ignore the specific paths of the thrown objects. We will assume that there are a fixed number of objects (occasionally referred to as “balls” for convenience) and will pay attention only to the times at which they are thrown, and will assume that the throw times are periodic. Although much of the interest of actual juggling comes from peculiar throws (behind the back, off the head, etc.), peculiar objects (clubs, calculus texts, chain saws, etc), and peculiar rhythms, we will find that the above idealization is sufficiently interesting. Suppose that you are juggling $b$ balls in a constant rhythm. Since the throws occur at discrete equally-spaced moments of time, and since in our idealized world you have been juggling forever and will continue to do so, we identify the times $t$ of throws with integers $t \in \mathbb{Z} := \{\ldots, -2, -1, 0, 1, 2, \ldots\}$. Since it would be silly to hold onto a ball forever, we assume that each ball is thrown repeatedly. We also assume that only one ball is thrown at any given time. With these conventions, a juggling pattern with $b$ balls is described, for our purposes, by $b$ doubly-infinite disjoint sequences of integers. The three ball cascade is perhaps the most basic juggling trick. Balls are thrown alternately from each hand and travel in a figure eight pattern. The balls are thrown at times ball 1: $\ldots -6, -3, 0, 3, 6, \ldots$ ball 2: $\ldots -5, -2, 1, 4, 7, \ldots$ ball 3: $\ldots -4, -1, 2, 5, 8, \ldots$ This pattern has a natural generalization for any odd number of balls; if you tried to do this pattern with an even number of balls (in a symmetrical way) then two balls would collide at the middle of the figure eight. Another basic pattern, sometimes called the fountain or waterfall, is most commonly done with an even number of balls and consists of two disjoint circles of balls. ![Figure 1. A cascade.](image-url) The four ball waterfall gives rise to the four sequences $\{4n + a: n \in \mathbb{Z}\}$ of throw times, for $a = 0, 1, 2, 3$. The last truly basic juggling pattern is called the shower. In a shower the balls travel in a circular pattern, with one hand throwing a high throw and the other throwing a low horizontal throw. The shower can be done with any number of balls; most people find that the three ball shower is significantly harder than the three ball cascade. The three ball shower corresponds to the sequences \[ \begin{align} \text{ball 1:} & \quad \ldots -6, -5, 0, 1, 6, 7 \ldots \\ \text{ball 2:} & \quad \ldots -4, -3, 2, 3, 8, 9 \ldots \\ \text{ball 3:} & \quad \ldots -2, -1, 4, 5, 10, 11 \ldots \end{align} \] We should mention that although non-jugglers are often sure that they have seen virtuoso performers juggle 17 or 20 balls, the historical record for a sustained ball cascade seems to be nine. Enrico Rastelli, sometimes considered the greatest juggler of all time, was able to make twenty catches in a 10-ball waterfall pattern. Rings are somewhat easier to juggle in large numbers, and various people have been able to juggle 11 and 12 rings. Now we return to our idealized form of juggling. Given lists of throw times of $b$ balls define a function $f: \mathbb{Z} \to \mathbb{Z}$ by \[ f(x) = \begin{cases} y & \text{if the ball thrown at time } x \text{ is next thrown at time } y \\ x & \text{if there is no throw at time } x. \end{cases} \] This function is a permutation of the integers. Moreover, it satisfies $f(t) \geq t$ for all $t \in \mathbb{Z}$. This permutation partitions the integers into orbits which (ignoring the orbits of size one) are just the lists of throw times. The function $f(t) = t + 3$ corresponds to the 3-ball cascade, which could be graphically represented as in Figure 4. Similarly, the function $f(t) = t + 4$ represents the ordinary 4-ball waterfall. The three ball shower corresponds to a function that has a slightly more complicated description. The juggler is usually most interested in the duration $f(t) - t$ between throws which corresponds, roughly, to the height to which balls must be thrown. Definition. A juggling pattern is a permutation $f: \mathbb{Z} \to \mathbb{Z}$ such that $f(t) \geq t$ for all $t \in \mathbb{Z}$. The height function of a juggling pattern is $df(t) := f(t) - t$. The three ball cascade has a height function $df(t) = 3$ that is constant. The three ball shower has a periodic height function whose values are $\ldots 5, 1, 5, 1, \ldots$. The juggling pattern in Figure 5 corresponds to the function $$f(x) = \begin{cases} x + 4 & \text{if } x \equiv 0, 1 \mod 3 \\ x + 1 & \text{if } x \equiv 2 \mod 3 \end{cases}$$ Figure 5. 441 which is easily verified to be a permutation. The height function takes on the values 4, 4, 1 cyclically. This trick is therefore called the “441” among those who use the standard site swap notation. It is not terribly difficult to learn but is not a familiar pattern to most jugglers. Remarks: 1. We refer to $ df(t) $ as the height function even though it more properly is a rough measure of the elapsed time of the throw. From basic physics the height is proportional to the square of the elapsed time. The elapsed time is actually less than $ df(t) $ since the ball must be held before being thrown. For a more physical discussion of actual elapsed times and throw heights see [11]. 2. Although there is nothing in our idealized setup that requires two hands, or even “hands” at all, we note that in the usual two-handed juggling patterns, a throw with odd throw height $ df(t) $ goes from one hand to the other, and a throw with even throw height goes from one hand to itself. 3. If $ f(t) = t $, so that $ df(t) = 0 $, then no throw takes place at time $ t $. In actual practice this corresponds to an empty hand. 4. Nothing in our model really requires that the rhythm of the juggling pattern be constant. We only need a periodic pattern of throw times. We retain the constant rhythm terminology in order to be consistent with jugglers’ standard model of site swaps. 5. The catch times are irrelevant in our model. Thus a throw at time $ t $ of height $ df(t) $ is next thrown at time $ t + df(t) = f(t) $, but in practice it is caught well before that time in order to allow time to prepare for the next throw. A common time to catch such a throw is approximately at time $ f(t) - 1.5 $ but great variation is possible. A theorem due to Claude Shannon ([13], [7]) gives a relationship between flight times, hold times, and empty times in a symmetrical pattern. Now let $ f $ be a juggling pattern. This permutation of $ \mathbb{Z} $ partitions the integers into orbits; since $ f(t) \geq t $, the orbits are either infinite or else singletons. Definition. The number of balls of a juggling pattern $ f $, denoted $ B(f) $, is the number of infinite orbits determined by the permutation $ f $. Our first result says that if the throw height is bounded, which is surely true for even the most energetic of jugglers, then the number of balls is finite and can be calculated as the average value of the throw heights over large intervals. Theorem 1. If $ f $ is a bijection and $ df(t) = f(t) - t $ is non-negative and bounded then the limit \[ \lim_{\|I\| \to \infty} \frac{\sum_{x \in I} df(x)}{\|I\|} \] exists and is equal to $ B(f) $, where the limit is over all integer intervals \[ I = \{a, a+1, \ldots, b\} \subset \mathbb{Z}. \] Proof: Suppose that $ df(t) \leq B $ for all $ t $. If $ I $ is an interval such that $ \|I\| > B $ then any infinite orbit intersects $ I $. The sum of $ df(t) $ over the points in $ I $ lying in a given infinite orbit is bounded above by $ \|I\| $ and below by $ \|I\| - 2B $. If $ I $ is large enough then the sum of $df(t)$ for $t \in I$ can be made arbitrarily close to the number of infinite orbits of $f$; the singleton orbits don’t contribute since $df(t) = 0$ for those orbits. Thus in the limit the average of $df$ over an interval $\{a, a+1, \ldots, b\}$ of consecutive integers must become arbitrarily close to the number of infinite orbits of the permutation. Remarks: 1. The limit is clearly a uniform limit in the sense that for all positive $\varepsilon$ there is an $m$ such that if $I$ is an interval of integers with more than $m$ elements then the average of $df$ over $I$ is within $\varepsilon$ of $B(f)$. 2. As an example illustrating the theorem we note if $f$ is the 441 pattern described earlier, then the height function $df(t)$ is periodic of period 3. The long term average of $df(t)$ over any interval approaches the average over the period, i.e., $(4 + 4 + 1)/3 = 3$, which confirms what we already knew: the 441 pattern is a 3-ball trick. 3. The hypothesis of bounded throw heights is necessary. Indeed, if $T(0) = 0$ and, for nonzero $t$, $T(t)$ is the highest power of 2 that divides $t$ then the pattern $f(t) = t + 2 \cdot T(t)$ has unbounded throw height and infinite $B(f)$, as in Figure 7. More vividly: you can juggle infinitely many balls if you can throw arbitrarily high. Figure 7. Infinitely many balls. 2. Periodic Juggling. From now on we want to juggle periodically. A juggling pattern is perceived to be periodic by an audience when its height function is periodic in the mathematical sense. Definition. A period-n juggling pattern is a bijection $f : \mathbb{Z} \to \mathbb{Z}$ such that $df(t + n) = df(t)$ for all $t \in \mathbb{Z}$. If $df$ is of period $n$ then it might also have a period $m$ for some divisor $m$ of $n$. If $n$ is the smallest period of $df$ then any other period is a multiple of $n$; in this case we will say that $f$ is a pattern of exact period $n$. A period-$n$ juggling pattern can be described by giving the finite sequence of non-negative integers $df(t)$ for $t = 0, 1, \ldots, n - 1$. Thus the pattern 51414 denotes a period-5 pattern; by Theorem 1 it is a 3-ball pattern since the “period average” of the height function $df(t)$ is 3. Which finite sequences correspond to juggling patterns? Certainly a necessary condition is that the average must be an integer. However this isn’t sufficient. The sequence 354 has average 3 but does not correspond to a juggling pattern—if you try to draw an arrow diagram for a map $f$ as above you’ll find that no such map exists. This is also easy to see directly, for if $df(1) = 5$ and $df(2) = 4$ then $$f(1) = 1 + df(1) = 6 = 2 + df(2) = f(2)$$ and such a map isn’t a bijection. Remarks for Jugglers Only 1. The above description is geared towards the standard model: two hands throwing alternately, in constant rhythm. In fact there could be any number of hands and it is not necessary to assume that the rhythm is constant. 2. The practical meaning of the throw heights 0, 1, and 2 in the standard model requires a little thought. A throw height of 0 corresponds to an empty hand. A throw height of 1 corresponds to a rapid shower pass from one hand to another that is thrown again immediately. A throw height of 2 would ordinarily indicate a very low throw from a hand to itself that is thrown again by that hand immediately. This is actually rather unnatural in practice; the conventional interpretation ([11], [12]) is that a throw height of 2 is a held ball. 3. The paradigm for categorizing juggling patterns here is very interesting in practice, although many of the patterns require considerable proficiency. Several jugglers who have spent time in working on site swaps describe the same gain in flexibility and conceptual power that mathematicians seem to report from the use of well-chosen abstractions. The simplest non-obvious site-swap seems to be 441; it is similar to, but not the same as, the common 3-ball pattern of throwing balls up on the side while passing a ball back and forth underneath in a shower pass from hand to hand. The 3-ball 45141 pattern is also amusing, and the 4-ball 5551 pattern looks very much like the 5-ball cascade. The range of feasible and interesting tricks seems to be unlimited; we mention the following sample: 234, 504, 345, 5551, 40141, 561, 633, 55514, 7562, 7531, 566151, 561, 663, 771, 744, 753, 426, 459, 9559, 831. 4. A number of programs are available that simulate site swaps on a computer screen, sometimes with quite impressive graphics. These programs take a finite sequence of non-negative integers as input and dynamically represent the pattern. The Internet news group rec.juggling is a source of information on site swaps and various juggling animation software. In order to find out which finite sequences represent juggling patterns we start by noting that a period-$n$ pattern induces a permutation on the first $n$ integers. Lemma. If $f$ is a period-$n$ juggling pattern then $$s \equiv t \mod n \Rightarrow f(s) \equiv f(t) \mod n.$$ Proof: If $ df(t) $ is periodic of period $ n $ then the function $ f(t) = t + df(t) $ is of period $ n $ modulo $ n $. The Lemma implies that a juggling pattern $ f $ induces a well-defined injective, and hence bijective, mapping on the integers modulo $ n $. Let $[n]$ denote the set $\{0, 1, \ldots, n - 1\}$ and let $ S_n $ denote the symmetric group of all permutations (bijections) of the set $[n]$. Then for every period-$ n $ juggling pattern $ f $ there is a well-defined permutation $ \pi_f \in S_n $ that is defined by the condition \[ f(t) \equiv \pi_f(t) \mod n, \quad 0 \leq t < n. \] Theorem 2. A sequence $ a_0a_1 \cdots a_{n-1} $ of non-negative integers satisfies $ df(t) = a_t $ for some period-$ n $ juggling pattern $ f $ if and only if $ a_t + t \mod n $ is a permutation of $[n]$. Proof: Suppose that $ f $ is a juggling pattern and $ a_t = df(t) $. Then $ f(t) \equiv \pi_f(t) \mod n $ so there is an integer-valued function $ g(t) $ such $ f(t) = \pi_f(t) + n \cdot g(t) $ and \[ df(t) = f(t) - t = \pi_f(t) - t + n \cdot g(t) \] and \[ a_t + t \equiv df(t) + t \equiv \pi_f(t) \mod n \] and $ a_t + t $ is a permutation as claimed. Conversely, suppose that \[ a_0a_1 \cdots a_{n-1} \] is such that $ a_t + t $ is a permutation of $[n]$. If we define $ a_t $ for all integers $ t $ by extending the sequence periodically and then define $ f(t) = a_t + t $ then $ f $ is the desired juggling pattern. To see that $ f $ is injective note that if $ f(t) = f(u) $ then $ t \equiv u \mod n $ since $ f(t) $ is injective modulo $ n $. Then $ a_t = a_u $. From $ f(t) = a_t + t = f(u) = a_u + u $ it follows that $ t = u $ and $ f $ is injective as claimed. To show that $ f $ is surjective, suppose that $ u \in \mathbb{Z} $. Since $ t + a_t \mod n $ is a permutation of $[n]$ we can find a $ t $ such that $ f(t) = t + a_t = u \mod n $. By adding a suitable multiple of $ n $ we can find a $ t' $ such that $ f(t') = u $. This finishes the proof of the fact that any sequence satisfying the stated condition comes from a juggling pattern. To see if 345 corresponds to a juggling pattern we add $ t $ to the $ t $-th term and reduce modulo 3. The result is 021, which is a permutation, so 345 is indeed a juggling pattern (in fact a somewhat difficult one that is quite amusing). On the other hand, the sequence 354 leads, by the same process, to 000 which certainly isn’t a permutation of [3]. Let $ N(b, n) $ denote the number of period-$ n $ juggling patterns $ f $ with $ B(f) = b $. Our goal is to calculate this number. From the juggler’s point of view it might be more useful to count the number of patterns of exact period $ n $ and to count cyclic shifts of a pattern as being essentially the same as the original pattern. Later we will see that this more natural question can be answered easily once we know $ N(b, n) $. The basic idea in the determination of $ N(b, n) $ is to fix a permutation $ \pi \in S_n $ and count the number of patterns $ f $ such that $ \pi_f = \pi $. From the proof of the previous theorem we have the formula \[ f(t) = \pi_f(t) + n \cdot g(t) = \pi(t) + n \cdot g(t), \quad 0 \leq t < n. \] Thus we must count the number of functions $g: [n] \to \mathbb{Z}$ such that if $f$ is defined by the above formula then $df(t) \geq 0$ and $B(f) = b$. The number of balls of such a pattern $f$ is equal to the average of $df(t)$ over $[n]$. Thus $$B(f) = \frac{1}{n} \sum_{t=0}^{n-1} df(t) = \frac{1}{n} \sum_{t=0}^{n-1} (\pi(t) - t + n \cdot g(t)).$$ Since $\pi(t)$ is a permutation of $[n]$ we see that this reduces to $$B(f) = \sum_{t=0}^{n-1} g(t).$$ Thus a function $g$ determines a pattern with $B(f) = b$ if the sum of its values is equal to $b$. The condition that $df(t) \geq 0$ is a little bit more intricate. Since $$df(t) = \pi(t) - t + n \cdot g(t)$$ we see that $g(t)$ must be non-negative and also must be strictly positive whenever $\pi(t) < t$. Definition. An integer $t \in [n]$ is a drop for the permutation $\pi \in S_n$ if $\pi(t) < t$; moreover, we define $$d_\pi(t) = \begin{cases} 1 & \text{if } t \text{ is a drop for } \pi \\ 0 & \text{if } t \text{ is not a drop for } \pi. \end{cases}$$ Write $G(t) = g(t) - d_\pi(t)$ so that $$f(t) = \pi(t) + n \cdot d_\pi(t) + n \cdot G(t).$$ Let $k$ be the number of drops of $\pi$. Then $B(f) = b$ if and only if the sum of the values of $G$ is equal to $b - k$. We can summarize this discussion so far as follows. The number $N(b, n)$ of period-$n$ juggling patterns with $b$ balls is equal to the sum over all permutations $\pi \in S_n$ of the number of non-negative functions $G(t)$ on $[n]$ whose value-sum is $b - k$, where $k$ is the number of drops of $\pi$. A standard combination idea can be used to count the number of sequences of non-negative integers with a given sum. Lemma. The number of non-negative $n$-tuples with sum $x$ is $$\binom{x + n - 1}{n - 1}.$$ Proof: A standard “stars and bars” argument (in Feller’s terminology, e.g., p. 38 of [9]) gives the answer. The number of such sequences is equal to the number of ways of arranging $n - 1$ bars and $x$ stars in a row if we interpret the size of each contiguous sequence of stars as a component of the $n$-tuple and the bars as separating components. The number of such sequences of bars and stars is the same as the number of ways to chose $n - 1$ locations for the bars out of a total of $x + n - 1$ locations, which is just the stated binomial coefficient. Let $\delta_n(k)$ be the number of permutations in $S_n$ that have $k$ drops. By combining the earlier remark with the lemma we arrive at $$N(b, n) = \sum_{k=0}^{n-1} \delta_n(k) \binom{n + b - k - 1}{n - 1}.$$ Later it will be convenient to consider the number of period-$n$ juggling patterns with fewer than $b$ balls. If this number is denoted $N_<(b, n)$ then, using a familiar binomial coefficient identity, we find that $$N_<(b, n) = \sum_{a=0}^{b-1} N(a, n) = \sum_{a=0}^{b-1} \sum_{k=0}^{n-1} \delta_n(k) \binom{n + a - k - 1}{n - 1}$$ $$= \sum_{k=0}^{n-1} \delta_n(k) \sum_{a=0}^{b-1} \binom{n + a - k - 1}{n - 1} = \sum_{k=0}^{n-1} \delta_n(k) \binom{n + b - k - 1}{n}.$$ In order to simplify this further we recall the idea of a descent of a permutation and show that even though drops and descents aren’t the same thing, the number of permutations with $k$ drops is the same as the number with $k$ descents. Definition. If $\pi \in S_n$ then $i \in [n]$ is a descent of $\pi$ if $\pi(i) < \pi(i+1)$ where $0 \leq i < n-1$. The number of elements of $S_n$ with $k$ descents is denoted $$\binom{n}{k}$$ and is called an Eulerian number. We will write permutations as a list of $n$ integers in which the $i$-th element is $\pi(i)$, e.g., $$\pi(0)\pi(1)\ldots\pi(n-1).$$ A descent in $\pi$ is just a point in this finite sequence in which the next term is lower than the current term. Example. The permutation 10432 in $S_5$ has three descents and two drops. If $\pi$ is a permutation then it can also be written in cycle form in the usual way. In order to specify this form uniquely we write each cycle with its largest element first and arrange the cycles so that the leading elements of the cycles are in increasing order, where we include the singleton cycles. Definition. If $\pi \in S_n$ let $\hat{\pi}$ be the permutation that results from writing $\pi$ in cycle form, as above, and then erasing parentheses. Example. The permutation $\pi \in S_8$ corresponding to the sequence 16037425 has a cycle decomposition $(0162)(475)$ that has the canonical form $(3)(6201)(765)$. Therefore $\hat{\pi}$ is 36201754. Note that the map taking $\pi$ to $\hat{\pi}$ is bijective since $\pi$ can be uniquely reconstructed from $\hat{\pi}$ by inserting left parentheses before every left-to-right maximum and then inserting matching right parentheses. This permutation of $S_n$ is certainly bizarre at first glance, but it plays a surprisingly crucial role in various situations (see [5] or [15]). Lemma. The number of permutations of $[n]$ with $k$ descents is equal to the number with $k$ drops, i.e., \[ \delta_n(k) = \binom{n}{k}. \] Proof: A descent of $\hat{\pi}$ must lie inside a cycle of $\pi$ since our conventions guarantee that the last element in a cycle is followed by a larger integer. By the meaning of the cycle decomposition $\pi$ (namely, that elements within cycles are mapped to the next element in the cycle) we see that a descent of $\hat{\pi}$ corresponds to a drop of $\pi$. Conversely, a drop in $\pi$ must occur within a cycle (i.e., not in passing from the last element of a cycle to the first) and corresponds to a descent in $\hat{\pi}$. Thus the number of permutations with $k$ descents is equal to the number $\delta_n(k)$ with $k$ drops. Example, again. The permutation $\pi = 16037425$ has drops at $t = 2, 5, 6, 7$, and the permutation $\hat{\pi} = 36201754$ has descents at $i = 1, 2, 5, 6$. The Eulerian numbers $\delta_n(k) = \binom{n}{k}$ play a role in a variety of combinatorial questions beyond drops and descents ([10], [15], [16]), although no notation seems to be standard yet. We recall some of their basic properties. If a permutation $\pi = \pi(0)\pi(1)\ldots\pi(n-1)$ has $k$ descents then its reversal $\pi' = \pi(n-1)\pi(n-2)\ldots\pi(0)$ has $n-k-1$ descents. Thus \[ \binom{n}{k} = \binom{n}{n-k-1}. \] By relating permutations of $[n]$ to permutations of $[n-1]$ in the usual way, a more involved combinatorial argument shows that \[ \binom{n}{k} = (k+1)\binom{n-1}{k} + (n-k)\binom{n-1}{k-1}. \] Using this recursion, it is easy to tabulate Eulerian numbers; for $n \leq 5$ they are given in Table 1. \| $n$ \| $k$ \| 0 \| 1 \| 2 \| 3 \| 4 \| \|------\|------\|---\|---\|---\|---\|---\| \| 1 \| \| 1 \| \| \| \| \| \| 2 \| \| 1 \| 1 \| \| \| \| \| 3 \| \| 1 \| 4 \| 1 \| \| \| \| 4 \| \| 1 \| 11\| 11\| 1 \| \| \| 5 \| \| 1 \| 26\| 66\| 26\| 1 \| Finally, the Eulerian numbers arise as coefficients of the linear relations connecting the polynomials $x^n$ with the polynomials $\binom{x+k}{n}$. Worpitzky’s Identity. \[ x^n = \sum_{k=0}^{n-1} \binom{n}{k} \binom{x+k}{n}. \] This identity can be readily proved by induction using equation (2). It apparently first appeared in [20] (see also [10] and [16]); in [15] it appears as a special case of a much more general statement. Theorem 3. The number of period-$n$ juggling patterns with fewer than $b$ balls is $b^n$, i.e., $$N_<(b, n) = b^n.$$ Proof: Our previous formula for $N < (b, n)$ was $$N_<(b, n) = \sum_{k=0}^{n-1} \delta_n(k) \binom{n+b-k-1}{n} = \sum_{k=0}^{n-1} \binom{n}{k} \binom{n+b-k-1}{n}.$$ Replace $k$ by $n-k-1$ and use (2) to get $$N_<(b, n) = \sum_{k=0}^{n-1} \binom{n}{k} \binom{b+k}{n}.$$ The claim is then an immediate consequence of Worpitzky’s identity. The simplicity of the final result is surprising. The astute reader will note that we could have avoided introducing the concept of descents by proving equations (1) and (2) directly for the counting function $\delta_n(k)$ for drops. It is a pleasant exercise to provide a direct combinatorial argument. We took the slightly longer route above because it is amusing and useful in proving the more general result in [6]. By the theorem there are $(b+1)^n - b^n$ patterns of period $n$ with exactly $b$ balls if cyclic shifts are counted as distinct. Let $M(n, b)$ be the number of patterns of exact period $n$ with exactly $b$ balls, where cyclic shifts are not counted as distinct. Thus $M(n, b)$ is probably the number that is of most interest to a juggler. If $d$ is a divisor of $n$ then each pattern of exact period $d$ will occur $d$ times as pattern of length $n$. Thus $$(b+1)^n - b^n = \sum_{d\|n} dM(d, b).$$ By Möbius inversion we obtain the following corollary to the previous theorem. Corollary. $$M(n, b) = \frac{1}{n} \sum_{d\|n} \mu(n/d) \left((b+1)^d - b^d\right).$$ For instance, there are 12 genuinely distinct patterns with period three with three balls. The reader may find it instructive to list all of them explicitly. Several people have reproved Theorem 3 from other points of view. Richard Stanley sent us a proof using results in [15]. Jeremy Kahn sent us a bijective proof using a different labeling function for juggling patterns. Walter Stromquist sent us an interesting bijective proof that uses a very curious relabeling of site swap patterns. Adam Chalcraft ([4]) sent us a proof using ideas similar to those of Stromquist. It is striking that the result seems to be of considerable interest to a number of people. Several of these proofs are shorter than ours, and some are much closer to being more transparent “bijective” proofs. However, the proof given here, in addition to using some interesting combinatorics, is the special case of the proof of the more general result in [6]. The basic motivation of that result is to replace the set $[n]$ with an arbitrary poset. For some posets we can give a natural interpretation of that more general result in terms of juggling patterns in which more than one ball can be thrown at once, but we still haven’t been able to give a juggling interpretation for arbitrary posets. After hearing of our results from Richard Stanley, E. Steingrimsson reproved ([17]) the general results about posets using results from his thesis. Among many other things, he generalizes the notions of descents and drops (actually, in his terminology, a mirror notion he calls “exceedances”) to certain wreath products of symmetric groups. NOTE ADDED IN PROOF: In their recent preprint, “Juggling and applications to $q$-analogues,” Richard Ehrenborg and Margaret Readdy give a $q$-analogue of our main result. In addition they generalize the ideas to multiplex patterns (in which a hand can catch and throw more than one ball at once) and give applications to $q$-Stirling numbers and the Poincare series of an affine Weyl group. REFERENCES 1. H. Austin, A Computational View of the Skill of Juggling, M.I.T. Artificial Intelligence Laboratory, 1974. 2. P. J. Beek, Juggling Dynamics, Free University Press, Amsterdam, 1989. 3. J. L. Berggren, Episodes in the Mathematics of Medieval Islam, Springer Verlag, 1986. 4. A. Chalcraft, manuscript in preparation. 5. D. Bayer and P. Diaconis, Trailing the Dovetail Shuffle to its Lair, Technical Report, Department of Statistics, Stanford, 1989. 6. J. Buhler and R. Graham, A note on the drop polynomial of a poset, in preparation. 7. J. Buhler and R. Graham, Fountains, showers, and cascades, The Sciences, Jan.–Feb. 1984, 44–51. 8. M. Donner, A real-time juggling robot, IBM research preprint. 9. W. Feller, Introduction to Probability Theory and its Applications, 3rd edition, John Wiley & Sons, 1968. 10. R. Graham, D. Knuth, and O. Patashnik, Concrete Mathematics, Addison Wesley Co., 1989. 11. B. Magnusson and B. Tiemann, The physics of juggling, Physics Teacher, 27 (1989) 584–589. 12. B. Magnusson and B. Tiemann, A notation for juggling tricks, Juggler’s World, summer 1991, 31–33. 13. C. Shannon, Scientific Aspects of Juggling, unpublished manuscript. 14. C. Simpson, Juggling on paper, Juggler’s World, winter 1986, 31. 15. R. Stanley, Enumerative Combinatorics, Wadsworth & Brooks/Cole, 1986. 16. D. Stanton, Constructive Combinatorics, Springer-Verlag, 1986. 17. E. Steingrimsson, Permutation statistics of indexed and poset permutations, Ph.D. dissertation, MIT, 1991. 18. B. Summers, Juggling as performing mathematics, Co-Evolution Quarterly, summer 1980. 19. M. Truzzi, On keeping things up in the air, Natural History, 1979, 44–55. 20. J. Worpitzky, Studien über die Bernoullischen und Eulerschen Zahlen, Journal für die reine und angewandte Mathematik, 94 (1881) 103–232. 21. K.-H. Ziethen and A. Allen, Juggling, The Art and its Artists, Werner Rausch & Werner Lüft Inc., 1985. Buhler: Reed College Portland, OR 97202 email@example.com Graham: AT&T Bell Laboratories Murray Hill, NJ 07974 firstname.lastname@example.org Eisenbud: Brandeis University Waltham, MA 02254 email@example.com Wright: The University of Liverpool Liverpool, L69 3BX, England
Serving Size and Nutrition Labelling: Implications for Nutrition Information and Nutrition Claims on Packaged Foods Nathalie Kliemann 1,2,†, Mariana V. S. Kraemer 2,†, Tailane Scapin 2,‡, Vanessa M. Rodrigues 2,§, Ana C. Fernandes 2, Greyce L. Bernardo 2,∥, Paula L. Uggioni 2 and Rossana P. C. Proença 2,∗,# 1 Nutritional Epidemiology Group, International Agency for Research on Cancer, World Health Organization, 69372 Lyon, France; email@example.com 2 Nutrition in Foodservice Research Centre (NUPPRE—Núcleo de Pesquisa de Nutrição em Produção de Refeições), Federal University of Santa Catarina (UFSC—Universidade Federal de Santa Catarina), Florianopolis 88040-900, Brazil; firstname.lastname@example.org (M.V.S.K.); email@example.com (T.S.); firstname.lastname@example.org (V.M.R.); email@example.com (A.C.F.); firstname.lastname@example.org (G.L.B.); email@example.com (P.L.U.) ∗ Correspondence: firstname.lastname@example.org † These authors contributed equally to the work. Received: 15 May 2018; Accepted: 25 June 2018; Published: 12 July 2018 Abstract: The presentation of nutrition information on a serving size basis is a strategy that has been adopted by several countries to promote healthy eating. Variation in serving size, however, can alter the nutritional values reported on food labels and compromise the food choices made by the population. This narrative review aimed to discuss (1) current nutrition labelling legislation regarding serving size and (2) the implications of declared serving size for nutrition information available on packaged foods. Most countries with mandatory food labelling require that serving size be presented on food labels, but variation in this information is generally allowed. Studies have reported a lack of standardisation among serving sizes of similar products which may compromise the usability of nutrition information. Moreover, studies indicate that food companies may be varying serving sizes as a marketing strategy to stimulate sales by reporting lower values of certain nutrients or lower energy values on nutrition information labels. There is a need to define the best format for presenting serving size on food labels in order to provide clear and easily comprehensible nutrition information to the consumer. Keywords: portion size; food labelling; nutrition information; processed foods; ultraprocessed foods 1. Introduction In recent decades, there has been an increase in the consumption of processed foods [1], especially of ultraprocessed foods [2]. These products are characterised by excessive amounts of added sugars, fats, and salt as well as low protein and fibre contents [1]. Data on food availability in 19 European countries showed that, on average, 26.4% of total calories comes from ultraprocessed foods [3]. However, in countries such as Brazil, the United States of America (USA), and Canada, the contribution of ultraprocessed foods to diets is even greater, accounting for 58.1%, 57.9%, and 53.9% of the total calorie intake of the population, respectively [4–6]. Evidence shows that the increase in the portion size of packaged foods consumed inside and outside the home [7] has favoured the increase in the energy contribution of these foods to the diet [7,8]. The consumption of ultraprocessed foods associated with the increase in portion size has been linked to diets of low nutritional quality [5,9] and an increased risk of developing obesity [3,10,11] and... cancer [12]. Public policies aimed at the population and the food industry are required for the provision of reliable information on food labels and to enable the population to make more informed food choices. Nutrition labelling, a strategy that provides access to information and compliance with consumer laws [13,14], may also encourage adherence to healthier food habits by individuals and communities [15]. In order to meet these goals, food labels must provide accurate, standardised, and comprehensible information on the content of food [14]. In 2004, the World Health Organization (WHO) conducted a review study to analyse the nutrition labelling legislation of 74 countries and found that food labelling is mandatory in only 10 countries [16]. According to an updated overview of the global food regulatory environment provided by the European Food Information Council (EUFIC) in 2016, there has been a trend towards mandatory nutrition labelling, as many more countries have adhered to this policy [17]. Currently, labelling is mandatory for the member countries of the European Union (EU) and Mercosul (Argentina, Brazil, Paraguay, and Uruguay), the USA, Canada, Mexico, Chile, Colombia, Ecuador, Israel, India, Indonesia, China, Hong Kong, South Korea, Malaysia, Taiwan, Australia, New Zealand, Arabian Gulf countries, the Philippines, Thailand, and Japan. However, food labelling regulations vary across countries. For instance, in some countries, nutrients must be listed per 100 g or mL, whilst other countries require that nutrition information be presented per serving size. In addition, in some countries, the reference serving size of each food is defined by regulation, whereas in others, it is the manufacturer’s responsibility to define it [16]. Some studies have suggested that variation in declared serving size may affect the amount of nutrients reported on the nutrition information label [18,19] as well as the consumers’ understanding of nutrition information [20]. It has been suggested that the lack of clarity in serving size is often related to the possibility of declaring servings smaller than the usual portion consumed by the population [21]. Furthermore, the use of terms such as ‘small’, ‘medium’, and ‘large servings’ hinders comprehension, as interpretations of such terms may vary [21]. These factors may compromise the usability of nutrition information and consequently, the goals of nutrition labelling. In order to stimulate the debate on serving size labelling of packaged foods, this narrative review aimed to discuss [1] current legislation regarding serving size and [2] the implications of variation in serving size for the nutrition information of packaged foods. Search Strategy Data collection was carried out through a literature search of articles available on Pubmed/Medline, Scielo, Web of Science, and Scopus databases as well as on websites of national and international governing bodies. The literature search was performed in February 2018. The terms used in the search comprised two categories that were combined: (a) nutrition labelling (nutrition labelling/food labelling/nutrition facts/nutrition information/serving size/portion size/reference amount customarily consumed) and (b) packaged foods (industrialised foods/packaged foods/processed foods/ultraprocessed foods/industrialised products). Date-related restrictions or other search filters were not used. As the terms ‘portion size’ and ‘serving size’ are sometimes used interchangeably [22], both terms were included in the search. However, it is widely accepted that these terms have different meanings [20]. Portion size refers to ‘the amount of food intended to be consumed by an individual in a single eating occasion’, whereas serving size refers to ‘the quantity recommended to be consumed in a single eating occasion’ [20,22]. Therefore, articles using the term ‘portion size’ were only included in the study if the term was actually used to refer to ‘serving size’. Articles that discussed serving size in the context of nutrition labelling were selected. We also selected articles that addressed the implications of serving size for energy values and any nutrient content. Discussions are presented separately by nutrient. This research does not guarantee the representativeness of the findings for a quantitative analysis. Rather, it focuses on the adequacy of information regarding the selected topic. Thus, articles with similar sources and repeated information were excluded, prioritizing original sources. Additionally, only food labelling legislations of countries where the selected studies took place are discussed in this review. The discussion of the current legislation on nutrition labelling, therefore, may not represent the totality of countries with laws that require the presentation of serving size on food labels. 2. Current Legislation on Nutrition Labelling Regarding Serving Size A total of 35 countries have mandatory legislation on food labelling and require or recommend that nutrition information be listed on a serving size basis, as shown in Table 1. However, these regulations differ in terms of the definition of serving size. The legislations of Australia, New Zealand, Canada, the USA, and the European countries define serving size as the average amount customarily consumed in one occasion [23–26]. However, this is not in accordance with the previously stated definition of serving size—that is, the amount ‘recommended’ to be consumed on one eating occasion [20,22]. Moreover, the term ‘customarily consumed’ could imply the amount of food ‘intended’ to be consumed which is more consistent with the definition of ‘portion size’ [20,22]. In the USA, the National Academy of Medicine reported that the serving size recommended by food guides should serve as the main criterion for defining food labelling serving sizes. According to this agency, using the recommended serving size, as opposed to the amount customarily consumed, would facilitate the use of this information in nutrition education programmes [27]. However, this recommendation has not been adopted by USA regulatory agencies. The Food and Drug Administration (FDA) stated that the use of recommended serving sizes is not mandatory in nutrition labelling because of the lack of nutritionally adequate servings for some processed foods, such as sweets and pastries [28]. In contrast, the legislations of Mercosul countries [29,30] have established recommended serving sizes for foods. In Brazil, the reference serving size for each food is based on a 2000 calorie diet [31]. However, reference serving sizes are not defined for foods that do not have recommended serves, such as sauces, ready-made spices, broths, soups, and prepared dishes. Considering the increase in consumption of ready-to-eat foods in Brazil [6], the importance of defining the average energy value per serving and serving size in grams or millilitres for these packaged foods is highlighted [32]. Table 1. Nutrition labelling and serving size definition in countries with mandatory nutrition labelling. \| Country \| Serving Size (g or mL) \| Variation is Allowed \| No. of Servings per Package \| Household Measures \| Per 100 g or 100 mL \| Definition of a Serving \| \|-------------------------------\|------------------------\|----------------------\|-----------------------------\|--------------------\|---------------------\|----------------------------------------------------------------------------------------\| \| Mercosul countries¹ \| x \| x \| \| \| \| Average amount of food that should be consumed by healthy people on one eating occasion for health promotion [29,30] \| \| Australia and New Zealand \| x \| x \| \| \| x \| Average amount of food customarily consumed on one occasion [23,24] \| \| Canada \| x \| x \| \| \| x \| Amount of food customarily consumed on one eating occasion [25] \| \| United States of America \| x \| x \| x \| x \| \| Amount of food customarily consumed on one eating occasion by persons aged four years or more [26] \| \| European countries² \| x \| x \| x \| \| x \| Amount of food customarily consumed on one occasion [33] \| Note: ¹ Southern Cone Common Market (Mercosul): Argentina, Brazil, Paraguay, and Uruguay. ² Germany, Austria, Belgium, Bulgaria, Cyprus, Croatia, Denmark, Slovakia, Slovenia, Spain, Estonia, Finland, France, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Poland, Portugal, Republic Czech Republic, Romania, and Sweden. There are also differences in the requirements for nutrition labelling presentation (Table 1). For instance, in the USA, where labelling became mandatory in 1990 [28], nutrition information must be presented per serving size with corresponding household measures and the total number of servings per package [26]. For processed foods sold in individual portions that have a total content of less than 200% of the size of the reference serving size may label the entire content of the package as one serving. Foods with a total content between 200% and 300% of the reference serving size should present the nutrition information in two columns, per serving size and per total content, in addition to including the number of servings contained in the product. The reference amounts customarily consumed (RACCs) of each packaged food is defined on the basis of data from Nationwide Food Consumption Surveys of the USA and represents the amount generally consumed per eating occasion by persons aged four years or more [26,28]. In 2016, reference serving sizes were updated, as many were underestimating the current consumption of the USA population [26]. Australia and New Zealand made food labelling compulsory in 2000. Although current regulations require nutrition information to be presented per 100 g or mL and per serving, the serving size is determined by the food manufacturer [24]. The use of nutrition information on a serving size basis is intended to assist consumers in determining their energy and nutrient intakes, whereas nutritional information per 100 g or mL is used to compare nutritional values between similar foods. The presentation of nutrition information in common household measures is not mandatory but is encouraged [23]. Canada introduced compulsory nutrition labelling in 2003. Legislation requires nutrition information to be presented in terms of serving size accompanied by its respective household measure [25]. In 2016, changes were made to nutrition labelling policies which must be implemented by 2021 [34]. The new requirements include changes to the size of reference servings to reflect the amounts customarily consumed by the Canadian population on a single eating occasion. Reference serving sizes and permitted variations were determined for each food category to give some flexibility to the food industry. Yet, if the product is usually consumed in one eating occasion and its total content accounts for up to 200% of the reference serving size, the declared serving should represent the total content of the food, even if, in that case, the serving size is outside the limits allowed by legislation. With regard to household measures, if the food is customarily consumed as a whole, the use of fractions is not allowed, for instance, in the case of a cookie [25]. In 2006, Argentina, Brazil, Paraguay, and Uruguay implemented a harmonised nutrition labelling legislation, which requires mandatory nutrition labelling in terms of serving size and in household measures [29,30]. Brazilian regulations allow variation of up to 30% in relation to the reference serving size in grams or millilitres for individually packaged foods or foods sold as individualised units in a pack. For instance, for foods that have a reference serving size of 50 g, a serving size of 35 g to 65 g can be used in the nutrition information. Additionally, variation in the energy value of up to 500 calories is allowed for ready-to-eat products [31]. Brazilian regulations also state the dimensions and capacities of the main household utensils and allow household measures to be presented in whole numbers or fractions. The regulations suggest ideal household measures for each food group; however, the food industry is responsible for defining the most appropriate household measure. For this, utensils commonly used by the population, such as cutlery, cups, teacups, or other forms of measures, such as slices, fractions, or units, can be chosen. This recommendation allows the serving sizes (in household measures) of foods to be declared in fractions, possibly compromising comprehension and consumer rights to clear and precise information [13]. Regulations on nutrition labelling in the EU have existed since 1990 [35]; however, they only became mandatory in 2011 and effective as of December 2016 [33]. Regulations on nutrition labelling were established with the aim of harmonising the EU internal market and promoting healthier food choices. The current regulations require that nutrition information be declared per 100 g or mL to allow the comparison of foods of different sizes. However, it is also encouraged that nutrition information in terms of serving size and the total number of servings be declared, although there are no pre-established values. The definition of reference serving sizes is the responsibility of each manufacturer, but it should represent the amount customarily consumed of that product. As shown above, some countries, such as Australia, New Zealand, and European countries, allow variation in declared serving size among similar foods, as serving sizes are defined by the food manufacturers. However, even in countries that establish reference serving sizes, declared serving sizes may differ from the references. This may hinder comparison among similar food products and affect consumer food choices, especially if the serving size is declared without a standardised measure, for example, per 100 g or mL, as happens in countries, such as the USA, Canada, and Mercosul countries. In addition, some countries do not require household measures and/or number of servings per package in food labelling which may also compromise the interpretation of the nutrition information. These issues may affect the quantity of nutrients declared. In fact, several studies have discussed the variation in serving sizes and household measures and its relationship with nutrition information labels [18,36–38], as discussed in the following section. 3. Declared Serving Size on Packaged Foods A study conducted in Australia analysed 1070 packaged food labels at a Melbourne supermarket and found that among ready-to-eat products, serving sizes varied from 18 to 100 g, precluding a comparison of nutritional values between products [36]. Yang et al. [39] evaluated the nutrition information displayed on 4046 packaged foods marketed in four supermarkets in Sydney. The authors observed variation of up to 59% in serving sizes among foods of the same group. Furthermore, only 24% of the analysed products had declared serving sizes similar (within ±10%) to the standard serving sizes of the Australian Dietary Guidelines. In the USA, Young and Nestle [40] conducted a study to determine portion sizes in the USA marketplace, compare them with federal regulations, and evaluate their changes over time. The study reported that serving sizes of similar industrialised products are not standardised and can vary, even between products of the same brand. The authors adverted that food companies may be using serving sizes as a strategy to stimulate product sales. Within the limits established by legislation, food manufacturers try to report the lowest values possible for energy content and certain nutrients, such as trans fats and sodium. A study conducted in Canada compared the serving sizes declared on the nutrition labels of 10,487 packaged foods with those established by the Canadian Nutrition Labelling regulations and guidelines [41]. The authors observed that 35% of the products had serving sizes that were smaller than the standard reference size and that 23% exceeded the reference values. The serving sizes of several products included in the food categories of breads and juices exceeded the recommended sizes. Dairy products had the largest number of irregularities, presenting smaller serving sizes than the recommended ones. Furthermore, there was a tendency to report smaller serving sizes for products with higher calorie densities [41]. In Brazil, Grandi and Rossi [42] evaluated the nutrition labelling of 142 industrialised fermented dairy products and found nonconformities in declared serving sizes. Yoghurts and dairy drinks had declared servings varying from 100 to 200 g, even though the serving size recommended by legislation is 200 g. The variation in serving size was greater than that allowed by Brazilian legislation (140–260 g). An even greater variation in serving sizes of dairy products marketed in Brazil was found by Kliemann et al. [43]. The authors analysed serving sizes of all processed and ultraprocessed foods sold in a Brazilian supermarket, totalling 2072 products. A great variation in serving size was observed among similar products—the serving sizes of dairy products varied from 75 to 300 g, whereas those of ready-to-eat and semi-ready products varied between 55 and 240 g. This variability may compromise the analysis and the comparison of foods by consumers at the time of purchase [43]. The lack of standardisation of nutrition labels also occurs in relation to household measures. A study by Kraemer et al. [37] evaluated the nutrition information shown in 1071 processed foods marketed in Brazil and associated the fractionation of common measures (e.g., half a unit of biscuit) with the portions consumed by the Brazilian population and serving sizes declared on labels. The results showed that, on average, foods that had fractional household measures presented a serving size 3.2 times smaller than that consumed by the Brazilian population. The authors also reported that fractional household measures commonly appear on labels of products that are eaten as a whole, such as sandwich cookies and frozen meatballs. This situation may compromise the understanding of nutrition information, as the declared values can confuse the consumer by requiring calculations for adequate comprehension [37,44]. In addition, the use of household measures that are not appropriate for the food product may have a detrimental effect on dietary intake, as consumers may ingest larger amounts than the recommended [45]. 3.1. Declared Serving Size versus Energy Value on Food Labels Drewnowski et al. [38] evaluated the nutrition information of 378 processed foods sold in the USA and found an inverse relationship between declared serving size and energy density. Sweet drinks, yoghurts, and soups that have a high water content and low energy density presented serving sizes between 200 and 240 g. Fruits and mixed dishes presented average serving sizes of 100 g. Meat, beans, cheeses, nuts, and ready-to-eat cereals presented serving sizes of less than 100 g. Kliemann et al. [18] observed similar results in Brazil. The study evaluated the association between declared serving size, its variation, and the energy value of foods. A total of 1953 processed foods were analysed, of which the majority (72%) complied with the standard serving sizes determined by Brazilian legislation [31]. However, substantial variation was observed among serving sizes of similar food products, which were higher in energy dense foods. The authors reinforced the concern that serving size variation among similar products may confuse the consumer, as it also causes variation in the energy values of foods and may render the comparison between products difficult [18]. Vanderlee et al. [46] investigated consumer understanding of calorie content per serving and per container in sweetened beverages in Canada. The study found that only 11.8% of the participants who viewed the products’ calorie information per serving correctly identified their total calorie content, compared to 91.8% who saw the products’ calorie information per container. Thus, consumers may have difficulty estimating their calorie intake when the nutrition information is shown only per serving. Machado et al. [47] evaluated the serving sizes and energy values of processed and ultraprocessed dairy products by comparing their traditional versions with their diet/light versions. The authors analysed 451 products marketed in Brazil, including yoghurts, dairy drinks, and cheeses. Similar to the report by Kliemann et al. [18], even though most of the analysed products declared servings within legal limits, there was great variation in serving size among similar foods. Creamy and ricotta cheeses appeared at the top in the ranking of variation among similar products—the largest serving size was six times that of the smallest serving size. The same pattern was observed regarding energy values. The authors concluded that the food industry may be using smaller serving sizes to display lower energy values on nutrition labels, thereby allowing them to claim that the product is light or diet on the front-of-package (FoP) [47]. This variability in serving size may mislead consumers at the point of purchase, given the difficulty in comparing similar products. 3.2. Serving Size versus Presence of Trans Fatty Acids on Food Labels In previous decades, several studies have shown the negative effects of trans fatty acids on human health [48–50]. As a result, since 2004, the WHO has recommended that trans fats should be eliminated from the diet [14]. Recently, a new goal has been launched by the WHO in a partnership with Resolve to Save Lives to eliminate industrially-produced trans fats by 2023 [51]. The initiative, named ‘REPLACE’, comprises a set of actions to provide countries with the tools they need in order to eliminate industrially-produced trans fats from national food supplies [51]. The main source of trans fatty acids is processed foods [52]. Therefore, nutrition information labels—the means of communication between industries and consumers regarding the nutritional properties of foods—are of great importance to allow consumers to reduce their intake of trans fats [14]. The labelling of trans fatty acid content per serving size has been mandatory in Brazil since 2003 [53]. However, the same regulation that determines this measure also allows products containing up to 0.2 g of trans fat per serving to state on the nutrition information label that they contain 0 g of trans fat. In addition, another regulation regarding nutrition claims allows food containing up to 0.1 g of trans fat per serving to advertise a ‘zero trans’ nutrition claim on the FoP [54]. Silveira et al. [55] analysed the labelling of trans fats on packaged foods sold in Brazil by evaluating ingredient lists, nutrition information labels, and FoP claims. The authors observed that 50% of the 2327 analysed foods contained trans fatty acids according to the ingredients list, but only 18% of them reported that trans fat was present in a serving. The study found a high percentage of false negative reports; that is, the percentage of foods that declared zero trans per serving but cited ingredients that contained trans fat in the ingredients list ranged from 40% to 60% in most food groups. Similar nonconformities were also observed in FoP claims. Thus, false properties or nutrition claims, such as the claim that the food is ‘zero trans’, can be declared depending on the serving size adopted [55,56]. Studies have indicated that the intake of trans fat in Brazil may be greater than the perceived by the consumer [37,52,55]. Hissanaga et al. [52] showed that the intake of nutrients is directly proportional to the serving size. Therefore, if the portion size of a food is larger than the serving size, the intake of trans fat and other nutrients will be greater than the values reported on the label. Kraemer et al. [37] correlated the average portion size consumed by the Brazilian population, according to data from the 2008–2009 Consumer Expenditure Surveys, with the serving size and content of trans fatty acids declared on the nutrition information label of processed and ultraprocessed foods. In the evaluated food groups, comprising biscuits, chocolate, and frozen foods, the customarily consumed portion was higher than the declared serving size for 88% of the products. The authors observed that the average portion size of foods that reported trans fatty acids on the ingredients list was 9.2 times greater than the serving size that appeared on nutrition information labels. In addition, they observed that foods classified as ‘false negatives’ (i.e., foods that reported trans fatty acids in the ingredients list but claimed not to contain this fat on the nutrition information label) were greatly consumed. This is a concerning situation, as the reference serving size in Brazil is based on recommendations for a 2000 calorie daily diet [53]. Other countries, such as the USA, England, and Canada, may be facing a similar situation to that reported in Brazil, as some studies have reported that these populations are consuming portions larger than the serving sizes [21,57–62]. Thus, consumers in these countries may have a high intake of trans fatty acids without being aware of it [18,59]. ### 3.3. Serving Size versus Sodium Content on Packaged Food Labels Packaged foods are considered important sources of sodium, and an excessive consumption of this micronutrient has been associated with the development of noncommunicable diseases [14]. Martins et al. [63] evaluated the sodium content of processed and ultraprocessed pre-prepared and prepared foods consumed for lunch or dinner in Brazil. The 1411 foods included in the study were classified as high-, medium-, or low-sodium according to definitions adopted in the United Kingdom (UK) [64]. The study showed that 60% of the analysed foods were classified as high-sodium. In addition, the authors emphasised the need to facilitate the identification of sodium content in nutrition information labels, recommending the standardisation of serving size per 100 g or mL as one of the main measures. Kraemer et al. [65] also highlighted the need to standardise the serving size to declare the sodium content in food. The study analysed the sodium content of processed and ultraprocessed foods consumed by children and adolescents as snacks. The authors reported great variation in serving size within the same group of foods as well as great variation in the declared sodium content. As an example, they quoted two chocolates, one with a serving size of 50 g and another of 17 g. In the nutrition information label, the chocolate with a serving size of 50 g had a higher sodium content. However, when the sodium content was adjusted to 100 g, the chocolate with a serving size of 17 g had a higher content of this micronutrient than the other product. Similar results were found by Nishida et al. [66] after analysing 3449 conventional packaged foods and packaged foods, with nutrition claims suggesting reduced levels or the absence of nutrients in Brazil. In general, the sodium content of foods with these claims was 43% higher than that of conventional foods, demonstrating how variation in serving size may compromise the analysis of the nutritional content of foods, inducing the perception that a food is free or reduced in nutrients when, in reality, it is not. This situation portrays the concern raised by several authors—that the lack of standardisation in serving size as well as the variation permitted by law may confuse the consumer at the time of purchase [18,37,43,63]. 4. Discussion and Conclusions This study focused on the critical discussion of nutrition labelling in regard to serving size. The importance and novelty of this study lie in the global panorama of the topic and the implications of serving size for consumer health. Numerous problems were observed regarding the presentation of serving size on food labels. Several countries have chosen to declare nutrition information on a serving size basis but allow variation in serving size, which may compromise the comparability of similar foods and food choices. Studies have also indicated that this flexibility in serving size labelling may be used as a marketing strategy by the food industry to present food products as healthier to consumers by reporting smaller serving sizes and consequently, lower energy values and lower trans fatty acid contents. In addition, the present study demonstrated that noncompliance to the reference serving size is not being used to declare more appropriate household measures, for example, one biscuit instead of half a biscuit. These issues may also lead to portion distortion, which is when individuals do not realise that their actual portion size exceeds the serving size [67]. Even more alarming is the fact that higher energy density food products tend to report smaller serving sizes than the reference size, as shown in the present review. Consequently, individuals may overconsume high energy density foods without being aware of doing so. Moreover, in some countries, the reference serving size represents the portion size customarily consumed in one eating occasion. Although this could potentially help the understanding and correct estimation of serving sizes, it does not facilitate the use of this information for the promotion of healthy eating behaviours [27]. Considering that the increased consumption of ultraprocessed foods associated with increased portion size has been linked to obesity [3,10,11], the presentation of serving size on food labels may be an important tool to help the population make informed decisions about their diet and lifestyles. In fact, several studies have shown that consumers across the globe prefer nutrition labels with serving sizes as this helps them to determine the amount to buy, eat, or prepare and thereby, control their food intake [68,69]. Conversely, serving size is one of the least understood items on food labels by consumers [16,67]. Therefore, taking into account the issues raised by this review and the relevance of serving size information, there is a great need to define the best format to present serving size on food labels in order to provide clear and easily comprehensible nutrition information to the consumer. European countries, Australia, and New Zealand have provided some alternatives for the serving size issue by requiring the inclusion of nutrition information per 100 g or mL. In this manner, variation in serving size can be maintained, allowing the industry to declare more feasible servings and facilitating the determination of consumed amounts without hindering the comparison between similar products. The use of FoP labels, which has increased across the globe [70,71], may also be a potential solution for the issues raised in this review. The FoP is a type of label that presents the nutrition information in a clearly visible area at the front of the package. However, the FoP system varies greatly among countries [70,71]. In the UK, for example, the FoP is usually provided per 100 g or mL only; per 100 g or mL and serving size; or per serving size only [72], but the energy value must always be presented per 100 g or mL. Grunert et al. [73] investigated the understanding and use of nutrition information among UK consumers and found that 87.5% were able to identify the healthiest product in a set of three using the FoP. Each label contained information per 100 g or mL on the back of the package and a FoP label per serving. Thus, providing nutrition information per 100 g or mL alongside information per serving size in a FoP system may help the consumer to correctly interpret the nutrition information and potentially make healthier choices. Recently, Chile implemented a warning FoP label for products that exceed the cut-offs defined by law for critical nutrients, for instance, when sodium exceeds 300 g per serving [74]. Different formats of warnings were tested with a convenience sample of 1300 low- and middle-income women. The results suggested that an ‘Excess of’ FoP warning message displayed in a black and white octagon had the best performance in terms of visibility, comprehension, and change in intention-to-buy, even after adjusting for educational level [74]. However, it is important to note that the Chilean legislation does not mandate reference serving sizes and that the FoP warning was based on a serving size of 50 g or more. Therefore, even though FoP warnings seem to help the identification of unhealthy food products, variation in serving size is expected between similar products which may affect the comparison of food products. Reporting the number of servings per package may also help in the understanding of the nutrition information and may reduce portion distortion [21]. Pelletier et al. [75] conducted a study with 90 adults in the USA and showed that most of the participants interpreted the serving size as referring to the size of the entire package and were unaware of the fact that the package had multiple servings. The use of household measures is also thought to reduce portion distortion and help consumers to determine their food intake [21,76]. However, the use of fractions for household measures should not be allowed when the product is consumed as a whole, following the example of the Canadian legislation [25]. The inclusion of symbols and pictures has also been suggested as an alternative to improve the understanding of nutrition information [69]. The inclusion of nutrition information per 100 g or mL alongside serving size, household measures, and number of servings may help address the issues raised in this review; however, there is limited evidence to support this hypothesis. Studies exploring the impacts of different nutrition labelling formats regarding serving size presentation on consumers’ understanding and the use of nutrition information are urgently needed. Although food labelling is one of several policies aimed at reducing obesity rates, gathering more evidence on the effect of serving size information on healthy food choices will allow the adoption of more cost effective obesity prevention actions. Author Contributions: R.P.C.P., N.K., and M.V.S.K. contributed to the conception of this study. T.S. was responsible for the literature search. N.K. and M.V.S.K. wrote the manuscript. T.S., V.M.R., P.L.U., G.L.B., A.C.F., and R.P.C.P. critically reviewed the manuscript. All authors read and approved the final manuscript. Funding: This review article was funded by the Pan American Health Organization through an agreement letter from the Food and Nutrition Coordination of the Brazilian Ministry of Health. Conflicts of Interest: The authors declare no conflict of interest. References 1. Popkin, B.M.; Adair, L.S.; Ng, S.W. Global nutrition transition and the pandemic of obesity in developing countries. Nutr. Rev. 2012, 70, 3–21. [CrossRef] [PubMed] 2. Martins, A.P.B.; Levy, R.B.; Claro, R.M.; Moubarac, J.C.; Monteiro, C.A. Increased contribution of ultra-processed food products in the Brazilian diet (1987–2009). Rev. Saude Publica 2013, 47, 656–665. [CrossRef] [PubMed] 3. Monteiro, C.A.; Moubarac, J.C.; Levy, R.B.; Canella, D.S.; Louzada, M.L.D.; Cannon, G. Household availability of ultra-processed foods and obesity in nineteen European countries. Public Health Nutr. 2018, 21, 18–26. [CrossRef] [PubMed] 4. Steele, E.M.; Baraldi, L.G.; Louzada, M.L.D.; Moubarac, J.C.; Mozaffarian, D.; Monteiro, C.A. Ultra-processed foods and added sugars in the US diet: Evidence from a nationally representative cross-sectional study. BMJ Open 2016, 6, e009892. [CrossRef] [PubMed] 5. Batal, M.; Johnson-Down, L.; Moubarac, J.C.; Ing, A.; Fediuk, K.; Sadik, T.; Tikhonov, C.; Chan, L.; Willows, N. Quantifying associations of the dietary share of ultra-processed foods with overall diet quality in First Nations peoples in the Canadian provinces of British Columbia, Alberta, Manitoba and Ontario. Public Health Nutr. 2018, 21, 103–113. [CrossRef] [PubMed] 6. Louzada, M.L.D.; Ricardo, C.Z.; Steele, E.M.; Levy, R.B.; Cannon, G.; Monteiro, C.A. The share of ultra-processed foods determines the overall nutritional quality of diets in Brazil. Public Health Nutr. 2018, 21, 94–102. [CrossRef] [PubMed] 7. Nielsen, A.J.; Popkin, B.M. Patterns and trends in food portion sizes, 1977–1998. J. Am. Med. Assoc. 2003, 289, 450–453. [CrossRef] 8. Pereira, J.L.; Mendes, A.; Crispim, S.P.; Marchioni, D.M.; Fisberg, R.M. Association of Overweight with Food Portion Size among Adults of Sao Paulo—Brazil. PLoS ONE 2016, 11, e0164127. [CrossRef] [PubMed] 9. Cediel, G.; Reyes, M.; Louzada, M.L.D.; Steele, E.M.; Monteiro, C.A.; Corvalan, C.; Uauy, R. Ultra-processed foods and added sugars in the Chilean diet (2010). Public Health Nutr. 2018, 21, 125–133. [CrossRef] [PubMed] 10. Da Costa Louzada, M.L.; Baraldi, L.G.; Steele, E.M.; Martins, A.P.B.; Canella, D.S.; Moubarac, J.C.; Levy, R.B.; Cannon, G.; Afshin, A.; Imamura, F.; et al. Consumption of ultra-processed foods and obesity in Brazilian adolescents and adults. Prev. Med. 2015, 81, 9–15. [CrossRef] [PubMed] 11. Livingstone, M.B.E.; Pourshahidi, L.K. Portion Size and Obesity. Adv. Nutr. 2014, 5, 829–834. [CrossRef] [PubMed] 12. Fiolet, T.; Srour, B.; Sellem, L.; Kesse-Guyot, E.; Alles, B.; Mejean, C.; Deschenaux, M.; Fassier, P.; Latino-Martel, P.; Beslay, M.; et al. Consumption of ultra-processed foods and cancer risk: Results from NutriNet-Sante prospective cohort. BMJ 2018, 360, k322. [CrossRef] [PubMed] 13. Brasil. Lei nº 8.078, de 11 de Setembro de 1990: Dispõe Sobre a Proteção do Consumidor e dá Outras Providências; Diário Oficial da União: Brasília, Brazil, 1990. 14. World Health Organization. Global Strategy on Diet, Physical Activity and Health. Available online: http://www.who.int/dietphysicalactivity/strategy/eb11344/strategy_english_web.pdf (accessed on 27 February 2018). 15. World Health Organization. UN Food and Agriculture Organization. Codex Alimentarius: Food Labelling. Available online: http://www.fao.org/docrep/010/a1390e/a1390e00.htm (accessed on 25 February 2018). 16. World Health Organization. Nutrition Labels and Health Claims: The Global Regulatory Environment. Available online: http://apps.who.int/iris/bitstream/10665/42964/1/9241591714.pdf (accessed on 28 February 2018). 17. The European Food Information Council. Global Update on Nutrition Labelling; European Food Information Council: Brussels, Belgium, 2016. 18. Kliemann, N.; Veiros, M.B.; Gonzalez-Chica, D.A.; Proenca, R.P.C. Serving size on nutrition labeling for processed foods sold in Brazil: Relationship to energy value. Rev. Nutr. 2016, 29, 741–750. [CrossRef] 19. Cleanthous, X.; Mackintosh, A.M.; Anderson, S. Comparison of reported nutrients and serve size between private label products and branded products in Australian supermarkets. Nutr. Diet. 2011, 68, 120–126. [CrossRef] 20. Faulkner, G.P.; Pourshahidi, L.K.; Wallace, J.M.W.; Kerr, M.A.; McCrorie, T.A.; Livingstone, M.B.E. Serving size guidance for consumers: Is it effective? Proc. Nutr. Soc. 2012, 71, 610–621. [CrossRef] [PubMed] 21. Steenhuis, I.H.M.; Vermeer, W.M. Portion size: Review and framework for interventions. Int. J. Behav. Nutr. Phys. Act. 2009, 6, 58. [CrossRef] [PubMed] 22. Institute of Grocery Distribution (IGD). Portion Size: A Review of Existing Approaches; Institute of Grocery Distribution: Hertford, UK, 2008. 23. Curran, M.A. Nutrition labelling: Perspectives of a bi-national agency for Australia and New Zealand. Asia Pac. J. Clin. Nutr. 2002, 11, S72–S76. [CrossRef] [PubMed] 24. Australia/New Zeland. Nutrition Information Panels Food Standards Australia and New Zealand 2015. Available online: http://www.foodstandards.gov.au/consumer/labelling/panels/Pages/default.aspx (accessed on 28 February 2018). 25. Canadá. Mandatory Information and Serving Size: Canadian Food Inspection Agency. Available online: http://www.inspection.gc.ca/food/labelling/food-labelling-for-industry/nutrition-labelling/information-within-the-nutrition-facts-table/eng/1389198568400/1389198597278?chap=1 (accessed on 1 March 2018). 26. USA. Changes to the Nutrition Facts Label: Food and Drug Administration. 2016. Available online: https://www.fda.gov/Food/GuidanceRegulation/GuidanceDocumentsRegulatoryInformation/LabelingNutrition/ucm385663.htm (accessed on 1 March 2018). 27. Earl, R.; Porter, D.V.; Wellman, N.S. Nutrition Labeling—Issues and Directions for the 1990s. J. Am. Diet Assoc. 1990, 90, 1599–1601. [PubMed] 28. Taylor, C.; Wilkening, V.L. How the nutrition food label was developed, Part 1: The nutrition facts panel. J. Am. Diet Assoc. 2008, 108, 437–442. [CrossRef] [PubMed] 29. Mercosul. GMC/Resolução n° 44/03, de 10 de Dezembro de 2003: Aprova o Regulamento Técnico do Mercosul para Rotulagem Nutricional de Alimentos Embalados; Mercosul: Montevideu, Uruguay, 2003. 30. Mercosul. GMC/Resolução n° 46/03, de 10 de Dezembro de 2003: Aprova o Regulamento Técnico do Mercosul para Rotulagem Nutricional de Alimentos Embalados; Mercosul: Montevideu, Uruguay, 2003. 31. Brasil. Resolução RDC n° 359, de 23 de Dezembro de 2003. A Diretoria Colegiada da ANVISA/MS Aprova Regulamento Técnico de Porções de Alimentos Embalados para Fins de Rotulagem Nutricional; Agência Nacional de Vigilância Sanitária: Brasília, Brazil, 2003. 32. Ferreira, A.B.; Lanfer-Marque, U.M. Brazilian food labeling regulations. Rev. Nutr. 2007, 20, 83–93. [CrossRef] 33. Europe. Regulamento (UE) Número 1169/2011 do Parlamento Europeu e do Conselho da União Europeia de 25 de Outubro de 2011, Relativo à Prestação de Informação aos Consumidores Sobre os Gêneros Alimentícios; Jornal Oficial da União Europeia: Estrasburgo, France, 2011. 34. Canadá. Food Labelling Changes: Government of Canada. Health Canada. Available online: https://www.canada.ca/en/health-canada/services/food-labelling-changes.html (accessed on 1 March 2018). 35. Europe. Council Directive 90/496/EEC on Nutrition Labelling for Food Stuffs. 1990. Available online: https://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CONSLEG:1990L0496:20081211:EN:PDF (accessed on 26 February 2018). 36. Walker, K.Z.; Woods, J.L.; Rickard, C.A.; Wong, C.K. Product variety in Australian snacks and drinks: How can the consumer make a healthy choice? Public Health Nutr. 2008, 11, 1046–1053. [CrossRef] [PubMed] 37. Kraemer, M.V.S.; Machado, P.P.; Kliemann, N.; Chica, D.A.G.; Proenca, R.P.D. The Brazilian population consumes larger serving sizes than those informed on labels. Br. Food J. 2015, 117, 719–730. [CrossRef] 38. Drewnowski, A.; Maillot, M.; Darmon, N. Should nutrient profiles be based on 100 g, 100 kcal or serving size? Eur. J. Clin. Nutr. 2009, 63, 898–904. [CrossRef] [PubMed] 39. Yang, S.; Gemming, L.; Rangan, A. Large Variations in Declared Serving Sizes of Packaged Foods in Australia: A Need for Serving Size Standardisation? Nutrients 2018, 10, 139. [CrossRef] [PubMed] 40. Young, L.R.; Nestle, M. Expanding portion sizes in the US marketplace: Implications for nutrition counseling. J. Am. Diet Assoc. 2003, 103, 231–234. [CrossRef] [PubMed] 41. Chan, J.Y.M.; Scourboutakos, M.J.; L’Abbe, M.R. Unregulated serving sizes on the Canadian nutrition facts table—An invitation for manufacturer manipulations. BMC Public Health 2017, 17, 418. [CrossRef] [PubMed] 42. Grandi, A.Z.; Rossi, D.A. Avaliação dos itens obrigatórios na rotulagem nutricional de produtos lácteos fermentados. Rev. Inst. Adolfo Lutz 2010, 69, 62–68. 43. Kliemann, N.; Veiros, M.B.; Gonzalez-Chica, D.A.; Proenca, R.P.D. Reference serving sizes for the Brazilian population: An analysis of processed food labels. Rev. Nutr. 2014, 27, 329–341. [CrossRef] 44. Campos, S.; Doxey, J.; Hammond, D. Nutrition labels on pre-packaged foods: A systematic review. Public Health Nutr. 2011, 14, 1496–1506. [CrossRef] [PubMed] 45. Lando, A.M.; Labiner-Wolfe, J. Helping consumers make more healthful food choices: Consumer views on modifying food labels and providing point-of-purchase nutrition information at quick-service restaurants. J. Nutr. Educ. Behav. 2007, 39, 157–163. [CrossRef] [PubMed] 46. Vanderlee, L.; Goodman, S.; Sae Yang, W.; Hammond, D. Consumer understanding of calorie amounts and serving size: Implications for nutritional labelling. Can. J. Public Health 2012, 103, e327–e331. [PubMed] 47. Machado, P.P.; Kraemer, M.V.S.; Kliemann, N.; Colussi, C.F.; Veiros, M.B.; Proença, R.P.C. Serving sizes and energy values on the nutrition labels of regular and diet/light processed and ultra-processed dairy products sold in Brazil. Br. Food J. 2016, 118, 1579–1593. [CrossRef] 48. Scheeder, M.R.L. About the trans-(hi) story: How did trans fatty acids enter the human food chain. Am. Oil Chem. Soc. 2007, 18, 133–135. 49. Oomen, C.M.; Ocké, M.C.; Feskens, E.J.M.; van Erp-Baart, M.A.J.; Kok, F.J.; Kromhout, D. Association between trans fatty acid intake and 10-year risk of coronary heart disease in the Zutphen Elderly Study: A prospective population-based study. Lancet 2001, 357, 746–751. [CrossRef] 50. Mozaffarian, D.; Clarke, R. Quantitative effects on cardiovascular risk factors and coronary heart disease risk of replacing partially hydrogenated vegetable oils with other fats and oils. Eur. J. Clin. Nutr. 2009, 63, S22–S33. [CrossRef] [PubMed] 51. Ghebreyesus, T.A.; Frieden, T.R. REPLACE: A roadmap to make the world trans fat free by 2023. Lancet 2018, 391, 1978–1980. [CrossRef] 52. Hisanaga, V.M.; Proenca, R.P.C.; Block, J.M. Trans fatty acids in Brazilian food products: A review of aspects related to health and nutrition labeling. Rev. Nutr. 2012, 25, 517–530. [CrossRef] 53. Brasil. Resolução—RDC n° 360, de 23 de Dezembro de 2003: Aprova Regulamento Técnico Sobre Rotulagem Nutricional de Alimentos Embalados, Tornando Obrigatória a Rotulagem Nutricional; Agência Nacional de Vigilância Sanitária: Brasília, Brazil, 2003. 54. Brasil. Resolução—RDC n° 54, de 12 de Novembro de 2012: Dispõe Sobre o Regulamento Técnico Sobre Informação Nutricional Complementar; Agência Nacional de Vigilância Sanitária: Brasília, Brasil, 2012. 55. Silveira, B.M.; Gonzalez-Chica, D.A.; Proença, R.P.C. Reporting of trans-fat on labels of Brazilian food products. Public Health Nutr. 2013, 16, 2146–2153. [CrossRef] [PubMed] 56. Gagliardi, A.C.; Mancini Filho, J.; Santos, R.D. Nutritional profile of foods with zero trans fatty acids claim. Rev. Assoc. Med. Bras. 2009, 55, 50–53. [CrossRef] [PubMed] 57. Schwartz, J.; Byrd-Bredbenner, C. Portion distortion: Typical portion sizes selected by young adults. J. Am. Diet Assoc. 2006, 106, 1412–1418. [CrossRef] [PubMed] 58. Reeves, S.; Wake, Y.; Zick, A. Nutrition labeling and portion size information on children’s menus in fast-food and table-service chain restaurants in London, UK. J. Nutr. Educ. Behav. 2011, 43, 543–547. [CrossRef] [PubMed] 59. Remig, V.; Franklin, B.; Margolis, S.; Kostas, G.; Nece, T.; Street, J.C. Trans Fats in America: A Review of Their Use, Consumption, Health Implications, and Regulation. J. Am. Diet Assoc. 2010, 110, 585–592. [CrossRef] [PubMed] 60. Ueland, O.; Cardello, A.V.; Merrill, E.P.; Lesher, L.L. Effect of Portion Size Information on Food Intake. J. Am. Diet Assoc. 2009, 109, 124–127. [CrossRef] [PubMed] 61. Arcand, J.; Scourboutakos, M.J.; Au, J.T.C.; L’Abbe, M.R. trans Fatty acids in the Canadian food supply: An updated analysis. Am. J. Clin. Nutr. 2014, 100, 1116–1123. [CrossRef] [PubMed] 62. Pantazopoulos, P.; Kwong, K.; Lillycrop, W.; Wong, L.; Gao, Y.; Chalouh, S.; Samadhin, M.; Ratnayake, W.N.; Krenosky, S.; Dumais, L.; et al. Trans and saturated fat on food labels in Canada: Fact or fiction? Can. J. Public Health 2011, 102, 313–316. [PubMed] 63. Martins, C.A.; de Sousa, A.A.; Veiros, M.B.; Gonzalez-Chica, D.A.; Proença, R.P.C. Sodium content and labelling of processed and ultra-processed food products marketed in Brazil. Public Health Nutr. 2015, 18, 1206–1214. [CrossRef] [PubMed] 64. United Kingdom—Food Standards Agency. Food Labels: Traffic Light Labelling; Food Standards Agency: London, UK, 2007. 65. Kraemer, M.V.S.; de Oliveira, R.C.; Gonzalez-Chica, D.A.; Proença, R.P.C. Sodium content on processed foods for snacks. Public Health Nutr. 2015, 19, 967–975. [CrossRef] [PubMed] 66. Nishida, W.; Fernandes, A.C.; Veiros, M.B.; Chica, D.A.G.; Proenca, R.P.D. A comparison of sodium contents on nutrition information labels of foods with and without nutrition claims marketed in Brazil. Br. Food J. 2016, 118, 1594–1609. [CrossRef] 67. Bryant, R.; Dundes, L. Portion distortion: A study of college students. J. Consum. Aff. 2005, 39, 399–408. [CrossRef] 68. The European Food Information Council (EUFIC). Consumer Response to Portion Size on Food and Drink Packaging: A Pan-European Study; The European Food Information Council: Brussels, Belgium, 2011; Available online: https://www.eufic.org/en/collaboration/article/eufic-forum-n-5-consumer-response-to-portion-information-on-food-and-drink (accessed on 1 March 2018). 69. Mandle, J.; Tugendhaft, A.; Michalow, J.; Hofman, K. Nutrition labelling: A review of research on consumer and industry response in the global South. Glob. Health Action 2015, 8, 25912. [CrossRef] [PubMed] 70. Feunekes, G.I.; Gortemaker, I.A.; Willems, A.A.; Lion, R.; van den Kommer, M. Front-of-pack nutrition labelling: Testing effectiveness of different nutrition labelling formats front-of-pack in four European countries. Appetite 2008, 50, 57–70. [CrossRef] [PubMed] 71. Hawley, K.L.; Roberto, C.A.; Bragg, M.A.; Liu, P.J.; Schwartz, M.B.; Brownell, K.D. The science on front-of-package food labels. Public Health Nutr. 2013, 16, 430–439. [CrossRef] [PubMed] 72. FSA. Nutrition Labelling. 2018. Available online: https://www.food.gov.uk/business-guidance/nutrition-labelling (accessed on 26 February 2018). 73. Grunert, K.G.; Wills, J.M.; Fernandez-Celemin, L. Nutrition knowledge, and use and understanding of nutrition information on food labels among consumers in the UK. Appetite 2010, 55, 177–189. [CrossRef] [PubMed] 74. Corvalan, C.; Reyes, M.; Garmendia, M.L.; Uauy, R. Structural responses to the obesity and non-communicable diseases epidemic: The Chilean Law of Food Labeling and Advertising. Obes. Rev. 2013, 14, 79–87. [CrossRef] [PubMed] 75. Pelletier, A.L.; Chang, W.W.; Delzell, J.E., Jr.; McCall, J.W. Patients’ understanding and use of snack food package nutrition labels. J. Am. Board Fam. Pract. 2004, 17, 319–323. [CrossRef] [PubMed] 76. Machado, P.P.; Kraemer, M.V.S.; Kliemann, N.; Gonzalez-Chica, D.A.; Proenca, R.P.D.C. Relationship among serving size information, household measurements and trans fat on the labels of food products. Mundo Saude 2013, 37, 299–311. [CrossRef]
2003 & 2004 Utah Property Tax Rates Sponsored by Utah Association of REALTORS ® "The Voice of Real Estate in Utah" Published by Utah Taxpayers Association 1578 West 1700 South, Suite 201 Salt Lake City, Utah 84104 Phone: (801) 972-8814 www.utahtaxpayers.org November 2004 Property Tax Rates This booklet lists 2003 and 2004 property tax rates for all taxing units in Utah. In 2004 there were over 600 entities authorized to impose property taxes in Utah. This included 29 county governments, 40 school districts, 237 cities and towns, and over 325 special taxing districts. The distribution of all property taxes is shown in the chart at the left. The tax rate is multiplied by the taxable value of the property to give the amount of taxes owed. The taxable value is a percentage of fair market value depending on the type of property. The percentages for the various classes of property are shown here: 1 Personal property which is part of a residence is exempt from property taxes. Motor vehicles are assessed a "fee-in-lieu" of taxes according to a graduated scale ranging from $10 to $150 depending on vehicle age. 2 Based on value for agricultural purposes. Sales Ratio Study The Utah State Tax Commission annually conducts an Assessment/Sales Ratio Study based on actual property sales to ensure that all locally assessed real property throughout the state is assessed uniformly based on market value. If a county's average assessed value for a particular class of property is greater than ±10% of fair market value, the Tax Commission will issue an order to "factor" the values in that county to bring them in line with market values. No factoring orders were issued for 2004. Instructions for Finding Tax Rate To find the tax rate, locate the page showing the county and school district in which the property is situated. Then find the municipality or incorporated area. The tax rate for 2004 can be found in the column "2004 Tax Rate." In those cases where the listing is followed by the words "Where applicable add A, B, C, etc.," these special district levies must be added if the property is situated within their boundaries. This can best be determined by examining a previous tax notice or by contacting the county assessor. The booklet is sponsored by the Utah Association of REALTORS ® UAR Mission Statement The purpose of the Utah Association of REALTORS ® is to serve its members representing all facets of the real estate industry by providing and promoting programs and services to enhance members' freedom and ability to conduct their business successfully, with integrity and competency, and through collective action to promote the preservation and extension of the right to own, transfer and use real property. Property Taxes—How Utah Compares While Utah ranks 13 th highest in total state and local taxes as a percent of personal income-- 3 rd highest when state/local fees are included-- Utah's property tax burden is lower than the national average according to two 2004 reports. The Utah Taxpayers Association's annual report "How Utah Compares" ranked Utah's property tax burden 38 th or 20.8% below the national average. The ranking resulted from dividing each state's total property taxes collected by each state's total personal income. Some politicians have suggested because of our relatively low property tax ranking that Utah's property taxes should be increased. However, if Utah's property tax burden were increased to the national average and all other taxes remained the same, Utah's total tax and fee ranking would rise to second place. A National Taxpayers Conference study also indicates that property tax burdens in Utah—particularly for homeowners—rank in the bottom twenty states. The study examined 2004 property tax rates and applied them to residential, commercial and industrial property in the largest urban city and the average rural city in each state. For Utah, property tax rates in Salt Lake City and Richfield were used for comparison. As demonstrated in the accompanying chart, the property tax burden in Utah varied significantly according to property type. Residential properties pay far less than similar properties in other states. Utah property taxes ranked 40 th for a rural residence and 47 th for an urban residence. A rural residence pays 54.8% of the U.S. average and an urban residence pays 60.4%. This low percentage is largely due to the exemption for primary residential property in Utah, which is taxed at 55% of market value, whereas, commercial and industrial properties are taxed at 100% of market value. Secondary residences (e.g. cabins) are also taxed at 100% of market value but were not part of the NTC study. Even though commercial and industrial properties are more heavily taxed than residences in Utah, their property taxes were still less than the national average, ranking from 22nd to 37th. Business and commercial properties in Utah pay from 76.4% to 87.0% of the national average for properties of similar value. \| 2004 Utah Property Taxes \| \|---\| \| Compared to U.S. \| Residential property: $150,000 land & buildings, Commercial property: $1 million land & buildings, $200,000 fixtures. Industrial property: $1 million land & buildings, $500,000 equipment, $400,000 inventories, $100,000 fixtures. * Urban ranking is based on 55 cities. Rural ranking is based on 50 cities. Source: National Taxpayers Conference Page 2 UTAH PROPERTY TAX RATES 2003 & 2004 2003 Tax Rate 2004 Tax Rate BEAVER COUNTY SPECIAL DISTRICTS 0.000375 0.000278 0.000665 0.000000 0.000000 A. Fire Service Dist. #1 D. Fire Service Dist. #2 E. Hosp. Service Dist. #3 F. Service District #4 G. Co. Mosquito Abatement #1 0.000366 0.000283 0.000678 0.000000 0.000000 H. Elk Meadows Service Dist. 0.001200 0.001138 UNINCORPORATED AREAS County Purposes School District Special District F Special District D,E 0.002041 0.002050 0.007888 0.000000 0.000943 0.010872 Where applicable add A,D,E,G,H CITIES & TOWNS Beaver City County, School, F Special District A Milford City County, School, F Special District D,E Minersville Town County, School, F Special District D,E 0.000940 0.009929 0.000375 0.011244 0.002593 0.009929 0.000943 0.013465 0.001772 0.009929 0.000943 0.012644 0.008098 0.000000 0.000961 0.011109 0.000908 0.010148 0.000366 0.011422 0.002596 0.010148 0.000961 0.013705 0.001744 0.010148 0.000961 0.012853 Change (0.000009) 0.000005 0.000013 0.000000 0.000000 (0.000062) 0.000009 0.000210 0.000000 0.000018 0.000237 (0.000032) 0.000219 (0.000009) 0.000178 0.000003 0.000219 0.000018 0.000240 (0.000028) 0.000219 0.000018 0.000209 BOX ELDER COUNTY SPECIAL DISTRICTS Page 3 Page 4 Page 4 Page 5 Page 5 Page 6 Page 6 Page 7 Page 7 Where applicable add C,L and subtract H Page 8 Page 9 Page 9 Where applicable newly annexed areas should subtract B 2003 Tax Rate 2004 Tax Rate Change Where applicable add X 0.010202 0.009567 (0.000635) 2003 2004 Special District D,E,F 2003 Tax Rate 0.001231 0.014647 2004 Tax Rate 0.001223 0.014565 Where applicable add C,K,O,P,W and subtract D,E,F Page 21 Change (0.000008) (0.000082) 2003 2004 Tax Rate Tax Rate Change 0.011263 0.012236 0.000973 Where applicable add B,H,J,K,L,R,S,T,V,Y,BB,EE and subtract A,D,U 2003 2004 Where applicable add A,B,C,E,F,G,O,Z and subtract H 0.011377 0.011618 0.000241 2003 2004 Where applicable add B,C,F,J,M,P,T,FF
The Brighton CDIT cluster three years later Second Wave Firms Survey November 2015 Roberto Camerani (University of Sussex) Monica Masucci (University of Sussex) Jonathan Sapsed (University of Brighton) Brighton Fuse 2 A Research and Development project funded by the Arts and Humanities Research Council Website www.brightonfuse.com Principal Investigator Dr Jonathan Sapsed Co-‐Investigator Dr Roberto Camerani Researchers Dr Monica Masucci Dr Megha Rajguru Industry partner Phil Jones (Wired Sussex) Index 1. Introduction and methodology 1.1. Aim of the study The Brighton Fuse report published in 2013 showed the extraordinary growth and vitality of Brighton and Hove's Creative Digital and IT companies (CDIT). While there was always anecdotal evidence of the cluster's rise since the 1990s the Brighton Fuse was the first systematic study that showed: * Significant revenues and employment, our sample of 500 firms generated £231,166,481 in 2010-‐2011, and employed 3,162 people. The sample was 32% of our sample frame. * High levels of growth and high levels of innovation. Average growth in revenues for 2010-‐11 was 14.7%. Only 1% reported no innovation. * Interdisciplinary, 'fused' skills bases. 'Fused' and 'Superfused' firms that combined creative design with technology grew faster, and innovated more than 'Unfused' firms. This showed that high performance did not only depend on Science, Technology, Engineering and Mathematics (STEM) disciplines but also Arts and Humanities (A&H). These results raised the profile of the cluster as well as our understanding of the nature of creative-‐digital work in the high growth sectors more broadly. Nevertheless, the Brighton Fuse project also addressed issues and challenges within the Brighton CDIT cluster and raised some questions that are as yet unanswered. The aim of this study is to add a second wave to the one cross-‐sectional study carried out in the first Brighton Fuse project in order to update basic figures and to address these aspects. In particular, this study will concentrate on three urgent issues: the on-‐going resilience of the cluster; business models of the firms; and skills required for CDIT work. The first issue regards the resilience of the cluster and its ability to sustain growth over time. The first Fuse project showed the remarkable rates of growth for CDIT firms in a period of unfavourable economic climate in the UK. However, especially considering the relative small size of the firms in the cluster, and the young age of many firms included in the sample, we were interested to observe whether these rates of growth could persist over time, and how comparatively stable were the revenues of different sectors within the CDIT cluster. The first part of this report will discuss the resilience of the cluster in terms of survival and sustained growth, three years after the initial Fuse project. The second issue is about business models, the ways that firms generate and capture value. The Brighton Fuse highlighted that Brighton CDIT firms have been able to achieve exceptional levels of inventiveness and innovation, but also that they found it more difficult to fully appropriate of the value of their work. This is part of the broader and long standing discussion about value creation versus value capture. One way to address this issue is to analyse in more detail what business models are adopted by Brighton CDIT firms, and whether some of them may be more conducive to a better value capture. The second part of this report will address this issue by studying in more depth the sources of innovations of Brighton CDIT firms, and identifying what business models are more often adopted by these firms. The third issue regards skill gaps. The Brighton Fuse project highlighted the presence of barriers and challenges hindering the activity of Brighton CDIT firms, one of these barriers was related with skill gaps in the firms' workforce. Among other possible barriers like competition, these skills gaps did not prove to be the strongest, but these types of skills barriers were perceived more strongly by fused, innovative, and high growth firms. Thus, overcoming these skills gaps is crucial in order to ensure long-‐term prosperity in the entire clusters, since they seem to impact more significantly on the more successful firms. The third part of this study will break down these skills barriers identifying what types of skills are more problematic, it will concentrate on whether firms still perceive skills barriers three years after the first survey, and how firms are coping with this issue. 1.2. Methodology and data The methodology of this study heavily builds upon the first Brighton Fuse project, since one of the main purposes of the second wave survey is to ensure it is comparable with the first wave of data. A short questionnaire has been developed including detailed questions about the three above-‐mentioned issues, which was then submitted to the same companies that took part in the first survey. In terms of sampling strategy, the first step has been to check how many companies were still active after three years. We found that 423 out of 484 companies were still active. 14 businesses were excluded, since they were selected to take part in the freelancers survey, which was reported in the publication 'The Brighton Fuse 2: Freelancers in the Creative Digital IT Economy'. 1 These 14 respondents had participated in the first survey and were in fact limited companies run by a sole 1 Sapsed, J., Camerani, R., Masucci, M., Petermann, M., and Rajguru, M. (2015) The Brighton Fuse 2: Freelancers in the Creative Digital IT Economy, AHRC. Available from: www.brightonfuse.com director with no employees. This type of business is, in legal terms, a firm, but several nationwide studies -‐ such as the Labour Force Survey -‐ consider it as a self-‐ employed worker with limited liability status. Consistent with this they have been included in the freelancer survey, and therefore excluded from the second round of the Fuse firm survey. Table 1.1 shows our sampling numbers. Table 1.1. Sampling This process yielded a list of 409 firms who have been invited to participate in the survey (sampling frame). The survey was carried out over the phone by a professional survey operator, using the questionnaire, and the survey tool provided by the Brighton Fuse researchers. The data collection was conducted in the period August-‐October 2014, obtaining 268 valid responses (65.5% response rate). 2. Resilience, survival, and sustained growth. 2.1. Survival rate The first step in order to check the resilience of the cluster was to analyse the survival rate. The first Brighton Fuse survey was conducted in 2012 with questions referring to the financial year 2010-‐11, while the current survey obtained data for the period 2013-‐14. As a consequence, with the data collected, we were able to analyse the performance of Brighton CDIT firms over the three-‐year period between 2011 and 2014. A total of 484 firms participated to the first Fuse survey in 2012. The existence of these firms in 2014 has been checked in Companies House and other sources (see Table 2.1), and we found that 42 closed down in the last three years (8.7%), 6 (1.2%) moved to another city or merged with a company operating in another place, and for 13 of them (2.7%) we could not find any information, which probably indicates that they are not in operation anymore. In total, 61 firms were inactive after three years (12.6%). Table 2.1. Closures and departures A higher than 87% survival rate after three years is a very positive result, especially if we consider the fact that the vast majority of the firms in our sample are small or even micro firms, and the fact that, at the time of the first survey, one fourth of the firms was younger than 5 years. If we look at the characteristics of the firms that were still active after three years, we see that factors such as high rates of innovation and high turnover growth rates seem to be associated with a higher survival rate. In terms of firm age, more than 40% of the firms that did not make it after three years were startups (younger than five years), 80% had less than 5 employees (50% only one employee). The results about fusion are more puzzling, we found the highest survival rate for the fused firms, while unfused and superfused firms managed to survive less frequently. The sectors with the lowest survival rates are Web portals and e-‐commerce, followed by Design services, Content, and the residual category "other" (mostly including business doing artistic crafts). Table 2.2 shows some of the main events which occurred since the previous survey. The most frequent ones have been the change of name or rebranding, which occurred in 11.6% of the cases. Quite interestingly, more than 10% of the respondents have started a new related business indicating that a great level of entrepreneurial ferment in the cluster. Other businesses went through a process of merger (5.2%), or acquisition by (1.9%) or of (0.7%) another business, or a change of ownership (1.1%). Table 2.2. Events since previous survey 2.2. Growth and profitability In terms of financial results, the last three years have been a period of consolidation and sustained growth for the Brighton CDIT cluster. Table 2.3 shows the comparison between the first and the second survey in terms of turnover, employees, and sales per employee. The 'Fuse 1' report, based on 484 responses, highlighted a very high average turnover growth in the period 2010-‐11, equal to 14.7%. The same figure for the period 2013-‐14 is slightly lower (12%) but if we consider median growth rates, they appear much higher in 2014 than 2012 (8.5%, vs 3.8%). This indicates that even though the overall average growth rate is slightly lower in 2014 than 2012, in the most recent period more firms have been able to achieve a higher growth in their sales. This increase in sales reflected on employment, with the number of employees growing by more than 10% between 2013 and 2014. The median figure suggests that the cluster as a whole has been expanding, whereas the mean growth figure may be unduly influenced by a few 'star' performers. The figures on turnover and employees indicate that the average size of firms has increased significantly. The average turnover grew from 623,000 to more than 956,000, and the employees from 6.7 to 9.4. Also the productivity of employees measured by the turnover / employee ratio has increased significantly, from an average of almost £78,000 in 2012 to more than £101,000 in 2014. Table 2.3. Turnover and employees in the two survey waves: average values and growth Note: The first Brighton Fuse survey was conducted in 2012 with questions referring to the financial year 2010-‐11, while the current survey obtained data for the period 2013-‐14. One may think that the comparison between the two survey waves may be biased because the second wave only includes firms that successfully survived, some of which may also have undergone mergers and acquisitions, and that the second wave excludes a number of Ltd firms with no employees which were included in the freelancer survey. In addition, some firms may have answered the financial questions in one of the two waves, and opted not to respond in the other one. For all these reasons, we provided the same figures regarding firm performance for the firms that answered both surveys, and excluded firms that experienced any mergers or acquisitions during the last three years. These figures are reported in Table 2.4. Overall, the consolidation process is confirmed. During the last three years, the Brighton CDIT firms who managed to survive, also grew in size, on average. Table 2.4. Turnover and employees figures for matched questionnaires only One of the issues that emerged from the first Brighton Fuse project was related to the ability of Brighton's firms to capture value from their activities. For this reason, the second wave survey included questions on profit and profit growth, since the ability to generate profits could be taken as a proxy for value capture (this question was not included in the first wave). The issue of value capture will be analysed in greater detail in the next section, while here only the average profit growth figures will be shown. Table 2.5. Profit and profit growth The results are quite noticeable (Table 2.5), since the average firm obtained around £75,000 profits in the financial year 2013-‐14. On average only 5.6% of the firms reported to have experienced a loss, while 81.5% had a positive profit, and 12.9% broke even. Even more remarkable are the results about profit growth. On average, respondents reported a 15.6% increase in profits in the same period, which even exceeds the average turnover growth (12.0%), indicating a very good performance of Brighton CDIT firms in generating value and securing an adequate return from their investments. 2.3. Sectoral composition and fusion One of the main results of the first Brighton Fuse project showed the great variety of activities carried out by CDIT firms in Brighton, epitomized by the multiplicity of sectors represented in the sample. Table 2.6 shows that this diversity is maintained after 3 years. Table 2.7 shows the average performance by sector in terms of turnover, profit and employees growth. Arts organizations are the only ones experiencing an average decline in their turnover, which is however, compensated by a growth in profit, which could be partially explained by a contraction of the number of employees (-‐ 2.7%) that reduced the running costs of these organizations. Table 2.6. Breakdown by sector The sector experiencing the highest turnover (and profit) growth is marketing services (+32.1%), followed by digital agencies (+17.6%), and architecture and interior design (+14.6%). It is observable that in general high turnover growth is accompanied by profit growth, with the notable exception of digital technologies and web portals whose profits grew much faster than turnover. Table 2.7. Turnover, profit, and employees growth between 2013 and 2014 by sector In terms of fusion, Table 2.8 shows that the breakdown of the sample in unfused, fused and superfused firms for the second wave, is very similar to the first one. As a reminder, fused firms are those who combine in their activities artistic/creative and technical knowledge, superfused firms do so more intensively, while unfused firms rely on less diversified sets of knowledge. Table 2.8. Breakdown by fusion The differences in the performance of firms controlling for their level of fusion is stunning (Table 2.9). Superfused firms experienced an average sales growth of 22.3%, profit growth of 25%, and employees growth of 20.6%, compared to fused firms that show growth rates more in line with the average, and unfused firms that are much below the average (particularly in relation with turnover growth, which almost stagnated in the period 2013-‐14). Table 2.9. Turnover, profit, and employees growth between 2013 and 2014 by fusion Overall, three years after the first Fuse project, the CDIT cluster in Brighton seems in very good health. Only a relatively low percentage of firms closed down, and the average turnover growth rates are still double digit, with firms' profits growing, on average, even faster than turnover. Fusing creative and technical knowledge is still a key driver of success and prosperity for CDIT firms. According to our data, although being unfused does not seem to threaten the survival of CDIT firms, but it does significantly hamper their possibilities to grow. 3. Innovation, business models, and value capture 3.1. Innovation The first Brighton Fuse showed that firms in the cluster have extremely high levels of innovation: 99% of firms were engaging in at least one of the standard innovation categories, which are also used in the regularly executed Community Innovation Survey. These include: * New and distinctive goods and services * New processes improving efficiency and service * New materials that are eligible for copyright * New software * New business models * Staff training, investing in employees' innovative skills We did find that 59.9% of firms engaged in business model innovation in 2012, but there were other indicators that related to value creation and value capture. This was particularly where Intellectual Property was concerned: although we found 55.5% of firms were innovating materials that were eligible for copyright, only 8% had identified royalties as a source of revenue. Only 1% of respondents had applied for a patent and none had registered a design. This was consistent with our qualitative research where we learned that many firms were predominantly relying on work-‐for-‐hire type business models, which typically meant firms were creating value for clients rather than capturing it for themselves in less work-‐intensive modes. Table 3.1. Percentage of firms engaging in different innovation activities Similarly to the 'Fuse 1' survey we asked whether respondents engaged in several modes of innovation in the period 2013-‐14. Results (Table 3.1) show that Brighton CDIT firms are still very innovative in both product/service innovation (61.2% of the firms introduced new services, 49.3% new products) and process innovation (new processes: 66.4%, new strategies: 56%), even though, in general, most of the innovation activities have been carried out slightly less frequently than in the previous survey. Staff training is the only mode of innovation that increased significantly from the previous survey, perhaps because of the skills gap that was highlighted in the discussions raised in Brighton Fuse. Figure 3.1. Firms engaging in x modes of innovation In general, there is a positive correspondence between innovation and firm performance (Table 3.2). We observe that the firms not innovating are the only ones that reduced both their sales and their workforce (although they still grew their profits), and that firms engaging in a lot of innovation activities (5 or 6) are growing much faster than the others in terms of sales, profits, and employees. The results for the other firms are less clear. Table 3.2. Innovative activities and firm performance How do we interpret the apparent decrease in innovation compared to three years ago? On face value we would see this decrease as a negative trend, given that these sectors depend on novelty and improvement to stay competitive, as we have seen from the performance results in Table 3.2. However it could be interpreted in other more positive ways. Perhaps at this point of economic recovery firms have found some innovations are finding their market or application, and that the search and experimentation need not be so frenetic as they need to be during the depths of a downturn. Innovation scholars have long debated the effects of downturns on motivation to innovate. Gerhard Mench had argued that firms are incentivised to introduce innovations more rapidly during depressions, while others like Christopher Freeman argued that there was no real evidence for this and the likelihood was that innovation slowed down during downturns 2 . Those debates were mainly concerned with large established firms doing conventional R&D. It may be that this population of startup firms are 'finding their range' with new services and processes and settling on the ones that work. It may therefore be natural that there is less frequent innovation search, especially given the healthy financial data and profitability, perhaps the problem of value capture is improving, as firms switch from exploration to exploitation. However the slightly increased number of firms that reported no innovation at all is perhaps a cause for concern. Table 3.3 shows the average innovation activity by fusion, sector and size. In general, the level of innovation increases with the level of fusion and with firm size. The sectors that introduced more innovations are digital agencies, web portals, marketing services, and digital technologies. 2 See an account of this debate in, for example, Coombs, R., Saviotti, P., and Walsh, V. (1987) Economics and Technological Change. New Jersey: Rowman and Littlefield, page 179. Table 3.3. Innovation by sector and fusion Another indicator that we bring to this second survey is the sources of innovation, which was not included in the first. The results here show that the most important source of innovation is internal to the firms, since 73.9% of the firms heavily rely on their employees as their primary source of innovation and new ideas. However, several other external sources are significantly important. This is the case with clients, suppliers, and professional networks. Also freelancers play a key role, about one third of the respondents rely on their freelancers as sources of innovation. Less important are other sources such as competitors, leaders and influencers, and universities. The two most important channels are web-‐based, the first one is online forums, blogs and communities, while the second is represented by social networks. They are followed by meet-‐ups and conferences. Less important are artistic and cultural festivals, and coffee shops and bars. Science journals and technical publications require some further consideration. They are identified as highly important by 10% of the respondents, and somehow important by 42%, which is a quite surprising result if we consider that these sectors are usually not considered science-‐based. 3.2. Business models In this section we present data regarding two important issues, the first about the sources of revenues for firms and the second about business models, the way those revenues are generated. We note that the relative importance of each single source of revenue is always lower in the second survey compared with the first one. This may indicate that firms specialized in a smaller number of activities. This is confirmed by the figure below. In the previous survey 48.1% of the firms considered only one source as important, for 23.8% three or more were important at the same time. In the second round these figures changed, 64% mostly rely on one source, and only 10.1% consider more than three sources of revenues important at the same time. On the innovation results we noted that firms were innovating less frequently and speculated that this may be because they were finding some success with certain innovations and therefore decreasing their search activity. Consistent with this we find that they are focusing on less activities, with almost 90% relying on only 1 or 2 sources of revenue in the new survey. However when we look at the average level of performance for firms at each level (Table 3.4) we find that firms that have three or more significant sources of revenue appear to do well on performance indicators like turnover growth, profit growth, employees growth and innovation. Nevertheless the figures are not so clear-‐cut for the less differentiated, the average two-‐source firm has higher turnover growth than the average three-‐source firm, for example, and the average one-‐source firm has higher profit growth. We cannot definitively claim that greater differentiation is associated with better performance, although certainly three or more seems to pay-‐off more than only one. Table 3.4. Average performance of firms for each level of differentiation in revenues Of course there will also be other variables in play, such as sector. The most differentiated sectors are: marketing services and digital technologies, which we know from our interviews tend to have a variety of sources of income since they involve quite versatile activities and generate higher revenues growth as sectors generally. Another significant variable in the ability to differentiate appears to be firm size: 80% of micro businesses (only 1 employee) rely on one source of revenue and 20% on two. We also checked whether our respondents had changed the composition of their revenues between the first and the second survey. This means whether at least one source of revenue was changed from being "very important" to being "not important at all", or vice versa. Table 3.5. Firms performance of firms that changed the composition of their revenues or not We found that 57% of the firms made some significant changes in the composition of their revenues. The sectors more prone to change have been design services, KIBS, digital agencies, digital technologies, and architecture. Innovating in business models that results in changed revenue sources appears to pay off in terms of revenues and growth. The performance of the firms that changed their types of revenues is higher for all the indicators considered. The second step has been to try to identify whether the firms in our sample have adopted one or more business models. The list that we worked from in the questionnaire includes business models known to be very frequently used by firms in the CDIT industries, as well as types that emerged as important from the 77 face-‐to-‐ face interviews carried out during the first Brighton Fuse project. We discussed the variations and distinctiveness of business model types at length during the questionnaire design and tested how these should be presented in the questionnaire with practitioners. The business model types and a brief description were given in the questionnaire exactly as follows: * Retainer model. A client pays you to work for an extended period, often with an indefinite end date or intention of continuity * Work for hire. You deliver work for a client over a period with a clear end date and the client keeps the IP * Being commissioned. You deliver work for a client over a period with a clear end date and you keep the IP * Performance-‐related payments. You are paid based on results, such as a percentage of increased sales for your client * You charge aderivative fee on transactions (including micro payments from online transactions) * Freemium. You provide free access to online services or content with extras chargeable for a fee * Paid search. You receive search-‐related advertising income * You provide aplatform for user generated content. Work-‐for-‐hire and commissions are the two most important, used by a majority of firms. According to our definitions above and in the questionnaire the distinction between the two is that with commissions the developer/supplier keeps the IP. Since commissions are almost as prevalent as work-‐for-‐hire this may be an indication that value capture is not such a problem. However we should also remember that royalties and licensing income is still very low for firms, so although it may be that firms are retaining IP they do not appear to be making on-‐going revenues from that IP. It appears therefore that the commissions are important as short-‐term projects at this point, albeit with potential for greater value capture than the work-‐for-‐hire. We find that the retainer model is indeed important to a large number of firms, as suggested by our interviews in the first Brighton Fuse project. This model that has been long been a standard in professional services including advertising, seems to continue in its current digital manifestations of digital agencies and marketing services, as seen in Table 3.7. Our interviews have suggested that these firms employ a number of business models, as confirmed by this survey data, but they prefer to work on a retainer basis and try to move regular work-‐for-‐hire clients onto this model. This has the advantage of stable income but also allows for time and resource to develop longer-‐term campaigns and 'off-‐piste' types of innovative work that would be precluded by projects with defined deliverables. We also find that the retainer is important for the digital technologies sector. This will include various on-‐going service and support arrangements, where firms may be contracted to be on-‐call as and when required. This may also include online subscriptions that entail work on the part of the developer. The retainer is an interesting model that has not been researched so much as more project-‐based forms of organising business. Table 3.7. Business models by sector (higher than average emboldened) Online business models like freemium, derivative fees and platforms are used by the high growth web portals sector, with paid search used by digital agencies, digital technologies and design services, as well as Knowledge Intensive Business Services, which use a variety of different business models. As we might expect, Table 3.8 shows that larger firms tend to use a broader range of business model types. Table 3.8. Business models by firm size. (higher than average emboldened) Looking at the economic performance associated with business model differentiation shows again a mixed pattern. Table 3.9 suggests that higher growth and innovation is associated with a more differentiated business model portfolio, but not all the indicators show this, performance being a complex effect of different factors. Innovation however does increase with each level of differentiation. Table 3.9. Performance of firms with different levels of differentiation in their business models 4. Skills The first Brighton Fuse project showed that Brighton CDIT businesses experienced a number of barriers hindering their growth. Skill gaps figured among these barriers. They were not considered particularly relevant by the average firm, but were considered very important for some categories of firms such as superfused, high growth, and innovative firms. This section provides further analysis on skills gaps in Brighton CDIT firms. The first step is to break down these skill gaps into more detailed types of skills. In particular, the survey investigated four types of skills: technical, creative, managerial and fused (talent combining creative and technical skills). Similarly to the first Brighton Fuse survey, on average most of the firms perceived skills barriers as moderate, with a relative small percentage considering them as very relevant (ranging between 10.4% and 13.8%). However, if we look at the various skills gaps for different sub-‐categories of firms we note that superfused, innovative, and high-‐growth firms experience higher skills barriers than the average for all the types of skills considered. Specifically, fused skill gaps are -‐ almost by definition -‐ more problematic for superfused firms, fused, and managerial skills gaps are the highest ones for highly innovative firms, while high growth firms suffer in particular from technical skill gaps. While one would expect that small and micro firms could have more problems to acquire new skills due to lack of resources, our data shows that the relevance of skill gaps increases with the size of firm, with medium and large firms experiencing skills barriers more often than the small ones. Particularly interesting is the comparison of the results of the two survey waves. The situation, in fact, does not seem to have improved much during the last three years, on the contrary it has worsen. Only 18% of the firms declared that their skill gaps have lowered since the first survey, for 55% of the firms they remained the same, while 27% of the firms are experiencing higher barriers. Figure 4.2 shows how firms try to cope with these skill barriers, by rating the importance of different ways to acquire new skills. Learning on the job is by far the most important way to acquire new skills for the firms in Brighton CDIT sector (64.6%), followed by informal networks and personal relationships (32.5%), and internally organized learning initiatives (25.7%). Quite interestingly, recruiting from competitors, customers or suppliers seems to be a very infrequent practice for the firms in the cluster; perhaps showing that these firms pay particular attention to business ethics issues. Also the figure about freelancers is very interesting, for more than 20% of the firms, the freelancers they collaborate with are a very important source of new skills. If we compare this with the previous results of the importance of freelancers as a source of innovation, we could definitely conclude that freelancers definitely play a key role in the cluster that goes well beyond providing services and consultancies to local firms. Comparing these results with our study of the Brighton CDIT freelancers is also intriguing, as we found freelancers appeared to be more self-‐reliant in their learning, compared to the importance of networking to these firms. Figure 4.3 reports the main barriers to learning and new skills development faced by firms. The most important one is lack of time, followed by excessive cost. Relatively less important are the other barriers, such as lack of information, and lack of suitable services (locally and nationally). In conclusion, skill gaps remain a critical issue. Even though these skill gaps are not generally perceived as problematic, they are still considered a challenge for specific categories of firms that are crucial for the success of the cluster (superfused, highly innovative, medium-‐large size, and high growth firms). On top of that, although more than 70% of the firms have provided training for their staff (see section 3.1) the skill gaps did not improve since the previous survey. At the same time, according to the results of the survey, surveyed firms claimed to have all the instruments to cope with these skill barriers (there are enough solutions at local and national level), and they deem lack of money, and especially lack of time as the main barriers to new skills development. It may be that the solution to these skills gaps must include some merger of internal and external business knowhow as well as that of the organisations with centuries of dedication to knowledge and learning: the universities. This is likely to require new modes of engagement however, judging from the barriers perceived by firms.. 5. Conclusions The original Brighton Fuse study showed that firms in the Brighton and Hove cluster were prosperous and innovative, combining arts and technology skills in productive ways and had connective tissue with other firms, freelancers and institutions in the city. The research also showed that firms face barriers to further growth and for the high growth, innovative and 'superfused' firms it is the availability of skills that prevents them from scaling-‐up to new levels. Three years later we conducted a survey among those firms who had responded to the first survey to assess whether those results were a phenomenon of their time or whether there are deeper, structural tendencies in the cluster. We also used the opportunity to ask questions that we had not asked in the first survey, on profitability, and business models. The first encouraging result was that the survival rate was over 87% of firms, a remarkable figure for a sample of young firms in uncertain, immature markets. High revenue growth and innovation is associated with these surviving firms. We found that there is still remarkable turnover growth in the cluster, even while it is slightly lower than the 2012 mean figure, it is still extraordinary at 12%. Moreover, there has been an interesting shift in the sample over the three years as shown by the median figure, which is higher than in 2012 suggesting the preponderance of firms have moved up as a collective. Some high-‐fliers in 2012 may have won some major projects but the overall health of the cluster looks more vital in 2014. This has been a period of consolidation and solid growth. As regards our new questions, we also found that over 80% of firms were profitable, which is again a very high level of performance since many of these firms are effectively start-‐ups. This informs the on-‐going debates stimulated by the Brighton Fuse as to whether firms are capturing value or just generating it for others. The high level of profitability would seem to suggest that firms are able to accumulate and therefore invest in their businesses. In terms of business model types we found a range of ways to engage with customers among the sample, with the three most important being work-‐for-‐hire, retainers, and commissions. Over 50% of firms have important commission work, which suggests that firms are indeed retaining IP, however we also note the low level of revenues for royalties and licensing so perhaps that IP is not yet paying-‐off. The patterns of business model differentiation and their effects on performance are complex and there is much in the results to fuel these debates, without resolving them. Finally we also raised again the issue of skills, the absence of which was a known barrier to growth with superfused, innovative, high-‐growth firms. This is still the case. Not only has the problem not improved but it has actually worsened, and this is in spite of the one increase in innovation over the last three years: internal staff training. The provision of skilled talent to work in these high growth businesses is not a simple process to remedy. We suggest it is unlikely to be resolved through any one initiative of any one actor or category of actor within the cluster, and will need the collective intelligence and effort that has sustained it in other areas.
Cut Your Spending by $400 a Month! by KRISTL on JANUARY 1, 2013 http://www.thebudgetdiet.com/cut-‐your-‐spending-‐by-‐400-‐a-‐month Did you know if you cut your spending by $13 a day, you'll save $400 a month and $4800 a year! Pay attention to the little expenses because they really do add up. Reduce Your Bills o Call your utility companies to make sure you’re getting the best rate, and to make sure you really need all the services you’re paying for like call waiting or premium cable channels. A few phone calls usually will yield savings of $15 a month. o If you live in a deregulated state, make sure you’re shopping around for the best electricity rate! It’s easy! In Texas, go to PowerToChoose.org, enter your zip code, see rates, read the fine print and choose a provider. There’s no interruption to your service. o Shop around and compare rates on auto and home insurance. Ask yourself if you could live with a higher deductible or different limits, and make sure you are taking advantage of all the discounts available to you (security system, good student, student away). o Start using a clothesline and you’ll save about 6% on your electric bill plus your home will be quieter and cooler! o Invest in a programmable thermostat…it will quickly pay for itself! o If you’ve had a disruption to your cable or satellite service, call and ask for a refund! We had issues with our cable for a week, and a complaint phone call yielded a $50 credit on our bill. Legitimate complaints may also result in a credit on your cell phone bill. Shop Smarter o Stock up on discounted gift cards for places you normally shop. How does 15% off at JC Penny or Pier 1 sound? ABCGiftCards.com has a huge selection! o If you shop online, start with Ebates.com – you’ll find coupon codes and earn cash back on every purchase! o Make sure you’re taking advantage of discounts! Check out this list of 133 Military Discounts or 66 Teacher Discounts. o Stop making impulse purchases! Get in the habit of asking yourself if it’s a need or a want. o Shop garage sales, thrift stores, Craigslist, Freecycle and consignment shops first – you never know what treasures you may find! o Try swapping instead of shopping. Invite your friends over and swap children’s clothes, toys, books and Halloween costumes. The average family saves $569 a year by swapping children’s clothes! o Get in the habit of shopping Groupon and other deal sites. No matter what you’re shopping for, there’s a deal site for you! Sign up to receive the best daily deals. Try Tech Bargains for daily deals on laptops or Totsy for daily deals for babies, kids and moms. No matter what you’re shopping for, there’s likely a daily deal site to help you save money! Make sure you’re taking advantage of rewards programs at places you regularly shop like CVS, Kroger and Petco. o Do you know the best times of the year to buy for maximum savings? Fall is the best time to buy a grill because stores need to make room for Christmas merchandise. Check out the Best Time To Buy Guide with listings by month. o Consider homemade gifts and homemade Halloween costumes – you don’t have to be Martha Stewart with my ideas! o Get in the habit of buying clothes during the end of season clearance. o Be thankful for what you have instead of shopping for more! Cut Food Costs o Always plan meals, make a list and try to grocery shop once a week. o Buy store brands, this alone will cut your grocery bill by 25%! o Use The Grocery Game, Inc. to maximize your savings. The Grocery Game helps you combine coupons with sales for huge savings and even a few free items each week. You will save at least $50 a week, and you can get started with a free trial! o Shop Costco or Sam’s for staples like milk, eggs, butter, cheese and sugar. This is where the real savings are. Remember, everything is not cheaper at a warehouse club. o Stop buying bottled water! A case of bottled water is about $5 per week, $20 a month and $240 a year! Try a refillable bottle instead. o Buy seasonal produce for best taste and savings. o Did you know that Kroger sells rotisserie chickens for half price after 7:30? Stock up, chop up, freeze! Check your local grocery for their policy. o Meijer sells all pre-‐sliced deli lunchmeat for half price after 8:30. See is your local grocery has a similar policy. o Check your local bagel and donut shops; you can likely pick up a bargain after a certain time of the day! Our bagel shop sells 1 dozen for $5 after 2:00, and I’ve heard that Krispy Kreme sells a dozen donuts (the ones in the case) for $1 after midnight…that gives new meaning to a midnight snack! o Eat out for less with deals from Restaurant.com, Groupon.com or discounted restaurant gift cards from PlasticJungle.com. Their latest deals can always be found on the right side of this page. o Don’t miss out on over 100 Birthday Freebies from restaurants! How’s a $30 gift certificate to Benihanas sound? o Discover all the Kids Eat Free offers. o Are you taking advantage of Report Card Freebies? o Eat in, not out! Those every day trips to the drive-‐thru quickly add up – $7 a day for lunch = $35 a week, $140 a month, $1820 a year! Could you brown bag it to work a few days? Check out 5 easy ways to ditch the drive-‐thru. o Make your own Starbucks and save about $3 a day, $21 a week, $84 a month, $1008 a year! o Plant a garden and enjoy seasonal produce for a fraction of the cost. o Learn to can fruits and veggies. o Always check out the grocery clearance / manager’s specials…the deals are amazing! o Cook from scratch…you’re paying way too much for convenience! o Try this rule – only order water at restaurants. Have Fun For Less o Groupon.com is a great source for huge savings on fun things to do in your area like 62% off admission at the Houston Museum of Natural Science! o Try a high school football game or theatre performance for a cheap evening out. o How about breakfast and a movie? AMC theatres offer $6 movies before noon. o Watch your old wedding video and family videos. o Pull out your wedding album on your anniversary. o Have a wine tasting night at home and discover your favorite cheap wine. Simply cover a few bottles with brown paper, taste and rate! o Host a cooking school for your kids – it’s time to stop watching the Food Channel and start cooking! o Game night is a great family tradition to start! For a fun twist, add silly bets like loser does the dishes! o Create your own Wii Family Olympics by playing a different sport each night – ideal for winter break. o Check out FactoryToursUSA.com for a state by state listing of free tours. o Pizza Taste Test – buy assorted frozen pizzas, taste, rate and choose your new favorite. o Start a family tradition of having ice cream sundaes on Saturday! o Try Minute to Win It challenges at home. o Bring back home birthday parties! You really don't need to spend $300+ for an ice skating party or Build-‐A-‐Bear party. o Enjoy the outdoors – take a hike, go for a bike ride, watch the sunset! Mother Nature has a lot of free fun to offer. o If you’re a Bank of America customer, take advantage of free museum and zoo admission the first weekend of the month. Check their website for a listing of participating museums / zoos. o When’s the last time you visited the library? Check out books, movies and enjoy free events. o Let your kids get involved in Girl Scouts, Boy Scouts or 4H for affordable fun! o A neighborhood pot luck block party is one of my favorite memories, and its frugal fun at its finest! o When’s the last time you visited the library? Check out books, movies and enjoy free events. o Let your kids get involved in Girl Scouts, Boy Scouts or 4H for affordable fun! o A neighborhood pot luck block party is one of my favorite memories, and its frugal fun at its finest! Go Green and Save Some Green o The Return of the Clothesline – Start using a clothesline or drying rack, and you’ll save nearly 6% on your monthly electric bill according to the Department of Energy…plus your house will be quieter & cooler! If your city or homeowners association prohibits clotheslines, your best option is a cloths drying rack (available at Target, Walmart and Bed Bath & Beyond for about $30). If your monthly electric bill is $200, your friend the clothesline just saved you about $12 a month & $144 a year! o Burn Calories, Not Gas – Walking or riding bikes is budget friendly, earth friendly and figure friendly…so, what do you have to lose? Maybe a few pounds???? Let’s here it for pedal power! o Consider Carpools – Could you organize a carpool for work, school or after school activities? You’ll save both time and gas! o Plan Ahead – Are you guilty of running errands every single day or making two trips to the store because you didn’t make a list? There’s more to life than errands, and planning ahead will save you both time and gas money. o Slow Down – Driving 65 miles per hour uses 15% more gas than driving 55 miles per hour – that’s like paying 40 cents more per gallon! Of course, you’ll likely be the only one on the highway going 55! o Pay Bills Online – Save trees, save stamps, save money! o Find a Farmer’s Market – Discover your local farmer’s market, and your budget will love the prices and you’ll love the fresh taste of just picked produce! To find a farmer’s market near you, visit LocalHarvest.org and enter your zip code. o Stop Junk Mail – Save trees, save your sanity! It only takes a minute to visit DMAChoice.org to remove your name from mailing lists for catalogs, insurance offers and more! o Reusable Lunch Containers – Instead of a brown bag, carry a lunch box. Instead of zip top bags, invest in reusable bags. You’ll spend a little money upfront, but you’ll save money in the long run. o Stop Buying Bottled Water – Bottled water has become the American way, and up until a few years ago…I was guilty of buying a 24-‐pack every single week! WOW…that’s $4 a week, $16 a month and $208 a year for WATER! Stop buying bottled water and start buying refillable bottles for your family to take to work, school and sports. o Unplug – Phantom Electricity is the electricity that is used when a device is plugged in but not in use. For example…you leave your cell phone charger plugged in all the time, but you only charge your phone every few days…did you know that your charger is still using electricity when it is plugged in but not charging? This is “Phantom Electricity”, and little bits are being used throughout your home everyday hence the name “phantom.” Wasted electricity is not earth friendly, and wasted electricity is wasting your money! o Recycle, Recycle, Recycle – If you’re not recycling, this is a great week to start! The first step is to have a system and make sure everybody in your family understands it! The Budget Diet girl’s system is two trash cans in the kitchen – one for recycling and one for trash. After a few weeks, recycling will become a habit, and your neighbors will be green with envy when you only have one small bag of trash each week! o Homemade Cleaning Products – Make the switch to homemade cleaning products that cost pennies to make and clean just as well without harsh chemicals. o Repurpose – Look twice at things before throwing them away! Could you cut off the fronts of some of your Christmas cards to use a gift tags next year? Could you paint that old piece of furniture or spray paint a chandelier to give it a new life? o Compost! o Check Craigslist for free plants…you'll almost always find them! Reduce Health & Fitness Expenses o Are you taking advantage of your flex plan for pre-‐tax savings? o Save money on prescriptions by avoiding “combo pills.” A combo pill combines more than one type of medication. For example, Lotrel is a blood pressure medicine that costs $70 a month for generic, but you could get a prescription for the two components (Amlodipine and Benazepril) for $6 each. o Ask your doctor if your prescription might be cheaper from a Canadian pharmacy like CanadaDrug.com. I was able to get my eye drops for $9 instead of $150 simply because Canada offers a generic. o Ask your doctor about any money saving prescription options…the last time I did this, we were given a bag full of samples! Ask and you just might receive! o Order pet medications online from 1800PetMeds.com and you’ll save money! Simply place your order online, and they will contact your vet for the prescription. It’s one less errand you have to run this week! Costco, Sam’s and Walmart also offer pet medications for less than your vet. o Order contact lenses online from DiscountContactLenses.com. It works just like PetMeds.com. Costco, Sam’s and Walgreen’s also offer discount contact lenses. o Want a bargain massage? Try a massage therapy school! In Houston, Memorial Hermann Southwest offers a 1 hour massage for only $29, and tipping is not allowed! o Check out FREE diet websites like SparkPeople.com and MyFitnessPal.com. Simply input your weight, your desired weight, and you’ll get a plan. These sites help you keep a food diary and keep count of calories, fat, protein and carbs. You’ll also find plenty of motivation, tips and support in their online forums. o Get fit for free! Walk, ride bikes, check out my Pinterest Board of at home workouts or try exercise DVD’s. Average savings – at least $40 a month and $480 a year. Travel More, Spend Less o Deal first, destination second – this is The Budget Diet’s motto when it comes to saving on travel. It simply means don’t get your heart set on a destination, and then discover the deals don’t exist. Instead, be open-‐minded about a destination and get excited about great deals. Each Saturday, The Budget Diet publishes the Top 10 Budget Travel Deals. o Did you know that discounted gift cards exist for travel? Recently, Costco had $300 American Airlines gift cards for only $269.99! How’s that for instant savings? Take a moment to peruse the huge selection of discounted gift cards at ABCGiftCards.com – you’ll find discounted gift cards for hotels, restaurants, shopping and more! o Save on Cruises with VacationsToGo.com’s 90-‐day last minute ticker. It’s not unusual to find discounts of 75%! o Consider a home exchange program like HomeExchange.com or AffordableTravelClub.com o A road trip is always budget friendly! Plan a road trip to please everyone – you set the budget and distance parameters, and each member of the family plans a day! More Ways to Save o DIY – could you make it yourself or fix it yourself? Thanks to You Tube, there’s a video to teach you just about anything! You can even learn to fix a leaky toilet! o Consider swapping babysitting or pet sitting with a neighbor. o Cut your dry cleaning bill by switching to Costco Kirkland brand no-‐iron shirts. 5 shirts cost $79.95, and you’ll save about $250 a year on dry cleaning. o Instead of a coin jar, try a $1 bill jar – you have to adjust for inflation, right? How many ways did you find to cut your spending?
EXTRACT OF POLYMER AND TEXTILE TECHNOLOGY STUDY FIELD AT UTENOS KOLEGIJA THE 22ND OF JUNE 2022 EVALUATION REPORT NO. SV4-51 CENTRE FOR QUALITY ASSESSMENT IN HIGHER EDUCATION EVALUATION REPORT STUDY FIELD OF POLYMER AND TEXTILE TECHNOLOGY AT UTENOS KOLEGIJA –––––––––––––––––––––––––––––– Expert panel: 1. Prof. dr. Diana Gregor-Svetec, (panel chairperson), member of academic community; 2. Associate Professor dr. Muhammad Tausif, member of academic community; 3. Assistant Professor dr. Ewelina Pabjańczyk-Wlazło, member of academic community; 4. Ms. Agnė Biskytė, representative of social partners; 5. Ms. Greta Markūnaitė, students' representative. Evaluation coordinator – Dr. Ona Šakalienė Report language – English © Centre for Quality Assessment in Higher Education Study Field Data II. GENERAL ASSESSMENT Polymer and Textile Technology study field and first cycle at Utenos Kolegija is given positive evaluation. Study field and cycle assessment in points by evaluation areas *1 (unsatisfactory) - there are essential shortcomings that must be eliminated; 2 (satisfactory) - meets the established minimum requirements, needs improvement; 3 (good) - the field is being developed systematically, has distinctive features; 4 (very good) - the field is evaluated very well in the national and international context, without any deficiencies; 5 (excellent) - the field is exceptionally good in the national and international context/environment. IV. EXAMPLES OF EXCELLENCE Core definition: Excellence means exhibiting exceptional characteristics that are, implicitly, not achievable by all. If, according to the expert panel, there are no such exceptional characteristics demonstrated by the HEI in this particular study field, this section should be skipped / left empty. - There are College, Faculty and study programme level quality assurance systems in place. The HEI has implemented the study quality management system based on the ISO 9001 quality management standard, the EFQM excellence model and the European Higher Education Quality Assurance Regulations and Guidelines. Social partners and students are involved in internal quality assurance. The surveys are implemented and more importantly there are clear examples of making changes in response to survey feedback. V. RECOMMENDATIONS VI. SUMMARY Main positive and negative quality aspects of each evaluation area of Polymer and Textile Technology field study at Utenos Kolegija: The expert panel gives a positive evaluation of the 1st cycle Clothing technologies study programme (SP) at the Faculty of Business and Technology, Utenos Kolegija (UK), with all areas of evaluation assessed as "good" or "very good". Major positive aspects: - The aim and learning outcomes of Clothing technologies SP are in conformity with the needs of the Uthena region and Lithuanian labour market and are in line with the UK aim, to train specialists in the clothing sector as one of the needed professions in the region. Besides knowledge and professional competences, students gain general competences needed for life-long learning. - The structure of SP is well designed, balanced, newest topics, such as digitalisation, innovations and sustainability are included to a sufficient extent. Specialization is part of the SP, as well as personalization of study, which gives students the opportunity to personalize the structure of SP according to their individual learning objectives and intended learning outcomes. - Cooperation with social partners is very well developed, a lot of activities are devoted to the general public, which shows social responsibility and incorporation of SP in the local community. - Many different opportunities for students to engage in various types of scientific and research activities. - A very tight cooperation with partners from industry and business who actively participate in the creation of the SP, its modification, and processes related to the evaluation of students' work. This allows for the assumption that the studies offered by UK are characterized by an exceptionally high practical level and allow students to acquire skills that are extremely important in terms of opportunities on the labour market. - The UK provides various forms of student support which provides favourable conditions for their development. Students seem to be satisfied with the level of the support received from the UK. - Students rate the contacts with the UK very highly, and talk about close relations with administrative and teaching staff, which greatly facilitates the process of acclimatisation and development during their studies. - The UK offers various types of scholarships and incentive systems as a tool for activating students. - The UK offers a wide range of opportunities to develop teaching, scientific and proactive skills for its staff. The process has been systematised and the procedures specifying the requirements for raising competences have been developed. - Teachers have very strong contacts with partners from the industrial and business environment, thanks to which they can develop their practical skills on an ongoing basis. A relatively large part of the teaching staff are specialists-practitioners. - The teachers confirm the very favourable approach of the administration and managers to the development of competences (including scientific promotions), which is manifested in various types of support for the staff, including financial and organisational support, but also related to the change in the distribution of the workload (flexible working hours, lowering teaching hourly workload, etc.) - The physical infrastructure is sufficient to meet the needs of the students and staff. The provision of specialist laboratories in the field of studies is also visible. - There are College, Faculty and study programme level quality assurance systems in place. Overall, the committee is balanced with the representation of academic, social partners and students/graduates. - The changes are being implemented and there is a significant grant of EUR 800,000 expected. The plan shows that the major focus is on infrastructure and facilities. - It is highly commendable that all students would recommend their course to prospective future students. The surveys are implemented and more importantly there are clear examples of making changes in response to survey feedback. - Social partners and students are involved in internal quality assurance. Suggestions for improvement: Expert panel didn't find any significant weaknesses. Instead, we are giving some suggestions for further improvement of SP in order to reach the excellence. - Currently, emerging themes, such as digitalisation and sustainability are already included in SP, but with the fast development in these areas, the monitoring on annual basis is recommended in order to include the latest digital software for textile and fashion design and newest technologies emerging in the field into the SP constantly. - Mobility of student could be more evident, also by introduction of mixed types of mobility adjusted to the needs and conditions of the situation (virtual, half-virtual, short mobilities, in-house internationalisation and etc.) which would increase the chances of students and graduates on the international markets. - Further improvement of SP, which is already very good, would be by including more research related learning outcomes in order to develop critical thinking and reasoning skills and gain problem-solving skills to a greater extent. - Efforts should be taken to increase the number of state funded places due to the importance of the sector and the high demand for the UK graduates in the industry and business, or increase the number of vacancies financed by the companies it cooperates with. - Continuously, efforts should be made to increase the number of students participating in the mobility. The UK should also take into account the processes of in-house internationalization, which can also be implemented in the event of a pandemic or other factors that make it impossible to travel outside the country. - More career support for students and counselling should be in place. - It is necessary to constantly improve the language competences of the staff, perhaps by increasing the intensity of language courses, but also by introducing some modules of classes conducted in English – it will be a benefit for students, but also a motivation for the teachers themselves. - It would have been useful to include details of the quality checks and any external examination of the programme assessments and teaching activities. - The Academic Integrity process needs to be clearly defined, and applied for all submitted work. The students can be provided support and example access to the similarity at the start of the programme. - It would have been useful for the process of evaluation to include the results of the surveys. ____________________________ - There is no significant weakness identified, but attention should be paid to plan investment in the laboratories for knowledge about textile manufacturing. This would support both teaching and research activities. UTENOS KOLEGIJOS POLIMERŲ ir TEKSTILĖS TECHNOLOGIJOS KRYPTIES STUDIJŲ 2022 M. BIRŽELIO 22 D. EKSPERTINIO VERTINIMO IŠVADŲ NR. SV4-51 IŠRAŠAS UTENOS KOLEGIJOS POLIMERŲ IR TEKSTILĖS TECHNOLOGIJOS KRYPTIES STUDIJŲ VERTINIMO IŠVADOS Ekspertų grupė: 1. Prof. dr. Diana Gregor-Svetec, (vadovas), akademinės bendruomenės atstovė; 2. Doc. dr. Muhammad Tausif, akademinės bendruomenės atstovas; 3. Doc. dr. Ewelina Pabjańczyk-Wlazło, akademinės bendruomenės atstovas; 4. Agnė Biskytė, socialinių partnerių atstovė; 5. Greta Markūnaitė, studentų atstovė. Vertinimo koordinatorė - dr. Ona Šakalienė Išvados parengtos anglų kalba Vertimą į lietuvių kalbą atliko UAB „Pasaulio spalvos" © Studijų kokybės vertinimo centras Studijų krypties duomenys II. APIBENDRINAMASIS ĮVERTINIMAS Pirmosios pakopos polimerų ir tekstilės technologijos krypties studijos Utenos kolegijoje vertinamos teigiamai. Studijų krypties ir pakopos įvertinimas pagal vertinamąsias sritis. 1- Nepatenkinamai (sritis netenkina minimalių reikalavimų, yra esminių trūkumų, dėl kurių krypties studijos negali būti vykdomos); 2- Patenkinamai (sritis tenkina minimalius reikalavimus, yra esminių trūkumų, kuriuos būtina pašalinti); 3- Gerai (sritis plėtojama sistemiškai, be esminių trūkumų); 4- Labai gerai (sritis vertinama labai gerai nacionaliniame kontekste ir tarptautinėje erdvėje, be jokių trūkumų); 5- Išskirtinės kokybės (sritis vertinama išskirtinai gerai nacionaliniame kontekste ir tarptautinėje erdvėje). IV. IŠSKIRTINĖS KOKYBĖS PAVYZDŽIAI Pagrindinės savokos apibrėžimas: Išskirtinė kokybė - tai išskirtinių savybių, kurių ne visi gali pasiekti, demonstravimas savo veikloje. - Kolegijos, fakultetų ir studijų programų lygmenyje yra įdiegtos kokybės užtikrinimo sistemos. Aukštojoje mokykloje taip pat įdiegta studijų kokybės vadybos sistema, pagrįsta ISO 9001 kokybės vadybos standartu, Europos kokybės valdymo fondo (EKVF) tobulumo modeliu ir Europos aukštojo mokslo kokybės užtikrinimo nuostatais ir gairėmis. Socialiniai partneriai ir studentai dalyvauja vidiniame kokybės užtikrinime. Įgyvendinamos apklausos ir, kas yra dar svarbiau, yra aiškių pavyzdžių, kaip, atsižvelgiant į apklausų atsiliepimus, daromi pokyčiai. V. REKOMENDACIJOS Studijų kokybės valdymas ir viešinimas - VI. SANTRAUKA Pagrindiniai polimerų ir tekstilės technologijos krypties studijų teigiami ir neigiami vertinamųjų sričių kokybės aspektai Utenos kolegijoje: Ekspertų grupė teigiamai įvertino Utenos kolegijos (toliau - UK) Verslo ir technologijų fakulteto I pakopos Aprangos technologijų studijų programą (toliau - SP). Visos vertinamosios sritys įvertintos „gerai" arba „labai gerai". Pagrindiniai teigiami aspektai: - Aprangos technologijų SP studijų tikslas ir rezultatai atitinka Utenos regiono ir Lietuvos darbo rinkos poreikius bei Utenos kolegijos siekį rengti aprangos sektoriaus specialistus, kaip vieną iš reikalingų profesijų regione. Studentai įgyja ne tik žinių ir profesinių gebėjimų, bet ir bendrųjų gebėjimų, reikalingų mokytis visą gyvenimą. - Bendradarbiavimas su socialiniais partneriais yra labai gerai išplėtotas, daug veiklų skirta plačiajai visuomenei, o tai rodo socialinę atsakomybę ir SP įsitraukimą į vietos bendruomenę. - SP struktūra yra gerai suplanuota, subalansuota, pakankamai įtrauktos naujausios aktualios temos, tokios kaip skaitmeninimas, inovacijos ir tvarumas. Specializavimasis bei studijų individualizavimas, kuomet studentams suteikiama galimybė individualizuoti programos struktūrą pagal savo asmeninius studijų tikslus ir numatomus rezultatus, įeina į vertinamą SP. - Labai glaudus bendradarbiavimas su pramonės ir verslo partneriais, kurie aktyviai dalyvauja kuriant SP, ją keičiant ir vertinant studentų darbus. Tai leidžia daryti prielaidą, kad UK siūlomos studijos pasižymi itin aukštu praktiniu lygiu ir suteikia studentams galimybę įgyti įgūdžių, kurie yra labai svarbūs atsižvelgiant į darbo rinką. - UK studentams teikia įvairių formų paramą, kuri sudaro palankias sąlygas jiems tobulėti. Panašu, kad studentai yra patenkinti iš UK gaunamos paramos lygiu. - Studentams siūloma daug įvairių galimybių dalyvauti įvairioje mokslinėje ir tiriamojoje veikloje. - UK, siekdama motyvuoti studentus, siūlo jiems įvairių rūšių stipendijas ir skatinimo sistemas. - UK savo darbuotojams siūlo daugybę galimybių tobulinti mokymo, mokslo ir iniciatyvumo įgūdžius. Šis procesas susistemintas, parengtos procedūros, kuriose nurodyti reikalavimai kompetencijų kėlimui. - Studentai labai gerai vertina ryšius su UK ir pasakoja apie glaudžius santykius su administraciniu personalu ir dėstytojais, o tai labai palengvina adaptacijos ir tobulėjimo procesus studijų metu. - Dėstytojai patvirtina labai palankų administracijos ir vadovų požiūrį į kompetencijų kėlimą (įskaitant perkėlimą į aukštesnes mokslines pareigas), kuris pasireiškia įvairia parama darbuotojams (tiek finansine, tiek ir organizacine, o taip pat susijusia su darbo krūvio paskirstymo pokyčiais; siūlomas lankstus darbo grafikas, mažinamas pedagoginio valandinio darbo krūvis ir pan.) - Fizinė infrastruktūra yra pakankama studentų ir darbuotojų poreikiams patenkinti. Tinkamas aprūpinimas specializuotomis studijų srities laboratorijomis. - Dėstytojai palaiko labai glaudžius ryšius su partneriais iš pramonės ir verslo aplinkos, kurių dėka jie gali nuolat tobulinti savo praktinius įgūdžius. Santykinai didelę dėstytojų personalo dalį sudaro praktikuojantys specialistai. - Įgyvendinami reikšmingi pokyčiai. Tikimasi gauti didelę 800 000 EUR dotaciją. Iš plano matyti, kad daugiausia dėmesio skiriama infrastruktūrai ir patalpoms. - Kolegijos, fakulteto ir studijų programos lygmeniu įdiegtos kokybės užtikrinimo sistemos. Apskritai galima teigti, kad SP komitetas yra subalansuotas, jame atstovaujama akademinei bendruomenei, socialiniams partneriams ir studentams/absolventams. - Socialiniai partneriai ir studentai dalyvauja vidiniame kokybės užtikrinime. - Labai pagirtina, kad visi studentai teigė noriai rekomenduosiantys savo SP būsimiems studentams. Atliekamas apklausos ir, kas dar svarbiau, yra aiškių pavyzdžių, kai, atsižvelgiant į jų duomenis, daromi pokyčiai. Tobulinimo galimybės: Ekspertų grupė nenustatė jokių reikšmingų SP trūkumų, tad vietoje jų vardinimo, pateikiame keletą pasiūlymų, kaip toliau tobulinti programą, kad būtų pasiekta išskirtinė kokybė. - Šiuo metu naujos aktualios temos, tokios kaip skaitmeninimas ir tvarumas, jau yra įtrauktos į SP, tačiau sparčiai vystantis šioms sritims, rekomenduojama kasmet vykdyti programos stebėseną, siekiant, kad būtų pasitelkiama ir naudojama naujausia skaitmeninė tekstilės ir mados dizaino programinė įranga ir moderniausios technologijos. - Studentų mobilumas galėtų būti didesnis, o tai pasiekti būtų galima, pvz., įvedant mišrius mobilumo tipus, pritaikytus prie situacijos poreikių ir sąlygų (virtualus, pusiau virtualus, trumpalaikis mobilumas, vidinis tarptautiškumas ir t.t.), kas padidintų studentų ir absolventų galimybes tarptautinėse rinkose. - Toliau tobulinant SP, kuri jau ir taip yra labai gera, į ją būtų galima įtraukti daugiau su moksliniais tyrimais susijusių studijų rezultatų, kadangi taip būtų ugdomas kritinis mąstymas ir argumentavimo įgūdžiai bei įgyjami didesni problemų sprendimo gebėjimai. - Atsižvelgiant į verslo sektoriaus svarbą ir didelę UK absolventų paklausą pramonės šakoje ir verslo atstovų tarpe, reikėtų stengtis didinti valstybės arba įmonių, su kuriomis bendradarbiaujama, finansuojamų vietų skaičių. - Reikėtų stengtis nuolatos didinti mobilumo programose dalyvaujančių studentų skaičių. UK taip pat turėtų atkreipti dėmesį į vidinius tarptautiškumo procesus, kuriuos būtų galima įgyvendinti net ir pandemijos metu, ar atsiradus kitiems veiksniams, dėl kurių neįmanoma išvykti už šalies ribų. - Studentams turėtų būti teikiama didesnė parama ir konsultacijos su karjera susijusiais klausimais. - Nuolat tobulinti darbuotojų kalbines kompetencijas, galbūt didinant kalbų kursų intensyvumą, taip pat įvedant kai kuriuos anglų kalba vedamų paskaitų modulius (dalykus) - tai bus ne tik nauda studentams, bet ir motyvacija patiems dėstytojams. - Į vertinimą būtų buvę naudinga įtraukti išsamią informaciją apie kokybės patikrinimus ir bet kokį išorinį programos vertinimų ir mokymo veiklos nagrinėjimą. - Reikėtų aiškiai apibrėžti akademinio sąžiningumo procesą ir jį taikyti visiems pateiktiems darbams. Studijų programos pradžioje studentams būtų galima suteikti paramą ir bandomąją prieigą prie plagiato tikrinimo įrankių. - Taip pat būtų buvę naudinga pateikti atliktų apklausų rezultatus. - Didelių SP trūkumų nenustatyta, tačiau reikėtų dėmesingiau planuoti investicijas į laboratorijas, leidžiančias įgyti žinių apie tekstilės gamybą. Tai prisidėtų tiek prie mokymo, tiek prie mokslinių tyrimų veiklos. ____________________________ Paslaugos teikėjas patvirtina, jog yra susipažinęs su Lietuvos Respublikos baudžiamojo kodekso 235 straipsnio, numatančio atsakomybę už melagingą ar žinomai neteisingai atliktą vertimą, reikalavimais. Vertėjos rekvizitai (vardas, pavardė, parašas)
1 American Association of Physical Anthropologists Handbook for Meeting Organizers The AAPA Executive Board expresses its appreciation to Anne Grauer, who wrote this handbook in its entirety. Spring, 2013. During the Pliocene (5-‐3 Years Before Meeting Date) * Is hosting an AAPA meeting feasible? o There are a number of questions you should ask yourself (or your group) before you take steps to volunteer as a host organization. § Are you in a city that has large enough facilities for a week-‐long event that attracts up to 2000 people? § Are you part of a department/school/organization that might consider reducing your teaching load or obligations during the year of the meeting? § Do you have access to donors or resources that will help defray some of the costs of the meeting? Registration fees rarely cover all the expenses. * How does one volunteer to host an AAPA meeting? Is there an RFP? o You just talk to the president of the AAPA. * How do we begin? o Perhaps the easiest way to begin is to determine who will lead the LAC and who will serve on it. In the past, it has been helpful to choose a chair who is willing and able to dedicate MANY hours of work to the organization and implementation of the meeting and is comfortable juggling minute details. Important variables to consider when asking folks to serve on the LAC are their geographic proximity (to the LAC Chair and/or the meeting venue) and how easy communication between prospective members of the committee will be, what resources and abilities will a member bring, and how likely will a member be to complete all tasks on time and without much oversight. IT IS ALSO WISE TO BEGIN THE PROCESS BY READING THE VARIOUS ATTACHMENTS PROVIDED IN THIS DOCUMENT. These will give you a great start. * Do we need to form a Local Arrangements Committee? o Technically, no, but the task is so large that you really need to be psychiatrically evaluated if you think you can do this all on your own. * What is the role of the LAC Chairperson? o The LAC has general authority to make financial and planning decisions in consultation with the AAPA Secretary-‐Treasurer, VP, and President. It is imperative that the LAC work closely with the VP, as the development of the meeting program must be closely coordinated with the meeting venue. * When should the LAC begin to meet regularly? o The LAC should expect to begin to meet regularly 18 months prior to the meeting. Setting up a local bank account at this time is highly recommended, but must be done in consultation with the AAPA Treasurer. * Are there suggested sub-‐committee roles to fill based on past LAC experiences? o Yes. The LAC chairperson might consider breaking the team into the following sub-‐ committees: Website and Local Attractions, Finances, Registration Desk, Volunteers, AV, Catering, Exhibitors and Vendors, Auxiliary Groups Coordinators, Printing and Signs. The LAC is also responsible for organizing all aspects of the AAPA Luncheon. Although the tasks of each subcommittee might appear disparate at this point, you will find that the need to finely coordinate all efforts will become more and more imperative as the due-‐date draws near. * When do we begin to look for a hotel? o Immediately. A contract with a hotel and/or other meeting site should be signed 2-‐3 years in advance of the meeting. * How do we find a hotel? o The answer to this question usually depends on where the meeting is being held. If the meeting is in a small city with few very large hotels accustomed to accommodating a meeting of ~1700 individuals, then the decision regarding which hotel is quite straight-‐ forward. However, in many instances there are a number of suitable hotels potentially available. Contact a local convention bureau for information on hotel sizes and amenities in your area, and/or contact a "conference company." (see below). * Can the LAC opt to use a "conference" company? o Yes. In past (Columbus, Ohio , 2008) and Chicago, IL, 2009) and future (New Orleans, 2017), the LAC chose to contact a company that specializes in running large conferences. See examples of contracts with conference companies in the "Additional Resources" section of this handbook. THE AAPA ExCom strongly encourages LAC's to use a professional company. * What are the advantages of using a conference company? o Choosing this alternative has some advantages: 1) the conference companies are sophisticated and powerful in negotiating hotel rates and perks for the AAPA, (especially in large cities which attract many conferences); 2) the conference companies DO NOT CHARGE the AAPA, rather, they get their revenue from hotel "kickbacks"; 3) the conference companies assign a specific coordinator who is responsible for assisting the AAPA organize and run the meeting; 4) the company organizer will usually be at the meeting helping the LAC with any/all details regarding the hotel. * What are the disadvantages of using a conference company? o Since the conference company is initiating the negotiations with the hotels, the price of the rooms might be slightly higher for attendees. This is not always the case, however, as any/all contracts will specify room costs for the meeting based on projected cost increases over the impending year(s) between signing the contract and the actual meeting date. If prices, locally or nationally spike unusually during 2-‐3 years between contract signing and the meeting, then the AAPA attendees benefit since the projected cost will be less. Obviously, the opposite can occur as well, with prices going down and the contract rate thus appearing unusually high. * Which conference company has been used successfully in the past? o For the Columbus, OH and Chicago, IL meetings, Experient (then called Conferon) was used with tremendous success.(http://www.experient-‐inc.com ). Hospitality Performance Network (http://www.hpnglobal.com/), DJ Feldman (firstname.lastname@example.org) are other suggestions. For the New Orleans meeting, the local host chose to use a local company. Explore the options. * How do we begin the process of finding a hotel? o Without doubt, the first step is to acquire information regarding the hotel parameters and needs based on past AAPA meetings. It is helpful, for instance, to look at the" At a Glance" spread sheet and the"Hotel Contract" from the past few years to get a sense of the numbers and types of rooms and events taking place throughout the week. You also ought to be able to get more detailed information from past LAC Chairs which lists each room used, the number of seats available in each, etc. during their meeting. These documents serve as great starting points, as you get a sense of the number and types of rooms that you will eventually be negotiating for with the hotel. Acquiring details such as size and number of ballrooms for our exhibitors and poster sessions, along with the number of guest rooms used (the pick-‐up rate) in the past, and the number and size of the suites needed/used is also extremely helpful. Lastly, ask past LAC chairs, or the AAPA President, if they have copies of hotel contracts. This will help you get a sense of the costs, perks (how many rooms and when are rooms comped, for instance), stipulations and limitations (X number of guest rooms must be reserved by members for free meeting space to be provided to the AAPA, or X amount of food and beverage must be ordered from catering). o Finding a hotel with adequate registration desk area(s) is critical. The registration area must be large enough to handle a high volume of traffic, must have storage space available for the bags and materials, must have potential for telephone/data hookup. Signage is also important, so it is wise to ask how and where signs might be posted. o Remember, there are a number of smaller rooms that will be needed-‐-‐-‐ you might want to have a dedicated AV set-‐up/preview room, an interview room, a room that serves as the "office" for the LAC. Review the"Glance" and the"Hotel Contract" documents as a guide. o There are other considerations to keep in mind when selecting a hotel: Is the neighborhood safe and accessible to restaurants and amenities? Are there satellite hotels in close proximity for possible overflow? Is the hotel accessible from airports/transportation? Does the hotel offer ample space for participants to sit in the lobby or other general areas? Is there a bar where participants can casually gather after the meeting? Is there internet access in lobbies, guestrooms, etc? Are there adequate restaurants and eating facilities within the hotel? o PARKING!Is there parking available? Affordable? Try to have parking added to the hotel contract so that LAC members can have easy access to the hotel during the week of the meeting. o IMPORTANT! § When determining whether the hotel offers enough meeting space be sure to keep in mind the difference between the printed/projected room capacity and the true capacity. For instance, a room that the hotel declares has a capacity of 150 seated "lecture style" will likely have 30% less space once AV equipment is put into the room, a podium and table is added, AND you account for the empty seats that are tucked in the middle of rows and are relatively inaccessible during the session. § A ballroom or exhibition hall to be used for poster sessions ought to have plenty of space between poster boards AND must meet all building codes and fire laws. § The exhibitor's room needs to comfortably holdat least two 8-‐foot tables per exhibitor (once again, check previous year for estimate of number and needs of exhibitors and examples of floor plans) plus ample room to display material and walk around. § Also, don't forget that there must be a relatively large and fully accessible space to hold registration. § Lastly, and perhaps the biggest aggravation, is the fact that auxiliary organizations will be using the space as well during the days preceding and during the meeting. Figuring out their space needs is extremely difficult and at least in some instances (the HBA, for example) change annually. The best you can do is look at past needs/space used for the organizations and factor these into your calculations. The auxiliary organizations will need to compromise if their needs/plans change. * How do we determine that the meeting rooms are adequate for the conference? o There are plenty of considerations besides room size that end up impacting the success of the conference(s). For instance: § People should be able to leave and enter each roomat theend opposite the screenwithout distracting attention from the speaker. If there are doors at both ends of the room, see if the doors at one end can be locked, and setupthe podium and screen at thatend. § Noise can be a real problem. Check for partition thickness and security (in sub-‐ divided ballroom arrangements). Also see that other sources of noise(especially kitchens, banging doors, ventilation, bars, or swimming pools)arenot immediately adjacent to meeting rooms. Remember that attendees will be congregating in hallways outside the podium sessions to talk, argue, anddrinkcoffee while sessions are going on. If possible, secure an inviting area forthispurpose at an adequate distance from the entrances to the session rooms, sothatthe chatter and clatter don't disturb the podiumsessions. § There needs to be room or accommodations for signs. Ask if the hotel supplies tripods for our printed session signs, and make sure that there is room in the corridors for these obstacles. * Are there other hotel rooms that we ought to take into consideration? o Indeed. One important room need is that of the AAPA President. Traditionally, the AAPA President holds a private reception following the business meeting in honor of the award winners. This room must therefore be a suite that is large enough to cater an event for 75 guests. One-‐room suites are most always inadequate. * How do we determine the DATES of the meeting? o This is always a bit tricky as Spring brings many holidays and other association meetings. Begin by finding out when Easter and Passover fall that Spring and then check to see when the SAA meetings are being held, as they tend to fall on dates close to the AAPA meeting. * Who signs documents and makes decisions? o Not the LAC! While the LAC negotiates the contract with the hotel, the AAPA is liable to the hotel for any failure to fulfill the contract. Hence, the AAPA President, not the LAC, signs the contract. The President may ask for changes before doing so. The AAPA has retained an attorney who is available to review any significant contractual obligations. The LAC should confer with the President about legal review before negotiating any contracts.Examples of past AAPA contracts are included in this handbook—compare them to any/all contracts you receive. * Who pays for the meeting? o The AAPA has two traditional and reliable sources of income: dues and fees levied on participants and exhibitors at the annual meeting. However, the annual meetings are expected to more or less pay for themselves. "More" is preferable to "less!" A great way to generate income is by planning on a high-‐profile luncheon speaker, charging appropriately, and advertising widely. * How does the LAC estimate its budget for the meeting? o The LAC should use the registration figures from past meetings to estimate the expected income from registration fees. Other sources of income should also be explored. Is there a local company that will pay for the meeting bags if their logo is placed on the bag? Will your college or university agree to help financially support the meeting (for example, in 2009 Loyola University Chicago donated $15,000 to the meeting). * What are the usual expenses of running a meeting? o Likely the largest expenses will be for food and beverage (this is a huge sum), AV and services, poster board rental and exhibitors' tables, printing, registration badges, hotel telephone and IT connection (if needed/wanted). * How do bills and expenses get paid? o While the AAPA is responsible for paying for most bills generated by the meeting, there are always smaller expenses or upfront costs that must be paid immediately. These expenses might include office supplies, photocopying, and incidentals. Thus, the LAC is best advised to set up a local bank account from which smaller expenses can be paid. The AAPA can provide the LAC with a cash advance from which these expenses can be paid. All advances must be added eventually to the LAC's final calculation of meeting expenses and should be recouped by meeting income. However, if the LAC has secured a donation from his/her institution, then this local account can be opened with this donation. * When do you hunt for a Luncheon Speaker? o ASAP!!A high profile speaker costs the AAPA (speakers receive an honorarium to be determined by the LAC) but s/he might also help the LAC make money by drawing in many folks who are willing to pay for lunch. During the Pleistocene (2yrs-‐10months Before Meeting Date) * What are the LAC priorities as the Pleistocene draws near? o The basic priorities of the LAC at this point are to determine the Audiovisual Services vendor, organize the Exhibitor's (Book Room) needs, and to begin creating a LAC website. * How do we set up the finances of the meeting? 8 o Although this can vary year to year, it is wisest to first contact the AAPA President and Treasurer to discuss the role that the LAC will take. For instance, in some years the LAC has opened its own bank account into which start-‐up funds from the AAPA and registration fees from participants are deposited. Having a local bank and an associated checking account can make paying local bills (printing, for instance) easier. A few months after the meeting has ended a complete accounting of all debits and credits associated with the accounts needs to be submitted to the AAPA VP. o IMPORTANT: Set up an excel spread sheet which records EVERY transaction that the LAC makes. Shortly after the close of the meeting you will need to provide the AAPA Treasurer with an itemized accounting of every debit and credit. This means that you will need to provide, for example, information on how many student registrations were paid, how many reduced registrations were paid (student and regular member), how many luncheon tickets were sold, as well as the costs of every item (WITH RECEIPTS) spent on the meeting. So, if one person sends in a check to cover the registration for 5 students, two lunch tickets and their regular registration fee, you MUST make sure to itemize each of the credits. Bottom line, if you think that pulling together your own finances during tax season is a pain in the rear, wait until you tackle the AAPA accounting IF you didn't keep meticulous records!! o Also, remember that the AAPA usually pays for AV, catering, printing, etc., for the auxiliary groups since it increased volume usually provides the AAPA with more price-‐bargaining power-‐-‐-‐thus benefiting ALL groups. At the conclusion of the meetings the LAC must be able to determine precisely what each auxiliary group owes for each and every service and bill the auxiliary group. * Why start the website so soon? o Past experience tells us that the sooner folks can get some basic information (like which hotel the meeting will be held at) the less likely you are to receive a million individual email messages from potential participants. Our non-‐US participants often have to make financial and/or visa arrangements well in advance of the meeting. o Also, the exhibitors will begin thinking about the following year as the current meeting begins to wind down. Having exhibitor information (like the exhibitor registration form) available by the summer prior to the meeting has been very helpful. * Are there other deadlines that loom near which don't require contracts? o Yes, you will be asked to provide a photograph for the cover of the AJPA Supplement. This photo can be of the hotel, the city, and archaeological/anthropological site, etc. It cannot, however, infringe on any copyright laws. Hence, in the past, the LAC has asked the hotel if they have any PR photos that they will donate OR a member of the LAC has taken the photograph his/herself. o You will also be asked to create a "welcome letter" from the LAC to AAPA members which provides basic details about the meeting, the venue, travel, etc. * How do we go about finding an AV service? o Many large hotels have in-‐house AV services (PSAV is a particularly large company that is associated with many hotels). It is perhaps easiest to begin with them—speak to a representative and provide them with a list of all AV needs for the week. Get a quote. REMEMBER, THIS QUOTE IS USUALLY RATHER HIGH AND BLOATED—YOU CAN NEGOTIATE AND GET THIS REDUCED!!Exploring other AV options is also recommended, as you will have more bargaining power if you shop around. However, in the past many LACs have found that choosing the in-‐house option has many benefits: § They are extremely familiar with the hotel and its operations § They will often have one or more technicians on-‐site throughout the duration of the meeting to help problem-‐solve. * Are there helpful hints for dealing with AV needs? o Of course, and all are based on past "damn I wish I had known earlier" moments that past LACs have experienced! Such as…. § Check to see if any of the reserved rooms have built-‐in AV and/or microphone capabilities. If so, make sure that the AV charges do not include microphones, etc., since the AAPA will then be paying twice for the same service. § Take-‐down and set up of AV can be costly, so it is helpful to coordinate room use with AV use—schedule rooms to be used consistently throughout the day and evening to reduce any/all set up fees. § Occasionally members, groups, and/or auxiliary organizations request AV set up for translators. This might require different microphone set ups than "regular" sessions AND the translators need a table outside the session in a quiet location which can be electronically linked to the session. While planning ahead for these instances is difficult, bringing the potential need to the AV company can help them plan for the possibility. § Ask if laser pointers and timers can be "thrown-‐in" as a perk since our meetings are long and extensive. If not, ask prior LACs if they purchased these and thus can send them along to you. If not, you'll need to determine whether renting or purchasing is cheaper. § Bundle all the AV needs of the auxiliary groups with the AAPA needs, as it gives us greater bargaining power. Each group can then later be billed by the AAPA. § Try negotiating to have a technician present and a desk/table set up in an accessible area during the main meeting hours. Having to find a technician when an emergency or question arises takes valuable time. In Chicago, a table was placed near the main ballroom venues and small details, as well as large problems, were quickly resolved. * How do we begin making plans for the Exhibitors? o Like AV, Exhibitor services might be available within the hotel or might require contracting with an outside company. Exhibitor services usually are responsible for providing poster boards, setting up electrical needs in the Exhibition room, providing tables, chairs, draping, booths to vendors, and coordinating with vendors who need to send materials to the hotel ahead of time and have their materials delivered to specifically assigned tables in the Exhibition room. Vendors are very familiar with these companies and expect to fill out separate contracts with them (AFTER they have filled out the AAPA reservation form and are aware of our charges—see vendor reservation form). o IMPORTANT! The price for each table set-‐up for the exhibitors is different than the price we charge the vendors. Make sure that the contract that the vendors will sign does not contain any mention of prices for tables, etc. The vendors pay the AAPA for their tables, etc., the exhibition company charges the AAPA for everything EXCEPT storage and delivery of materials. See the AAPA form for exhibitors-‐-‐-‐the first step in this entire process is having the vendors fill out this form. The AAPA then sends along the contact information to the vendor who then contacts the vendor with the Exhibition company's contract. o Vendors might also need storage room for their materials. Ask the hotel about these provisions. o The Exhibition room will likely need security—especially during the evening when the room is technically closed and locked. Hotels often have these services available to organizations for a fee, but it is also wise to ask the hotel about outside contractors whose fees might be considerably less. * What arrangements must be made for the Luncheon Speaker? o It is helpful to assign one or two people from the LAC to begin creating a list of potential speakers and then developing a protocol for choosing one. The sooner a potential speaker is contacted, the better. o As choosing a speaker is the LACs responsibility, any/all honoraria or perks can be decided by the LAC as well, but must be deemed appropriate by the AAPA treasurer and/or VP. o The amount of the honorarium varies. AAPA members who are asked to speak have been offered anywhere from $250-‐500. In 2009, the 200 th anniversary of Darwin's birth, the LAC budgeted for a non-‐AAPA member to travel from England to Chicago to speak. The speaker was offered $1500 to cover all expenses including honorarium. o IMPORTANT! Make sure that the AAPA VP is aware of the date/time of the luncheon so that podium sessions can be scheduled with enough time for luncheon attendees to make it to the afternoon sessions. o Make sure that the luncheon needs are known to the LAC folks responsible for catering, AV, and registration (you'll need to create luncheon tickets for registrants who have paid to participate in the luncheon). o REMEMBER, all expenses incurred from the Luncheon must be paid by the LAC, so successfully "booking" a high-‐profile, highly respected speaker, is essential. * What are the needs of the Auxiliary Groups (HBA, PPA, etc.) o This is not an easy question to answer, as the needs of each organization can change. However, the first step is determining which groups will be meeting prior to and alongside the AAPA. Contact the presidents of each of the organizations and ask for the name of the KEY person involved in organizing their meeting. o The "At a Glance" documents from prior years are terrific resources to help you gauge what the potential needs might be of each auxiliary group. o IMPORTANT! Ask the hotel how they prefer the needs of the auxiliary groups to be met. In some cases, for the extensive needs of the HBA as an example, it has been wise to have the HBA be billed directly by the hotel, rather than the HBA expenses going on the AAPA bill to be paid later by the HBA. Alternatively, the PPA's needs are relatively unchanging and easily met, and they prefer to reimburse the AAPA for all expenses incurred. o REMEMBER! The relationship between the AAPA and the auxiliary groups is mutually beneficial. Having the auxiliary groups associated with the AAPA allows the AAPA to negotiate for better rates of AV, catering, etc. Alternatively, the auxiliary groups benefit because traditionally they don't pay for their meeting rooms since they are helping to contribute to the contractual obligations of the AAPA and the hotel (for instance, most hotel contracts will stipulate the number of guest rooms they require to be booked and minimum catering obligations for the AAPA to get free meeting rooms). * Where and when do we order the "swag"? Doesn't everyone love pens and tote bags? o Choosing to order bags and/or any other cool accessories is up the LAC. In the past, bags have been helpful to both the LAC and participants since they can be filled in advance with all meeting essentials. The type of bag and whether other accessories will be ordered is up to the LAC. Use past meeting attendance rates to estimate how many bags to order. MARCO Promotions company has been used successfully in the past and are quick and efficient to work with. However, choosing the company to make the bags is completely up to the LAC. It is probably wise to begin the process of developing a logo and getting the order in to the company 6 months before the meeting. * Are there other materials that need to be ordered in advance? o 10-‐6 months prior to the meeting the LAC might look into sources and prices of name tags and ribbons (Exec Board members have ribbons attached to their nametags, as do Local Arrangements folks, vendors, and the press). Check with the previous year's LAC to see if they have materials left over before placing your order. * How does the LAC organize food and beverage for the meeting? o First, remember that the AAPA is usually contractually obligated to buy food from the hotel. Hotels usually have a person specifically assigned to assist large organizations with catering needs. The LAC will be responsible for arranging food for the following events: § The Wednesday night AAPA reception with CASH bars § AAPA Luncheon § AAPA Sessions Morning and afternoon coffee breaks Thursday-‐Saturday § Executive Committee's meeting breakfast and lunch (ask the AAPA Pres. If s/he wishes to order/choose the food for the meeting) § AJPA Editorial Board Meeting lunch (AJPA Editor might take this task) § JHE Editorial Board meeting (ask the JHE Editor is s/he wishes to order the food) § Teacher Outreach continental breakfast (Outreach coordinator might take this task) § AAPA President's Evening Reception (President may wish to order the food) § Wednesday Executive Board meeting includes breakfast (7:00 am!), lunch and pm coffee break. Some presidents will choose themselves, others will ask you to do it. * Are there helpful hints for organizing the AAPA reception? o Absolutely. Coordinating this event can be challenging, as the LAC must determine what the budget ought to be based on past meetings and must figure out how to get the biggest bang for the buck. o So, here are some tips: § Don't even think about having open bars-‐-‐-‐ AAPA members are big drinkers and having a cash bar can actually greatly help the AAPA meet their contractual catering obligations. § Placing cash bars in different areas of the room helps reduce lines for drinks. § Many attendees treat the reception as DINNER, hence, they pile their plates high with food. Consider having tables in different areas of the room so that it is a bit challenging for one person to go through the line and treat themselves to 15 hors d'oeuvres in one pass through. § Budget for the reception may be determined by using past meetings' costs, especially if registration fees, other expenses, and number attendees will likely be similar to years past. * How much coffee/tea do we order for coffee breaks? o Best bet is to look at the orders placed for past meetings to help you determine your needs. o Remember that in the afternoon some folks would prefer cold beverages. However, these are amazingly expensive and members will rarely open a can of soda, pour themselves a glass, and then leave the rest to share with someone else. This means that you're paying $3-‐ 4 (or more!) per person per can of soda. In the past, LAC organizers have been able to stipulate in the contract that only CONSUMED beverages are billed to the AAPA, not simply the ordered beverages (unconsumed items should not go on the bill). Water bottles should be replaced with large containers and glasses. The Holocene (10 months – 1 day before the meeting) * How does LAC deal with submitted registration fees? o You should talk to the Secretary/Treasurer and the person in charge of online registrations. At the time of this writing, the latter is Ed Hagen. * How are badges made? o Badges are made in advanced using the databases provided by the VP and badges will need to be made on-‐site when attendees arrive to register at the desk. This means that you'll need a printer, extra badge inserts, and extra badge holders at the registration desk. Merging the excel file of names with a created file for badges is not difficult, but you will need a person with good computer skills and a HUGE amount of patience to lead the on-‐site badge-‐making team. The LAC needs to work closely with the VP and the web master, who are both involved in the registration process. * How are on-‐site registrations handled? o There are a couple of different on-‐site registration needs. § First, there are attendees who have not pre-‐registered and simply show up and register at the registration desk. The cost of registration for these folks differs from those who have pre-‐registered. § Second, there are attendees who have pre-‐registered but will be paying their registration at the desk (this is often an option chosen by international attendees) § Third, there are attendees who swear that they have paid their registration fees but have only paid their AAPA dues. So, you'll need a list of ALL folks who have pre-‐paid registration dues, and a list of those who have pre-‐registered but there is no indication of payment. § Name badges for children of AAPA attendees are done at the registration desk for free. * How is the registration desk organized? § You need to have several people at the desk so that registration and/or picking up registration material does not take too long. We usually divide the registrants by last name. § You should have multiple computers and printers. * How are volunteers selected? § Graduate and undergraduate students may serve as volunteers. § In exchange of their work, volunteers receive free registration. § Some previous LAC have asked for volunteer students from outside their own Universities. … And Just When You Think You're Done….. * How do we determine who is entitled to Comped rooms? o Itis the custom for hotels to provide a number of free guest rooms forAssociation officers. This will be spelled out in the hotel contract. The usual provision is one free room-‐night for every 50 room-‐nights booked bymeetingregistrants. A sign of a first-‐ class hotel is that they are gracious and generoushere. For example, they ought to offer free lodging to the LocalArrangementsChair during the meetings, independent of the rate of registrant bookings. o Members of the Board are given one night free. If more comped rooms are accrued (see above) then each can be given two nights. o Gratis room-‐nights are given out to Association officers in the followingorderof priority: § President (arriving Tuesday and departing Sunday) § Vice-‐President/Program Chair (arriving Tuesday and departing Sunday) § Secretary-‐Treasurer (arriving Tuesday and departing Sunday) § AJPAEditor (arriving Tuesday and departing Sunday) § LAC(arriving Tuesday and departing Sunday) § YearbookEditor (One night) § Past President/President-‐Elect (one night) § Student representative (one night, so that she/he might attend the Wednesday EB meeting) § Early-‐career "shadow" (one night, so that she/he might attend the Wednesday EB meeting) o The President is assigned a suite of two or more rooms, containingspace and furnishingssuitable for giving receptions and holding meetings to deal withAssociation business, Ask to see a suite that would be available for thispurpose. o Ideally, rooms would be provided for all of the officers listed above. Sometimesa suite may be traded for two or three single rooms. This is anopportunity for bargainingwith the hotel. As our meetings have increased in attendance over the years, we should be able to provide free room-‐nightsfor those further downthe list of officers. o A few additional rooms may be offered gratis or at reduced rates. These can beused for student volunteers,etc. o Some of the AAPA's associated societies begin their meetings before the AAPA events start on Wednesday.Registrationsby members of these societiesarecounted by the hotel toward the AAPA's quota of bookings. The officers of these societies therefore have a right to ask for gratis room-‐nights inproportionto the number of these registrations,the number of AAPA registrants in the hotel and the terms of the hotel contract. It may be expedient for the AAPA to pick up the tab for these rooms, to keepour associated societies happy. Don't offer to do this, but keep the AAPAPresident apprised of the number of gratis room-‐nightswe can expect. * We left out of this document any discussion on how to handle monetary transactions. The technology to handle these transactions changes on a yearly bases. We suggest that you check with the previous LAC and with the treasurer. … How does so much work increase my fitness?….. * This is a fabulous opportunity for your University and Department to be seen by hundreds of anthropologists. * You will also be helping the local economy. * Most of all, this is visible service for the AAPA. Many previous LAC's move on to positions in the executive board of the AAPA.
ROI analysis of North America Region 'big deal' pipeline September 4, 2014 North America Region Science Team Joe Fargione, Brad McRae, Dan Majka, Jim Platt With capital always scarce, management needs to be able to compare the return on investment (ROI) of major "deals" or "transactions" that are significant enough to require Board approval. To meet this need, we introduce here metrics that can be rapidly and inexpensively applied to projects across broad geographies and that encompass a range of potential benefits to nature and people. The chosen metrics use datasets with, at a minimum, coverage of the United States. Rather than lumping everything into one "return," we propose a dashboard approach, and present ROI metrics for different dimensions of the conservation return. We believe that this information is more likely to be used if presented via an intuitive user interface. We developed a ROI Dashboard (beta version), which can be viewed here: http://nascience.us/roi/public. Note that to protect confidential information, this version of the dashboard uses hypothetical project names and locations; there exists a password-‐protected version that contains actual project names and locations. Metrics can best aid decision-‐making when placed in context. Therefore, we examine previously implemented projects using these same metrics and provide these results as benchmarks for evaluating future projects. In this way one can ask "are we at least doing as well or better than in the past?" Use and Abuse of the ROI Dashboard: Ultimately, we hope that applying these metrics will help TNC staff identify the highest ROI projects to invest their energies in, resulting in continued improvement in the ROI of projects that make it to the Board for approval. This would occur simply if staff working on large projects use this tool to assess the potential ROI of deals early in their scoping process. It is important to note that this tool has important limitations that render its use inappropriate in several situations: 1) Our approach is meant for comparison across large geographies. It is not appropriate for comparison of projects within a state or ecoregion where higher resolution data on potential conservation benefits are available; 2) Our approach does not assess all potential benefits, such as benefits to aquatic species, or specific species of conservation concern, or ecosystem services such as coastal defense 3) It cannot be used for prospecting, because there is no accurate nationwide data on land costs. 4) Because it is difficult to capture all potential benefits and each large conservation projects is unique, it would be inappropriate to apply a 'threshold' for identifying projects that should move forward. Current Status: Based on the above design principles, we present here a first draft of such an effort for review. These metrics were designed in response to requests from Peter Kareiva and Board scientists and have received input from a small group of TNC scientists. However, they are very much still in draft stage. The plan is to revise them in response to Board and TNC staff comments until we have a product that meets approval (no hard deadline has yet been set for completion of this process). Before providing complete methods and discussion, we first present an outline overview of the metrics, which fall into four categories: 1) Bucks and acres, 2) Biodiversity and ecosystem service benefits, 3) Climate resilience, and 4) Avertable Threats, and 5) Mineral Development Risk. We seek projects that have the greatest biodiversity and ecosystem service benefits, greatest resilience to climate change, and the lowest costs. Further, we identify two types of risk from development: 1) avertable risk – this is development that would be prevented by owning or easing surface rights; 2) mineral development risk – since we rarely control mineral rights, even protected properties may be developed for mineral rights. We should seek to protect lands where we can avert development and seek to avoid lands where mineral development is likely to degrade our investment. Dashboard Overview Bucks and Acres 1. Acres 2. Fee value 3. Dollars per acre 4. TNC dollars at risk per acre Biodiversity and Ecosystem Service Benefits 5. Total species (# of species saved, from the species area curve) 6. Critical habitat (acres of designated and proposed critical habitat) 7. Species (various taxa, from the species area curve) 8. % of area within TNC's ecoregional portfolio 9. Interior protected habitat (new interior acres protected) 10. Connectivity corridors (acres protected) 11. Carbon storage (metric tons CO2; 100% of aboveground carbon + 40% of carbon in top 30 cm of soil for projects at risk of conversion to cropland) 12. Water provision (drinking water importance index, from USFS Forests to Faucets report) Climate Resilience 13. Intactness (% project in intact area) 14. Biome change (probability of change: Very High, High, Med, Low, Very Low) 15. Climate velocity (maximum value of the normalized change over past 30 years in min temperature, evapotranspiration, and moisture deficit change over past 30 years) Avertable Threats 16. General development risk (% of natural habitat within 3 mile buffer of project area projected to convert to developed land use by 2100, as modeled by neural net development model) 17. Cropland conversion (% of natural habitat in a county converted to cropland 2008-‐2012) 18. Wind development suitability (% project in suitable wind area) 19. Solar development suitability (% project in suitable solar area) Mineral Development Risk (un-‐avertable threats) 20. Oil and gas suitability (% project area in tight gas plays or shale plays, or near existing wells) 21. Coal suitability (% project in coal fields) Methods and Discussion Bucks and Acres 'Bucks and acres' has historically been used as a measure of success – the more acres per dollar the better the deal. Our dashboard considers both the total cost of the project and the TNC dollars at risk. TNC dollars at risk will depend on the deal structure. For example, for a deal where costs are partially covered by an impact investor, but TNC covers 10% upfront and must repay an additional 10% if costs are not recouped over time, this cost would be 20%. A more rigorous estimation of costs to TNC would account for the probability of recovering funds (e.g. based on project risk characteristics and data on past delays and write-‐downs from LPF) and the time value of the money invested in this project (e.g. the opportunity cost of not loaning it out through the LPF). We are looking into a research project with an academic partner to rigorously develop such a metric. Biodiversity We provide estimates of the number of species saved by each project. These estimates account for both 1) geographic variation in diversity and 2) the diminishing returns of habitat protection. To assess whether a project is appropriately targeted within an ecoregion, we consider its overlap with our ecoregional portfolio and report the percent overlap. In addition, some projects are also designed to 1) protect migration corridors that are essential for biodiversity, or 2) leverage existing protected areas by buffering them with additional protection, providing the 'interior' habitat that many of our most sensitive conservation targets require. Neither of these benefits is adequately captured by 'number of species saved' approach, so we include separate metrics to quantify these benefits. Species area curve and diminishing returns: the number of species that can persist in a protected area increases with the size of the protected area. However, the relationship between the number of species protected and acres protected is not linear; there are diminishing per acre returns as more and more habitat is secured. We obtained data for the number of species in each ecoregion. We believe that the ecoregion is the appropriate scale at which to conduct this analysis. Species do not need a certain proportion of their habitat protected everyplace that their habitat exists; rather, species within an ecoregion can be preserved with a large enough network of protected areas even as other areas are developed. Within an ecoregion, we assume that unprotected areas have or may eventually have compromised habitat value. Based on this assumption, the incremental benefit from new protection is based on the species area curve, starting at the area that is currently protected, and increasing by the amount of the proposed project area (see Figure 1). We assume that all public land is under some form of protection. This has the reasonable effect of not favoring additional land protection in areas that are already dominated by public lands. This is reasonable even if these public lands are poorly managed – in which case the highest ROI conservation strategy in that ecoregion would be likely be working to improve management of existing public lands rather than acquiring more land for protection. We parameterized the species area curveS=cA z withz =0.2 and solved for the constantc based on the known total number of species in each ecoregion of known area (Kareiva and Marvier 2011). Although there is debate in the literature about what the value of thez parameter should be (He and Hubbell 2011), we expect that for our purposes of characterizing the relative ranking of projects, this approach is robust to variation in thez parameter. We quantify the species benefits separately for all species, terrestrial vertebrates, and plants. Critical Habitat:Acres of US Fish & Wildlife Service designated and proposed Critical Habitat for Threatened and Endangered species. The Critical Habitat footprint does not capture all important habitat for T&E species, and in some cases may omit habitat on private lands. Ecoregional Portfolio: The Nature Conservancy has identified priority conservation areas within each ecoregion. In any given ecoregion, projects that protect more ecoregion acres are likely to have greater conservation benefit. New acres of interior protected habitat: There are well-‐known edge effects on protected areas that abut roads and development. Edges of protected areas often have more invasive species, unnaturally high rates of predation and parasitism, and other activities that result in habitat degradation and avoidance (e.g. Forman et al. 1997; Fahrig 2003). When protected lands occur in small patches, their benefit for conservation can be compromised. This is particularly problematic where lands have been 'checkerboarded', as when many public lands were granted to railroads over 100 years ago. Projects that consolidate ownership in checkerboarded or otherwise fragmented lands have the benefit of reducing edge effects, increasing interior habitat, and creating the enabling conditions for consistent and efficient management of timber, fire, and invasive species. To quantify this benefit we calculate the number of new interior protected acres that will be created by the project. Interior areas are defined as being greater than 400 meters from an 'edge' (e.g. Forman et al. 1997; Fahrig 2003). For the purposes of this exercise, an edge is defined by a boundary between protected and unprotected areas. This accounts for future disturbances likely to occur on unprotected lands, which would not be accounted for if current land cover were used to identify edges. Corridors: 'Connectivity' is essential to biodiversity conservation, both to permit seasonal migration, colonization, and gene flow among extant habitat and populations and to allow migration in response to climate change (Crooks and Sanjayan 2006, Heller and Zavaleta 2009). As one national approach that identifies corridors that can support a variety of these functions, we used preliminary results from a new climate corridor modeling effort by McGuire et al (in prep). This analysis connects large natural areas that differ in temperature following climatic gradients (Nunez et al. 2013). Using Climate Linkage Mapper software (Kavanagh et al. 2013) corridors were identified that connect large natural areas (> 1000 ha) that differ in temperature from one another by at least 1 C while avoiding developed areas and following gentle climatic gradients. Natural areas and resistance values were based upon the human modification index (Theobald 2009). We quantify the acres of corridors that a project would protect. Ecosystem Services Although land protection projects have a myriad of ecosystem services, here we focus on two that we were able to consistently quantify across the whole United States: carbon sequestration and water provision. Carbon sequestration: We assume that aboveground carbon is at risk of loss if lands are not conserved. Aboveground carbon could be at risk from development. Aboveground carbon could also be at risk or loss from pest outbreak, catastrophic fire, or unsustainable logging, the risk from all of which are increased if lands are unprotected and poorly managed. We use biomass estimated in a nationwide 240 m pixel grid, developed from satellite data by Woods Hole researchers (Kellendorfer et al. 2000). In addition to aboveground carbon, soil carbon may also be lost, but this only a significant threat if the area is converted to cropland. Therefore, in those counties where conversion to cropland is a threat, we added soil carbon losses to aboveground carbon losses. Soil carbon losses were calculated as 40% of the carbon in the top 30 cm (1 foot) of soil, reflecting average losses of soil carbon following conversion to agriculture. Carbon at risk is expressed in metric tons of CO2, which are the common units for measuring greenhouse gas emissions, using this formula: CO2 protected by project = (100% of aboveground carbon + 40% of soil carbon in top 30 cm of soil in counties where % cropland conversion >1%)*44/12 to convert from C to CO2. Water Provision: We used an index of drinking water importance from the "Forests to Faucets" report (Weidner and Todd 2011). This report uses an EPA dataset of the location of drinking water intakes for municipal water use. To calculate the index, each watershed is weighted based on the number of people to which it provides drinking water. Watersheds are given credit for the people for whom they provide dinking water, weighted by how far upstream the watershed is from the drinking water intake. If the intake is in the watershed, 100% of the people are counted, if the intake is in the adjacent downstream watershed 78% of the people are counted, if the intake is two watersheds downstream 60% of the people are counted, etc. The formula used to generate the weight is 0.99 25w where w is the number of watersheds downstream to the intake. The resulting index was rescaled from 0 to 100. We multiply this index by the acres protected to quantify the benefit of a project for drinking water provision. Climate Resilience Areas that are more intact, have a lower modeled probability of biome change, and that are experiencing less rapid climate change are more likely to be relatively resilient to climate change, and thus have greater conservation value (or return). While there are a variety of ways in which to assess climate resilience, these approaches capture different aspects of resilience in readily available, relatively high-‐resolution datasets with national coverage. This information should be supplemented by the Conserving the Stage resilient sites analyses where these have been conducted https://www.conservationgateway.org/ConservationByGeography/NorthAmerica/UnitedStates/edc/rep ortsdata/terrestrial/resilience/Pages/default.aspx. For coastal projects, sea level rise should also be considered. Intactness: Relatively intact areas are more likely to, under future climate change: contain suitable microsites, lack barriers to migration, have large enough populations to withstand climate variability, and to contain the genetic diversity that will be the basis of evolutionary adaptation. We use Dave Theobald's human modification index (Theobald, personal communication), representing a refined version of data presented in Theobald (2010), to identify intact lands. This model includes proximity to roads, land use, housing density, and other factors, and estimates the degree of human impact on a scale of 0 (no impact) to 1 (high impact). We selected a threshold of 0.4 based on spatial variability across the country. Specifically, if the threshold is higher, almost everything in the Western US would be considered intact and if it is lower almost nothing in the eastern US would be considered intact. The selected threshold allows us to identify the relatively intact places in every part of the country. Biome change: Climate change may pose particular threats when ecological thresholds are crossed. For example, we might chose to avoid investing in forest restoration in areas that may no longer support forests. We use the probability of biome change as modeled by Gonalez et al. (2010). Gozalez et al. estimate this risk based on two datasets: a coupled global climate and vegetation model, and recent climate change patterns. This data is at a relatively coarse resolution (50 x 50 km pixels). We are seeking to obtain the results of other analyses that are at a finer resolution and would update our analysis with this new data if further evaluation deemed it to be better suited for our analysis. Climate velocity: Climate velocity is the distance that a species has to move to stay in the same climate. For example, under a warming climate, a species could find an area with the same temperature that it currently experiences by moving to a higher latitude or a higher altitude. In general, in areas with large topographic gradients (e.g. mountains), the distance species need to travel to find a cooler climate is shorter. Thus, climate velocity integrates changes in climate with topography variation. Places with rapid climate change and little topography are expected to be the most stressful, as species would have to rapidly migrate long distances to stay in the same climate. Different areas are expected to experience different amounts of climate change. For example, models predict greater temperature changes at higher latitudes and that some areas will receive less rainfall while others receive more. However, climate models make relatively uncertain predictions for any particular area and therefore cannot be accurately 'downscaled' to make predictions at spatial scales relevant for prioritizing land protection actions. However, ongoing climate change is generally consistent with climate model predictions and therefore provides a good leading indicator of likely future stress due to climate change. Species ranges are particularly sensitive to changes in minimum temperature, actual evapotranspiration and moisture deficit. We obtained data on the climate velocity for each of these variables from 1976-‐2005 as modeled by Dobrowski et al. (2012). Because rapid change in any of these variables is expected to be stressful for species, we integrated these variables into one index by taking the maximum value at each location. All three variables are expressed in the same units: km/year, indicating how far a species would have to travel in order to stay in the same climate. Areas with a lower climate velocity were considered more resilient. Avertable Threats If an area is not at risk of some form of development, then protection will not change the course of species loss and hence offers a lower ROI. The primary development risks that can be averted with a purchase of or easement on surface rights are from residential/urban development, agricultural development and wind and solar energy development. We assess each of these independently. Because we are making investments in long-‐term conservation, we are interested in long-‐term development risks. If one looks at recent patterns of development, particularly for energy development, a notable feature is how unpredictable this development has been. Therefore, we avoid short-‐term predictions about imminent risk of development that are likely to underestimate the full extent of areas at long-‐ term risk of development. We focus instead on suitability for development, expecting that many of these places will eventually be at risk of development even if they are not at immediate risk. This is a good strategy for conservation – if we wait until areas are under imminent threat of development their cost of protection is likely to dramatically increase. Urban/residential development: We used the Land Transformation model forecasts changes in urbanization by 2100 (Tayyebi et al. 2012). Given the uncertainty with long-‐term development projections, we report the percent of existing undeveloped area that is projected to be converted within a 3 mile radius of a project area. Cropland conversion: Some areas of the country have dramatic amounts of ongoing conversion to cropland. These are lands that were previously considered marginal for agriculture, are often currently grazed, and for which high commodity prices and improved agricultural varieties have led to high rates of conversion to cropland. For each county in the United States, we quantified the percent of remaining natural habitat that was converted to cropland between 2008 and 2012. To identify remaining natural habitat, we used the National Land Cover Dataset 2006. For change in cropland, we used the USDA's Cropland Data Layer (http://nassgeodata.gmu.edu/CropScape/). We assumed that the entire net expansion of cropland in a county came at the expense of existing natural habitat, since existing development is hardly ever converted back to cropland. This was conducted as a tabular analysis using data aggregated at the county level. Our estimate could be an underestimate if net cropland expansion is lower than gross cropland expansion, for example if urban expansion consumes cropland in one area, causing expansion elsewhere in the county. Our estimate could be an overestimate if cropland expansion does not come at the expense of natural habitat, for example if fallow lands are returned to cropland. 2008 is the earliest year that national coverage was available for this dataset. 2012 is the most recent year for which this dataset is available. Wind development suitability: Areas with a wind power class 3 or higher are suitable for wind development. We report the percent of a project area that has a wind power class 3 or higher. We used the National Renewable Energy Lab's wind power class data set, which reports wind power class at 50 meter height, with a resolution of 200m (http://www.nrel.gov/gis/data_wind.html). This is the best freely available data at this resolution. Solar development suitability: Areas that are relatively flat (<3% slope) and sunny (>6.0 Kw/km2/day) are considered suitable for solar development. We report the percent of the project area that is suitable for solar development based on data from the National Renewable Energy Laboratory (NREL; http://www.nrel.gov/gis/data_solar.html). Mineral Rights Development Risk Oil and Gas suitability: areas that were near existing wells or within shale gas plays or tight gas plays were considered suitable for development. Because of emerging technology, the current distribution of wells does not reflect the likely expansion of oil and gas development into previously unrecoverable formations. We address this by including shale gas plays and tight gas plays (Ventyx Corporation, 2013) as suitable for development. Areas near existing wells were defined as areas within 10km of an existing well, using a national dataset containing 576,000 well locations (Biewick 2008). We report the percent of a project area that is suitable for oil and gas development. Coal Fields: We report the percent of a project area that is within identified coal fields based on data from Ventyx corporation. Reference Projects A single ROI result for a single project is hard to interpret without context. For example, one cannot identify a good stock investment without knowing how it compares to alternative possible investments. To provide appropriate context to ROI we developed some baseline comparisons. Specifically, we obtained parcel data for the Montana Legacy Project and the International Paper deal. Since the IP deal spanned several regions and we were able to obtain separate dollar values for each of two regions, we report the project as two separate deals, one in the southeast and one in the midewest. References Biewick, LR.H., 2008, Areas of historical oil and gas exploration and production in the United States: U.S. Geological Survey Digital Data Series DDS-69-Q Crooks, K. R., and M. A. Sanjayan. 2006. Connectivity conservation. Cambridge University Press, Cambridge, United Kingdom. Dobrowski, S. Z., Abatzoglou, J., Swanson, A. K., Greenberg, J. A., Mynsberge, A. R., Holden, Z. A., & Schwartz, M. K. (2013). The climate velocity of the contiguous United States during the 20th century. Global change biology, 19(1), 241-‐251. Fahrig, L. (2003). "Effects of Habitat Fragmentation on Biodiversity." Annual Review of Ecology, Evolution, and Systematics34(1): 487-‐515. Forman, R., et al. (1997). Ecological effects of roads: toward three summary indices and an overview for North America. Habitat fragmentation and infrastructure. K. Canters, Ministry of Transportation, Public Works & Water Management, Delft, Netherlands:474. Gonzalez, P., Neilson, R.P., Lenihan, J.M. & Drapek, R.J. (2010). Global patterns in the vulnerability of ecosystems to vegetation shifts due to climate change. Global Ecol. Biogeogr., 19, 755–768. He, F. L. and S. P. Hubbell (2011). "Species-‐area relationships always overestimate extinction rates from habitat loss." Nature 473(7347): 368-‐371. Heller, N.E., Zavaleta E.S. 2009. Biodiversity management in the face of climate change: A review of 22 years of recommendations, Biological Conservation,142: 14-‐32. Karieva, P. and Marvier, M. 2011. Conservation science: balancing the needs of people and nature. Roberts and Co, Greenwood Village, CO. Kellndorfer, J., Walker, W., LaPoint, E., Bishop, J., Cormier, T., Fiske, G., Hoppus, M., Kirsch, K., and Westfall, J. 2012. NACP Aboveground Biomass and Carbon Baseline Data (NBCD 2000), U.S.A., 2000. Data set. Available on-‐line athttp://daac.ornl.gov from ORNL DAAC, Oak Ridge, Tennessee, U.S.A.http://dx.doi.org/10.3334/ORNLDAAC/1081. Tayyebi, A., B.K. Pekin, B.C. Pijanowski, J.D. Plourde, J.S. Doucette and D. Braun (2012): Hierarchical modeling of urban growth across the conterminous USA: developing meso-‐scale quantity drivers for the Land Transformation Model, Journal of Land Use Science, DOI:10.1080/1747423X.2012.675364 Theobald, D. M. 2010. Estimating natural landscape changes from 1992 to 2030 in the conterminous US. Landscape Ecology 25:999–1011. U.S. EPA. Land-‐Use Scenarios: National-‐Scale Housing-‐Density Scenarios Consistent with Climate Change Storylines (Final Report). EPA/600/R-‐08/076F, 2009. Weidner, E. and A. Todd, 2011,From the Forest to the Faucet: Drinking Water and Forests in the US, Methods Paper, United States Department of Agriculture Forest Service,www.fs.fed.us/ecosystemservices/pdf/forests2faucets/F2F_Methods_Final.pdf
ATL Tinkerpreneur Most Consistent Mentors Congratulations to the 'Most Consistent' Mentors of ATL Tinkerpreneur! We are proud of you and we hope you continue the excellent work! Selection Process: The Mentors who have evaluated all assignments submitted by their students were considered \| S.No \| ATP Code \| Mentor Name \| State / UT \| \|---\|---\|---\|---\| \| 1 \| 15693 \| Sanyam Chhajed \| MADHYA PRADESH \| \| 2 \| 40032 \| Kamaljeet Kainth \| PUNJAB \| \| 3 \| 43767 \| V Divya Bharathi \| RAJASTHAN \| \| 4 \| 90415 \| Mubassir Mk \| KERALA \| \| 5 \| 122530 \| Atul Ranjan \| BIHAR \| \| 6 \| 152054 \| Chhagan Lal Bothra \| RAJASTHAN \| \| 7 \| 157129 \| Shivam Singh \| UTTAR PRADESH \| \| 8 \| 267668 \| Soumitra Dey \| UTTAR PRADESH \| \| 9 \| 1127859 \| Deepesh Goel \| KARNATAKA \| \| 10 \| 1144663 \| Dr Rachna Yadav \| DELHI \| \| 11 \| 1376368 \| mahendra kumar b \| KARNATAKA \| \| 12 \| 1421350 \| DR.V.BRINDHA DEVI \| KERALA \| \| 13 \| 1565336 \| MEENAKSHI SUNDAR K \| TAMIL NADU \| \| 14 \| 1623341 \| Mr Umesh Bajaj \| PUNJAB \| \| 15 \| 1779363 \| Vaishali chandrakant shelar \| MAHARASHTRA \| \| 16 \| 1843364 \| Sebin Sunny P \| KERALA \| \| 17 \| 1885671 \| Rachit Arora \| UTTAR PRADESH \| \| 18 \| 2006337 \| Nishant Ranjan \| PUNJAB \| \| 19 \| 2019704 \| Gayathri Manikutty \| KERALA \| \| 20 \| 2106355 \| M Nalini \| TAMIL NADU \| \| 21 \| 2140484 \| Atul Dubey \| MAHARASHTRA \| \| 22 \| 2298207 \| PRAMOD KUMAR SHRIVASTAVA \| MADHYA PRADESH \| \| 23 \| 2323822 \| Dr S V A R Sastry \| ANDHRA PRADESH \| \| 24 \| 2359244 \| Geeta Gupta \| JAMMU AND KASHMIR \| \| 25 \| 2418991 \| MANDEEP KAUR CHOHAN \| ANDHRA PRADESH \| \| 26 \| 2532346 \| Naga Vara Aparna Akula \| CHANDIGARH \| \| 27 \| 2662546 \| Udaya Shankar Puranik \| KARNATAKA \| \| 28 \| 2710314 \| Gajula Raj Kumar \| TELANGANA \| \| 29 \| 2809382 \| Bhawna Welturkar \| MAHARASHTRA \| \| 30 \| 2872198 \| Suman Kumar \| HIMACHAL PRADESH \| \| 31 \| 2897852 \| KIRAN KUMAR H S \| KARNATAKA \| \| 32 \| 2954367 \| Aditya Sharma \| RAJASTHAN \| \| 33 \| 3053155 \| Pranav Desai \| GUJARAT \| \| 34 \| 3244858 \| Joji Jacob \| KERALA \| \| 35 \| 3583456 \| KRISHNARAJ S \| ANDHRA PRADESH \| \| 36 \| 4003872 \| Jyoti Joshi \| UTTAR PRADESH \| \| 37 \| 6075359 \| Mohit Kumar Singh \| DELHI \| \| 38 \| 7586125 \| Rohit Pendharkar \| KARNATAKA \| \| 39 \| 8362496 \| Shyjesh Poduval K A \| KERALA \| \| 40 \| 9319174 \| Sugith Abraham \| KERALA \| \| 41 \| 9444156 \| Ankit Kumar Singh \| JHARKHAND \| \| 42 \| 9798509 \| Rajit Karunakaran \| KERALA \| \| 43 \| 9889428 \| ASAWARI SHIPOSKAR \| MAHARASHTRA \| \| 44 \| 10251111 \| Valliappan Manickam \| TAMIL NADU \| \| 45 \| 11114316 \| LOGANATHAN K \| TAMIL NADU \| \| 46 \| 11201591 \| Rohit Dabas \| UTTAR PRADESH \| \| 47 \| 12991120 \| Pallvi Arora \| JAMMU AND KASHMIR \| \| 48 \| 13098584 \| Shubham Dusane \| MAHARASHTRA \| \| 49 \| 13352329 \| Atul Anilkumar Kumbhar \| MAHARASHTRA \| \| 50 \| 13499549 \| Saravanan K \| TAMIL NADU \| \| 51 \| 13604485 \| Anurag Shukla \| MAHARASHTRA \| \| 52 \| 14091219 \| GOWSIKRAJA \| TAMIL NADU \| \| 53 \| 14938302 \| Umesh Rathod \| MAHARASHTRA \| \| 54 \| 15205269 \| Dharam Raj Panwar \| DELHI \| S.No ATP Code Mentor Name State / UT \| 56 \| 15708299 \| Vijendra Waghela \| MAHARASHTRA \| \|---\|---\|---\|---\| \| 57 \| 16038387 \| GURBINDER KUMAR DOGRA \| HIMACHAL PRADESH \| \| 58 \| 17301610 \| Viji Sridhar \| DELHI \| \| 59 \| 19168885 \| Saurav Singh \| DELHI \| \| 60 \| 19768593 \| Neeraj Mishra \| UTTAR PRADESH \| \| 61 \| 22736143 \| Digvijay Singh \| HIMACHAL PRADESH \| \| 62 \| 22774889 \| RAJEEV DOLEY \| ASSAM \| \| 63 \| 22986372 \| Pravar Joshi \| MADHYA PRADESH \| \| 64 \| 23221385 \| Vasudeva \| KARNATAKA \| \| 65 \| 23313612 \| Venkadesh Prasath \| TAMIL NADU \| \| 66 \| 23584258 \| Mehak Kharbanda \| DELHI \| \| 67 \| 24683682 \| SANTHOSHKUMAR MATHAVAN \| TAMIL NADU \| \| 68 \| 25001463 \| Saurabh Bhartiya \| MADHYA PRADESH \| \| 69 \| 25051260 \| Raju \| TAMIL NADU \| \| 70 \| 25056001 \| Rahul Andrews \| MAHARASHTRA \| \| 71 \| 26258067 \| Akhilesh kumar sharma \| UTTAR PRADESH \| \| 72 \| 27072560 \| Dr Sheenu Jain \| RAJASTHAN \| \| 73 \| 27531027 \| Dr E MUTHU KUMARAN \| ANDAMAN AND NICOBAR ISLAND \| \| 74 \| 27808578 \| Hetal Sonpal \| HARYANA \| \| 75 \| 27881252 \| Devendra Singh \| BIHAR \| \| 76 \| 27882315 \| Nagalakshmi VigneshKumar \| TAMIL NADU \| \| 77 \| 28971452 \| K Ratan Singh \| ARUNACHAL PRADESH \| \| 78 \| 30108381 \| Ritu Jain \| HARYANA \| \| 79 \| 30468642 \| DEIVANAYAGI S \| TAMIL NADU \| \| 80 \| 30881407 \| Arvind Janardan Londhe \| MAHARASHTRA \| \| 81 \| 31701516 \| Remya V \| TAMIL NADU \| \| 82 \| 32123028 \| Tirath \| HARYANA \| \| 83 \| 32364644 \| Uday shete \| MAHARASHTRA \| \| 84 \| 32462219 \| Praveen Sharma \| BIHAR \| \| 85 \| 44366085 \| Tasneem Hotelwala \| GUJARAT \| \| 86 \| 45871149 \| Devendra Malviya \| MADHYA PRADESH \| \| 87 \| 51311237 \| Dr Amit Sehgal \| UTTAR PRADESH \| \| 88 \| 55814399 \| Dr Simpy Mahajan \| JAMMU AND KASHMIR \| \| 89 \| 59601347 \| JAMSHEER N \| KERALA \| \| 90 \| 63992297 \| Laxmi Goritiyal \| MAHARASHTRA \| \| 91 \| 67011014 \| Rashika Sitoke \| MADHYA PRADESH \| \| 92 \| 67389331 \| Archana Verma \| UTTAR PRADESH \| \| 93 \| 67921225 \| Abhishek Srivastava \| UTTAR PRADESH \| \| 94 \| 73354993 \| Rajendra Jha \| JHARKHAND \| \| 95 \| 74889255 \| Arti katoch \| HIMACHAL PRADESH \| \| 96 \| 77701179 \| Ramneek Kalra \| HARYANA \| \| 97 \| 79101778 \| Anant Bhaskar Garg \| UTTARAKHAND \| \| 98 \| 79109027 \| Sumathi S \| TAMIL NADU \| \| 99 \| 85441028 \| M.Vasavi \| TELANGANA \| \| 100 \| 86461990 \| Dr Deepak Motwani \| MADHYA PRADESH \| \| 101 \| 91348279 \| Kaushic Khanna \| GUJARAT \| \| 102 \| 92961230 \| Dr Gajanand Engla \| MADHYA PRADESH \| \| 103 \| 97984196 \| SRINATH BHADRAM \| KERALA \| \| 104 \| 98894670 \| Pradeepkumar Dhage \| MAHARASHTRA \| \| 105 \| 99169046 \| Javid Shaikh \| GUJARAT \| \| 106 \| 102317556 \| Pushpa Kumari \| HIMACHAL PRADESH \| \| 107 \| 104730687 \| Sarbani Maiti \| UTTAR PRADESH \| \| 108 \| 107213277 \| PANJAVARNAM B \| TAMIL NADU \| \| 109 \| 109718389 \| B Gireesh \| KERALA \| \| 110 \| 111422638 \| Udayakumar Ramamurthi \| TAMIL NADU \| \| 111 \| 115322684 \| Anbarasu P \| TAMIL NADU \| \| 112 \| 116322070 \| Alwin Vinifred C \| TAMIL NADU \| \| 113 \| 119120571 \| Harinarayanan J \| TAMIL NADU \| \| 114 \| 119928753 \| G SARAVANAN \| TAMIL NADU \| \| 115 \| 124231775 \| Harshal Laddha \| MAHARASHTRA \| \| 116 \| 132611774 \| vaibhav joshua \| MADHYA PRADESH \| \| 117 \| 132923847 \| Anip Sharma \| HARYANA \| \| 118 \| 135118601 \| ATMA NAND DUBEY \| UTTAR PRADESH \| \| 119 \| 136331862 \| MANISH GAUTAM \| UTTAR PRADESH \| S.No ATP Code Mentor Name State / UT \| 121 \| 136910178 \| ROOPA D \| KERALA \| \|---\|---\|---\|---\| \| 122 \| 144622984 \| G Shanthakumari \| - \| \| 123 \| 147815133 \| V LALITHA \| TAMIL NADU \| \| 124 \| 148413782 \| ANKIT RAJAK \| MADHYA PRADESH \| \| 125 \| 157232256 \| Dr Vrajesh Parikh \| GUJARAT \| \| 126 \| 157918559 \| HARPREET KAUR \| HARYANA \| \| 127 \| 158920080 \| TAMIL SELVI T \| TAMIL NADU \| \| 128 \| 158926044 \| Subramanian N \| TAMIL NADU \| \| 129 \| 161524054 \| ARIVAZHAGAN T \| PUNJAB \| \| 130 \| 161929588 \| Dr S ARUNPRASAD \| TAMIL NADU \| \| 131 \| 163530682 \| GANAPATHY \| HARYANA \| \| 132 \| 165031813 \| G Ramakrishnan Ganapathy \| TAMIL NADU \| \| 133 \| 169030402 \| rajaprasanna r \| ANDHRA PRADESH \| \| 134 \| 171823742 \| Kiruthika R \| ODISHA \| \| 135 \| 173028968 \| Kiran Bettadapur \| KARNATAKA \| \| 136 \| 173929804 \| Sandhya Sandeep Save \| MAHARASHTRA \| \| 137 \| 174323031 \| Manikant Roy \| GUJARAT \| \| 138 \| 174625100 \| VIJAYARAJA L \| TAMIL NADU \| \| 139 \| 177031628 \| Bandita Panigrahi \| ODISHA \| \| 140 \| 179932414 \| Sandeep Sharma \| HARYANA \| \| 141 \| 180910657 \| M NITHYA \| TAMIL NADU \| \| 142 \| 183630056 \| Arijit Hajra \| WEST BENGAL \| \| 143 \| 186610489 \| RANI T P \| TAMIL NADU \| \| 144 \| 186930713 \| Santhanam Chakravarti \| RAJASTHAN \| \| 145 \| 189026642 \| subashini v \| TAMIL NADU \| \| 146 \| 189310039 \| Sasikala.V \| TAMIL NADU \| \| 147 \| 190313095 \| RAVI SHEKHAR \| UTTAR PRADESH \| \| 148 \| 194420085 \| Dr B Sreedevi \| KARNATAKA \| \| 149 \| 194431180 \| B THANUJA \| TAMIL NADU \| \| 150 \| 195314293 \| Sanjeev kumar \| HIMACHAL PRADESH \| \| 151 \| 195531360 \| PRABHA \| TAMIL NADU \| \| 152 \| 196310258 \| Ashok Suyal \| UTTAR PRADESH \| \| 153 \| 196317046 \| Prakash Kumar Mohapatra \| KARNATAKA \| \| 154 \| 201417341 \| Prabu D \| JAMMU AND KASHMIR \| \| 155 \| 217521065 \| saswati kumari behera \| MAHARASHTRA \| \| 156 \| 218225438 \| Vishnupriya Sharma Thirumale \| KARNATAKA \| \| 157 \| 221518495 \| KAMALA B \| TAMIL NADU \| \| 158 \| 224528031 \| SENTHILKUMAR B \| TAMIL NADU \| \| 159 \| 230311801 \| Sankar Jagannathan \| KARNATAKA \| \| 160 \| 230622679 \| Ms S JOSEPHIN IDA LITRIZIA \| GUJARAT \| \| 161 \| 233910211 \| Dr S Sankari \| TAMIL NADU \| \| 162 \| 234222724 \| C Ram Kumar \| TAMIL NADU \| \| 163 \| 234919451 \| Velvizhi V A \| TAMIL NADU \| \| 164 \| 236115819 \| PANDYARAJ V \| KARNATAKA \| \| 165 \| 237331916 \| Dr Pradyut Kumar Biswal \| ODISHA \| \| 166 \| 242025676 \| Dr C Priya \| TAMIL NADU \| \| 167 \| 242030971 \| Shaju Nair \| GUJARAT \| \| 168 \| 242622209 \| Anju Verma \| MADHYA PRADESH \| \| 169 \| 246219289 \| D. KAVITHA \| TAMIL NADU \| \| 170 \| 246222403 \| Subramanian.M \| TAMIL NADU \| \| 171 \| 246228334 \| R M ASHA \| TAMIL NADU \| \| 172 \| 246817995 \| Dr B Meenakshi \| PUDUCHERRY \| \| 173 \| 247711602 \| PSHANMUGAPRIYA \| PUDUCHERRY \| \| 174 \| 253628594 \| Rahul Gupta \| HARYANA \| \| 175 \| 259426502 \| Thangjam Jimmy Singh \| MANIPUR \| \| 176 \| 261831973 \| Pratyush Priyadarshi \| KARNATAKA \| \| 177 \| 263330812 \| PATAN THAMEEM BANU \| ANDHRA PRADESH \| \| 178 \| 266421953 \| Karthik lakshmana perumal \| TAMIL NADU \| \| 179 \| 269116919 \| Ashish Jain \| CHANDIGARH \| \| 180 \| 271419059 \| Narmadha V \| KERALA \| \| 181 \| 272626028 \| Saravanan Padmanaban \| PUDUCHERRY \| \| 182 \| 272811270 \| Dhanpat Raj Dhariwal \| RAJASTHAN \| \| 183 \| 275230873 \| Vinod beda \| RAJASTHAN \| \| 184 \| 279919950 \| Srividya K \| TAMIL NADU \| \| S.No \| ATP Code \| Mentor Name \| \|---\|---\|---\| \| 185 \| 280814863 \| RAJINI A R \| \| 186 \| 286210528 \| Ketna Atul Matkar \| \| 187 \| 286225827 \| Dhanasekar R \| \| 188 \| 288611460 \| B PRIYA \| \| 189 \| 289817426 \| Renu Sharma \| \| 190 \| 295131172 \| Vinod Dua \| \| 191 \| 297715549 \| Pramod Tanwar \| \| 192 \| 300926594 \| Kaushlendra Singh Sisodia \| \| 193 \| 304023555 \| Kanthimathi \| \| 194 \| 306129785 \| Dr S Murali \| \| 195 \| 308627911 \| ABDUL KAREEM \| \| 196 \| 313525429 \| Ankit Bhatt \| \| 197 \| 317015260 \| Dr J K Periasamy \| \| 198 \| 320125825 \| Rupanshu Goyal \| \| 199 \| 322926907 \| Shubhi Srivastava \| \| 200 \| 323124672 \| Davis Hans S J \| \| 201 \| 325430070 \| Rayala Vamsi Krishna \| \| 202 \| 325910544 \| Robin Kumar \| \| 203 \| 394414986 \| Kallol Hazra \| \| 204 \| 394627439 \| Dr Sunita Vikrant Dhavale \| \| 205 \| 401820131 \| S PREMALATHA \| \| 206 \| 408410012 \| SRINIVASAN K \| \| 207 \| 426110149 \| VEERASUNDARAM \| \| 208 \| 435713003 \| ATHIRA PG \| \| 209 \| 495519952 \| DR PACHHAIAMMAL ALIAS PRIYA M \| \| 210 \| 503526193 \| PUSHGARARANI D \| \| 211 \| 516819557 \| SUTHAHAR P \| \| 212 \| 556118236 \| BALAJI N \| \| 213 \| 556630212 \| Vinay Taneja \| \| 214 \| 560320057 \| R GAYATHIRI \| \| 215 \| 580929953 \| Rupesh Labade \| \| 216 \| 623210216 \| DR SWAGATA SARKAR \| \| 217 \| 711428558 \| Dr G Shanmugasundar \| \| 218 \| 719320830 \| RAJASEKARAN M \| \| 219 \| 812628163 \| Deependra Kumar Choudhary \| \| 220 \| 826428081 \| Prashant M Kakde \| \| 221 \| 826430363 \| Fatema Motiwala \| \| 222 \| 901611604 \| SURESHKUMAR M \| \| 223 \| 929620816 \| Renukadevi B \| \| 224 \| 965026449 \| SIVASANKARI K \|
Medicinal Plants of Indonesia Dr Robin Mitra¹, Associate Professor Brad Mitchell², Professor Chris Gray³, Professor John Orbell⁴, Dr Tony Coulepis⁵ and Dr Morley Somasundaram Muralitharan⁶ Introduction The Republic of Indonesia is a culturally diverse archipelago located between Indochina and Australia and consists of over 13,000 islands including the “Spice Islands” (Gils and Cox 1994). Indonesia stretches across 5,100 km and encompasses a wide range of habitats (Whitten and Whitten 1996), and therefore blessed with a vast diversity of plants with medicinal value. In the early part of the 20th century (1913–1922), literature on the curative and preventive uses of plant material of Indonesia entitled as “De Nuttige Planten van Naderlansch-Indie” was published in four volumes by K.Heyne (Hirschhorn 1983). In 1953 van Steenis-Krueseman published Select Indonesian Medicinal Plants based largely on historical literature (Elliott and Brimacombe 1987). Much study has been carried out in recent years on Indonesian medicinal plants by distinguished universities around the world. As described by Shibuya and Kitagawa (1996) from Fukuyama University, Hiroshima, Japan, “series of scientific expeditions have been conducted by Japan, in Indonesia for collecting information and materials relating to the pharmacochemical study of locally used medicinal plants and Javanese traditional medicine ‘jamu’ since 1985.” Plant derived medicines are not only administered orally, but are widely used in aromatherapy such as herbal steam baths which are used by women recuperating after childbirth (Zumsteg and Weckerle 2007). The use of therapeutic herbal steam baths are not only prevalent among the Thais (Anderson 1993; Wang et al., 2003) but are widely practiced in Indonesia and in Sulawesi where it is known as bakera (Siagian 2002; Zumsteg and Weckerle 2007). Although the major focus for drug discovery has recently shifted to high-throughput screening coupled with computational and molecular modeling (Young et al., 2002), however working with traditional or local healers still remains a valid method for the identification of potential compounds that may be essential for the development of novel pharmaceuticals (Buenz et al., 2005; Martin and Ernst 2003; Ram 2001). These local healers and traditional birth attendants are often referred to as dukun bajis in the local Indonesian language (Hennessy et al., 2006; Mahyar et al., 1991) and play a very important role as sentinels of the traditional medicinal lore, the knowledge of which is often transmitted orally from generation to generation. Besides providing assistance during delivery... and advice on fertility related matters, the dukun bajis also make profuse use of the medicinal herbs in their practice and play a role in maintaining the traditional magico-religious customs (Neumann and Lauro 1982). In Bali, Indonesia, there are thousands of palm-leaf manuscripts (known as lontar in Balinese) that have been compiled from ancient times containing valuable healing information and advice, which are still adhered to by the traditional healers of Bali today (McCauley 1988). In this paper, we describe the key medicinal plants from that are used as traditional medicine in Indonesia. Medicinal Plants Aloe vera is a member of the Liliaceae family and is known as jadam in Bahasa Indonesia and Bitter Aloes in English. The genus Aloe belongs to the Asphodelaceae Alooidea sub family, and includes about 420 species mostly of the succulent type (Smith and Van Wyk 1998). The medicinal properties of Aloe vera had been recorded earlier by Heyne (1927) in his De Nuttige Planten van Naderlansch-Indie. The herb is cultivated throughout the tropics and in Indonesia the plant is found to occur in the Alas valley (Elliott and Brimacombe 1987) and in Pontianak city. The herb is however not indigenous to Indonesia. Historically, the Aloe vera plant is held sacred by the Muslims because it is believed to possess the power to ward off malignant influences from entering the homes (Zeilmann et al., 2003). Aloe vera is a succulent, cactus like plant and regarded as a typical xerophyte because of its adaptation to grow in areas that are hot and dry (Choi and Chung 2003) with availability of water. The plant is known to possess a large water storage tissue that allows it to adapt to a hot and arid environment (Ni et al., 2004). The leaves of Aloe vera are long and pointed and each leaf comprise of two parts, an outer green rind and an inner clear and mucilaginous pulp popular for its therapeutic properties (Ni et al., 2004). For the past 3 000 years, from ancient Mesopotamia to Egypt, Aloe vera has been used externally for the treatment of skin infections and wounds, and internally as a cathartic (Vinson et al., 2005). Even today, Aloe vera is commonly used to treat a number of skin complaints, such as dry skin and irritant contact dermatitis (West and Zhu 2003) and for the healing of burns (Visuthikosol et al., 1995). In Indonesia, the mucilaginous juice from the leaves (pulp) is used in several medicinal preparations that are either taken orally or rubbed on the skin to treat mental disorders (Elliott and Brimacombe 1987). The pulp extract of Aloe vera is rich in mannan (Ni et al., 2004). According to Mayilyan et al., (2006) immunological research into mental disorders like Schizophrenia indicates that infectious or autoimmune processes might play a role in causing these disorders. The complement system is the main mediator that regulates innate immune defense and hence plays a role in activating many functions related to the immune defense system such as inflammation and cell lysis. The complement system is activated via three pathways viz. the classical, the alternative and the lectin pathway and Mannan-binding lectin (MBL) is known to activate the complement system via the lectin pathway (Mayilyan et al., 2006). Perhaps this could account for the use of mucilaginous juice from the leaves (pulp) by Indonesians to treat mental disorders as recorded by Elliott and Brimacombe (1987). Lotions are prepared from the plant and applied to treat musculoskeletal disorders and Aloe vera is also known to serve as a common ingredient in the preparations of traditional shampoos in Indonesia because of its alleged hair-growth promoting ability (Elliott and Brimacombe 1987). The mucilaginous juice from the leaves (pulp) of Aloe vera that is used in several medicinal preparations by the Indonesians is in fact, enriched with polysaccharides (Paes-Leme et al., 2005). The refined polysaccharide is known to act as an immunostimulant and enhances the release of cytokines such as interleukin-1, interleukin-6, tumor necrosis factor-a and interferon-c (Peng et al., 1991), all of which are important for the proliferation of fibroblasts. According to Kahlon et al. (1991) and Yates et al. (1992), proliferation of fibroblasts is responsible for the healing of burns, ulcers and wounds of the skin and gastrointestinal lining. Thus the whole gel extract of Aloe vera has been reported to possess many properties of pharmacological value, specifically in the healing of wounds and burns and even frost-bite, in addition to possessing antifungal, hypoglycemic and gastroprotective properties (Reynolds and Dweck 1999). Amaranthus spinosus or thorny amaranth is a member of the family Amaranthaceae. In Indonesia, it is known as bayam duri and generally grown near the dwellings of the Indonesians (Elliott and Brimacombe 1987). In an inventory prepared by Elliott and Brimacombe (1987), Amaranthus spinosus has been included amongst the medicinal plants that are known to occur in the Alas valley of Indonesia. However most plants belonging to the genus Amaranthus are regarded as weeds in the cropping system (Ortiz-Ribbing and Williams 2006). This plant is found to occur in South-east Asia, Taiwan, especially in countries with tropical or subtropical climates (Chen 1997). In Indonesia, the leaves are used in a poultice and applied to boils to hasten pus formation (suppuration) (Elliott and Brimacombe 1987). The plant is also extensively used by the people of Mauritius and Rodrigues where they extract the juice for use as a diuretic and prepare poultices from the leaves as emollient (Gurib-Fakim et al., 1993). In Malaysia however, all five types of Amaranthus species is found to occur and is usually used as a vegetable namely “bayam putih” (Amaranthus paniculatus), “bayam merah” (Amaranthus gangeticus), “bayam itik” (Amaranthus blitum), “bayam duri” (Amaranthus spinosus), and “bayam panjang” (Amaranthus viridis) (Amin et al., 2006). All five species of Amaranthus mentioned above have been reported by Hunter and Fletcher (2002) to possess a high concentration of antioxidant related components. This plant is a betalain containing species and is therefore regarded both as an antimalarial and antimicrobial agent (Hilou et al., 2006). Also amaranthine from the genus Amaranthus is known to contain quaternary nitrogen in its structures and thereby retains the potential to inhibit Plasmodium growth by blocking the parasite’s choline intracellular transport (Ancelin and Vial 1986). Choline is crucial for the biosynthesis of the phosphatidylcholines, which are essential molecules for the Plasmodium (Hilou et al., 2006). The plant is extensively used in traditional Chinese medicine to treat diabetes (Lin et al., 2005). Generally, the plant is used as antipyretic, diuretic, laxative and stomachic and the root extract is used to treat gonorrhea (Rahman et al., 2004). The boiled roots and leaves are given to children as a laxative, and also to treat constipation and jaundice (Chopra et al., 1958; Yusuf et al., 1994). Bambusa vulgaris is commonly known as bamboo, this species is a giant woody grass (Lu et al., 2005), belonging to the family Gramineae and is known by several names in Bahasa Indonesia such as trieng gading, djadjang ampel, bamboe koenieng etc (Hirschhorn 1983). The distribution of bamboo is both tropical and subtropical (Lu et al., 2005), and in Indonesia, bamboo is not only found to occur in natural forests but in plantation forests and in community forest areas as well as in many villages of Indonesia; mostly in Java, Bali, Sumatra, Kalimantan, Sulawesi, Maluku, Irian Jaya, and Nusa Tenggara (Kartodihardjo 2003). The bamboo leaves have been found to possess high medicinal properties and various studies have shown them to contain flavone glycosides, phenolic acids, coumarin lactones, anthraquinones and amino acids (Chen et al., 2002; Li et al., 2003; Luo and Chen 2003; Lu and Liao, 2003; Meng et al., 2002, Zhang and Ding 1996; Zhou 1992). Because of the flavanoid content, the leaf extracts may possess many beneficial biological and therapeutic properties such as the ability to scavenge active oxygen radicals (Zhang and Ding 1996) and the potential of the flavonoids to be used as antiaging factor for skin protection (Zhang et al., 2004). Further studies also reveal that the leaves of the bamboo plant are rich in chlorophyll and can be used in food as a potential food antiseptic (Liu and Ding 2000). In Indonesia, bamboo shoots are used in complex medicinal preparations and consumed for treatment against abdominal pain and jaundice (Elliott and Brimacombe 1987). A decoction is also prepared from the shoots of bamboo along with the roots of coconut palm and drunk as a remedy for insomnia (Elliott and Brimacombe 1987). According to Hirschhorn (1983), preparations from bamboo is also used as a clotting agent in Indonesia to stop bleeding. In Trinidad and Tobago, bamboo is used to treat cuts, and injuries along with Solanum melongena (egg plant) Jatropha curcas (Barbados nut) Jatropha gossypifolia (a weed found in Jamaica / India) Bidens alba (hairy beggar’s tick), Bidens pilosa (Spanish needle), Cucurbita pepo (pumpkin), Tournefortia hirsutissima (chiggery grapes), Bixa orellana (annatto plant) and Cocos nucifera (coconut) (Lans 2007). Bamboo shavings (Caulis bamfusae in taeniam), which are the intermediate layer of the stems, have been used in clinical traditional Chinese medicine (TCM) to treat stomachache, diarrhea or vomiting, chest diaphragm inflammation, restlessness and excessive thirst, and its efficacy has been documented in the materia medica of past dynasties in Chinese history (Zhang et al., 2004). The antioxidant from the leaves of bamboo (AOB) has also been certificated as a novel and naturally occurring antioxidant by the Ministry of Health of the People’s Republic of China, and has been used in various food systems (Lu et al., 2005). Cassia alata belonging to the family Leguminosae (Elliott and Brimacombe 1987) is a pantropical shrub (Ibrahim and Osman 1995) found at the edges of forests. It is native to Southeast Asia, Fiji, Northern Australia, Africa and Latin America (Parsons and Cuthbertson 1992). The plant has been reported as one among the other medicinal plants that are found to grow in the Riau province of Sumatra that are used by the Talang Mamak and the Orang Melayu people (Grosvenor et al., 1995). The plant has conspicuous spikes of bright yellow flowers and thus aptly named as Golden candlesticks (Elliott and Brimacombe 1987). It is known as gelenggang in Malaysia, Mbai Ni Thangi in Fiji, Ringworm bush in Australia, Ketepeng badak in Indonesia and Te’elango in Tonga (Somchit et al., 2003). The uses of Cassia alata include that of an antihelminthic and an antimicrobial agent (Ibrahim and Osman 1995). The plant is also used as a laxative and diuretic, for treating snakebites (Palanichamy et al., 1988) and as a remedy for uterine disorders (Kiritkar and Basu, 1975). The antimicrobial property of Cassia alata against Streptococcus mutans, the causative agent of dental caries have been studied by Limsong et al. (2004). Dental caries is caused by the colonization and accumulation of oral microorganisms, with adherence being the initial step in the colonization process (Gibbons 1984). From the results obtained by Limsong et al., (2004) it was concluded that Cassia alata had the potential to inhibit the adherence of Streptococcus mutans in vitro and thus could serve as a useful agent in the control of dental caries. For treatment of scorpion sting, a paste is prepared from any part of the plant and applied externally at the site of sting (Palanichamy et al., 1988). The following uses of Cassia alata has been reported by Elliott and Brimacombe (1987) in Indonesian folk medicine (a) the leaves are either macerated with powdered lime and sulphur or mixed with camphor along with the crushed seeds of candlenut tree (Aleurites moluccana) and used for treating rashes related to ringworms (b) for treatment of malaria, a decoction of the leaves mixed with those of Carica papaya (papaya) is drunk (c) for the treatment of lower abdominal pain, the leaves are mashed with coconut oil and boiled (d) a complex preparation from Cassia alata is prepared and applied externally for jaundice associated with upper abdominal pain. According to Grosvenor et al. (1995) people of the Riau province in Sumatra also drink a decoction prepared from the roots of the plant to relieve constipation or eat the young leaves with rice as a laxative. Anthraquinones that accumulate in the roots and the aerial parts of the plant (Kelly et al., 1994; Yadav and Kalidhar 1994) are responsible for imparting the laxative property to the plant and thus can be used as a purgative to stimulate bowel evacuation (Elujoba et al., 1989). Besides anthraquinones, leaves of Cassia alata have been found to possess flavanoids (Rao et al., quinones and sterols (Mulchandani and Hassarajani 1975) and the leaves have been investigated for their laxative (Rai 1978), antibacterial (Fuzellier et al., 1981), antifungal (Fuzellier et al., 1982), anti-inflammatory and analgesic effects (Palanichamy and Ngarajan 1990a; 1990b). In the roots of Cassia alata however, flavanoids along with quercetin, naringenin and kaempferol have been found to accumulate (Samappito et al., 2002). In Malaysia the leaf extract is also used to treat ringworm infection and according to Ibrahim and Osman (1995) a small amount of additional lime is mixed with the extract for maximum effect. The leaves of Cassia alata are not only used as an effective ringworm treatment in India (Dey and Bahadur 1973) but the crushed leaves mixed with black pepper are also used to treat dhobi itch of the head and skin (Dey and Bahadur 1973; Kirtikar and Basu 1975). For the treatment of eczema, the best results are usually obtained by repeatedly washing the affected parts with a strong decoction prepared from the leaves and flowers of Cassia alata (Palanichamy et al., 1988). Coriandrum sativum, which belongs to the Umbelliferae family is an erect annual herb of about 20–70 cm in height (Eguale et al., 2007). The plant is a native of the eastern Mediterranean (Elliott and Brimacombe 1987) from where it may have spread to India, China and rest of the world (Coskuner and Karababa 2007). In Bahasa Indonesia, it is known as ketumbar and in English the seed simply known as coriander (Elliott and Brimacombe 1987) is used as a culinary spice (Elliott and Brimacombe 1987; Gupta et al., 1991). The seeds of coriander are almost ovate globular in shape with multiple longitudinal ridges on the surface and possess a sweet, slightly pungent, citrus like flavor with a hint of sage (Coskuner and Karababa 2007). The seeds contain about 1% essential oil with monoterpenoid and linalool being the main components (Wichtl 1994). In Indonesia, the seeds are used in oral remedies for the treatment of coughs, leprosy, central chest pain and indigestion (Elliott and Brimacombe 1987). The seeds have also been used as a drug for the treatment of indigestion and rheumatism, against worms and also for the treatment of pain in the joints (Wangenstein, et al., 2004; Wichtl 1994). According to Elliott and Brimacombe (1987), coriander seeds are included in a pessary and are used by Indonesian women, 4–11 days after childbirth. As an important plant of medicinal value, Coriandrum sativum has been credited with a long list of medicinal usage in various forms such as the use of powdered seeds or dry extract, tea, tincture, decoction or infusion and these have been recommended for the treatment of dyspeptic complaints, loss of appetite, convulsion, insomnia and anxiety (Emamghoreishi et al., 2005; Msaada et al., 2007). Studies have also revealed that the essential oils and various extracts from coriander possess antibacterial activity (Burt, 2004; Cantore et al., 2004; Kubo et al., 2004). Moreover, it has also been specified that the volatile components that are present in the essential oil of both seeds and leaves actually confer the plant with the potential to inhibit growth of a range of microorganisms (Delaquis et al., 2002). Increase in blood insulin level is one of the mechanisms behind hypoglycemia, which usually occurs when the pancreas is stimulated to secrete insulin from β-cells (Jain and Vyas 1975). From a study conducted by Chithra and Leelamma (1999) on carbohydrate metabolism in rats maintained on high fat cholesterol diet, the hypoglycemic (antidiabetic) property of Coriandrum sativum seeds (Gallagher et al., 2003) has been demonstrated. According to Chithra and Leelamma (1999), the hypoglycemic effect could be initiated by the seeds through increased utilization of glucose during liver glycogen synthesis, decreased degradation of glycogen in producing blood sugar, increased rate of glycolysis and decreased rate of gluconeogenesis. The same authors Chithra and Leelamma (2000) have also investigated the biochemical effect of coriander seeds on lipid metabolism in 1,2-methyl hydrazine (DMH) induced colon cancer in rats. In a study conducted by Guerra et al. (2005), among the five fractions viz. β-carotene, β-cryptoxanthin epoxide, lutein-5,6-epoxide, violaxanthin and neoxanthin that were isolated from a coriander ether extract using column chromatography, β-carotene was identified as the principal antioxidant component in Coriandrum sativum. Garcinia mangostana or Mangosteen (or manggis in Bahasa Indonesia) belongs to the Guttiferae family (Elliott and Brimcombe 1987) and is widely distributed throughout Thailand, India, Sri Lanka, Myanmar, Indonesia, Malaysia, Philippines and China (Yu et al., 2007). Mangosteen is a climacteric fruit, often referred to as “the queen of fruits” and the aril which is white, soft, juicy with a pleasant aroma is mostly eaten fresh (Yu et al., 2007). Members of the genus Garcinia are a rich source of secondary metabolites, which include the xanthones (Suksamrarn et al., 2002) such as β- and β-mangostins, mangostenol, mangostenone A, trapezifolixanthone, tovophyllin B, and garcinone B (Chiang et al., 2004). Other secondary metabolites, include the flavonoids (isoflavone and flavone), benzophenones, lactones as well as phenolic acids and hence retains the potential to exhibit a wide array of biological and pharmacological activities (Bennet and Lee 1989; Minami et al., 1994). Mangosteen is used as a traditional medicine for the treatment of abdominal pain, dysentery, diarrhea, suppuration, infected wound, leucorrhoea and chronic ulcer and gonorrhoea (Jayaprakasha et al., 2006). In Indonesia a decoction is prepared from the skin of mangosteen fruits along with the bark of Lansium domesticum (duku in Bahasa Indonesia) and drunk as a remedy for bloody diarrhea (Elliott and Brimcombe 1987). Studies have also revealed that mangosteen possess anti-inflammatory (Gopalakrishnan et al., 1997), and antitumor properties (Williams et al., 1995). The antileukemic xanthones have been isolated from plants belonging to the Guttiferae family (Balasubramanian and Rajagopalan 1988). The antibacterial activity of the plant against methicillin resistant Staphylococcus aureus has been documented by (Sakagami et al., 2005) and against Helicobacter pylori by (Mahabusarakum et al., 1983). Mangosteen is not only used in the treatment of diarrhea, cystitis, dysentery, eczema, but also as an astringent (Anon1 1956) and an anti-diabetic (Pai et al., 1979). Sweet potato or ubi rambat as known in Indonesia is a creeping, tuberous-rooted, perennial herb belonging to the Convolvulaceae family (Mukherjee et al., 2006). Plants are widely cultivated in many tropical and subtropical countries especially in India, China, Philippines and the South Seas Islands. (Elliott and Brimacombe 1987; Mukherjee et al., 2006). According to food and agriculture organization (FAO), sweet potato (Ipomoea batatas) is the sixth most important food crop in the world (Huang et al., 2006). In Indonesia sweet potato is cultivated in Banda Aceh, in north, west and south Sumatra, Riau, Jambi and Bengkulu (Anon2 2000). The Indonesians use the leaves of sweet potato along with the stems of Ipomea aquatica Forsk. (water spinach), powdered lime and Amaranthus spinosus (thorny amaranth) to prepare a paste which is then applied to boils (Elliott and Brimacombe 1987). One of the health benefits of plants (both fruits and vegetables) can be attributed to the presence of antioxidant vitamins that exhibit antioxidant properties (Dimitrios 2006) and studies have shown that the leaves of Ipomoea batatas are rich in flavanols and flavones, the subgroups of flavonoids (Chu et al., 2000). Flavanoids are large compounds that possess strong free radical scavenging and antioxidant activities (Rafat et al., 1987; Robak and Gryglewski 1988; Scott and Slater 1981) and tend to occur as glycosides and contain several hydroxyl groups on their ring structures (Chu et al., 2000). Food derived flavonoids such as the flavonols quercetin, kaempferol and myricetin also possess anticancer activity (Verma et al., 1988; Yoshida et al., 1990). Hypoglycemic effects of sweet potato have been investigated by Matsui et al. (2002) in Sprague-Dawley rats and Kusano and Abe (2000) in Zucker fatty rats. Both studies have demonstrated the hypoglycemic effects of the plant i.e. the ability to reduce blood sugar level either by reducing insulin resistance (Kusano and Abe 2000) or by postprandial (after food intake) glucose suppression effect (Matsui et al., 2002). In the study conducted by Matsui et al. (2002), diacylated anthocyanin isolated from storage roots of sweet potato cv. Ayamurasaki was orally administered in male eight weeks old Sprague-Dawley rats. The beneficial effects of Caiapo, the extract of white-skinned sweet potato on fasting plasma glucose, as well as on total and low-density lipoprotein (LDL) cholesterol in type 2 diabetic patients have been reported by Ludvik et al. (2002). Cultivated potato is extremely poor in provitamin A (Direto et al., 2007) however the botanically distant orange-fleshed sweet potato is rich in β-carotene, which is a provitamin A carotenoid, used by the body to produce vitamin A (de Vries 2000). Myristica fragrans a member of the Myristicaceae family is a medium-size tree cultivated in the tropical regions (Spricigo et al., 1999). The seeds (dried kernels) of Myristica fragrans are known as nutmeg (Holstege 2005) in English and as pala in Bahasa Indonesia (Elliott and Brimacombe 1987). Indonesia and Sri Lanka are among the major producers of nutmeg in the world (Spricigo et al., 1999). Prior to European contact nutmeg was found only in the Banda islands of Indonesia (Gils and Cox 1994) because of its heavy annual rainfall of 2210 –3667 mm (Purseglove et al., 1981), a tropical climate and rich volcanic soil (Gils and Cox 1994). Essential oil from the seeds of nutmeg is extensively used in flavoring food products such as dehydrated soups, ice creams, sauces, bakery products, processed meat and myristicin, one of the constituents, of the essential oil is responsible for imparting the characteristic aroma of nutmeg (Bauer 1985) Myristicin has been isolated from nutmeg using high-performance liquid chromatography (Holstege 2005). Nutmeg is an important traditional plant of high medicinal value to the Indonesians and is used to treat stomach and kidney disorders as well as to alleviate abdominal cramps, rheumatism, nervousness, vomiting, whooping cough and flatulence (because of its carminative property) (Kloppenburgh-Versteegh 1934). To treat abdominal cramps, teaspoonful of nuts are taken with salt (Hirschhorn 1983). Nutmeg seeds are used as a stimulant, digestive, aphrodisiac and post childbirth tonic in Mohammedan and Malay medicine (Burkil 1935). The plant is a native of east Malaysia where it is a major constituent of medicinal preparation that are used as oral remedy for cough and vomiting, for the treatment of disorders related to the urinary tract, indigestion and infertility in women (Elliott and Brimacombe 1987). In China, the nuts are crushed into a powder and used as a warming and astringent remedy for dysentery in both children and the aged whilst in IndoChina the powdered seeds are boiled with rice and consumed as a treatment against dysentery, anorexia and colic (Janssens et al., 1990). The kernel of nutmeg contains volatile oil, fats, starch, and mucilage (Sonavane et al., 2002). The fixed oil (fatty oil, total fatty acid composition) contains myristicin, myristic acid (straight-chain saturated fatty acid first isolated from nutmeg in 1926) while the volatile oil component contains pinene, sabinene, camphene, elemicin, isoelemicin, eugenol, methoxyeugenol, isoeugenol, safrole, etc. (Evans 1996; Isogai et al., 1973; Janssen et al., 1990). The seeds of Myristica fragrans are attributed with psychotomimetic properties and known to possess both stimulatory and depressant activities (Sonavane et al., 2002). According to Truitt et al. (1961), nutmeg devoid of its volatile oil may retain the gastrointestinal properties but may loose the psychotropic properties. Perhaps the psychotropic characteristic of the plant imparted by volatile oils may be one of the reasons for its frequent use both as a stimulator and energizer in aromatherapy (Spricigo 1998). Nutmeg is also abused for its narcotic and hallucinogenic properties — one to three seeds or 5–30 g of the ground nut are used to attain psychogenic effects (Holstege 2005). Eugenol a methoxyphenol with a short hydrocarbon chain (Ito et al., 2005) found in aromatic plants like cloves, cinnamon and ocimum is also found to occur as the major constituent of volatile oil in nutmeg (Kumaravelu et al., 1996). Eugenol inhibits the accumulation of lipid peroxidation products in erythrocytes and maintains activities of antioxidant enzymes such as superoxide dismutase, catalase, glutathione peroxidase, glutamine transferase, and glucose 6-phosphate dehydrogenase (Kumavelu et al., 1996). The oil is also used to treat malarial debility (Perry 1980). In dentistry, eugenol is used both as root canal sealers as it is very effective for its antibacterial activity against oral bacteria (Lai et al., 2001), as an analgesic (Maralhas et al., 2006) and as a local anaesthetic for treatment of post-operative pain after gingivectomy (Skoglund and Jorkjend 1991). In the Unani system of medicine, some spices are usually considered as sexual invigorators (aphrodisiacs) and studies by Tajuddin et al. (2003) showed that ethanolic extracts of both nutmeg and clove could not only arouse the mounting behaviour of male Swiss mice, but also significantly increase their mating performance. Due to niacin content (1.4mg/100g) in nutmeg it tends to exhibit hypolipidaemic activity (Ram et al., 1996) and therefore benign to the body system because hyperlipidaemia is associated with the initiation and progression of atherosclerosis (Brown et al., 1981; Kennel et al., 1971). Nutmeg is a plant with high medicinal value such as astringent, antithrombotic (Olajide et al., 1999), antiplatelet aggregation, antifungal, and anti-inflammatory activities (Nadkarni 1998; Olajide et al., 1999). Nigella sativa is an annual herbaceous, dicotyledon belonging to the Ranunculaceae family (Al-Gaby 1998; Atta 2003) and widely distributed in Asian and Mediterranean countries (Nair et al., 2005) as well as in Europe and northern Africa (Salem 2005). The plant is bushy, self-branching with white or pale to dark blue flowers (Salem 2005) The numerous white trigonal seeds are contained within a fruit capsule which on maturation opens up and the seeds are consequently exposed to the air thus turning black in color (Schleicher and Saleh 1998). In Bahasa Indonesia, it is known as jira hitam or black cumin (Elliott and Brimacombe 1987). The plant has a rich historical and religious background and was referred to by the prophet Mohammed for its healing powers (Goreja 2003) and has been mentioned in the Holy Bible as “the curative black cumin” (Junemann 1998). Jira hitam, or black cumin seed oil extract, has been used for thousands of years as a spice, condiment, carminative and food preservative, as well as a protective and curative treatment for numerous disorders in traditional and Indian folk medicine (Aboutabl et al., 1986; El-Sayed et al., 1996; Merfort et al., 1997; Nadkarni 1976; Nair et al., 2005). In Indonesia, the seeds of Nigella sativa are ground with white cumin (Cuminum cyminum) seeds or jira putih and the leaves of Citrus aurantium (bitter orange – an important Chinese herb) and applied to the forehead to relieve headaches (Elliott and Brimacombe 1987). The seeds are also used as an ingredient for an oral remedy that is used for the treatment of arthritis and other joint diseases (Elliott and Brimacombe 1987). The ability of the black cumin seeds to relieve the effects of arthritis can be attributed to the anti-inflammatory properties of the seeds (Ali and Blunden 2003). Morsi (2000) also used both the crude alkaloid extract and the water extract prepared from the seeds of Nigella sativa to screen the efficacy of the extracts against a variety of organisms isolated from human patients suffering from septic arthritis and noted that (a) the Gram negative isolates were affected more than the Gram positive isolates and (b) also the antibacterial action was concentration dependent. The antifungal activity of Nigella sativa has been assessed against the yeast Candida albicans (Khan et al., 2003) and the dermatophytes (Aljabre et al., 2005). One of the major components of the essential oil from Nigella sativa is the thymoquinone (Ali and Blunden 2003) that readily dimerizes to form dithymoquinone (El-Dakhakhny 1963). From a study carried out by Aljabre et al. (2005) against eight species of dermatophytes, four species of Trichophyton rubrum and one each of Trichophyton mentagrophytes, Epidermophyton floccosum and Microsporum canis using ether extract of Nigella sativa and its active principle thymoquinone it was apparent that Nigella sativa retains the potential to be used as a source in the development of antidermatophyte drugs. Other than antimicrobial activity, studies have shown that thymoquinone from Nigella sativa is also attributed with many other therapeutic properties for e.g. it protects the hepatocytes and therefore the liver from exogenous toxins (Badary et al., 2000; Daba and Abdel-Rahman 1998), it also protects the liver from the toxic effects of cisplatin and carbon tetrachlorides (El-Daly 1998; Nagi et al., 1999), enhances the antitumor effect of ifosfamide on induced ascites carcinomas (Badary 1999) and increases the resistance of mixed lymphocytes in culture against mitogens and exerts additional immunomodulatory effects by influencing the production of interleukin IL 1β, IL-8 and TNF-α (Haq et al., 1995). The efficacy of the plant in the treatment of skin conditions such as eczema has also been recognized worldwide (Goreja 2003). Moreover studies carried out by Kalus et al. (2003) have also proved that the oil of Nigella sativa is capable of relieving symptoms of allergic diseases such as allergic rhinitis, atopic eczema and bronchial asthma. Thus in the traditional folk medicine of the Middle and Far East, black cumin seeds have been used to treat a wide range of illnesses, encompassing bronchial asthma, headache, dysentery, infections, obesity, back pain, hypertension and gastrointestinal problems (El-Dakhakhny 1965; Schleicher and Saleh 1998). According to Salem (2005), the seeds are also ground to a powder, mixed with a little flour as a binder, and applied externally to treat abscesses, nasal ulcers and rheumatism. Black seed extract or oil has also been reported to possess (a) antioxidant activity by Burtis and Bucar (2000), (b) antitumor activity by Worthen et al., (1998), and (c) the potential to induce stimulatory effect on the immune system by Salem and Hossain (2000). Solanum torvum or Turkey berry belonging to the Solanaceae family is a cultivated relative of eggplant Solanum melongena L. (Gousset et al., 2005). It is a prickly creeping shrub native to India (Deb 1979), and distributed in most pantropical areas, particularly South East Asia, the Mascarene and the Pacific islands as well as the West Indies (Gousset et al., 2005). In Indonesia it is known as rimbang pahit or ungke pahit (Elliott and Brimacombe 1987). The fruits are edible and are used as vegetables (Sivapriya and Leela 2007). In Malaysia, the plant is categorized as an ulam – the traditional vegetables of the Malays that encompass more than 120 species from various families, and includes shrubs as well as large trees (Mansor 1988). The berries, that are bitter to taste, are used in Indonesia for the treatment of malaria and other fevers. The berries are first pounded together with the fruits of Artocarpus integra (jack fruit) which is cultivated in the Alas valley in Indonesia and the rhizomes of Curcuma sp. and the juice is subsequently drunk (Elliott and Brimacombe 1987). The berries are mashed together with the leaves of Curcuma domestica (Turmeric) and applied to the eyes to treat trachoma or are mixed with the fruits of Gmelina elliptica (Parrot’s beak) and are taken as a cure for beriberi (Elliott and Brimacombe 1987). In Malaysia, Solanum torvum is applied to cracks in the feet for its antimicrobial property (Wiart et al., 2004). From a study conducted by Wiart et al. (2004) in which methanol extracts from leaves, barks and roots of 50 medicinal plants including Solanum torvum from the state of Perak, Malaysia were screened for their antibacterial and antifungal activity, it was apparent that Solanum torvum displayed a high degree of activity, against at least four out of the six microorganisms thus tested (Bacillus cereus, Bacillus subtilis, Candida albicans, Escherichia coli, Pseudomonas aeruginosa and Staphylococcus aureus). From the results, thus obtained Wiart et al. (2004) concluded most of the plants including Solanum torvum would serve as good sources of antimicrobial agents and was worthwhile to carry out further investigations. Because of its antimicrobial activity the fruit juice of Solanum torvum is used in many parts of the North-West Province of Cameroon for the treatment of abscesses, jigger wounds, skin infections such as ringworm, athlete’s foot in humans and dermatophilosis in animals (Chah et al., 2000). Besides antibacterial and antifungal activity the plant is also endowed with antiviral activity and an antiviral isoflavonoid sulfate and a steroidal glycoside have been isolated from the fruits of Solanum torvum (Arthan et al., 2002). In Africa, it is used as a tonic and a hemopoietic agent and is also used for the treatment of pains (Daziel 1937; Watt and Breyer-Brandwijk 1962). In India, the juice extracted from leaves of Solanum torvum is used to reduce body heat and unripe fruits are used to strengthen the body (Muthu et al., 2006). Decoction prepared from the fruits is used as a remedy for cough related ailments and is considered useful in cases of liver and spleen enlargement (Siemonsma and Piluek 1994). The plant is both a sedative and diuretic and the leaves are used as a haemostatic to prevent excess bleeding during hemorrhages. The ripened fruits are used in the preparation of tonics and haemopoietic agents and also as a treatment for pain (Kala 2005). Conclusion Botanically Indonesia is among one of the richest countries in the world with a highly diversified distribution of different plant species. This vast diversity has been partly attributed to the size of the country and partly to Indonesia’s complex geological past. The breakup of the single supercontinent Pangea, the collision of the two land masses, Laurasia and Gondwana and consequently the unique topographical characteristics it acquired as a result, which has greatly influenced the floral diversity of the archipelago (Whitten and Whitten 1996). The rain forests of Indonesia that occur in Java, Sumatra, Maluku and Lesser Sundas may abound in medicinal plants, containing untapped natural products especially the secondary metabolites that are still unknown to the modern pharmaceutical industries. Sadly the traditional knowledge of the medicinal plants in most parts of the world stands at the brink of a ruinous course today. In Indonesia for example, the demand for space to accommodate the briskly growing population has led to extensive clearing of the rainforests on one hand. Whilst on the other, with every increasing day, the age-old traditions of the indigenous medicine practitioners like the dukuns bajis and balians of Bali are being challenged by the more scientifically sound and hospital/health clinic based approach of modern medicine. The use of herbal medicines has been deemed to be both therapeutic (for curing) and prophylactic (for prevention) and the use of the latter has been more aptly attributed to animals such as the chimpanzees (Pan troglodytes). (Hart 2005). Ethnomedicine has long been scorned for its dearth of sound scientific reasoning, a practice in which the “traditional healers” with its charms and herbs is more often disposed towards the psychological healing of a “person” as an individual, while biomedicine on the other hand, has been criticized by many for its more impersonal outlook where the doctors tend to be more focused on diagnosing and treating the “disease” rather than the person (Neumann and Lauro 1982). Today, research in the area of medicinal plants is undergoing a more profound shift towards the investigation of the molecular mechanisms, the unraveling of signaling pathways with its many receptor-ligand complexes, numerous regulatory proteins and their specific binding sites, development of transgenic plants with high medicinal values as well as in unveiling the biochemistry behind both the aetiology of the disease and the healing properties of the plant. In this article, wherever possible, attempts have been made to address the biochemical aspects of the healing properties of medicinal plants that have been used by traditional healers and medicine men of Indonesia from ancient times and to whom both religion and healing, the physical and the spiritual dimension are intertwined into an integrated whole. Disclaimer The authors compiled this article based on the information provided in the published literature. The authors accept no liability or no responsibility whatsoever for any loss to any person resulting from reliance upon the materials contained in this article. The contents of this article are not meant to constitute professional, health or other advice and readers should seek their own competent professional, health and other advice. References 1. Abouzahl, E.A., El-Azzaouny, A.A. and Hammerschmidt, F.J. (1986). Aroma volatiles of Nigella sativa L. seeds. In’ Brunkel, E.I., Editor. 1986. Progress in Essential Oil Research, Walter de Gruyter & Co., New York, pp. 49–55. 2. Al-Gaby, A.M.A. (1998). Amino acid composition and biological effects of supplementing broad bean and corn proteins with Nigella sativa black cumin cake protein. Nahrung 42: 290–294. 3. Ali, B.H. and Blunden, G. (2003). Pharmacological and toxicological properties of Nigella sativa. Phytotherapy Research 17: 299-305. 4. Aljubre, S.H.M., Randhawa, M.A., Akhtar, N., Alkaboky, O.M., Alquarashi, A.M. and Aldossary, A. (2005). Antidermatophyte activity of ether extract of Nigella sativa and its active principle, thymoquinone. Journal of Ethnopharmacology 101: 116-119. 5. Amin, I., Norazaidah, Y.and Hamida, K.I.E. (2006). Antioxidant activity and phenolic content of raw and blanched Amaranthus species. Food Chemistry 94: 47-52. 6. Ancelin, M.L. and Vial, H.J. (1986). Quaternary ammonium compound efficiently inhibit Plasmodium falciparum growth in vitro by impairment of choline transport. Antimicrobial Agents and Chemotherapy 29: 814–820. 7. Anderson, E.F. (1993). Plants and people in the golden triangle: ethnobotany of the hill tribes of northern Thailand. Silkworm Books, Chiang Mai. 8. Anon 1. (1956). The Wealth of India, New Delhi, India. Council of Scientific & Industrial Research 4:105. 9. Anon 2. (2000) Special Report: Food concerns mount in parts of Indonesia following serious floods. http://www.tao.org/giews/english/alertes/2000/SRINDO Accession date: 11th May 2007. 10. Arthan, D., Svasti, J., Kittakoon, P., Pitayakhachonwit, D., Tantichareon, M. and Thebtrakarn, Y. (2002). Antiviral isoflavonoid sulfate and steroidal glycosides from the fruits of Solanum torvum. Phytochemistry 59: 459-463. 11. Atta, M.B. (2006). Chemical characteristics of nigella (Nigella sativa L.) seed cultivated in Egypt and its lipid profile. Food Chemistry 92: 61-68. 12. Badary, O.A. (1999). Thymoquinone attenuates ifosfamide-induced Fanconi syndrome in rats and enhances its antitumor activity in mice. Journal of Ethnopharmacology 76: 45-48. 13. Badary, O.A., Abdel-Naim, A.B., Abdel-Wahab, M.H. and Hamada, F.M. (2000). The influence of thymoquinone on doxorubicin induced hyperlipidemic nephropathy in rats. Toxicology 143: 219-226. 14. Balakrishnan, K. and Rajagopalan, K. (1988). Novel Xanthones from Garcinia mangostana structures of BR-Xanthone-A and BR-Xanthone-B. Phytochemistry 27: 1532-1534. 15. Bauer, K. (1985) In: Common Fragrance and Flavor Materials: Preparation, Properties and Uses VHC, Weinheim pp. 159. 16. Bennet, G.J. and Lee, H.H. (1989) Xanthones from Cuttleriae. Phytochemistry 28: 967–998. 17. Blumental, M., Busse, W.R., Goldberg, A. (1998). The complete commission monograph: therapeutic guide to herbal medicine. Integrative Medical Commission, Boston, pp. 80–87. 18. Brown, M.S., Kovacs, P.T. and Goldstein, J.L. (1981). Regulation of plasma cholesterol by lipoprotein receptors. Science 212: 628-631. 19. Brown, M.S., Johnson, H.E., Beekman, E.M., Mullay, T.J. and Bauer, B.A. (2005). Bioprospecting Rumphia’s Ambrosine Herbal: Volume I. Journal of Ethnopharmacology 96: 57-70. 20. Burkil, I.H. (1935). Dictionary of the Economic Products of the Malay Peninsula. 2nd Edn. Vol.2, 1-Z. Crown Agents. London. pp. 1554-1556. 21. Burt, S. (2004). Essential oils: their antibacterial properties and potential applications in foods-a review. International Journal of Food Microbiology 94: 223–253. 22. Burris, M. and Bucar, F. (2004). Antioxidant activity of Nigella sativa essential oil. Phytotherapy Research 18: 323–328. 23. Cantoni, P.L., Jacobucci, N.S., De Marco, A., Capasso, F. and Senatore, F. (2004). Antibacterial activity of Coriandrum sativum L. and Anethum graveolens Miller var. vulgare (Miller) essential oils. Journal of Agricultural and Food Chemistry 52: 7862–7866. 24. Chah, K.F., Muko, K.N. and Oboeguelem, S.I. (2000). Antimicrobial activity of methanolic extract of Solanum torvum fruit. Fitoterapia 71: 187-189. 25. Chen, J.P. (1997). Batch and continuous adsorption of Strontium by plant root tissues. Bioresource Technology 60: 185-190. 26. Chen, Q., Wu, L.J. and Ruan, L.J. (2002). Chemical studies on the constituents of liphatherum gracile bruno, Journal of Shenyang Pharmaceutical University 19: 257-259. 27. Chang, L.C., Cheng, H-Y., Liu, M-C., Chiang W. and Lin, C.-C. (2004). In vitro evaluation of antileukemic activity of 17 commonly used fruits and vegetables in Taiwan. Lebensmittel-Wissenschaft undTechnologie 37: 539-544. 28. Chithra, V. and Leelamma, S. (1999). Coriandrum sativum – mechanism of hypoglycemic action. Food Chemistry 67: 229-231. 29. Chithra, V. and Leelamma, S. (2000). Coriandrum sativum effect on lipid metabolism in 1,2-dimethyl hydrazine induced colon cancer. Journal of Ethnopharmacology 71: 457–461. 30. Choi, S. and Chung, M-H. (2003). A review on the relationship between aloe vera components and their biologic effects. Seminars in Integrative Medicine 1: 53-62. 31. Chopra, R.N., Chopra, I.C., Handa, K.L. and Kapur, L.D. (1958). Indigenous drugs of India, Academic Publishers, Calcutta. 32. Chu, Y.H., Chang, C-L. and Hsu, H-F. (2000). Flavonoid content of several vegetables and their antioxidant activity. Journal of the Science of Food and Agriculture 80: 561-566. 33. Chulaluck, Y. and Karababa, E. (2007). Physical properties of coriander seeds (Coriandrum sativum L.). Journal of Food Engineering 80: 408-416. 34. Daba, M.H. and Abdel-Rahman, M.S. (1998). Hepatoprotective activity of thymoquinone in isolated rat hepatocytes. Toxicology Letters 95: 23-29. 35. David, R. (1997). Aloe vera: a scientific approach Vintage Press Inc. Boston, p. 102. 36. Daziel, J.M. (1937). In: The useful plants tropical Africa Crown Agents, London, p. 435. 37. Deverell, P. E. (1996). Preventing blindness with sweet potatoes. Trends in Plant Science, 5: 123. 38. Dob, D.B. (1979). Solanaceae in India In J.G. Hawkes, R.N. Lester and A.R. Skelding, Editors, The Biology and Taxonomy of the Solanaceae, Academic Press, Linnean Society of London, pp. 87–112. 39. Delaquis, P.J., Stanich, K., Girard, R. and Mazza, G. (2002). Antimicrobial activity of individual and mixed fractions of dill, cilantro, coriander and eucalyptus essential oils. International Journal of Food Microbiology 74: 101–109. 40. Desai, K.L. and Bahadur, R. (1973). The indigenous drugs of India. 2nd Ed. Parna Primane Publishers, New Delhi, pp.70. 41. Dimitrios, B. (2006). Sources of natural phenolic antioxidants. Trends in Food Science and Technology 17: 505-512. 42. Direito, G., Al-Babili, S., Tavazza, R., Papachicholi, V., Beyer, P. and Giuliano, G. (2007). Metabolic engineering of potato carotenoid content through tuber-specific overexpression of a bacterial mini-pathway. PLoS ONE 2: e350. 43. Eguale, T., Tilahun, G., Debelea, A., Feleke, A. and Makonnen, E. (2007). In vitro and in vivo anthelmintic activity of crude extracts of Coriandrum sativum against Haemonchus contortus. Journal of Ethnopharmacology, 110: 428-433. 44. Elliott, S. and Brimarumber, J. (1987). The medicinal plants of Gunung Leuser National Park, Indonesia. Journal of Ethnopharmacology 19: 285–317. 45. El-Dakhakhny, M. (1963). Studies on the chemical constituents of Egyptian Nigella sativa L. seeds. The essential oil. Planta Medica 11: 465-470. 46. El-Dakhakhny, M. (1965). Studies on the Egyptian Nigella sativa L: IV. Some pharmacological properties of the seeds’ active principle in comparison to its dihydro compound and its polymer. Arzneimittelorschung 15: 227–1229. 47. El-Daly, E.S. (1998). Protective effect of systemic vitamin E on Crocus sativus and Nigella sativa extracts on cisplatin-induced nephrotoxicity. Journal de Pharmacie de Belgique 53: 181-186. 48. Elujoba, A.A., Ajulo, O.O. and Iweibo, G.O. (1989). Chemical and biological analysis of Nigerian Cassia species for laxative activity. Journal of Pharmaceutical and Biomedical Analysis 7: 1453-1457. 49. El-Sayed, M.M., El-Banna, H.A. and Fathy, F.A. (1996). The use of Nigella sativa oil as a natural preservative agent in processed cheese spread. Egyptian Journal of Food Science 22: 81–396. 50. Emamghoreishi, M., Khaksiri, M. and Azazam, M.F. (2005). Convolvulum sativum: Evaluation of its anxiolytic effect in the elevated plus-maze. Journal of Ethnopharmacology 96: 365–370. 51. Evans, W.C. (1996). In: Trees and Evans’ Pharmacognosy (14th ed), Harcourt Brace & Co. Asia, Singapore, pp. 273–275. 52. Fuzellier, M.C., Mortier, F., Girard, Th. and Payen, J. (1981). Study of antibiotic properties of anthraquinones using chromatographic plates. Annales Pharmaceutiques Francaises 39: 313-318. 53. Fuzellier, M.C., Mortier, F., and Lectard, P. (1982) Antifungal activity of Cassia alata. Annales Pharmaceutiques Francaises 40: 357-363. 54. Gallagher, A.M., Flatt, P.R., Duffy, G. and Abdel-Wahab, Y.H.A. (2003). The effects of traditional diabetic plants on in vitro glucose diffusion. Nutrition Research 23: 411–424. 55. Gibbons, R.J. (1984). Adherence interactions which may affect microbial ecology in the mouth. Journal of Dental Research 63: 378–185. 56. Gils, C.V. and Cox, P.A. (1994). Ethnobotany of nutmeg in the Spice Islands. Journal of Ethnopharmacology 42: 117-124. 57. Gopalakrishnan, C., Banumathi, D. and Suresh, S.K. (1997). Effect of mangostin, a xanthone from Garcinia mangostana Linn, in immunopathological and inflammatory reactions. Indian Journal of Experimental Biology 19: 843–846. 58. Goreja, W.G. (2003). Black Seed: Nature’s Miracle Remedy. Amazing Herbs Press, New York, NY. 59. Guinet, C., Collonnie, C., Mulya, K., Matiska, I., Rotino, G.L., Besse, P., Serret, A. and Silhacaruk, D. (2005). Solanum torvum, as a useful source of resistance against bacterial and fungal diseases for improvement of eggplant (S. melongena L.). Plant Science 168: 319-327. 60. Groovero, P.W., Gohard, P.K., McWilliam, N.C., Supriono, A. and Gray, D.O. (1995). Medicinal plants from Riau province, Sumatra, Indonesia. Part I Uses. Journal of Ethnopharmacology 45: 75 – 95. 61. Gupta, K., Singh, A.K., Arora, R. and Nagale, S. (1991). Studies on growth, structural carbohydrates and phytate in coriandrum sativum during seed development. Journal of the Science of Food and Agriculture 54: 43–46. 62. Guerra, M.B., Melo, E. de A. and Filho, J.M. (2005). Antioxidant compounds from coriander (Coriandrum sativum L.) etheric extract. Journal of Food Composition and Analysis, 18: 193-199. 63. Gurib-Fakim, A., Sewraj, M., Queho, J. and Dulloo, E. (1993). Medicinal/ethnobotany of some weeds of Mauritius and Rodrigues. Journal of Ethnopharmacology 39: 175-185. 64. Haq, A., Abdulatif, M., Lobo, P.I., Khubar, K.S., Sheth, K.V. and al-Sedairy, S.T. (1999). Nigella sativa: Effects on human lymphocytes and human neutrophile phagocytic activity. Immunopharmacology 30: 147-155. 65. Hart, B.L. (2005). The evolution of herbal medicine: Behavioral perspectives. Animal Behaviour 70: 981-989. 66. Hennessy, D., Hicks, C. and Koseno, H. (2006). The training and development needs of midwives in Indonesia: paper 2 of 3. Human Resources for Health 4: 9. 67. Heyne, K. (1927). De Nuttige Planten van Nederlandsch-Indie (revised and enlarged edition) vols 3. Uitgezien. 68. Hilou, A., Nacoulma, O.G. and Guiguemde, T.R. (2006). In vivo antimalarial activities of extracts from Amaranthus spinosus L. and Butea fraxineae erecta L. in mice. Journal of Ethnopharmacology 103: 236-240. 69. Hidayat, H. (1978). Botanical Medicine of the South-East Indies (Indonesia). Part 1: Eumycetes, Pteridophyta, Gymnospermae, Angiospermae (Monocotyledons only). Journal of Ethnopharmacology 7: 123-136. 70. Holstge, C.P. (2003). Nutmeg. Encyclopedia of Toxicology; 276-277. 71. Huang, Y.C., Chang-YH. and Shao, YY. (2006). Effects of genotype and treatment on the antioxidant activity of sweet potato in Taiwan. Food Chemistry 98: 529-538. 72. Hunter, K.J and Fletcher, J.M. (2002) The antioxidant activity and composition of fresh, frozen, jarred and canned vegetables. Innovative Food Science and Emerging Technology 3: 399–406. 73. Ismail, Z. and Osman, H. (1995). Antimicrobial activity of Cassia alata from Malaysia. Journal of Ethnopharmacology 45: 151-154. 74. Isogai, A., Suzuki, A. and Tamura, S. (1973). Structure of dimeric phenyl propanoids from Myristica fragrans. Agricultural and Biological Chemistry 37: 193–194. 75. Ito, M., Murakami, K. and Yoshino, M. (2005). Antioxidant action of eugenol compounds: role of metal ion in the inhibition of lipid peroxidation. Food and Chemical Toxicology 43: 461-466. 76. Jain, R.C., and Vyas, C.R. (1975). Garlic in aloxan induced diabetic rabbits. The American Journal of Clinical Nutrition 28: 608-610. 77. Jameson, I., Laekerman, G.M., Lug, A., Pietens, C., Totte, J., Herman, A.C. and Vlietinck, A.J. (1990). Nutmeg oil: Identification and quantitation of its most active constituents as inhibitors of platelet aggregation. Journal of Ethnopharmacology 29: 179-188. 78. Jayaprakasha, G.K., Negi, P.S. and Jena, B.S. (2010). Antioxidative and antimicrobial activities of the extracts from the rinds of Garcinia peltiperculata. Innovative Food Science or Emerging Technologies 7: 246–250. 79. Junemann, M. (1998). Three great healers. Jobs, Lotus Light Publication, Twin Lakes (WI), p. 45. 80. Kalhan, J.B., Kehp, M.C., Carpenter, R.H., McAnally, B.H., McDaniel, H.R. and Shannon, W.M. (1991). Inhibition of AIDS virus replication by acemannan in vitro. Molecular Biotherapy 3: 127–135. 81. Kala, C.P. (2005). Ethnomedicinal botany of the Apatani in the Eastern Himalayan region of India. Journal of Ethnobiology and Ethnomedicine 1: 1–8. 82. Kalus, U., Pruss, A., Bystron, I., Jurecka, M., Smekalova, A., Liechius, J.J. and Kiesewetter, H. (2003). Effect of Nigella sativa (black seed) on subjective feeling in patients with allergic diseases. Phytotherapy Research 17: 1209-1214. 83. Kartodihardjo, S. (2003). The state of bamboo and rattan development in Indonesia. http://www.inbar.int/documents/county/%20en/part1/INDONE/. Accession date: 8th May 2007. 84. Kelly, T.R., Ma, Z. and Xu, W. (1994). Revision of the structure of alatinone to eremidin. Phytochemistry 36: 253-254. 85. Kennel, W.B., Castelli, W.P., Gordon, T. and McNamara, P.M. (1971). Serum cholesterol and the risk of CHD. The Framingham Study. Annals of Internal Medicine 74: 1-12. 86. Khan, M.A., Ashfaq, M.K., Zuberi, H.S. and Zuberi, A.H. (2003). The in vivo antifungal activity of the aqueous extract from Nigella sativa seed. Phytotherapy Research 17: 183-186. 87. Kirtikar, K.R. and B.D. Basu, B.D. (1975). In: Indian Medicinal Plants II, (2nd ed.). Jaypee Press, New Delhi, pp. 30-45. 88. Kloppenburg-Versteegh, J. (1934). Wenken en naadgevragen Beterreffende het Gebruik van Indische Planten, Vruchten enz. 5th Edn. G.C.T.Van Dorp and Co, Amsterdam, pp 223-345. 89. Kubo, I., Fujita, K.I., Kubo, A., Nihei, K.I. and Ogura, T. (2004). Antibacterial activity of eucalyptol volatile compounds against Salmonella choleraesuis. Journal of Agricultural and Food Chemistry 52: 3329–3332. 90. Kumarevala, P., Sararamanayi, S., DasGhoshdury, D.P. and Devraj, N.S. (1996). The antioxidant effect of eugenol on rat liver mitochondria-induced erythrocyte hemolysis. Journal of Nutritional Biochemistry 7: 23–28. 91. Kusano, S. and Abe, H. (2000). Hypoglycemic activity of white-skinned potato (Ipomoea batatas) in obese Zucker fatty rats. Biological and Pharmaceutical Bulletin 23: 23–26. 92. Lai, C.C., Huang, F.M., Yang, H.W., Chan, Y., Huang, M.S., Chou, M.Y. and Chang, Y.C. (2001). Antimicrobial activity of four root canal sealers against endodontic pathogens. Clinical Oral Investigations 5: 236–239. 93. Lans, C. (2007). Comparison of plants used for skin and stomach problems in Trinidad and Tobago with Asian ethnomedicine. Journal of Ethnobiology and Ethnomedicine 3: 1. 94. Li, X., Liu, H.M., Yan, Y.F., Luo, D.S., Zheng, H.H., Wang, M., Li and Yao, S.Q. (2002). The inhibitory effect of bamboo leaves extract on implanted Sarcoma80 B tumor. Journal of Hubei College of Traditional Chinese Medicine 4: 17–19. 95. Limsong, J., Benjavongkulchai, E. and Kuvatanasuchati, J. (2004). Inhibitory effect of some herbal extracts on adherence of Streptococcus mutans. Journal of Ethnopharmacology 92: 281-289. 96. Lin, Bi-F, Chiang, B-L. and Lin, JY (2005). Amaranthus spinosus water extract directly stimulates proliferation of B lymphocytes in vitro. International Immunopharmacology 5: 771-722. 97. Liu, Y. and Davis, J. (2005). Study on the extraction and stability of bamboo leaf’s chlorophyll. Chemical Research and Application 12: 202–204. 98. Lu, B., Wu, X., Tie, X., Zhang, Y. and Zhang, Y. (2005). Toxicology and safety of anti-oxidant of bamboo leaves, Part 1: Acute and subchronic toxicity studies on anti-oxidant of bamboo leaves. Food and Chemical Toxicology 43: 783-792. 99. Lu, Z.R. and Liao, W. (2003). Preliminary determination of chemical components for leaves of Phyllostachys pubescens. Journal of Shandong University (Nat. Sci.) Ed. 26: 46–48. 100. Ludvik, B., Madjushev, K., Waldhauser, W., Riedl, A., Frager, R., Kautzky-Willer, A. and Pacini, G. (2002). The effect of ipomeea batatas (Caipao) on glucose metabolism and serum cholesterol in patients with type 2 diabetes: A randomized study. Diabetes Care 25: 239–240. 101. Luo, J.Y.and Chen, X.Y. (2003). Study on extracting tea polyphenols from leaf of Indocalamus. Chemistry and Industry of Forest Products 37:15–19. 102. Mahasurasakun, W., Phongpaichit, S., Jansakul, C. and Winyrachta, P. (1983). Screening of antibacterial activity of chemicals from Garcinia atroviridis and Cananga Songklanakarin. Journal of Science and Technology 5: 337–339. 103. Marques, A., Moniz, C., Martin, C., Kranebundek, M., Laroze, A., Rueff, J. and Rodrigues, A.S. (2006). Genotoxicity and endoreduplication inducing activity of the food flavouring eugenol. Mutagenesis 21: 199-204. 104. Mahyar, U.W., Burley, J.S., Gyllenhaal, C. and Soejarto, S.D. (1991). Medicinal plants of Seberda (Riau Province, Sumatra, Indonesia. Journal of Ethnopharmacology 31: 217-237. 105. Mansor, P. (1988) Teknologi sayur-sayuran (pp. 1–5), MARDI, Malaysia. 106. Martin, K.W. and Ernst, E. (2003). Antiviral agents from plants and herbs: a systematic review. Antiviral Therapy 8: 27–36. 107. Maeda, T., Hsachi, S., Kobayashi, M., Fukui, K., Sugita, K., Terahara, N. and Matsumoto, K. (2002). Anti-hyperglycemic effect of diacylated anthocyanin derived from Ipomoea batatas cultivar Ayamarasaki can be achieved through the alpha-glucosidase inhibitory action. Journal of Agricultural and Food Chemistry 50: 7244–7248. 108. Marylyn, K.R., Arnold, J.N., Presans, J.S., Soghoyan, A.F. and Sim, K.B. (2006). Increased complement classical and mannann-binding lectin pathway activities in schizophrenia. Neuroscience letters 404: 336-341. 109. McCauley, A.P. (1988). Healing texts and healing techniques in indigenous Balinese medicine. Social Science and Medicine 27: 1019–1026. 110. Meng, D.L., Li, X., Xiong, Y.H. and Wang, J.H. (2002). Study on the chemical constituents of Achyranthes bidentata Bl. Journal of Shenyang Pharmaceutical University 19: 23–25. 111. Merfari, I., Wray, V., Barakat, H.H., Hussein, S.A.M., Nawwar, M.A.M. and Willuhn, G. (1997). Flavon triglycosides from seeds of Nigella sativa. Phytochemistry 46: 59–363. 112. Minami, H., Kinoshita, M., Fukuyama, Y., Kodama, M., Yoshizawa, T., Sugura M., Nakagawa, K. and Tago, H. (1994). Antioxidant xanthones from Garcinia subeliptica. Phytochemistry 36: 501–506. 113. Moorthy, S. (2004). Antimicrobial effects of crude extracts of Nigella sativa on multiple antibiotics-resistant bacteria. Acta Microbiologica Polonica 49: 63–74. 114. Msaida, K., Hosni, K., Taarit, M.B., Chahed, T., Kchouk, M.E. and Marzouk, B. (2007). Changes on essential oil composition of coriander (Coriandrum sativum L.) fruits during three stages of maturity. Food Chemistry, 102: 1131-1134. 115. Mukherjee, P.K., Maiti, K., Mukherjee, K. and Hoaghton, P.J. (2006). Leads from Indian medicinal plants with hypoglycemic potentials. Journal of Ethnopharmacology 106: 128. 116. Mukherjee, N.V. and Hasarrajana, S.A. (1975). Tuluolated phytochemical reports. Phytochemistry 14: 2728. 117. Muller, C., Ayyamur, M., Raju, N. and Ignacimuthu, S. (2006). Medicinal plants used by traditional healers in Kancheepuram District of Tamil Nadu, India. Journal of Ethnobiology and Ethnomedicine 2: 43. 118. Nadkarni, K. (1976). Crocus sativus, Nigella sativa. In’ Nadkarni, K.M., Editor, 1976. Indian materia medica, Popular Prakashan, Bombay, pp. 386–411. 119. Nadkarni, K.M. (1998). In’ Indian materia medica (3rd ed.), Bombay Popular Prakashan, Mumbai, pp. 830–834. 120. Nagi, M.N., Alam, K., Badary, O.A., al-Shabanah, O.A., al-Sawai, H.A. and al-Bekairi, A.M. (1999). Thymoquinone protects against carbon tetrachloride hepatotoxicity in mice via an antioxidant mechanism. Biochemistry and Molecular Biology International 47: 153-159. 121. Nair, M.R.M., Vasudevan, P. and Venkitanarayanan, K. (2005). Antibacterial effect of black seed oil on Listeria monocytogenes. Food Control 16: 395-398. 122. Neumann, A.K. and Lauro, P. (1982) Ethnomedicine and Biomedicine linking. Social Science and Medicine 16: 1817-1824. 123. Ni, Y., Wang, D., Yates, K.M. and Izard, I. (2004). Isolation and characterization of structural components of Aloe vera leaf pulp. International Immunopharmacology 4: 1745-1755. 124. Olajide, O.A., Ajayi, F.F., Ekehir, A.I., Awe, S.O., Makinde, J.M. and Alada, A.R.A. (1999). Biological effects of Myristica fragrans (nutmeg) extract. Phytotherapy Research 13: 344-345. 125. Ortiz-Ribbing, L. and Williams, M.M. (2006) Potential of Phomopsis amaranthica and Microsphaeropsis amaranthi, as bioherbicides for several weedy Amaranthus species. Crop Protection 25: 39-46. 126. Paes-Leme, A.A., Meirelles, S., De Mattos, J.C.P., Danias, F.J.S., Bezerra, R. J.A.C. and Caldeira-de-Araujo, A. (2005). Assessment of Aloe vera (L.) genotoxic potential on Escherichia coli and plasmid DNA. Journal of Ethnopharmacology 14: 197-201. 127. Pai, B.R., Natarajan, S., Suguna, B., Kameswaran, L., Shankaranarayanan, D. and Gopalakrishnan, C. (1979). Synthesis and pharmacology of Mangostin-3,6-d-O-glucoside. Journal of Natural Products 42: 361-365. 128. Palanichamy, S., Nagarajan, S. and Devasagayam, M. (1988). Effect of Cassia alata leaf extract on hyperglycemic rats. Journal of Ethnopharmacology 22: 81-90. 129. Palanichamy, S. and Nagarajan, S. (1990a). Anti-inflammatory activity of Cassia alata leaf extract and Kaempferol 3-O-sophoroside. Fitoterapia 61: 44-47. 130. Palanichamy, S. and Nagarajan, S. (1990b). Analgesic effect of Cassia alata leaf extract and Kaempferol 3-O-sophoroside. Journal of Ethnopharmacology 29: 73-78. 131. Parsons, W.T. and Cuthbertson, E.G. (1992). In: ‘Noxious Weeds of Australia’, Indata Press, Melbourne, pp. 455–456. 132. Peng, S.Y., Norman, J., Curtin, G., Corrier, D., McDaniel, H.R. and Busbee, D. (1991). Decreased mortality of Norman murine sarcoma in mice treated with the immunomodulator, Acemannan. Molecular Biotherapy 3: 79-85. 133. Perry, L.M. (1980). Medicinal Plants of East and Southeast Asia: Attributed properties and uses. MIT Press, Cambridge. Massachusetts. 134. Purseglove, J.W., Brown, E.G., Brown, C.L. and Robbins, S.R.J. (1981). Spices. Longman House, London, pp 62-65. 135. Rafat, H.S., Cillard, I. and Cillard, P. (1987). Hydroxyl radical scavenging activity of flavonoids. Phytochemistry 26: 2485-2491. 136. Ram, V., Lauria, P., Gupta, R. and Sharma, V.N. (1996). Hypolipidaemic effect of Myristica fragrans fruit extract in rabbits. Journal of Ethnopharmacology 55: 49-53. 137. Ram, V.K.S. (2001). Natural products of plant origin as anticancer agents. Drug News Perspective 14: 465–482. 138. Rao, J.V.L.N.S., Sastry, P.S.R., Rao, R.Y.K. and Vimaladev, M. (1975). Occurrence of Kaempferol and Aloe-Emodin in the leaves of Cassia alata. Linn. Current Science 44: 736-737. 139. Reynolds, T. and Dweck, A.C. (1999). Aloe vera leaf gel: a review update. Journal of Ethnopharmacology 68: 3-7. 140. Rubak, J. and Gryglewski, R.J. (1988). Flavonoids are scavengers of superoxide anions. Biochemical Pharmacology 37: 817-841. 141. Sakagami, Y., Imuma, M., Phyasena K.G.N.P. and Dharmaratne, H.R.W. (2005). Antibacterial activity of 6-mangostin against vancomycin resistant Enterococci (VRE) and synergism with antibiotics. Phytomedicine 12: 203–208. 142. Salem, M.L. and Hossain, M.S. (2000). In vivo acute depletion of CD8+T cells before murine cytomegalovirus infection upregulated innate antiviral activity of natural killer cells. International Journal of Immunopharmacology 22: 77-85. 143. Salem, M.L. (2005). Immunomodulatory and therapeutic properties of the Nigella sativa L. seed. International Immunopharmacology 5: 1749-1770. 144. Samappito, S., Page, J., Schmidt, J., De-Eknamkul, W. and Kutcharn, T.M. (2002). Molecular characterization of root-specific chalcone synthases from Cassia alata. Planta 216: 64-71. 145. Schleicher, P. and Saleh, M. (1998). Black Seed Cumin: The Magical Egyptian Herb for Allergies, Asthma, and Immune Disorders. Healing Arts Press, Rochester, Vermont, p. 90. 146. Scott, R. and Slater, T.F. (1961). Free radical scavenging activity of (+)-catechin and other flavonoids. In: Recent Advances in Lipid Peroxidation and Tissue and Injury. Slater, T.F. and Garner, A. (Eds.). Brunel University Press, London. pp 233-244. 147. Shibuya, H. and Kitagawa, I. (1996). Chemical study of Indonesian medicinal plants. Yakugaku Zasshi; Journal of the Pharmaceutical Society of Japan 116: 911-27. 148. Siagian, M.H. (2002). Usha Perawatan Kesehatan Dengan Berbagai Jenis Tumbuhan: Telah Pernahfaatannya Oleh Wanita Suku Melayu Di Pulau Singkep, Riau. Prosiding Simposium Nasional Il tumbuhan Odar dan Aromatik. Posasi Penerapan dan Potensi Ekonomi. Bandung, pp 55-60. 149. Siemersena, J.S. and Piluek, K. (1994). Plant Resources of South-East Asia 8 (PROSEA). Bogor, Indonesia 150. Supriyana, M. and Leela, S. (2007). Isolation and purification of a novel antioxidant protein from the water extract of Sundakai (Solanum torvum) seeds. Food Chemistry In Press, Corrected Proof, Available online 17 January 2007. 151. Shibuya, H. and Kitagawa, I. (1996). Chemical study of Indonesian medicinal plants. Yakugaku Zasshi; Journal of the Pharmaceutical Society of Japan 116: 911-927. 152. Skjelstad, L.A. and Jorkjord, L. (1991). Postoperative pain experience after gingivectomies using different combinations of local anaesthetic agents and periodontal dressings. Journal of Clinical Periodontology 18: 204–209. 153. Smith, F.G. and Van Wyk, B.E. (1998). Asphodelaceae. In: K. Kubitzki and H. Huber, Editors, Flowering Plants: Monocotyledons Liliarinae (except Orchidaceae), Springer, Berlin (1998). pp. 130–140. 154. Somchit, M.N., Reezal, I., Elysha Nur I. and Mutalib, A.R. (2003). In vitro antimicrobial activity of ethanol and water extracts of Cassia alata. Journal of Ethnopharmacology 84: 1-4. 155. Sundarave, G.S., Sarveliya, K.P., Kasture, S.S. and Kasture, S.B. (2002). Antioxygenic activity of Myristica fragrans seeds. Pharmacology Biochemistry and Behavior 71: 239-244. 156. Spricigo, C.B. (1998). Extração de óleo essencial de noz moscada com dióxido de carbono a altas pressões, M.Sc. Thesis, Universidade Federal de Santa Catarina, Brasil, pp. 17. 157. Spricigo, C.B., Pinto, L.T., Bolzan, A. and Novaes, A.F. (1999). Extraction of essential oil and lipids from nutmeg by liquid carbon dioxide. The Journal of Supercritical Fluids 15: 253-259. 158. Sukamarm, S., Suwanapochak, N., Ratanakuluk, P., Aronlerk, N., and Sukamarns, A. (2002). Xanthones from green fruit hulls of Garcinia mangostana. Journal of Natural Products 65: 761–763. 159. Tajudin, Ahmad, S., Latif, A. and Qasmi, I.A. (2003). Aphrodisiac activity of 50% ethanolic extracts of Myristica fragrans (Houtt.) Muller and Syzygium aromaticum (L) Merr. & Perry. (cloves) in male mice: a comparative study. BMC Complementary and Alternative Medicine 3: 6. 160. Truitt, E.B., Callaway, E., Braude, M.C. and Krantz, J.C. (1961). The pharmacology myristicin, a contribution to the psychopharmacology of nutmeg. Journal of Neuropsychiatry 2: 205-210. 161. Verma, A.K., Johnson, J.A., Gould, M.N. and Tanner, M.A. (1988): Inhibition of 7,12-dimethylbenz[a]anthracene- and N-nitrosomethylurea-induced rat mammary cancer by dietary flavan quercetin. Cancer Research 48: 5754-5758. 162. Vinson, J.A., Al Kharrat, H. and Anderson, L. (2005): Effect of Aloe vera preparations on the human bioavailability of vitamin C. Journal of Ethnopharmacology 102: 740-744. 163. Visuthikosol, V., Chanthachai, R., Sukwanarat, Y., Sriaruratana, S. and Boonpucknavig, V. (1995). Effect of Aloe vera gel to healing of burn wound: a clinical and histologic study. Journal of the Medical Association of Thailand 78: 403–409. 164. Wang, L.L., Nasakorn, W. and Fukui, K. (2003). Food and medicinal plants used for childbirth among Yunnanese Chinese in Northern Thailand. Journal of Ethnobiology 23: 209-226. 165. Wangsawang, H., Samuelsen, A.B. and Malterud, K.E. (2004). Antioxidant activity in extracts from coriander. Food Chemistry 88: 293–297. 166. Watt, J.M. and Breyer-Brandwijk, M.G. (1962). In: Medicinal and poisonous plants of Southern and Eastern Africa E and S Livingstone, Edinburgh, pp. 1457. 167. West, D.P. and Zhu, Y.F. (2003). Evaluation of aloe vera gel gloves in the treatment of dry skin associated with occupational exposure. American Journal of Infection Control 31: 40–42. 168. Whitten, T. and Whitten, L. (eds) (1996). Indonesian Heritage: Plants Archipelago Press, Singapore. 169. Wijaya, C., Mogahed, S., Khalilah, S., Mahan, M., Ismail, S., Buckle, M., Narayana, A. K. and Sulaiman, M. (2004). Antimicrobial screening of plants used for traditional medicine in the state of Perak, Peninsular Malaysia. Fitoterapia 75: 68-73. 170. Wichl, M.W. (1994) Herbal drugs and phytopharmaceuticals. Medpharm GmbH Scientific Publishers, Stuttgart. 171. Williams, P., Ongsakul, M., Proudfoot, J., Croft, K. and Bellin, L. (1995). Mangostin inhibits the oxidative modification of human low-density lipoprotein. Free Radical Research 23: 175–184. 172. Worthen, D.R., Ghoshesh, O.A. and Gossage, P.A. (1998). The in vitro anti-tumor activity of some crude and purified components of Mucuna pruriens (Linn.) Merr. Phytotherapy Research 12: 1527–1532. 173. Yadav, S.K. and Kalra, S.B. (1994). Alquonone, an anthraquinone from Cassia alata. Planta Medica 60: 601. 174. Yates, K.M., Rosenberg, L.J., Harris, C.K., Bronstad, D.C., King, G.K., Bichle, G.A., Walker, B., Ford, C.R., Hall, J.E. and Tizard, I.R. (1992). Pilot study of the effect of acemannan in cats infected with feline immunodeficiency virus. Veterinary Immunology and Immunopathology 35: 177–189. 175. Yoshida, M., Sakai, T., Hosokawa, N., Marui, N., Matsumoto, K., Fugioka, A., Nishino, H. and Aoike, A. (1990). The effect of quercetin on cell cycle progression and growth of human gastric cancer cells. FEBS Letters 269: 10-13. 176. Young, D.H., Kozlowski, J., Kozlowski, M., Shell, C.S. and Krausz, N.E. (1992). Antifungal properties of taxol and various analogues. Experientia 48: 882–885. 177. Yu, L., Zhao, M., Yang, B., Zhao Q. and Jiang, Y. (2007). Phenolics from hull of Garcinia mangostana fruit and their antioxidant activities. Food Chemistry In Press, Corrected Proof, Available online 22 January 2007. 178. Yasuf, M., Chowdhury, J.U., Wahab, M.A. and Begum J. (1994). Medicinal plants of Bangladesh. Chittagong Bangladesh Council for Science and Industrial Research (BCSIR). 179. Zelmann, C.A., Doris, E.J., Skipper, B.J., McCabe, M., Dog, T.L. and Rhine, R.L. (2003). Use of herbal medicine by elderly Hispanic and non-Hispanic women. Pharmacotherapy 23: 526–532. 180. Zhang, X. and Ding, X.L. (1995). Studies on anti-oxidative fraction in bamboo leaves and its capacity to scavenge active oxygen radicals. Journal of Bamboo Research 15: 17–24. 181. Zhang, Y., Wu, X., Ren, Y., Fu, J. and Zhang, Y. (2004). Safety evaluation of a triterpenoid-rich extract from bamboo shavings. Food and Chemical Toxicology 42: 1867-1875. 182. Zhuo, Z.X. (1992). The studies on the chemical constituents of bamboo leaves. Research and Development of Natural Product 4: 44–51. 183. Zumsteg, I.S. and Weckerle, C.S. (2007). Bakera, a herbal steam bath for postnatal care in Minahasa (Indonesia): Documentation of the plants used and assessment of the method. Journal of Ethnopharmacology In Press, Corrected Proof, Available online 19 January 2007.
iOC66 – Potential Free Contact Inverter + 6 Digital Inputs 1. GENERAL FEATURES: Control outputs: 6 control outputs; Reading inputs: 6 digital inputs, configurable for key Reading (3 pressing types), reading of security equipment (PIR, Gas, Fire), status reading and reading the meter. Control: MDiBus; Applications: Outputs: Control of solenoid valves, boilers, AVAC, small motors, electric locks, switching of power in general; Inputs: Key and sensor reading, general contact reading and power meter; Installation: DIN Rail Distribution Board. 2. GENERAL SPECIFICATIONS: Mains Voltage: 15VDC; Consumption: 170mA @ 15VDC (With all relays active); Storage Temperature: -10ºC to 60ºC; Operating Temperature: 10ºC to 50ºC; Maximum humidity: 80% non-condensing; Outputs specifications: Rated current: 2A; Rated load: Resistive (cos φ = 1): 0,1A to 230VAC; 2A to 30VDC. Switching capacity: Resistive (cos= 1): 60W to 30VDC. Inputs specifications: - Rated voltage at the inputs: - Digital: 5VDC low voltage; - Maximum permissible resistance of the contacts con- nected to the input : 50Ω. Physical Specifications: Dimensions: 105mm X 90mm X 70mm DIN rail mounting (6 modules); Self-extinguishing plastic box UL-94 V0; Level of Protection: IP20, for indoor use; Directives: - Electromagnetic Compatibility Directive / EMC Directive 2014/30/EU 3. COMPATIBILITY: Compatibility with iThink module: V1.0 or higher. Compatibility with Mordomus software: Mordomus iThink V2017 or superior. 4. SECURITY: Before making any connections, please read these instructions carefully. Never remove the plastic base from DIN rail. Do not touch live parts. Dangerous voltages present within the module. Never crimp or cut cables while they are connected to powered equipment. Manual: iOC66-1827-EN Hardware: V1 Firmware: V1 The modules are not provided with additional protection against short circuit, therefore it is recommended to use power supplies with the correct specifications. Mordomus shall not be liable for any damages resulting from the use of our equipment outside the specifications and/or for a purpose other than that intended. 5. CONNECTIONS: Conductors Cross Section: Circuit Loads: Mono-wire/ Multi-wire 2.5mm² Circuit MDiBus + Power Supply: Cable CAT 6 UTP; The use of a low cross section cable causes voltage drops that could lead the module into protection mode caused insufficient supply voltage. Never connect feeders with an output greater than 4A. The power supply must never be connected to the modules at the ends of the bus. Correct connection is made by connecting the feeder to a central module in order to distribute the power to the remaining modules. For larger installations add more feeders as many as required, always respecting a uniform distribution. Image 2 iOC66 – Potential Free Contact Inverter + 6 Digital Inputs Connections Table: \| Number \| Function \| Number \| Function \| \|---\|---\|---\|---\| \| 1 \| N.C. Relay 1 \| 14 \| N.O. Relay 5 \| \| 2 \| N.O. Relay 1 \| 15 \| COM Relay 5 \| \| 3 \| COM Relay 1 \| 16 \| N.C. Relay 6 \| \| 4 \| N.C. Relay 2 \| 17 \| N.O. Relay 6 \| \| 5 \| N.O. Relay 2 \| 18 \| COM Relay 6 \| \| 6 \| COM Relay 2 \| 19 \| Digital IN Ch1 \| \| 7 \| N.C. Relay 3 \| 20 \| Digital IN Ch2 \| \| 8 \| N.O. Relay 3 \| 21 \| GND \| \| 9 \| COM Relay 3 \| 22 \| Digital IN Ch3 \| \| 10 \| N.C. Relay 4 \| 23 \| Digital IN Ch4 \| \| 11 \| N.O. Relay 4 \| 24 \| Digital IN Ch5 \| \| 12 \| COM Relay 4 \| 25 \| Digital IN Ch6/Meter \| MDiBus Connection: To connect MDiBus must be used a CAT 6 UTP cable with RJ45 connectors according to EIA568A or EIA568B standards. Inputs Connections: Keys must be connected in parallel, Sensors with normally closed contact (N.C.) must be connected in series, Sensors with normally open contact (N.O.) must be connected in parallel, Image 3. The counters can only be connected to the terminals (25). 15VDC Power Supply Connection: It is recommended to use iPSE154 or iPSE156 power supplies. The Module can use power from other nearby modules through the MDiBus cable. 6. ADDRESSING AND CONFIGURATION: To enroll iOC66 module proceed as following, with power connected (15VDC): 1. In the Mordomus software go to Configurations → Modules/Address → Register Modules, press button "Register New". 2. In the module iOC66, press addressing button, at least for 1sec. The green LED will blink slowly until the addressing is complete. Note that if no address is assigned, after three minutes the learning mode will time out and the module will return to normal operating mode. 3. In order to apply the new address in the software, the module must assume the new address confirmed through the green LED, which should stop blinking. Manual: iOC66-1827-EN 7. FUNCTIONING: LEDs code: Green LED ON: Module powered; Red LED ON: Module have no address; Green and Red LEDs blinking simultaneously: Module with insufficient power supply; Green LED blinking continuously: Module awaiting address definition; Red LED blinking: Module sending/receiving data. Power interruption: After a power interruption, each output will be reset to the state it was in at the time of interruption. Reset: To perform a reset to the module iOC66, cut power supply 15VDC for 5 seconds. The resetting of the module implies that the module is switched off and when it is switched on it resets all its previous state. Note: The green and red LEDs light are visible through the plastic enclosure grid. * To check for a more current version of the manual please go to www.mordomus.com Hardware: V1 Firmware: V1 1. CARATERÍSTICAS GERAIS: Pontos de comando: 6 pontos de comando; Pontos de leitura: 6 entradas digitais, configuráveis para leitura de Teclas (3 tipos de toques), leitura de equipamentos de segurança (PIR, Gás, Incêndio), leitura de status e leitura de contadores. Comando: Via MDiBus; Aplicações: Saídas: Controlo de electroválvulas, caldeiras de aquecimento, ar condicionado, pequenos motores, portões elétricos, comutação de cargas em geral; Entradas: Leitura de Teclas, sensores, leitura de contactos em geral e contadores. Instalação: Quadro de comando em calha DIN. 2. ESPECIFICAÇÕES GERAIS: Tensão Alimentação: 15VDC; Consumo: 170mA @ 15VDC (Com todos os Relés ligados); Temperatura Armazenamento: -10ºC a 60ºC; Temperatura Funcionamento: 10ºC a 50ºC; Humidade máxima: 80%, sem condensação; Especificações das Saídas: Corrente nominal: 2A; Carga nominal: Resistiva (cos φ = 1): 0,1A a 230VAC; 2A a 30VDC. Capacidade de comutação: Resistiva (cos= 1): 60W a 30VDC. Especificações das Entradas: - Tensão nominal nas entradas: - Digitais: 5VDC Baixa tensão; - Resistência máxima admissível dos contactos ligados à entrada: 50Ω. Especificações Físicas: Dimensão: 105mm X 90mm X 70mm, fixação em calha DIN (6 módulos); Caixa em plástico auto extinguível UL-94 V0; Grau de Proteção: IP20, para uso no interior. Diretivas: - Diretiva da Compatibilidade Eletromagnética / EMC Directive 2014/30/EU 3. COMPATIBILIDADE: Compatibilidade com o módulo iThink: V1.0 ou superior. Compatibilidade com Software Mordomus: Mordomus iThink V2017 ou superior. 4. SEGURANÇA: Antes de efetuar quaisquer ligações, leia atentamente estas instruções. Nunca abrir a caixa de suporte de calha DIN. Não tocar em componentes sob tensão (tensões de rede presentes no interior do módulo). Nunca cravar fichas ou cortar os cabos enquanto estes estiverem conectados a equipamentos alimentados. Manual: iOC66-1827-PT Hardware: V1 Firmware: V1 Os módulos não são providos de proteção adicional contra curto circuito, recomenda-se por isso o uso de fontes de alimentação com as especificações corretas. A Mordomus não se responsabiliza por quaisquer danos resultantes do uso dos nossos equipamentos fora das especificações e/ou para uma finalidade diferente da prevista. Para aceder ao interior do equipamento este primeiro deve ser desconectado da rede de alimentação. 5. LIGAÇÕES: Secção e especificação dos condutores: Circuito de Cargas: Monofilar/ Multifilar 2.5mm² Circuito de MDiBus + Alimentação: Cabo CAT 6 UTP; O uso de cabo de baixa secção provoca quedas de tensão que poderão colocar o módulo em modo de proteção com tensão de alimentação insuficiente. Nunca conectar fontes de alimentação com saída superior a 4A. A fonte de alimentação nunca deverá ser conectado nos módulos nos extremos do bus. Imagem 1 A ligação correta é efetuada conectando a fonte de alimentação num módulo central de forma a distribuir a alimentação para os restantes módulos. Para instalações maiores adicionar mais fontes de alimentação quantas necessário, respeitando sempre uma distribuição uniforme. Imagem 2 iOC66 – Inversor de contactos livres de potencial + 6 Entradas Digitais Tabela de Ligações: \| Número \| Função \| Número \| Função \| \|---\|---\|---\|---\| \| 1 \| N.C. Relay 1 \| 14 \| N.O. Relay 5 \| \| 2 \| N.O. Relay 1 \| 15 \| COM Relay 5 \| \| 3 \| COM Relay 1 \| 16 \| N.C. Relay 6 \| \| 4 \| N.C. Relay 2 \| 17 \| N.O. Relay 6 \| \| 5 \| N.O. Relay 2 \| 18 \| COM Relay 6 \| \| 6 \| COM Relay 2 \| 19 \| Digital IN Ch1 \| \| 7 \| N.C. Relay 3 \| 20 \| Digital IN Ch2 \| \| 8 \| N.O. Relay 3 \| 21 \| GND \| \| 9 \| COM Relay 3 \| 22 \| Digital IN Ch3 \| \| 10 \| N.C. Relay 4 \| 23 \| Digital IN Ch4 \| \| 11 \| N.O. Relay 4 \| 24 \| Digital IN Ch5 \| \| 12 \| COM Relay 4 \| 25 \| Digital IN Ch6/Contador \| Ligação do MDiBus: Para a ligação do MDiBus deve ser utilizado cabo CAT 6 UTP com conectores RJ45 segundo as normas EIA568A ou EIA568B. Ligação das Entradas: Teclas devem ser ligadas em paralelo, Sensores com contacto normalmente fechado (N.C.) devem ser ligados em série, Sensores com contacto normalmente aberto (N.O.) devem ser ligados em paralelo, Imagem 3. Os contadores só podem ser ligados nos terminais (25). Ligação da alimentação 15VDC: Recomenda-se o uso das fontes de alimentação iPSE154 ou iPSE156. O Modulo poderá usar a alimentação proveniente de outros módulos próximos através do cabo MdiBus. 6. ENDEREÇAMENTO E CONFIGURAÇÃO: Para endereçar o módulo iOC66 proceda da seguinte forma, com a alimentação conectada (15VDC): 1. No software Mordomus ir a Configurações → Módulos/Endereços → Registo de Módulos, carregar no botão "Registar Novo". 2. No módulo iOC66, pressionar o botão de endereçamento, por pelo menos 1seg (Addressing). O LED verde irá ficar intermitente lentamente até que o endereçamento termine. Se o endereçamento não se concretizar após três minutos, o módulo retorna ao modo normal. 3. Ao fim de aplicar o novo endereço no software, o módulo deverá assumir o novo endereço confirmado através do LED verde que deve parar de estar intermitente. Manual: iOC66-1827-PT 7. FUNCIONAMENTO: Código de LEDs: LED verde aceso: Módulo alimentado; LED vermelho aceso: Módulo não têm endereço; LEDs verde e vermelho intermitente simultaneamente: Módulo com tensão de alimentação insuficiente; LED verde intermitente continuamente: Módulo a aguardar endereço; LED vermelho intermitente: Módulo a enviar/receber dados. Interrupção da alimentação: Após uma interrupção na alimentação, cada saída será reposta no estado em que se encontrava aquando da interrupção. Reset: Para efetuar um reset ao módulo iOC66 interrompa a alimentação 15VDC durante 5 segundos. O reinicio do modulo implica que este se desligue e ao voltar a ligar reponha todo o seu estado anterior. Nota: A luz dos LEDs, verde e vermelho, é visível através das ranhuras da caixa do módulo. Hardware: V1 Firmware: V1
The DeLone and McLean Model of Information Systems Success: A Ten-Year Update WILLIAM H. DeLONE AND EPHRAIM R. McLEAN William DeLone is an Associate Professor of Information Systems and Chair of the Information Technology Department at the Kogod School of Business at American University in Washington, DC. Professor DeLone’s primary areas of research include the assessment of information systems effectiveness and value, the implementation and use of information technology in small and medium-sized businesses, and the global management of information technology. He has been published in various journals including Information Systems Research, MIS Quarterly, DATABASE, Journal of Global Information Management, and Journal of Information Technology Management. Professor DeLone earned a B.S. in mathematics from Villanova University, an M.S. in industrial administration from Carnegie Mellon University, and a Ph.D. in Computers and Information Systems from the University of California, Los Angeles. Ephraim R. McLean is a Regents’ Professor and George E. Smith Eminent Scholar’s Chair in Information Systems in the Robinson College of Business at Georgia State University, Atlanta. Prior to coming to Georgia State University in 1987, he was on the faculty of the University of California, Los Angeles (UCLA) for 18 years. Dr. McLean’s research focuses on the management of information services, the value of IS investments, and career issues for IS professionals. He has published over 125 papers in such journals as Information Systems Research, Journal of Management Information Systems, MIS Quarterly, Management Science, Communications of the ACM, DATABASE, Harvard Business Review, Sloan Management Review, and others; and his coauthored book, Information Technology for Management, now in its third edition, is currently the second largest selling IS textbook in the world. Dr. McLean earned his B.M.E. in mechanical engineering from Cornell University and his S.M. and Ph.D. degrees from the Sloan School of Management at the Massachusetts Institute of Technology (MIT). He is also the Executive Director of the Association for Information Systems (AIS) and in 1999 was made a Fellow of the AIS. ABSTRACT: Ten years ago, we presented the DeLone and McLean Information Systems (IS) Success Model as a framework and model for measuring the complex-dependent variable in IS research. In this paper, we discuss many of the important IS success research contributions of the last decade, focusing especially on research efforts that apply, validate, challenge, and propose enhancements to our original model. Based on our evaluation of those contributions, we propose minor refinements to the model and propose an updated DeLone and McLean IS Success Model. We discuss the utility of the updated model for measuring e-commerce system success. Finally, we make a series of recommendations regarding current and future measurement of IS success. KEY WORDS AND PHRASES: evaluation of information systems, impact of information technology, information quality, information systems success, service quality, systems quality, use of information systems, user satisfaction. THE MEASUREMENT OF INFORMATION SYSTEMS (IS) success or effectiveness is critical to our understanding of the value and efficacy of IS management actions and IS investments. In 1992, we published a paper [8] in which we attempted to bring some awareness and structure to the “dependent variable”—IS success—in IS research. We proposed a taxonomy and an interactive model (hereafter referred to as the “D&M IS Success Model”) as frameworks for conceptualizing and operationalizing IS success. Since then, nearly 300 articles in refereed journals have referred to, and made use of, this IS Success Model. The wide popularity of the model is strong evidence of the need for a comprehensive framework in order to integrate IS research findings. The D&M IS Success Model, though published in 1992, was based on theoretical and empirical IS research conducted by a number of researchers in the 1970s and 1980s. The role of IS has changed and progressed during the last decade. Similarly, academic inquiry into the measurement of IS effectiveness has progressed over the same period. We reviewed more than 100 articles, including all the articles in Information Systems Research, Journal of Management Information Systems, and MIS Quarterly since 1993 in order to inform this review of IS success measurement. The purpose of this paper, therefore, is to update the D&M IS Success Model and evaluate its usefulness in light of the dramatic changes in IS practice, especially the advent and explosive growth of e-commerce. The D&M IS Success Model THE PRIMARY PURPOSE OF THE ORIGINAL DeLone and McLean paper [8] was to synthesize previous research involving IS success into a more coherent body of knowledge and to provide guidance to future researchers. Based on the communications research of Shannon and Weaver [43] and the information “influence” theory of Mason [31], as well as empirical management information systems (MIS) research studies from 1981–87, a comprehensive, multidimensional model of IS success was postulated. Shannon and Weaver defined the technical level of communications as the accuracy and efficiency of the communication system that produces information. The semantic level is the success of the information in conveying the intended meaning. The effectiveness level is the effect of the information on the receiver. In the D&M IS Success Model, “systems quality” measures technical success; “information quality” measures semantic success; and “use, user satisfaction, individual impacts,” and “organizational impacts” measure effectiveness success. In spite of the passage of time since the Shannon and Weaver framework in 1949 and Mason’s extensions in 1978, both appear as valid today as when we adopted them a decade ago. Based on both process and causal considerations, these six dimensions of success are proposed to be interrelated rather than independent. This has important implications for the measurement, analysis, and reporting of IS success in empirical studies. A temporal, process model suggests that an IS is first created, containing various features, which can be characterized as exhibiting various degrees of system and information quality. Next, users and managers experience these features by using the system and are either satisfied or dissatisfied with the system or its information products. The use of the system and its information products then impacts or influences the individual user in the conduct of his or her work, and these individual impacts collectively result in organizational impacts. The resultant D&M IS Success Model is reproduced in Figure 1 [8, p. 87]. In contrast to a process model, a causal or variance model studies the covariance of the success dimensions to determine if there exists a causal relationship among them. For example, higher system quality is expected to lead to higher user satisfaction and use, leading to positive impacts on individual productivity, resulting in organizational productivity improvements. The purpose of combining the success taxonomy with the success model was to aid in the understanding of the possible causal interrelationships among the dimensions of success and to provide a more parsimonious exposition of the relationships. Unhappily, for some critics this combination has proved troublesome, leading them to suggest a number of reformulations. These will be discussed later in this paper. The primary conclusions of the original paper were: 1. The multidimensional and interdependent nature of IS success requires careful attention to the definition and measurement of each aspect of this dependent variable. It is important to measure the possible interactions among the success dimensions in order to isolate the effect of various independent variables with one or more of these dependent success dimensions. 2. Selection of success dimensions and measures should be contingent on the objectives and context of the empirical investigation; but, where possible, tested and proven measures should be used. 3. Despite the multidimensional and contingent nature of IS success, an attempt should be made to reduce significantly the number of different measures used to measure IS success so that research results can be compared and findings validated. 4. More field study research should investigate and incorporate organizational impact measures. 5. Finally, “[t]his success model clearly needs further development and validation before it could serve as a basis for the selection of appropriate IS measures” [8, p. 88]. Model Adoption RESEARCH ADOPTION OF THE D&M IS SUCCESS MODEL has exceeded our expectations. A citation search in the summer of 2002 yielded 285 refereed papers in journals and proceedings that have referenced the D&M Model during the period 1993 to mid-2002. Many of these articles positioned the measurement or the development of their dependent variable(s) within the context of the D&M IS Success framework. By using the model as a common framework for reporting and comparing research work involving IS success or effectiveness, we believe one of the primary purposes of the original article has been achieved. Although many of the cited articles tended to justify their empirical measurement of IS success by citing the D&M IS Success Model, some of them failed to heed our cautions. Some researchers have used the model to support their chosen success variable rather than to inform the development of a more comprehensive success construct. They overlooked the main conclusion of the article—that IS success is a multidimensional and interdependent construct—and that it is therefore necessary to study the interrelationships among, or to control for, those dimensions. “Researchers should systematically combine individual measures from the IS success categories to create a comprehensive measurement instrument” [8, pp. 87–88]. Although these authors did not choose to measure (or control for) the various dimensions of IS success, a number of other researchers have used multidimensional measures of IS success in their empirical studies and have analyzed the interrelationships among them. Some of these studies are summarized in the next section. Model Validation UNLIKE A PROCESS MODEL, which merely states that B follows A, a causal model postulates that A causes B; that is, increasing A will cause B to increase (or decrease). In the 1992 article we proposed such interrelationships among the dimensions in our model; but we did not test them empirically. Since 1992, a number of studies have undertaken empirical investigations of the multidimensional relationships among the measures of IS success. Empirical testing and validation of the D&M IS Success Model was the primary purpose of two research studies [38, 41]. Seddon and Kiew [41] surveyed 104 users of a recently implemented, university accounting system and found significant relationships between “system quality” with “user satisfaction” and “individual impact,” between “information quality” with “user satisfaction” and “individual impact,” and between “user satisfaction” and “individual impact.” Rai et al. [38] performed a goodness-of-fit test on the entire D&M IS Success Model based on survey responses from 274 users of a university student IS. The study found that some goodness-of-fit indicators were significant but others were not. However, all of the path coefficients among success dimensions of the D&M IS Success Model were found to be significant. Other empirical studies explicitly tested the associations among the measures identified in the D&M IS Success Model [10, 12, 14, 16, 22, 50]. Yet other empirical studies have implicitly tested the model by investigating multiple success dimensions and their interrelationships [11, 17, 48, 52, 54, 57, 58, 60]. Figure 2 displays the D&M IS Success Model and the relationships confirmed (or not confirmed) in the 16 empirical studies cited above. These studies were selected based on the fact that they used multidimensional success constructs and they measured the association among the success constructs. In the following paragraphs, these empirical results are summarized by the success links that were tested. Links with the strongest empirical support are discussed first. System Use—Individual Impacts Seven of the 16 studies in Figure 2 [12, 14, 16, 48, 52, 54, 60] tested the association between “system use” and “individual impacts” and the association was found to be significant in each of the studies. System use was typically voluntary and was measured as frequency of use, time of use, number of accesses, usage pattern, and dependency. Individual impacts were measured in terms of job performance and decision-making performance. System Quality—Individual Impacts All five studies [10, 12, 41, 50, 57] that tested the direct association between “system quality” and “individual impacts” found those associations to be statistically significant. System quality was measured in terms of ease-of-use, functionality, reliability, flexibility, data quality, portability, integration, and importance. Individual impacts were measured as quality of work environment and job performance. Figure 2. Dimension Association Tests. (1) Seddon and Kiew [41]; (2) Goodhue and Thompson [12]; (3) Taylor and Todd [47]; (4) Jurison [22]; (5) Etezadi-Amoli and Farhoondi [10]; (6) Teng and Callahan [48]; (7) Igarbaria and Tari [16]; (8) Igarbaria et al. [17]; (9) Guimaraes and Igarbaria [14]; (10) Teo and Wong [50]; (11) Gelderman [11]; (12) Yoon et al. [58]; (13) Yuthas and Young [60]; (14) Torzkazeh and Doll [52]; (15) Weill and Vitale [54]; (16) Wixom and Watson [57]. Information Quality—Individual Impacts The four studies [10, 41, 50, 57] that tested the relationship between “information quality” and “individual impacts” found the association to be significant. Information quality was measured in terms of accuracy, timeliness, completeness, relevance, and consistency. Individual impact was measured in terms decision-making performance, job effectiveness, and quality of work. Other Links With one exception, all the other links or associations in the D&M IS Success Model were empirically validated. The one empirical study that found the associations not significant was a survey of Dutch managers [11], where the association between system use and organizational revenues and profitability was not statistically significant. In conclusion, 36 of the 38 success factor associations that were empirically tested in the 16 studies summarized in Figure 2 were found to be significant. Taken as a whole, these empirical studies give strong support for the proposed associations among the IS success dimensions and help to confirm the causal structure in the model. Model Issues In addition to the many papers that have tested and validated the D&M IS Success Model, several articles have been published that challenge, critique, or extend the model itself. On balance, these articles have contributed to a better understanding of success and its dimensions. These articles and the issues they raise to the D&M IS Success Model are summarized below. Process Versus Causal Models The D&M IS success taxonomy and its six success categories are based on a process model of IS [43]. In addition, we argue that the six dimensions are interrelated, resulting in a success model that indicates that causality flows in the same direction as the information process. However, citing an earlier paper by Newman and Robey [35], Seddon argues that “the boxes and arrows in variance- and process-model diagrams represent quite different concepts and cannot be combined meaningfully in one model. . . . Unfortunately, combining variance and process models is exactly what [DeLone and McLean have] attempted to do” [40]. Seddon further argues that DeLone and McLean have “attempted to combine both process and causal explanations of IS success in their model. After working with this model for some years, it has become apparent that the inclusion of both variance and process interpretations in their model leads to so many potentially confusing meanings” [40, p. 240]. Seddon goes on to propose a respecified variance model of IS success. We agree with Seddon’s premise that the combination of process and variance interpretations of IS success in one model can be confusing. However, we believe that Seddon’s reformulation of the D&M Model into two partial variance models [40, p. 245] unduly complicates the success model, defeating the intent of the original model. The creation of the D&M IS Success Model was driven by a process understanding of IS and their impacts. This process model has just three components: the creation of a system, the use of the system, and the consequences of this system use. Each of these steps is a necessary, but not sufficient, condition for the resultant outcome(s). For instance, without system use, there can be no consequences or benefits. However, with system use, even extensive use, which is inappropriate or ill-informed, there may also be no benefits. Thus, to understand fully the dimensions of IS success, a variance model is also needed. Thus, as Seddon himself pointed out [40, 42], the application of our model to empirical research also requires a contextual variance specification of the model. Here too there are three components: the first is production, the second is use, and the third is net benefits. The only argument is whether these two necessary dimensions can be combined into one model. Along with Seddon, we believe that they can; only our formulations are different. System Use as a Success Measure Seddon [40] further argues for the removal of “system use” as a success variable in the causal success model, claiming that use is a behavior, appropriate for inclusion in a process model but not in a causal model. He argues that use must precede impacts and benefits, but it does not cause them. We disagree. We believe that system usage is an appropriate measure of success in most cases. The problem to date has been a too simplistic definition of this complex variable. Simply saying that more use will yield more benefits, without considering the nature of this use, is clearly insufficient. Researchers must also consider the nature, extent, quality, and appropriateness of the system use. The nature of system use could be addressed by determining whether the full functionality of a system is being used for the intended purposes. Young and Benamati [59], for example, suggest that full functional use of an e-commerce system should include informational use, transactional use, and customer service use. With regard to the extent of use, Lassila and Brancheau [27] identify various states of systems utilization based on the use or nonuse of basic and advanced system capabilities. Simply measuring the amount of time a system is used does not properly capture the relationship between usage and the realization of expected results. On the other hand, it can be argued that declining usage may be an important indication that the anticipated benefits are not being realized. The rejection of system use as a success variable when system usage is mandatory is also flawed for the reasons cited above. Even when use is required, variability in the quality and intensity of this use is likely to have a significant impact on the realization of the system benefits. Furthermore, no system use is totally mandatory. At some level of the organization, an executive or management committee has chosen to implement a system and require employees to use it. Thus, whereas usage of a system may be mandatory at one level, the continued adoption and use of the system itself may be wholly voluntary, based upon management judgment, at a higher level. Management always has the option of discontinuing a system that is not providing the desired results and benefits. System usage continues to be used as a dependent variable in a number of empirical studies and continues to be developed and tested by IS researchers [11, 12, 14, 16, 17, 38, 47, 48, 52, 54, 60]. System use has taken on new importance in e-commerce success measurements where customer use is voluntary and essential to desired outcomes [7, 29, 36]. “While most studies that follow D&M replace the Use box with Usefulness . . . , we prefer to maintain Use as in the original work. In e-commerce systems Use is largely voluntary” [33, p. 6]. We agree with these IS researchers and believe that use, especially informed and effective use, will continue to be an important indication of IS success for many systems. Role of Context Several researchers have commented on the difficulty of applying the D&M IS Success Model in order to define and operationalize IS success in specific research contexts. This was not unexpected: “This success model clearly needs further development and validation before it could serve as a basis for the selection of appropriate IS measures” [8, p. 88]. Jiang and Klein [20] found that users prefer different success measures, depending on the type of system being evaluated. Whyte et al. found that “there are important differences deriving from organizational, user, and systems variations which can modify the view as to which attributes (success measures) are important” [55, p. 65]. Seddon et al. [42] make an important contribution by proposing a two-dimensional matrix for classifying IS effectiveness measures based on the type of system studied and on the stakeholder in whose interest the IS is being evaluated. In this regard, we completely agree. As stated in the 1992 article, “no single variable is intrinsically better than another, so the choice of success variables is often a function of the objective of the study, the organizational context . . . etc.” [8, p. 80, emphasis added]. Independent Versus Dependent Variables Many of the suggested improvements to the D&M IS Success Model flow from a confusion between what is an independent variable and what is part of the dependent variable, IS success. “User involvement” and “top management support” are but two examples of suggested additions to the D&M Model; yet these are clearly variables that may cause success rather than being a part of success. “Investing in ERP” may (or may not) lead to improved “information quality” (an aspect of IS success), but the former is an independent variable whereas the latter is part of the dependent variable. It is essential that IS researchers distinguish between the management control variables and the desired results in terms of quality, use satisfaction, and impacts. Model Extensions Service Quality The emergence of end user computing in the mid-1980s placed IS organizations in the dual role of information provider (producing an information product) and service provider (providing support for end user developers). Pitt et al. observed that “commonly used measures of IS effectiveness focus on the products rather than the services of the IS function. Thus, there is a danger that IS researchers will mismeasure IS effectiveness if they do not include in their assessment package a measure of IS service quality” [37, p. 173]. Other researchers have agreed with this, citing the need for a service quality measure to be a part of IS success [25, 28, 56]. Researchers who have argued that service quality be added to the success model have applied and tested the 22-item SERVQUAL measurement instrument from marketing [25, 37] to an IS context. This instrument uses the dimensions of tangibles, reliability, responsiveness, assurance, and empathy to measure service quality. Some sample SERVQUAL instrument items include: - “IS has up-to-date hardware and software” (tangible); - “IS is dependable” (reliability); - “IS employees give prompt service to users” (responsiveness); - “IS employees have the knowledge to do their job well” (assurance); and - “IS has users’ best interests at heart” (empathy). Van Dyke et al. [53] challenged this SERVQUAL metric, identifying “problems with the reliability, discriminant validity, convergent validity, and predictive validity of the measure. . . . [F]urther work is needed in the development of measures for assessing the quality of information services.” Recently, Jiang et al.’s [21] empirical study among 168 users and 168 IS professionals concluded that the SERVQUAL measure is a valuable analytical tool for IS managers. The study found high convergent validity for the reliability, responsiveness, assurance, and empathy of the SERVQUAL scales and found acceptable levels of reliability and discriminant validity among the reliability, responsiveness, and empathy scales. Whereas we agree that the SERVQUAL metric needs continued development and validation, we nevertheless believe that “service quality,” properly measured, deserves to be added to “system quality” and “information quality” as components of IS success. Although a claim could be made that “service quality” is merely a subset of the model’s “system quality,” the changes in the role of IS over the last decade argue for a separate variable—the “service quality” dimension. Of course, each of these quality dimensions will have different weights depending upon the level of analysis. To measure the success of a single system, “information quality” or “system quality” may be the most important quality component. For measuring the overall success of the IS department, as opposed to individual systems, “service quality” may become the most important variable. Once again, context should dictate the appropriate specification and application of the D&M IS Success Model. Net Benefits As the “impacts” of IS have evolved beyond the immediate user, researchers have suggested additional IS impact measures, such as work group impacts [18, 34], inter-organizational and industry impacts [5, 6], consumer impacts [3, 15], and societal impacts [40]. Clearly, there is a continuum of ever-increasing entities, from individuals to national economic accounts, which could be affected by IS activity. The choice of where the impacts should be measured will depend on the system or systems being evaluated and their purposes. Rather than complicate the model with more success measures, we prefer to move in the opposite direction and group all the “impact” measures into a single impact or benefit category called “net benefits.” Although, for some studies, such finer granularity may be appropriate, we resisted such further refinements for the sake of parsimony. This is discussed further in the Analysis and Recommendations section. Measurement Enhancements Tables 1 through 6 in the 1992 article [8, pp. 65–83] listed the numerous success measures within each success category that had been used in previous empirical studies. We called for “a significant reduction in the number of dependent variable measures so that research results can be compared” [8, p. 80]. Since then, several studies have developed and tested survey instruments, which measure one or more of these six success constructs. Based on a comprehensive literature review, Mirani and Lederer [32] developed a 33-item instrument to measure organizational benefits derived from IS projects. Their measurement framework consisted of three categories of organizational benefits: strategic, informational, and transactional. The proposed instrument was empirically tested in a survey of 200 IS managers and systems analysts. The results showed strong evidence of discriminant validity. Further analysis identified three subdimensions for each of the benefit categories. Strategic benefits were further subdivided into competitive advantage, alignment, and customer-relations benefits. Informational benefits included information access, information quality, and information flexibility subdimensions; and finally, transactional benefits included communication efficiency, systems development efficiency, and business efficiency subdimensions. We believe that validated instruments, such as this, that measure IS benefits are an important contribution to IS success measurement. In a conceptual paper, Martinsons et al. [30] suggest an adaptation of the Kaplan and Norton “Balanced Scorecard” (BSC) [23] approach for the measurement of organizational performance. The BSC consists of four performance perspectives: the financial perspective, the customer perspective, the internal business process perspective, and the learning and growth perspective. Applied to an IS context, the authors propose a balanced IS scorecard to include a business-value measurement dimension, a user-orientation dimension, an internal-process dimension, and a future-readiness dimension. The authors then suggest specific measures related to each IS BSC dimension. For example, cost control, revenue generation, strategic alignment, and return on investment are among the measures suggested for the business-value dimension. Based on a literature review, Torkzadeh and Doll [52] developed a four-factor, 12-item instrument for measuring the individual impact of IS. A survey of 409 end users from 18 different organizations was used to test the measurement instrument. The overall reliability of the 12-item scale was 0.92. The empirical evidence also supports the convergent and discriminant validity of the instrument. The resulting individual impact dimensions are: - Task productivity—the extent to which an application improves the user’s output per unit of time; - Task innovation—the extent to which an application helps users create and try out new ideas in their work; - Customer satisfaction—the extent to which an application helps the user create value for the firm’s internal or external customers; and - Management control—the extent to which the application helps to regulate work processes and performance. Using a 24-item impact measurement instrument, Jiang and Klein [20] surveyed 113 managers regarding systems impacts across three different system types: transaction processing systems (TPS), information reporting systems (IRS), and decision support systems (DSS). Their study found that users value decision quality impacts in DSS, but otherwise, value systems performance impacts for TPS and IRS. These findings suggest that different impact measures are appropriate for different types of systems. There continues to be much use—and discussion—of the User Information Satisfaction (UIS) instrument [2, 19]. Saarinen [39] has developed an expanded user satisfaction instrument that adds development process and IS impact dimensions to the use and product quality dimensions of the traditional UIS instrument [2, 19]. His four-factor, 52-item user satisfaction instrument was developed and tested based on 48 completed IS development projects. Reliability and validity tests found the four satisfaction constructs had acceptable reliability and satisfactory validity. The resulting instrument may serve as a more comprehensive perceptual surrogate for IS success. Li [28] also proposed an extended information satisfaction instrument but did not test the instrument. Other authors have identified problems with UIS [51] and have proposed an alternate satisfaction measure [44]. In spite of these criticisms, UIS continues to be the most commonly used and developed success measure; but, when used alone, it cannot fully measure IS success. As indicated earlier, systems use continues to be a popular success measure [17, 26, 47, 48]. However, Straub et al. [46] studied 458 users of a voice mail system and found that self-reported systems usage and computer-recorded usage were not correlated. Their findings suggest that self-reported system usage and computer-recorded usage should both be measured in empirical studies because the two do not necessarily correlate with one another. Based on a literature review, Doll and Torkzadeh [9] developed a multidimensional measure of systems usage based on the nature and purpose of a system. A 30-item system usage instrument was tested using 409 computer users from 18 organizations. The 30 items measure three underlying systems usage constructs: use for decision support, use for work integration, and use for customer service. The empirical results provided evidence of the instrument’s reliability, validity, and general applicability. Researchers should consider adopting and applying this more comprehensive systems usage instrument. Agarwal and Prasad [1] studied both initial system usage and intentions of future use and found that different factors affected initial use versus future use of the World Wide Web. Similarly, Karahanna et al. [24] found different factors were associated with intention to use windows between potential adopters and continuing users. These two empirical studies demonstrate that early use and continued use can differ. System use is clearly a key variable in understanding IS success; but, too frequently, simple usage variables are used to measure this complex construct. More research such as cited above is needed to refine the multidimensionality of systems usage. Information quality has proven to be strongly associated with system use and net benefits in recent empirical studies [38, 54, 57] and especially in the context of e-commerce systems [7, 29, 33, 36, 49]. According to Molla and Licker, “[A]lthough information has long been considered as an important asset to modern business, e-commerce has elevated content, i.e. information . . . to higher levels of significance” [33, p. 7]. Information quality measures that have been used in recent e-commerce studies [7, 33, 36] include accuracy, relevance, understandability, completeness, currency, dynamism, personalization, and variety. Researchers are strongly encouraged to include information quality measures as a critical dimension of their success measurement construct. Other Success Frameworks NOT ALL OF THE RESEARCHERS HAVE ATTEMPTED to critique or modify the D&M IS Success Model. Some have developed and proposed alternate frameworks for measuring IS effectiveness. Grover et al. used an alternative, theoretically based perspective (theory of organizational effectiveness) “to build a theoretically-based construct space for IS effectiveness which complements and extends the [DeLone & McLean] IS Success Model” [13, p. 178]. Based on unit-of-analysis and evaluation-type context dimensions, the authors created six IS effectiveness categories. The six effectiveness classes are infusion measures (i.e., “organizational impacts” in the D&M IS Success Model), market measures (not covered in the D&M IS Success Model), economic measures (i.e., “organizational impacts”), usage measures (i.e., “system use”), perceptual measures (i.e., “user satisfaction”), and productivity measures (i.e., “individual impact”). Their framework considers “system quality” and “information quality” to be antecedent effectiveness constructs, whereas the D&M IS Success Model considers them to be important dimensions of success itself. In summary, the Grover et al. [13] IS effectiveness framework serves to validate the D&M IS Success Model. from a theoretical perspective and suggests an area for extension, namely, market impacts. We include market or industry impacts in our updated model described later in this paper. Smithson and Hirschheim [45] proposed a conceptual framework for IS evaluation and demonstrated its usefulness in practice by applying the framework to the evaluation of an outsourcing situation. Their framework presents various theoretical bases for IS evaluation organized into three “zones” of evaluation: efficiency, effectiveness, and understanding. Appropriate constructs or metrics could be drawn from the literature stream associated with each conceptual base; for example, software metrics, organizational behavior, sociology, cognitive psychology, and so on. This framework includes evaluation areas that overlap the D&M success dimensions, including hardware and software metrics (“system quality”), system usage, user satisfaction, cost-benefit analysis, and so on, but also suggests many other theoretical sources of IS evaluation measures. The authors provide a framework that is a source for identifying and developing IS evaluation measures rather than a single framework of success dimensions and their interrelationships (i.e., the D&M IS Success Model). Their framework does not specify actual success constructs and related measures. This makes the framework difficult to apply in practice. However, it does offer the researcher an alternative theoretical framework for developing IS evaluation schemes. Analysis and Recommendations As discussed earlier, it now seems appropriate to add a third dimension, “service quality,” to the two original system characteristics, “systems quality” and “information quality.” Conversely, as discussed earlier, it appears more parsimonious to combine “individual” and “organizational impacts” into a single variable, “net benefits.” This new variable, “net benefits,” immediately raises three issues that must be taken into account: what qualifies as a “benefit”? for whom? and at what level of analysis? In the original formulation of the D&M Model, the term “impact” was used. Seddon [40] used “consequences” and “net benefits” in his characterization of the outcomes. We have come to prefer the term “net benefits” ourselves because the original term “impacts” may be positive or negative, thus leading to a possible confusion as to whether the results are good or bad. Also, the inclusion of “net” in “net benefits” is important because no outcome is wholly positive, without any negative consequences. Thus, “net benefits” is probably the most accurate descriptor of the final success variable. The second issue of concern is: benefits for whom—the designer, the sponsor, the user, or others? Different actors, players, or stakeholders may have different opinions as to what constitutes a benefit to them [42]. Thus, it is impossible to define these “net benefits” without first defining the context or frame of reference. The fact that the D&M Model does not define this context is a matter of detail, not of oversight. The focus of any proposed study must be defined. Our model may be useful to both Microsoft and the user community, but each may have a very different definition of what constitutes net benefits and thus IS success. Finally, the level of analysis must be addressed [4, 42]. Are the benefits to be measured from the individual’s perspective, his or her employer, or that of the industry or of the nation? Collapsing “individual” and “organizational impacts” into a single variable, “net benefits,” does not make the problem go away. It merely transfers the need to specify the focus of analysis to the researcher. Based on these considerations, we have updated the original D&M IS Success Model as a foundation for framing future IS empirical research. The Updated D&M IS Success Model BASED ON RESEARCH CONTRIBUTIONS since our original paper, and based on changes in the role and management of information systems, we have updated our original success model. The updated model is presented on Figure 3. As discussed earlier, quality has three major dimensions: “information quality,” “systems quality,” and “service quality.” Each should be measured—or controlled for—separately, because singularly or jointly, they will affect subsequent “use” and “user satisfaction.” Given the difficulties in interpreting the multidimensional aspects of “use”—mandatory versus voluntary, informed versus uninformed, effective versus ineffective, and so on—we suggest “intention to use” may be a worthwhile alternative measure in some contexts. “Intention to use” is an attitude, whereas “use” is a behavior. Substituting the former for the latter may resolve some of the process versus causal concerns that Seddon (1997) has raised. However, attitudes, and their links with behavior, are notoriously difficult to measure; and many researchers may choose to stay with “use,” but hopefully with a more informed understanding of it. As was true in the original formulation of the D&M Model, “use” and “user satisfaction” are closely interrelated. “Use” must precede “user satisfaction” in a process sense, but positive experience with “use” will lead to greater “user satisfaction” in a causal sense. Similarly, increased “user satisfaction” will lead to increased “intention to use,” and thus “use.” As a result of this “use” and “user satisfaction,” certain “net benefits” will occur. If the IS or service is to be continued, it is assumed that the “net benefits” from the perspective of the owner or sponsor of the system are positive, thus influencing and reinforcing subsequent “use” and “user satisfaction.” These feedback loops are still valid, however, even if the “net benefits” are negative. The lack of positive benefits is likely to lead to decreased use and possible discontinuance of the system or of the IS department itself (e.g., wholesale outsourcing). The challenge for the researcher is to define clearly and carefully the stakeholders and context in which “net benefits” are to be measured. The updated D&M IS Success Model includes arrows to demonstrate proposed associations among success dimensions in a process sense, but does not show positive or negative signs for those associations in a causal sense. The nature of these causal associations should be hypothesized within the context of a particular study. For example, in one instance a high-quality system will be associated with more use, more user satisfaction, and positive net benefits. The proposed associations would then all be positive. In another circumstance, more use of a poor quality system would be associated with more dissatisfaction and negative net benefits. The proposed associations would then be negative. E-Commerce Success INFORMATION TECHNOLOGY IN GENERAL, and the Internet in particular, is having a dramatic impact on business operations. Companies are making large investments in e-commerce applications but are hard-pressed to evaluate the success of their e-commerce systems. IS researchers have turned their attention to developing, testing, and applying e-commerce success measures [7, 29, 33, 36, 49]. Molla and Licker [33] proposed an e-commerce success model based on the D&M IS Success Model. This section demonstrates how the updated D&M IS Success Model can be adapted to the measurement challenges of the new e-commerce world. As a powerful communications and commerce medium, the Internet is a communication and IS phenomenon that lends itself to a measurement framework (i.e., the D&M IS Success Model) that is built on communication theory (e.g., Shannon and Weaver [43]). Within the e-commerce context, the primary system users are customers or suppliers rather than internal users. Customers and suppliers use the system to make buying or selling decisions and execute business transactions. These electronic decisions and transactions will then impact individual users, organizations, industries, and even national economies. This communications and commerce process fits nicely into the updated D&M IS Success Model and its six success dimensions. - “System quality,” in the Internet environment, measures the desired characteristics of an e-commerce system. Usability, availability, reliability, adaptability, and response time (e.g., download time) are examples of qualities that are valued by users of an e-commerce system. • “Information quality” captures the e-commerce content issue. Web content should be personalized, complete, relevant, easy to understand, and secure if we expect prospective buyers or suppliers to initiate transactions via the Internet and return to our site on a regular basis. • “Service quality,” the overall support delivered by the service provider, applies regardless of whether this support is delivered by the IS department, a new organizational unit, or outsourced to an Internet service provider (ISP). Its importance is most likely greater than previously since the users are now our customers and poor user support will translate into lost customers and lost sales. • “Usage” measures everything from a visit to a Web site, to navigation within the site, to information retrieval, to execution of a transaction. • “User satisfaction” remains an important means of measuring our customers’ opinions of our e-commerce system and should cover the entire customer experience cycle from information retrieval through purchase, payment, receipt, and service. • “Net benefits” are the most important success measures as they capture the balance of positive and negative impacts of the e-commerce on our customers, suppliers, employees, organizations, markets, industries, economies, and even our societies. Have Internet purchases saved individual consumers time and money? Have the benefits such as larger markets, supply chain efficiencies, and customer responsiveness yielded positive net benefits for an organization? Have countries’ investments in e-commerce infrastructure yielded a net positive growth in the gross national product? Have societal investments in e-commerce infrastructure and education reduced poverty? “Net benefits” measures must be determined by context and objectives for each e-commerce investment. Thus, there will be a variety of e-commerce “net benefits” measures, but many will be the same ones that have been developed and tested for IS investments in general. “Net benefits” success measures are most important, but they cannot be analyzed and understood without “system quality” and “information quality” measurements. For example, within the e-commerce environment, the impact of a Web site design on customer purchases cannot be fully understood without an evaluation of the usability of the Web site and the relevance for purchasing decisions of the information that is provided to the prospective purchaser. Table 1 demonstrates how the six dimensions of the updated D&M IS Success Model can be used as a parsimonious framework to organize the various success metrics identified in the IS and e-commerce literature. Summary and Conclusions Ten years ago we published an IS success framework in order to integrate the research work on IS success that had been done up to that point and to provide Table 1. E-Commerce Success Metrics Systems quality • Adaptability • Availability • Reliability • Response time • Usability Information quality • Completeness • Ease of understanding • Personalization • Relevance • Security Service quality • Assurance • Empathy • Responsiveness Use • Nature of use • Navigation patterns • Number of site visits • Number of transactions executed User satisfaction • Repeat purchases • Repeat visits • User surveys Net benefits • Cost savings • Expanded markets • Incremental additional sales • Reduced search costs • Time savings directions for future research. We presented an IS success model that attempted to capture the multidimensional and interdependent nature of IS success. The hundreds of research works that have applied, developed, challenged, or validated the original model speak to the need for a common approach to success measurement and to the value of a model for framing research designs. The succeeding ten years have seen tremendous progress in terms of the impacts of IS on business and society as well as progress in IS research. In light of this progress and change, we felt compelled to review, evaluate, and update our success model. Considering the recent research studies that both validate and support our model as well as those that challenge it, we conclude that our original model and related conclusions [8] still form a sound basis for IS success measurement even in the e-commerce environment. We believe that our proposed changes in the updated D&M IS Success Model are largely changes in degree, not in kind. The addition of “service quality” and the collapsing of “individual impacts” and “organizational impact” into “net benefits” still preserve the parsimonious nature of the model. Based on our review of the research experience of the last decade, we draw the following conclusions: 1. Many empirical studies have validated the original model and its interrelationships, whereas other studies have recommended enhancements to the original model. Based on these contributions, we propose an updated D&M IS Success Model to serve as a foundation for the positioning and comparing of IS empirical research. The model should continue to be tested and challenged. The changes introduced in this paper are examples of this continued growth and refinement. We encourage others to join in this effort. 2. The updated D&M IS Success Model is a useful model for developing comprehensive e-commerce success measures as demonstrated in Table 1. 3. We recommend that “service quality” be added as an important dimension of IS success given the importance of IS support, especially in the e-commerce environment where customer service is crucial. 4. The complex, multidimensional, and interdependent nature of IS success requires careful attention to the definition and measurement of each dimension of this dependent variable. It is important to measure the possible interactions among these success dimensions in order to isolate the effect of various independent variables with one or more of these dependent success dimensions. The updated D&M IS Success Model in Figure 3 presents the interdependent relationships that should continue to be considered and tested. 5. For each research endeavor, the selection of IS success dimensions and measures should be contingent on the objectives and context of the empirical investigation, but, where possible, tested and proven measures should be used. The Seddon et al. [42] context matrix is a valuable reference for selection of success measures based on context. 6. Despite the multidimensional and contingent nature of IS success, an attempt should be made to reduce significantly the number of measures used to measure IS success so that research results can be compared and findings validated. Some good progress has been made in this area as noted in the Measurement Enhancements section of this paper. Where possible, we advocate the application of existing, validated measures rather than the development of new measures. 7. With the growth of management support systems and the advent and development of e-commerce systems, voluntary systems use is more common today than it was a decade ago. We, therefore continue to advocate the inclusion of “System Use” as a critical dimension of IS success measurement. Actual use measures should be preferred to self-reported use measures. Also, usage measures should capture the richness of use as a system phenomenon including the nature, level, and appropriateness of use, and should not simply measure the frequency of use. 8. Finally, more field-study research should investigate and incorporate “Net Benefits” measures. Yuthas and Young support this conclusion: “[E]xamining satisfaction and usage measures is not an acceptable alternative to measuring performance [i.e., Net Benefits] directly. Although the three variables are correlated, the relationships between them are not sufficiently strong to warrant their use as substitutes for one another” [60, p. 121]. Good progress has been made in the development and testing of “Net Benefits” measures on the individual, group, firm, industry, and national levels. REFERENCES 1. Agarwal, R., and Prasad, J. The role of innovation characteristics and perceived voluntariness in the acceptance of information technologies. Decision Sciences, 28, 3 (1997), 557–580. 2. Bailey, J.E., and Pearson, S.W. Development of a tool for measuring and analyzing computer user satisfaction. Management Science, 29, 5 (1983), 530–545. 3. Brynjolfsson, E. The contribution of information technology to consumer welfare. Information Systems Research, 7, 3 (1996), 281–300. 4. Chan, Y.E. IT value: The great divide between qualitative and quantitative and individual and organizational measures. Journal of Management Information Systems, 16, 4 (Spring 2000), 225–261. 5. Clemons, E.K., and Row, M.C. Limits to interfirm coordination through information technology: Results of a field study in consumer goods packaging distribution. Journal of Management Information Systems, 10, 1 (Summer 1993), 73–95. 6. Clemons, E.K.; Reddi, S.P.; and Row, M.C. The impact of information technology on the organization of economic activity: The “move to the middle” hypothesis. Journal of Management Information Systems, 10, 2 (Fall 1993), 9–35. 7. D’Ambra, J., and Rice R.E. Emerging factors in user evaluation of the World Wide Web. Information & Management, 38, 6 (2001), 373–384. 8. DeLone, W.H., and McLean, E.R. Information systems success: The quest for the dependent variable. Information Systems Research, 3, 1 (1992), 60–95. 9. Doll, W.J., and Torkzadeh, G. Developing a multidimensional measure of systems use in an organizational context. Information & Management, 33, 4 (1998), 171–185. 10. Etzazadi-Amoli, J., and Farhooomand, A.F. A structural model of end user computing satisfaction and user performance. Information & Management, 30, 2 (1996), 65–73. 11. Gelderman, M. The relation between user satisfaction, usage of information systems, and performance. Information & Management, 34, 1 (1998), 11–18. 12. Goodhue, D.L., and Thompson, R.L. Task-technology fit and individual performance. MIS Quarterly, 19, 2 (1995), 213–233. 13. Grover, G.; Jeong, S.R.; and Segars, A.H. Information systems effectiveness: The construct space and pattern of application. Information & Management, 31, 4 (1996), 177–191. 14. Guimaraes, T., and Igbaria, M. Client/server system success: Exploring the human side. Decision Sciences, 28, 4 (1997), 851–875. 15. Hitt, L., and Brynjolfsson, E. The three faces of IT value: Theory and evidence. In J.I. DeGross, S.L. Huff, and M.C. Munro (eds.), Proceedings of the International Conference on Information Systems. Atlanta, GA: Association for Information Systems, 1994, pp. 263–278. 16. Igbaria, M., and Tan, M. The consequences of the information technology acceptance on subsequent individual performance. Information & Management, 32, 3 (1997), 113–121. 17. Igbaria, M.; Zinatelli, N.; Cragg, P.; and Cavaye, A. Personal computing acceptance factors on small firms: A structural equation model. MIS Quarterly, 21, 3 (1997), 279–302. 18. Ishman, M. Measuring information system success at the individual level in cross-cultural environments. In E.J. Garrity and G.L. Sanders (eds.), Information Systems Success Measurement. Hershey, PA: Idea Group, 1998, pp. 60–78. 19. Ives, B.; Olsen M.; and Baroudi, J.J. The measurement of user information satisfaction. Communications of the ACM, 26, 10 (1983), 785–793. 20. Jiang, J.J., and Klein, G. User evaluation of information systems: By system typology. IEEE Transactions on Systems, Man, and Cybernetics, 29, 1 (1999), 111–116. 21. Jiang, J.J.; Klein, G.; and Carr, C.L. Measuring information systems service quality: SERVQUAL from the other side. MIS Quarterly, 26, 2 (2002), 145–166. 22. Jurison, I. The temporal nature of IS benefits: A longitudinal study. Information & Management, 30, 2 (1996), 75–79. 23. Kaplan, R.S., and Norton, D.P. Translating Strategy Into Action: The Balanced Scorecard. Boston: Harvard Business School Press, 1996. 24. Karahanna, E.; Straub, D.W.; and Chervany, N.L. Information technology adoption across time: A cross-sectional comparison of pre-adoption and post-adoption beliefs. MIS Quarterly, 23, 2 (1999), 183–213. 25. Kettinger, W.J., and Lee, C.C. Perceived service quality and user satisfaction with the information services function. Decision Sciences, 25, 5–6 (1995), 737–765. 26. Larsen, T.J., and Wetherbe, J.C. An exploratory field study of the differences in information technology use between more- and less-innovative middle managers. Information & Management, 36, 2 (1999), 93–108. 27. Lassila, K.S., and Brancheau, J.C. Adoption and utilization of commercial software packages: Exploring utilization equilibria, transitions, triggers, and tracks. Journal of Management Information Systems, 16, 2 (Fall 1999), 63–90. 28. Li, E.Y. Perceived importance of information system success factors: A meta analysis of group differences. Information & Management, 32, 1 (1997), 15–28. 29. Liu, C., and Arnett, K.P. Exploring the factors associated with Web site success in the context of electronic commerce. Information and Management, 38, 1 (2000), 23–33. 30. Martinsons, M.; Davison, M.R.; and Tse, D. The balanced scorecard: A foundation for the strategic management of information systems. Decision Support Systems, 25, 1 (1999), 71–88. 31. Mason, R.O. Measuring information output: A communication systems approach. Information & Management, 1, 5 (1978), 219–234. 32. Mirani, R., and Lederer, A.L. An instrument for assessing the organizational benefits of IS projects. Decision Sciences, 29, 4 (1998), 803–838. 33. Molla, A., and Licker, P.S. E-commerce systems success: An attempt to extend and respecify the DeLone and McLean model of IS success. Journal of Electronic Commerce Success, 2, 4 (2001), 1–11. 34. Myers, B.L.; Kappelman, L.A.; and Prybutok, V.R. A comprehensive model for assessing the quality and productivity of the information systems function: Toward a theory for information systems assessment. In E.J. Garrity and G.L. Sanders (eds.), Information Systems Success Measurement. Hershey, PA: Idea Group, 1998, pp. 94–121. 35. Newman, M., and Robey, D. A social process model of user-analyst relationships. MIS Quarterly, 16, 2 (1992), 249–266. 36. Palmer, J.W. Web site usability, design, and performance metrics. Information Systems Research, 13, 2 (2002), 151–167. 37. Pitt, L.F.; Watson, R.T.; and Kavan, C.B. Service quality: A measure of information systems effectiveness. MIS Quarterly, 19, 2 (1995), 173–188. 38. Rai, A.; Lang, S.S.; and Welker, R.B. Assessing the validity of IS success models: An empirical test and theoretical analysis. Information Systems Research, 13, 1 (2002), 50–69. 39. Saarinen, T. An expanded instrument for evaluating information systems success. Information & Management, 31, 2 (1996), 103–118. 40. Seddon, P.B. A respecification and extension of the DeLone and McLean model of IS success. Information Systems Research, 8, 3 (1997), 240–253. 41. Seddon, P.B., and Kiew, M.-Y. A partial test and development of the DeLone and McLean model of IS success. In J.I. DeGross, S.L. Huff, and M.C. Munro (eds.), Proceedings of the International Conference on Information Systems. Atlanta, GA: Association for Information Systems, 1994, pp. 99–110. 42. Seddon, P.B.; Staples, D.S.; Patnayakuni, R.; and Bowtell, M.J. The dimensions of information systems success. Communications of the Association for Information Systems, 2, 20 (November 1999) (available at cais.isworld.org/articles/2-20/default.asp?View=pdf&x=12&y=13). 43. Shannon, C.E., and Weaver, W. The Mathematical Theory of Communication. Urbana, IL: University of Illinois Press, 1949. 44. Shirani, A.; Aiken, M.; and Reithel, B. A model of user information satisfaction. Data Base, 25, 4 (1994) 17–23. 45. Smithson, S., and Hirschheim, R. Analysing information system evaluation: Another look at an old problem. European Journal of Information Systems, 7, 3 (1998), 158–174. 46. Straub, D.; Limayem, M.; and Karahanna-Evaristo, E. Measuring system usage: Implications for IS theory testing. Management Science, 41, 8 (1995), 1328–1342. 47. Taylor, S., and Todd, P. Understanding information technology usage: A test of competing models. Information Systems Research, 6, 2 (1995), 144–176. 48. Teng, J., and Calhoun, K. Organizational computing as a facilitator of operational and managerial decision making: An exploratory study of managers’ perceptions. Decision Sciences, 27, 4 (1996), 673–710. 49. Teo, T.S.H., and Choo, W.Y. Assessing the impact of using the Internet for competitive intelligence. Information & Management, 39, 1 (2001), 67–83. 50. Teo, T.S.H., and Wong, P.K. An empirical study of the performance impact of computerization in the retail industry. Omega—The International Journal of Management Science, 26, 5 (1998), 611–621. 51. Thong, J.Y.T., and Yap, C. Information systems effectiveness: A user satisfaction approach. Information Processing & Management, 32, 5 (1996), 601–610. 52. Torzkadeh, G., and Doll, W.J. The development of a tool for measuring the perceived impact of information technology on work. Omega—The International Journal of Management Science, 27, 3 (1999), 327–339. 53. Van Dyke, T.P.; Kappelman, L.A.; and Prybutok, V.R. Measuring information systems service quality: Concerns on the use of the SERVQUAL questionnaire. MIS Quarterly, 21, 2 (1997), 195–208. 54. Weill, P., and Vitale, M. Assessing the health of an information system portfolio: An example from process engineering. MIS Quarterly, 23, 4 (1999), 601–624. 55. Whyte, G.; Bytheway, A.; and Edwards, C. Understanding user perceptions of information system success. Journal of Strategic Information Systems, 6, 1 (1997), 35–68. 56. Wilkin, C., and Hewitt, B. Quality in a respecification of DeLone and McLean’s IS success model. In Mehdi Khoozrowpour (ed.), Proceedings of 1999 IRMA International Conference. Hershey, PA: Idea Group Publishing, 1999, pp. 663–672. 57. Wixom, B.H., and Watson, H.J. An empirical investigation of the factors affecting data warehousing success. MIS Quarterly, 25, 1 (2001), 17–41. 58. Yoon, Y.; Guimaraes, T.; and Clevenson, A. Exploring expert systems success factors for business process reengineering. Journal of Engineering and Technology Management, 15, 2/3 (1998), 179–199. 59. Young, D., and Benamati, J. Differences in public Web sites: The current state of large U.S. firms. Journal of Electronic Commerce Research, 1, 3 (2000) (available at www.csulb.edu/web/journals/jecr/p_1.htm). 60. Yuthas, K., and Young, S.T. Material matters: Assessing the effectiveness of materials management IS. Information & Management, 33, 3 (1998), 115–124.
Expectation Puzzles, Time-varying Risk Premia, and Dynamic Models of the Term Structure Qiang Dai and Kenneth J. Singleton* September 18, 2000 Abstract Though linear projections of returns on the slope of the yield curve have contradicted the implications of the traditional “expectations theory,” we show that these findings are not puzzling relative to a large class of richer dynamic term structure models. Specifically, we are able to match all of the key empirical findings reported by Fama and Bliss and Campbell and Shiller, among others, within large subclasses of affine and quadratic-Gaussian term structure models. Key to this matching are parameterizations of the market prices of risk that let us separately “control” the shape of the mean yield curve and the correlation structure of excess returns with the slope of the yield curve. The risk premiums have a simple form consistent with Fama’s findings on the predictability of forward rates, and are shown to also be consistent with interest rate, feedback rules used by a monetary authority in setting monetary policy. * Stern School of Business, New York University, email@example.com; Graduate School of Business, Stanford University and NBER, firstname.lastname@example.org, respectively. We would like to thank Dave Backus, Greg Duffee, and Robert Engle for helpful comments, and the Gifford and Vivian Fong Financial Engineering Fund at Stanford University for Financial Support. 1 Introduction Fama (1984a, 1984b) and Fama and Bliss (1987) present evidence of rich patterns of variation in expected returns across time and maturities that “stand as challenges or ‘stylized facts’”$^1$ to be explained by dynamic term structure models ($DTSMs$). A large literature has subsequently elaborated on the inconsistency of these patterns with the implications of the traditional expectations theory ($EH$) – there is compelling evidence from yield$^2$ and forward-rate$^3$ regressions for time-varying risk premiums. Still largely unresolved, however, is the broader question of whether, taken together, these historical patterns are “puzzling” within richer $DTSMs$, including those commonly implemented by academics and practitioners. This paper takes up Fama’s challenge and uses several key stylized facts about excess returns on bonds to “draw out” the essential features of $DTSMs$ that allow us to explain these facts. Letting $P_t^n$ denote the price of an $n$-period zero-coupon bond, $R_t^n$ its corresponding yield, $r_t$ the one-period short rate, and $f_t^n$ the forward rate for a one-period loan commencing at date $t + n$,$^4$ our discussion is organized around the following empirical observations: LPY (i) Linear projections of $R_{t+1}^{n-1} - R_t^n$ onto $\frac{1}{n-1}(R_t^n - r_t)$ give negative, often statistically significant slope coefficients $d_n^y$. (ii) Moreover, the $d_n^y$ typically become increasingly negative with maturity. LPF Linear projections of $f_{t+1}^{n-1} - r_t$ onto $f_t^{(n)} - r_t$ give slope coefficients $d_n^f$ that are significantly less than one, particularly for short maturities. UMY On average, the term structure of treasury bond yields is upward sloping. We refer to these patterns collectively as $LPEH$. Though $LPEH$ has often been viewed as a “puzzle” by term structure modelers,$^5$ we show that the patterns are in fact generated by two important classes of models: (1) a large subclass (though not all) of affine $DTSMs$,$^6$ and (2) the family of quadratic-Gaussian term structure models.$^7$ Key to our success at matching $LPEH$ is having market prices of risk that affect both the (risk-neutral) long-run mean and the rate of mean-reversion of the state variables. Heuristically, the effect of risk premiums on the long-run mean of the state gives us the flexibility to match $UMY$, while their effect on the rate of mean reversion allows us to match the correlations between holding period returns and the slope of the yield curve ($LPY-LPF$). To substantiate this claim, we show empirically that, for plausible parameter values, $LPEH$ is well matched by several one- and two-factor $DTSMs$. --- $^1$See Fama (1984b), page 545. $^2$See, e.g., Campbell and Shiller (1991). $^3$See, e.g., Backus et al. (1997). $^4$$R_t^n \equiv -\ln P_t^n/n$, $r_t \equiv R_t^1$, and $f_t^n \equiv -\ln(P_t^{n+1}/P_t^n)$. $^5$As demonstrated by Bekaert et al. (1997a) and Backus et al. (1997), the patterns $LPY$ and $LPF$ cannot be attributed to small-sample bias in the relevant linear projections. Indeed, they find that the small-sample bias reinforces the puzzle by making the projection coefficients under $LPY$ less negative than they would be in the absence of such bias. $^6$See Duffie and Kan (1996) and Dai and Singleton (2000) for a discussion of affine $DTSMs$. $^7$See, e.g., Beaglehole and Tenney (1991) and Ahn et al. (2000). At the heart of the $EH$ puzzles are the findings, repeated in Table 1,\footnote{We are grateful to Backus et al. (1997) for providing the smoothed Fama-Bliss data used in our analysis. The data are monthly from February, 1970 through December, 1995.} that coefficients in the linear projection of $R_{t+1}^{n-1} - R_t^n$ onto $\frac{1}{n-1}(R_t^n - r_t)$ are statistically significantly \textit{negative} – observation $LPY(i)$. These findings were anticipated by Fama (1984a) and Fama and Bliss (1987) who argued that excess returns are time-varying and typically \textit{positively} correlated with the slope of the yield curve.\footnote{Fama and Bliss (1987) focused on the slope of the forward rate curve, but as we shall see subsequently the basic intuition from their analysis carries over to the slope $R_t^n - r_t$.} The challenge we set for $DTSM$s is not simply to have a model imply the negative coefficients $d_n^y$ in $EH$ yield projections – essentially any $DTSM$ that implies a positive correlation between excess returns and the slope of the yield curve will give this result.\footnote{If the risk premium were constant, then an expected rise in the short-term rate would lead to an expected capital loss on long-term bonds. Consequently, the slope of the yield curve would increase. This is the intuition used to justify the expectations hypothesis. If the risk premium is time-varying, and in particular is \textit{negatively} correlated with the short-term rate, then an expected rise in the short-term rate has two opposing effects. First, holding the risk premium fixed, the price of long-term bonds will fall. Second, a falling risk premium tends to \textit{increase} the values of long-term bonds. The expectations puzzle arises whenever the second effect dominates the first, causing the slope of the yield curve to \textit{fall} as interest rates rise – in which case the slope of the yield curve and the risk premium are \textit{positively} correlated.} Instead, we seek to jointly match the sign (observation $LPY(ii)$) and maturity structure (observation $UMY$). \begin{table}[h] \centering \caption{Campbell-Shiller Long Rate Regression} \begin{tabular}{\|c\|c\|c\|c\|c\|c\|c\|c\|c\|c\|c\|} \hline Maturity & $R_{t+1}^{(n-1)} - R_t^n = \text{constant} + d_n^y (R_t^n - r_t)/(n - 1) + \text{residual}$ \\ $d_n^y$ & 3 & 6 & 9 & 12 & 24 & 36 & 48 & 60 & 84 & 120 \\ s.e. & -.428 & -.883 & -1.228 & -1.425 & -1.705 & -1.190 & -2.147 & -2.433 & -3.096 & -4.173 \\ & (.481) & (.640) & (.738) & (.825) & (1.120) & (1.295) & (1.418) & (1.519) & (1.705) & (1.985) \\ \hline Maturity & $f_{t+1}^{(n-1)} - r_t = \text{constant} + d_n^f f_t^{(n)} - r_t + \text{residual}$ \\ $d_n^f$ & 3 & 6 & 9 & 12 & 24 & 36 & 48 & 60 & 84 & 120 \\ s.e. & .731 & .797 & .851 & .891 & .946 & .958 & .962 & .964 & .964 & .963 \\ & (.091) & (.057) & (.046) & (.039) & (.024) & (.017) & (.014) & (.012) & (.011) & (.010) \\ \hline \end{tabular} \end{table} “Affine” $DTSM$s are a natural place to begin our exploration of $LPEH$ both because of their historical prominence and the fact that optimal forecasts of excess returns take the form of the linear projections extensively studied in the literature on $EH$. Standard formulations of affine $DTSM$s (e.g., as parameterized in Dai and Singleton (2000)) have the market prices of risk proportional to factor volatilities. As such, the flexibility of a particular affine model to match $LPEH$ will depend in part on how many of the state variables have time-varying volatilities. Within CIR-style models, non-zero risk premiums affect the rate of mean reversion, but not the long-run mean, of the state process.\footnote{See, for example, Chen and Scott (1993), Pearson and Sun (1994), and Duffie and Singleton (1997).} Consequently, they do not meet our conditions for matching \textit{LPEH}. In fact, Figures 4 and 6 in Roberds and Whiteman (1999) show that (one- and two-factor) \textit{CIR}-style models are wholly incapable of matching \textit{LPY} for their sample period and treasury yields, even when the parameters of their \textit{DTSMs} are calibrated to match their counterparts of the $d^n_t$. Moreover, Backus et al. (1997) demonstrate analytically that, in order for a (one-factor) \textit{CIR}-style model to potentially match \textit{LPY}, it must imply a \textit{downward} sloping term structure of mean forward spreads $\{E[f^n_t - r_t]\}$, contrary to \textit{UMY}. At the opposite end of the spectrum of conditional volatility is the case of Gaussian models. With their constant volatilities and market prices of risk, the \textit{EH} null hypotheses $d^n_t = 1$ is \textit{true}! Thus, if we are to be successful at matching \textit{LPY} within a Gaussian model we must step outside the Dai-Singleton family of affine models. Accordingly, we focus on an “extended” Gaussian model in which the market prices of risk are affine functions of the state. This state-dependence, in turn, implies that the term premium $p^n_t \equiv f^n_t - E_t[r_{t+n}]$ is an affine function of the slope of the forward curve, $f^n_t - r_t$, which is reminiscent of the projections in Fama (1984a) and Fama and Bliss (1987) of excess returns onto $f^n_t - r_t$. In fact, we show that it both generates projection equations consistent with their empirical findings and resolves \textit{LPEH}. Fisher (1998) independently proposed a similar potential resolution of \textit{LPY} within a two-factor Gaussian model.\footnote{We are grateful to Greg Duffee for bringing this unpublished manuscript to our attention. While Fisher shows that his model qualitatively resolves \textit{LPEH}, he does not compare the model-implied and historical projection coefficients $d^n_t$, as is done subsequently here in Section 5, to assess whether extended Gaussian models quantitatively resolve \textit{LPEH}.} Lying between these two cases – CIR-style and Gaussian models – are what we refer to as the $A_m(N)$ families of $N$-factor models,\footnote{See Dai and Singleton (2000) for a canonical representation of these families of affine \textit{DTSMs}.} where $m$ is the number of state variables driving the volatilities of all $N$ state variables and $0 < m < N$. The $m$ volatility factors have market prices of risk that affect the rates of mean reversion of the states as in CIR-style models, while the risk premiums of the remaining $N - m$ “non-volatility” factors affect the long-run means of the states as in standard Gaussian models. Thus, these models meet our heuristic criteria for matching \textit{LPEH}. Additional flexibility is obtained by extending a standard $A_m(N)$ model to allow the $N - m$ non-volatility factors to have state-dependent risk premiums as in the “extended” Gaussian case. These extended affine models are special cases of the “essentially” affine family of models proposed by Duffee (1999).\footnote{Duffee’s “essentially” affine models are “affine” as this term was originally used by Duffie and Kan (1996), so we will use the shorter “affine” term when referring to the models he studied.} Duffee shows that extending the risk-premium specifications in standard affine models improves their forecasting performance and helps in matching the coefficients of variation of yields. We provide the complementary, formal assessment of whether affine models also match \textit{LPEH} and, in particular, the maturity patterns displayed in Table 1. Of equal interest, we assess the relative importance, within the affine family, of extending the risk premium specification, allowing for time-varying volatility, and allowing for non-zero factor correlations in matching \textit{LPEH}. We also show that quadratic-Gaussian models are inherently capable of (qualitatively) matching \textit{LPEH}, because their market prices of risk are richer than those in standard affine Indeed the basic structure of the market prices of risk in quadratic- and extended-Gaussian $DTSMs$ is the same. Backus et al. (1997) also present empirical evidence against the related $EH$ null hypothesis of $d^f_n = 1$, particularly at the shorter maturities—observation $LPF$; see the lower half of Table 1. They argue that this pattern can be matched by a “negative CIR” process. Our resolution of $LPEH$ (and hence $LPF$) shares some of the same features as their negative $CIR$ process. However, we believe that the models studied here more clearly highlight the essential features of $DTSMs$ that generate $LPF$. In addition, we provide a link to, and reinterpretation of, the modeling implications of the forward-rate regressions in Fama and Bliss (1987). To complement these qualitative assessments, we explore the quantitative fit of affine $DTSMs$ to $LPEH$ in two ways. First, for the case of one-factor Gaussian and Quadratic-Gaussian models, we illustrate the central points of this paper by showing that the parameters can be calibrated so that the model-implied projection coefficients match, remarkably closely, the historical coefficients in Table 1, while at the same time matching $UMY$. Additionally, we find empirically that (for the purpose of matching $LPEH$) the one-factor quadratic- and extended-Gaussian models offer essentially equivalent flexibility – neither seems to dominate the other. Of course, we do not presume that one-factor models capture the rich variation over time in yield curves. Nor is finding admissible parameters that match $LPEH$ the same as showing that the same parameters match $LPEH$ and other aspects of the distributions of yields, say those summarized by the likelihood function of the data. Both of these concerns are addressed in an extensive exploration of $LPEH$ within the families of two-factor extended Gaussian $(A_0(2))$ and mixed Gaussian-square-root $(A_1(2))$ models. We fit a variety of models in these families by the method of full-information maximum likelihood $(ML)$ and then compare the model-implied and historical versions of $d^f_n$. In this manner we are able to assess more formally whether $ML$ estimates of two-factor affine models (extended and standard) match $LPEH$. The remainder of this paper is organized as follows. In Section 2 we derive our fundamental “risk-premium adjusted” yield and forward rate projections that serve as the basis of our subsequent econometric analysis. Section 3 discusses in more depth our parameterizations of the market prices of risk and their link to $LPEH$. Additionally, we provide two “structural” interpretations of our parameterizations of risk premiums, one based on the representative agent, stochastic habit formation model in Dai (2000) and the other on the monetary-based explanation of $LPY$ in McCallum (1994). Section 4 shows empirically that our illustrative one-factor Gaussian $DTSMs$ match $LPEH$ at admissible parameter values. Section 4.3 presents a similar calibration exercise for the one-factor quadratic-Gaussian model. A more formal and extensive empirical assessment of the fit of two-factor affine $DTSMs$ to $LPEH$ is presented in Section 5. Concluding remarks are presented in Section 6. Technical details are collected in an appendix. $^{15}$See Ahn et al. (2000) and Section 4.3. 2 Risk-Premium Adjusted Projections If the failure of the $EH$ hypothesis is due to time-varying risk premiums, then it would seem that accommodating risk premiums in these projection equations should restore slope coefficients of one. We begin our exploration of the links between $LPEH$ and $DTSMs$ by showing a precise sense in which this intuition is correct. The resulting risk-premium adjusted projection equations serve as the fundamental relations underlying our subsequent empirical analysis. 2.1 Yield Projections Letting $D_{t+1}^n = \left( \ln \frac{P_{t+1}^{n-1}}{P_t^n} - r_t \right)$ denote the one-period excess return on an $n$-period bond, then from the basic price-yield relation, the expected excess return $e_t^n \equiv E_t[D_{t+1}^n]$ can be expressed as $$e_t^n = -(n-1)E_t \left[ R_{t+1}^{n-1} - R_t^n \right] + (R_t^n - r_t), \tag{1}$$ where $E_t$ denotes expectation conditioned on date $t$ information. Rearranging (1) gives the fundamental relation\footnote{Expression (2) is formally equivalent to equation (11) of Fama and Bliss (1987), which, in our notation, is: $$E_t \left[ R_{t+1}^{n-1} - R_t^{n-1} + \frac{1}{n-1} D_{t+1}^n \right] = \frac{1}{n-1}(f_t^{n-1} - r_t).$$ We focus on (2) because it is more directly linked to the yield regressions in Campbell and Shiller (1991).} $$E_t \left[ R_{t+1}^{n-1} - R_t^n + \frac{1}{n-1} D_{t+1}^n \right] = \frac{1}{n-1}(R_t^n - r_t). \tag{2}$$ There is no economic content to (2) as it holds by definition even without the expectation operator. Economic content is added by linking $E_t[D_{t+1}^n]$ to the risk premiums implied by an economic model. Toward this end, we introduce two related notions of “term premiums:” the yield term premium $$c_t^n \equiv R_t^n - \frac{1}{n} \sum_{i=0}^{n-1} E_t[r_{t+i}], \tag{3}$$ and the forward term premium $$p_t^n \equiv f_t^n - E_t[r_{t+n}]. \tag{4}$$ Since $R_t^n \equiv \frac{1}{n} \sum_{i=0}^{n-1} f_t^i$, the term premiums $p_t^n$ and $c_t^n$ are linked by the simple relation: $$c_t^n \equiv \frac{1}{n} \sum_{i=0}^{n-1} p_t^i. \tag{5}$$ Throughout our analysis we assume that these variables are stationary stochastic processes with finite first and second moments. The realized excess return $D_{t+1}^n$ can be decomposed into a pure “premium” part ($D_{t+1}^{n}$) and an “expectations” part: \begin{align} D_{t+1}^n &= D_{t+1}^{n} + \sum_{i=1}^{n-1} (E_t r_{t+i} - E_{t+1} r_{t+i}), \text{ where} \\ D_{t+1}^{n} &= -(n-1)(c_{t+1}^{n-1} - c_t^{n-1}) + p_t^{n-1}. \end{align} Since the $(E_t r_{t+i} - E_{t+1} r_{t+i})$ have zero date-$t$ conditional means, $e_t^n$ depends only on the premium term $D_{t+1}^{n}$: \[ e_t^n = E_t[D_{t+1}^{n}] = -(n-1)E_t[c_{t+1}^{n-1} - c_t^{n-1}] + p_t^{n-1}. \] Thus, we can replace $D_{t+1}^n$ by $D_{t+1}^{n}$ in (2) to obtain \[ E_t \left[ R_{t+1}^{n-1} - R_t^n + \frac{1}{n-1} D_{t+1}^{n} \right] = \frac{1}{n-1}(R_t^n - r_t). \] From (9) it follows that the projection of the “premium-adjusted” change in yields, \[ R_{t+1}^{n-1} - R_t^n - (c_{t+1}^{n-1} - c_t^{n-1}) + \frac{p_t^{n-1}}{n-1}, \] onto the (scaled) slope of the yield curve, $(R_t^n - r_t)/(n-1)$, has a coefficient of one. The $EH$ hypothesis is obtained by setting the risk premiums in (10) to constants. --- \footnote{Some of the intermediate steps in this derivation are: \begin{align} D_{t+1}^n &\equiv nR_t^n - (n-1)R_{t+1}^{n-1} - r_t = nc_t^n - (n-1)c_{t+1}^{n-1} + \sum_{i=1}^{n-1} (E_t r_{t+i} - E_{t+1} r_{t+i}) \\ &= -(n-1)(c_{t+1}^{n-1} - c_t^{n-1}) + \sum_{j=0}^{n-1} p_t^j - \sum_{j=0}^{n-2} p_t^j + \sum_{i=1}^{n-1} (E_t r_{t+i} - E_{t+1} r_{t+i}). \end{align}} \footnote{Equation (8) implies that $E[e_t^n] = E[p_t^{n-1}] = E[f_t^{n-1} - r_t]$, where the second equality follows from the definition of $p_t^{n-1}$ and the stationarity of $r_t$. This equality seems to have been largely overlooked in the extant literature on the $EH$. For instance, Fama (1984b), drawing on results from Fama (1976), uses the relation (his equation (5) expressed in our notation) \[ p_t^{n-1} = E_t[D_{t+1}^n] + E_t[D_{t+2}^{n-1} - D_{t+1}^{n-1}] + \ldots + E_t[D_{t+n-1}^2 - D_{t+n-2}^2] \] to conclude that the forward rate $f_t^{n-1}$ “contains” market expectations about the holding period return $D_{t+1}^n$. He then computed the sample means of $p_t^{n-1}$ and $(f_t^{n-1} - r_t)$ and expressed surprise at the finding that they were nearly the same (Fama (1984b), page 544). In fact, in the population, they are by definition the same.} \footnote{There is an analogous set of yield projections for the forward rates. Specifically, from the definition of $p_t^n$ it follows that $f_{t+1}^{n-1} - f_t^n = E_{t+1}(r_{t+n} - E_t[r_{t+n}]) + (p_{t+1}^{n-1} - p_t^n)$. Subtracting $r_t$ from both sides, rearranging, and taking conditional expectations gives $E_t[f_{t+1}^{n-1} - r_t] = (f_t^n - r_t) + (E_t[p_{t+1}^{n-1}] - p_t^n)$. Thus, projection of the “premium-adjusted” forward rate, $(f_{t+1}^{n-1} - r_t - (p_{t+1}^{n-1} - p_t^n))$, onto $(f_t^n - r_t)$ also gives a slope coefficient of one. In our empirical analysis we will focus on (9). Results for forward rate projections are available from the authors upon request.} 3 Risk Premiums, DTSMs, and LPEH The challenges set forth by Fama and the studies of LPY in the EH literature are statements about correlations among yields and, as such, are naturally studied using linear projections. Therefore, in attempting to generate LPEH within DTSMs we start our inquiry with models in which conditional expectations are linear in known functions of the state vector, a trait shared by both affine and quadratic-Gaussian DTSMs. Consider first the case of affine DTSMs with the instantaneous short rate given by $ r_0(t) = a_0 + b'_0 Y(t) $ and the $ N $-dimensional state vector $ Y $ following, under the “physical” or “actual” measure, the affine diffusion \[ dY(t) = \kappa (\theta - Y(t)) dt + \Sigma \sqrt{S(t)} dW(t), \] (11) where $ W(t) $ is an $ N $-dimensional vector of independent standard Brownian motions and $ S(t) $ is a diagonal matrix with the $ i^{th} $ diagonal element given by \[ [S(t)]_{ii} = \alpha_i + \beta'_i Y(t). \] (12) The risk-neutral representation of $ Y(t) $ used in pricing is obtained by subtracting $ \Sigma \sqrt{S(t)} \Lambda(t) $ from the drift of (11), where $ \Lambda(t) $ is the vector of “market prices of risk.” Standard formulations of affine DTSMs “close” this model by assuming that $ \Lambda(t) $ is proportional to $ \sqrt{S(t)} $ (see Dai and Singleton (2000) and the references therein): \[ \Lambda(t) = \sqrt{S(t)} \ell_0, \] (13) where $ \ell_0 $ is an $ N \times 1 $ vector of constants. Focusing narrowly on the objective of matching LPEH, we know from previous studies that this specification imposes potentially severe limitations on a model’s ability to match first-moment properties of the yield data. In CIR-style models, the $ \alpha_i $ are zero and the $ \beta_i $ are normalized to vectors with unity in the $ i^{th} $ component and zero elsewhere, so $ \Lambda_i(t) = \ell_{0i} \sqrt{Y_i(t)} $. Consistent with the observations in Backus et al. (1997), our interpretation of the difficulty in previous studies of matching LPEH with CIR-style models is that these risk premiums affect the rate of mean reversion, but not the long-run mean of $ Y $ under the risk neutral measure. So matching LPY and UMY simultaneously is challenging, if not infeasible. Models in $ A_N(N) $ are not easily “fixed up” with the particular modifications of the market prices of risk proposed here without introducing arbitrage opportunities (Cox et al. (1985)). If the state $ Y $ is Gaussian, then $ S(t) $ is the identity matrix, $ \Lambda(t) $ is a vector of constants, and the EH null hypothesis is true. Accordingly, we extend the basic Gaussian DTSM by letting the market price of risk be defined by the relation$^{20}$ \[ \Sigma \Lambda(t) = \lambda^0 + \lambda^Y Y(t), \] (14) where $ \lambda^0 $ is an $ N \times 1 $ vector and $ \lambda^Y $ is an $ N \times N $ matrix of constants. The tension between UMY and LPF highlighted by Backus et al. (1997) is relaxed by this specification of $ \Lambda(t) $. $^{20}$Appendix C shows that the conditions for Girsanov’s theorem to apply are satisfied by the measure change associated with the market price of risk (14) without imposing any restrictions on model parameters (except for the usual stationarity assumption). (while preserving no arbitrage): $\lambda^0$ controls the shape of the mean yield curve (to make the mean yield curve upward sloping, make $\lambda^0$ as negative as needed) and $\lambda^Y$ controls the time-varying behavior of the excess returns on bonds. More flexibility is afforded by standard affine models within the sub-families $A_m(N)$ with $m < N$. To be concrete, let $N = 2$ and $m = 1$, so that $Y' = (Y_1, Y_2)$ with factor variances $$[S(t)]_{11} = Y_1(t), \quad [S(t)]_{22} = \alpha_2 + \beta_2 Y_1(t); \tag{15}$$ the volatilities of both state variables are driven by $Y_1$, which follows a square-root process. Substituting (15) into (13), we obtain $$\Lambda(t)' = \left( \sqrt{Y_1(t)} \ell_{01}, \sqrt{\alpha_2 + \beta_2 Y_1(t)} \ell_{02} \right). \tag{16}$$ As long as $\alpha_2 \neq 0$, then the market prices of risk affect both the mean and persistence of $Y$ under the risk-neutral measure. This same logic extends more generally to the case of models in $A_m(N)$ with $0 < m < N$ and $\alpha_i \neq 0$ for some $m < i \leq N$. Additional flexibility in matching $LPEH$ is obtained by, following Duffee (1999), extending the specification of $\Lambda(t)$ in $A_m(N)$ models to satisfy $$\Sigma \sqrt{S(t)} \Lambda(t) = \begin{pmatrix} 0_{m \times 1} \\ \lambda_{02} \end{pmatrix} + \begin{pmatrix} \lambda^Y_{11} & 0 \\ \lambda^Y_{21} & \lambda^Y_{22} \end{pmatrix} Y(t), \tag{17}$$ where $\lambda_{02}$ is an $(N-m) \times 1$ vector, $\lambda^Y_{11}$ is a $m \times m$ diagonal matrix, $\lambda^Y_{21}$ and $\lambda^Y_{22}$ are $m \times (N-m)$ and $(N-m) \times (N-m)$ matrices (all constants), and it is presumed that $\inf(\alpha_i + \beta_i' Y_1(t)) > 0$ for $i = m + 1, \ldots, N$. Both formulations (16) and (17) will be examined empirically for our illustrative two-factor ($N = 2$) models in Section 5. Another family of $DTSM$s with the potential to resolve $LPEH$ is the family of $N$-factor quadratic-Gaussian models with the instantaneous short rate $r_0$ given by $r_0(t) = a_0 + Y'b_0 + Y'c_0 Y$, where $c_0$ is an $N \times N$ symmetric matrix of constants and $Y$ follows the Gaussian special case of (11) with $S(t) = I_N$. Ahn et al. (2000) show that the market price of risk in their canonical $N$-factor quadratic-Gaussian model takes exactly the same form as (14). Thus, qualitatively, this model inherently gives the requisite flexibility to resolve $LPEH$. A natural question at this juncture is: What are the economic underpinnings of our parameterization of $\Lambda_t$ in (14)? Following are two possible structural underpinnings of this affine parameterization within a one-factor Gaussian setting. First, it turns out that McCallum (1994)'s resolution of the $EH$ puzzle based on the behavior of a monetary authority is substantively equivalent to our affine parameterization of $\Lambda_t$. McCallum (1994) starts by exogenously specifying the yield premium as an AR(1) process, and the riskless rate process as an AR(1) process, augmented by a linear policy reaction rule: $r_t = \sigma r_{t-1} + \lambda(R_t - r_t) + \zeta_t$, where the first term is a mean-reverting, or “smoothing” component, the second term is a “policy reaction” component with $0 \leq \lambda \leq 2$ to rule out bubble solutions, and $\zeta_t$ is a policy shock. Under the assumptions that (i) $\sigma = 1$ (which is the case studied by Kugler (1997)), and (ii) the bond yield is linear in the short rate (i.e., $R_t = b_0 + b_1 r_t$), the monetary policy rule implies that $r_t$ is an AR(1) process with mean reversion coefficient $\kappa = (1 - b_1)\lambda/[1 + (1 - b_1)\lambda]$. Supposing that $r$ is also AR(1) under the risk-neutral measure (with mean reversion coefficient $\tilde{\kappa}$), then $b_1 \approx 1 - \tilde{\kappa}/2$ and $\lambda \approx 2\kappa/\tilde{\kappa}$. Thus, the condition $0 \leq \lambda \leq 2$ translates into the condition $\tilde{\kappa} \geq \kappa > 0$. In other words, the constraints on $\lambda$ that produce McCallum’s “policy reaction” interpretation of interest rate behavior are equivalent to our state-dependent formulation of the market price of risk.\footnote{The special case of $\lambda = 2$ corresponds to the case of $\alpha_n \equiv 0$ in our model of risk premia, or to the case of $\lambda_Y = 0$ (constant market price of risk) in our dynamic model. In this special case, the monetary authority induces mean reversion in the short rate, but does not induce a differential in the speeds of mean reversion under the physical and the risk neutral measures. Consequently, the risk premia is constant.} An alternative motivation comes from the general equilibrium production economy with stochastic habit formation studied in Dai (2000). He shows that, in a neoclassical setting of consumption, saving, and wealth accumulation with risky production, if an infinitely lived representative agent has a time-nonseparable preference induced by stochastic habit formation, then the correlation between the stochastic interest rate and Sharpe ratio of the risky production technology is necessarily negative under very general economic assumptions. This negative correlation resolves the LPEH puzzles. The models with affine, state-dependent market price of risk studied here can be interpreted as zeroth-order approximations to the interest rate dynamics implied by Dai’s model. ## 4 LPEH and One-Factor Models To illustrate the potential of certain affine and quadratic-Gaussian models to resolve the LPEH puzzle, we proceed in this section to calibrate one-factor models and verify that LPY is in fact matched. The case of the one-factor Gaussian model is particularly revealing of the importance of our state-dependent formulation of the risk premium, since the EH restrictions are true under the standard Gaussian model with constant premium. ### 4.1 Econometric Strategy Our strategy for assessing whether a specific one-factor model can match LPEH is to estimate the model parameters using the moment equations (9) and (21); compute the model-implied $p_t^n$ and $c_t^n$, evaluated at the estimated parameters; and, finally, to examine whether the sample counterparts to the term structures of projection coefficients $$d_n^y \equiv \frac{\text{cov}(R_{t+1}^{n-1} - R_t + D_{t+1}^/(n-1), (R_t^n - r_t)/(n-1))}{\text{var}((R_t^n - r_t)/(n-1))}$$ are statistically different from a horizontal line at 1. Finding a model for which the fitted $d_n^y$ do not differ significantly from one resolves the LPY puzzle, because it is the model-implied risk premiums that determine the $D_{t+1}^$. More concretely, to explore the links between DTSMs and LPY, we focus on forward term premiums. This is equivalent (see footnote 18) to parameterizing the dependence of $e_t^n = E_t[D_t^n]$ on agents information set, as in Fama (1984a) and Fama and Bliss (1987). Moreover, from (2) and (8), we can write $$E_t \left[ R_{t+1}^{n-1} - R_t^n \right] = \frac{1}{n-1}(R_t^n - r_t) + E_t \left[ c_{t+1}^{n-1} - c_t^{n-1} \right] - \frac{1}{n-1}p_t^{n-1}. \quad (19)$$ Thus, given parameterizations of the $p_t^n$, we have fully determined the yield projections as well. As shown formally in appendices, all of our illustrative models imply $p_t^n$ that are special cases of $$p_t^n = \delta_n + \alpha_n (f_t^n - r_t) + \beta_n r_t,$$ (20) where the $(\delta_n, \alpha_n, \beta_n)$ are model-dependent functions of the underlying primitive parameter vector $\varsigma$ describing the state vector and the dependence of $r_0(t)$ and $\Lambda(t)$ on $Y(t)$. For the one-factor extended and quadratic Gaussian models, calibration is based on the moment equation (see footnote 19) $$E_t[f_{t+1}^{n-1} - r_t] - (f_t^n - r_t) + (E_t[p_{t+1}^n] - p_t^n) \equiv E_t[u_{t+1}] = 0.$$ (21) For these models, the risk premium parameters $\alpha_n$ and $\beta_n$ turn out to depend only on the scalar parameters $\kappa$ and $\lambda^Y$. However, $\delta_n$ depends, as well, on other parameters of our illustrative models. Therefore, we proceed by “concentrating” out $\delta_n$ from the empirical analysis using the observation that (20) and the assumption of stationarity imply $$\delta_n = (1 - \alpha_n)E[f_t^n - r_t] - \beta_n E[r_t].$$ (22) Thus, if the model is correctly specified, $\delta_n$ can be inferred from $(\alpha_n, \beta_n)$ and the sample means of the forward-spot spread and one-period short rate. We estimate $\kappa$ and $\lambda^Y$ using the moment conditions $$E[u_{t+1}^n z_t] = 0, \text{ with } z_t = (f_t^n - r_t, r_t)', n = 6, 12, 24, 60, 84, 120.$$ (23) Only a subset of the maturities between 1 and 120 months are used because the smoothed Fama-Bliss dataset is interpolated. As a goodness-of-fit statistic we use the minimized value of the GMM objective function (Hansen (1982)). This procedure essentially forces our one-factor models to match UMY, while ignoring the restrictions implicit in the dependence of $\delta_n$ on the primitive parameters of the model, say $\varsigma$. Two motivations for starting with this approach are: (1) it highlights the roles of the model parameters $\lambda^Y$ and $\kappa$ in resolving LPY, and (2) we know a priori that all of the parameters in $\varsigma$ other than $\kappa$ and $\lambda^Y$ are available for matching UMY (as well as other features of the distributions of bond yields). These parameters include $\lambda^0$ and the long-run mean $\theta$ of $Y$. After showing that our extended Gaussian models match LPY with the $\delta_n$ concentrated out, we then show that $\lambda^0$ and $\theta$ (and hence the model-implied $\delta_n$) can be chosen so that these models also match the mean yield curve (UMY) almost perfectly, except for the very shortest maturities. ### 4.2 Calibration of One-Factor Gaussian Models In the one-factor Gaussian DTSM the instantaneous short rate is given by $r_{0t} = a_0 + b_0 Y_t$, and $Y_t$ follows a one-dimensional Gaussian process (11) with $N = 1$, $S(t) = 1$, and $\Sigma = 1$.\footnote{The latter is a normalization, imposed without loss of generality (Dai and Singleton (2000)).} The linearity of our one-factor Gaussian model implies that the yield and forward risk premiums are both affine in $Y$; equivalently, they are affine in any yield or yield spread that is itself affine in $Y$. To facilitate interpretation and comparison with Fama’s analysis, we represent $p^n_t$ as in (20) with $\beta_n = 0$ and \begin{align} \alpha_n &= \frac{e^{-\kappa n \Delta} - e^{-\tilde{\kappa} n \Delta}}{1 - e^{-\tilde{\kappa} n \Delta}}, \\ \delta_n &= (1 - \alpha_n)(A^\Delta_n - a_1) + (1 - \alpha_n)(B^\Delta_n - b_1)\theta, \end{align} where $\tilde{\kappa} = \kappa + \lambda^Y$ is the mean reversion coefficient under the risk neutral measure, $\Delta$ is the length of each period, $A^\Delta_n$ and $B^\Delta_n$ are the intercept and the factor loading on the one-period forward rate delivered $n$ periods hence, and $a_1$ and $b_1$ are the intercept and the factor loading on the one-period zero coupon yield (the short rate). The precise definitions of these loadings in terms of basic model parameters are given in Appendix A. This one-factor model maps directly, using (7), to Fama (1976)’s regression model of excess returns, which implicitly assumes that, in our notation, $E[D^n_{t+1}\|f^n_t - r_t] = E[D^{yn}_{t+1}\|f^n_t - r_t]$ is linear in $f^n_t - r_t$. Of course Fama does not impose the dynamic restrictions (24) and (25), because (20) (with $\beta_n = 0$) is essentially the starting point of his empirical analysis. The estimates $(\hat{\kappa}, \hat{\lambda}^Y)$ are $(0.0012, 0.0008)$ with asymptotic standard errors $(0.029, 0.019)$, respectively. Though both $\kappa$ and $\lambda^Y$ are statistically insignificant individually, the ratio $\frac{\lambda^Y}{\kappa}$ is significant: the point estimate of the ratio is 0.6577 with standard error 0.2967. This finding seems to be a consequence of the fact that, when both $\kappa$ and $\lambda^Y$ are very small, $\alpha_n$ is almost independent of $n$ and is well approximated by $\frac{\lambda^Y/\kappa}{1 + \lambda^Y/\kappa}$. Thus, in the region around the converged estimates of $\kappa$ and $\lambda^Y$, the GMM objective function is essentially flat along the hyperplane defined by $\lambda^Y = 0.6577\kappa$. The GMM test statistic is $\chi^2(10) = 2.52$ so the overidentifying restrictions are not rejected. Figure 1 displays the estimated slope coefficients $\hat{d}^y_n$ implied by the one-factor model. For comparison, we have also plotted the estimated $d^y_n$ from Table 1, obtained under the null hypothesis that $p^n_t$ is constant for all $n$. For all but the shortest maturities, $\hat{d}^y_n$ lie within one sample standard error of one.\footnote{These standard error bands reflect the sampling variation of the parameter estimates, but not of the sample moments used in estimating $\hat{d}^y_n$. Accounting for the latter would most likely widen these bands.} We conclude that a one-factor Gaussian DTSM with affine dependence of the market prices of risk on the state variable $Y$ potentially generates a risk premium specification that is consistent with the historical patterns LPY. Put differently, our (calibrated) adjustments for risk premiums move the EH projection coefficients $d^y_n$ from values significantly below one to fitted values for $\hat{d}^y_n$ that are largely insignificantly different from one. It remains to explore the abilities of the model to match the average slope of the yield curve (UMY), conditional on the values of $\kappa$ and $\lambda^Y$ that match LPY. This does not present a serious challenge for the one-factor Gaussian model, because the three parameters $\theta$, $\lambda^0$, and $\sigma$ have not been used in matching LPY. In the one-factor Gaussian model, the population mean of a zero coupon yield with maturity $n$ months is given by (see Appendix A.2) $$\bar{R}^n = a_n + b_n \theta,$$ (26) where, with $\Delta = \frac{1}{12}$, $\tilde{\kappa} = \kappa + \lambda^Y$, $\tilde{\theta} = \tilde{\kappa}^{-1}(\kappa\theta - \lambda^0)$, and $$a_n = (1 - b_n) \left( \tilde{\theta} - \frac{\sigma^2}{2\tilde{\kappa}^2} \right) + \frac{\sigma^2}{4\tilde{\kappa}}b_n^2n\Delta, \quad b_n = \frac{1 - e^{-\tilde{\kappa}n\Delta}}{\tilde{\kappa}n\Delta}. \tag{27}$$ We proceed with the values of $\kappa$ and $\lambda^Y$ used to match $LPY$. We estimate $\sigma$ from the sample volatility of the monthly changes of the one-month yield: $\sigma = \sqrt{12}std(r_t - r_{t+1})$, thereby imposing the discipline of matching the sample volatility of the short-term rate. We then calibrate $\lambda^0$ and $\theta$ jointly so that the $\bar{R}_t^n$ match their sample counterparts as closely as possible in the sense of mean-squared errors. This results in the parameter values $\kappa = 0.0012$, $\lambda^Y = 0.0008$, $\sigma = 2.638\%$, $\theta = 7.309\%$, and $\lambda^0 = -0.0049$. Figure 2 plots the historical sample mean of the zero yield curve (circles) and its model-implied counterpart (solid line). We see that the mean curve generated from the model is almost on top of the sample mean curve. The most notable discrepancies are at the short end: the average 1-month yield is about 6.9%, whereas the model implies a mean of 7.3%. 4.3 Calibration of One-Factor Quadratic-Gaussian Models Shifting attention to the quadratic-Gaussian models, the zero coupon bond price $P(t, \tau)$ is given by $$-\log P(t, \tau) = A(\tau) + Y'B(\tau) + Y'C(\tau)Y$$ \hspace{1cm} (28) where $$B(\tau) = \left( \frac{\tilde{\kappa}}{\Gamma} e^{\Gamma\tau} - 1 \right) Q(\tau) b_0 + \left( \frac{2\tilde{\kappa}\tilde{\theta}}{\Gamma} e^{\Gamma\tau} - 1 \right) Q(\tau) c_0$$ \hspace{1cm} (29) $$C(\tau) = Q(\tau) c_0$$ \hspace{1cm} (30) $$Q(\tau) = \frac{e^{2\Gamma\tau} - 1}{(\Gamma + \tilde{\kappa})(e^{2\Gamma\tau} - 1) + 2\Gamma},$$ \hspace{1cm} (31) with $\Gamma^2 = \tilde{\kappa}^2 + 2c_0\sigma^2$. The expected short rate is $$E_t[r_{t+n}] = \mu_n + \nu_n Y_t + \omega_n Y_t^2,$$ \hspace{1cm} (32) with the coefficients expressed as functions of the primitive parameters in Appendix B. Letting $a_1 = A(\Delta)/\Delta$, $b_1 = B(\Delta)/\Delta$, $c_1 = C(\Delta)/\Delta$, and $H^\Delta_n \equiv [H((n+1)\Delta) - H(n\Delta)]/\Delta$ for any coefficient $H$, we show in Appendix B that the forward risk premiums in this model can be expressed as in (20) with coefficients \[ \alpha_n = 1 - \frac{\nu_n/b_1 - \omega_n/c_1}{B^\Delta_n/b_1 - C^\Delta_n/c_1} \tag{33} \] \[ \beta_n = (B^\Delta_n/b_1 - \nu_n/b_1) - (B^\Delta_n/b_1 - 1)\alpha_n. \tag{34} \] Thus, the one-factor quadratic Gaussian model implies “two-factor” risk premium model in that $ p^n_t $ depends linearly on both $ f^n_t $ and $ r_t $. In fact, the forward risk premiums in the two-factor, extended Gaussian and one-factor quadratic-Gaussian models have the same structure (see Section 5), but they are not identical because the dynamic restrictions imposed on the parameters $ \alpha_n $ and $ \beta_n $ are different. Figure 3: Linear vs Quadratic Gaussian Models* Model-implied estimates of forward projections coefficients $ \tilde{d}^f_n $ from the one-factor Gaussian and quadratic-Gaussian DTSMs. ![Graph showing forward projection coefficients](image) Figure 3 displays the forward-rate projection coefficients $ \tilde{d}^f_n $ implied by the one-factor quadratic-Gaussian model estimated with the same moments used in estimating the one- and two-factor Gaussian models. We see that the quadratic-Gaussian model also does a good job of matching the pattern LPF at all but the shortest maturities. What is perhaps most striking about Figure 3 is that the estimated $ \tilde{d}^f_n $ from the one-factor extended Gaussian and quadratic-Gaussian DTSMs are virtually on top of each other. In other words, with regard to their abilities to match $LPEH$, these two one-factor models perform equally well. Evidently, for the purpose of matching $LPF$, the dynamic restrictions implicit in (20) for the one-factor quadratic-Gaussian model are more restrictive than those in the two-factor Gaussian model. The reason that the one-factor extended Gaussian and quadratic-Gaussian models give virtually the same results is that the estimated mean reversion coefficients and the quadratic constant $c_0$ are small.\footnote{Strictly speaking, the quadratic model does not nest the one-factor Gaussian model, since in the limit as $c_0 \to 0$ the forward risk premium model implied by the quadratic model maintains its two-factor structure, but with $f^n_t - r_t$ and $r_t$ being perfectly collinear. Consequently, $\alpha_n$ and $\beta_n$ are not identified in this limiting case.} \section{$LPEH$ and Two-Factor Models} The preceding calibration of one-factor models, while demonstrating that $LPEH$ can be matched by choice of admissible parameters in certain $DTSMs$, leaves open the question of whether we can \textit{simultaneously} match the patterns of $LPEH$ and other, higher-order moments of yield distributions. We turn next to a more demanding assessment of two-factor affine $DTSMs$ by computing maximum likelihood ($ML$) estimates of models within the families $A_0(2)$ and $A_1(2)$ and examining whether the implied risk premiums, computed at the $ML$ estimates, resolve the $LPEH$ puzzles. Our shift to two-factor models is in recognition of the widely documented observation that more than one risk factor is necessary to describe yield curve dynamics. Extending our analysis to more than two factors would, of course, only increase the flexibility we would have in matching $LPEH$ (and other features of yield distributions) at $ML$ estimates of affine models. All of the models examined have $r(t) = Y_1(t) + Y_2(t)$ and the state-vector $Y$ following special cases of the bivariate diffusion: \begin{align} dY_1(t) &= \kappa_{11}(\theta_1 - Y_1(t)) \, dt + \sigma_{11} \sqrt{\alpha_1 + \beta_1 Y_1(t)} dB_1(t), \\ dY_2(t) &= [-\kappa_{21} Y_1(t) + \kappa_{22} (\theta_2 - Y_2(t))] \, dt + \sigma_{22} \, dB_2(t) \end{align} with $cov(dB_1(t), dB_2(t)) = 0$ and market prices of risk satisfying \begin{equation} \Sigma \sqrt{S(t)} \Lambda(t) = \left( \begin{array}{c} 0 \\ \lambda^0_2 \end{array} \right) + \left( \begin{array}{cc} \lambda^Y_{11} & 0 \\ \lambda^Y_{21} & \lambda^Y_{22} \end{array} \right) Y(t), \end{equation} with all of the non-zero elements of $\lambda^0$ and $\lambda^Y$ being scalars. The specific models and the constraints they impose on (35) - (36) are given in Table 2.\footnote{There are several dimensions along which these models are not “maximal” within their families ($A_0(2)$ and $A_1(2)$, respectively). In the case of the Gaussian models, we are free to relax the constraints $\lambda^Y_{12} = 0$ and $\lambda^0_1 = 0$. Upon freeing up these constraints, we found little change in the value of the log-likelihood function and virtually no improvement in matching $LPEH$ within the family $A_0(2)$. In the case of the $A_1(2)$ models, we could let the conditional variance of $Y_2$ have affine dependence on $Y_1$. However, this presents potential numerical identification problems and the likelihood function is already quite flat with the chosen set of free parameters (see Table 3), so we proceed with constant volatility $\sigma_{22}$.} the Gaussian factors and the final suffixes “U” and “C” denoting $\kappa_{21} \neq 0$ and $\kappa_{21} = 0$, respectively (uncorrelated and correlated risk factors due to feedback in the drift). The last four models have $Y_1$ following a square-root process and $Y_2$ following a Gaussian process. The suffix “CG” means that the second, Gaussian factor has a constant (state-independent) risk premium. Table 2: Two-Factor Affine Models and Their Constraints \| Model \| Constraints \| \|----------------\|--------------------------------------------------\| \| $A_0(2)$SG-U \| $\alpha_1 = 1$, $\beta_1 = 0$, $\kappa_{21} = 0$ \| \| $A_0(2)$SG-C \| $\alpha_1 = 1$, $\beta_1 = 0$ \| \| $A_1(2)$CG-U \| $\alpha_1 = 0$, $\beta_1 = 1$, $\kappa_{21} = 0$, $\lambda^Y_{21} = 0$, $\lambda^Y_{22} = 0$ \| \| $A_1(2)$CG-C \| $\alpha_1 = 0$, $\beta_1 = 1$, $\lambda^Y_{21} = 0$, $\lambda^Y_{22} = 0$ \| \| $A_1(2)$SG-U \| $\alpha_1 = 0$, $\beta_1 = 1$, $\kappa_{21} = 0$ \| \| $A_1(2)$SG-C \| $\alpha_1 = 0$, $\beta_1 = 1$ \| The ML estimates, their estimated standard errors, and the values of the log-likelihood functions are displayed in Table 3.\footnote{Estimation of the $A_0(2)$ models is a standard likelihood problem. Full information, maximum likelihood estimates of the $A_1(2)$ models were obtained using the methods proposed by Pedersen and Singleton (1999). They exploit the affine structure of the model to approximate the true, unknown conditional density of $Y$ and use this approximate density function in constructing the likelihood function of the data. In all cases, standard errors were computed using the sample “outer product” of the scores of the log-likelihood function. For most cases, comparable standard errors were obtained from the sample Hessian matrix.} All of the models have one factor (the first) mean reverting faster than the other (second) factor, consistent with previous empirical studies of two-factor models. For the most flexible “SG-C” models with each of the families $A_0(2)$ and $A_1(2)$, both risk factors show substantial mean reversion under the physical measure. However, the rates of mean reversion of the second factor under the risk-neutral measure ($\kappa_{22} + \lambda^Y_{22}$) are relatively much slower (0.0025 and 0.0025, respectively). Another notable feature of these estimates is that in all cases where $\kappa_{21}$ is a free parameter, $\kappa_{21}$ is estimated to be substantially negative implying that feedback through the drift matrix $\kappa$ induces negative correlation among the two factors.\footnote{In our analysis of three-factor models for swap rates (Dai and Singleton (2000)) we also found that allowing for negative correlations among the risk factors substantially improved the fits of standard affine models to the conditional distributions of yields, including the conditional means (yield forecastability).} Importantly, within the family $A_N(N)$, and in particular $A_2(2)$, with all $N$ factors driving volatilities (CIR-style models), it is theoretically impossible to accommodate this negative feedback (Dai and Singleton (2000)). Therefore, the fact that the data calls for negatively correlated factors rules out a priori consideration of this family of models. This limitation of the $A_2(2)$ family may partially explain why Roberds and Whiteman (1999) were unable to match LPEH with a two-factor CIR-style model. Feedback in the drift is not the only source of factor correlations under the risk-neutral measures, however. With $\lambda^Y_{21} \neq 0$, the state-dependence of the risk premiums for the second Gaussian factor is a second source of factor correlation. Interestingly, in the $A_0(2)$SG-U model with $\kappa_{21} = 0$, $\lambda^Y_{21} < 0$ so the state dependence of the second risk premium induces negative correlation under the risk-neutral measure even though it is absent under the physical measure. On the other hand, in the $A_0(2)$SG-C model with $\kappa_{21} \neq 0$, $\lambda^Y_{21} > 0$ so the latter state dependence tends to mitigate the negative correlation under the physical measure. Finally, in the case of model $A_1(2)$SG-C, the large negative value of $\lambda^Y_{21}$ induces substantially more negative correlation under the risk-neutral measure than (the negative correlation) under the physical measure. Table 3: ML Estimates of the Two-Factor Affine Models (Standard errors are in parenthesis.) \| Parameter \| $A_0(2)$SG-U \| $A_0(2)$SG-C \| $A_1(2)$CG-U \| $A_1(2)$CG-C \| $A_1(2)$SG-U \| $A_1(2)$SG-C \| \|-----------\|--------------\|--------------\|--------------\|--------------\|--------------\|--------------\| \| $\theta_1$ \| 0.00001 \| 0.00001 \| 0.0425 \| 0.0447 \| 0.0425 \| 0.0452 \| \| \| (.001) \| (.001) \| (.005) \| (.006) \| (.010) \| (.007) \| \| $\theta_2$ \| 0.0702 \| 0.0672 \| -0.0021 \| 0.0114 \| 0.0212 \| 0.0224 \| \| \| (.014) \| (.016) \| (1.05) \| (.851) \| (.021) \| (.004) \| \| $\kappa_{11}$ \| 0.6489 \| 0.6500 \| 0.9373 \| 0.7513 \| 0.9372 \| 0.4887 \| \| \| (.211) \| (.209) \| (.110) \| (.097) \| (.114) \| (.132) \| \| $\kappa_{21}$ \| * \| -0.2353 \| * \| -0.2591 \| * \| -0.1666 \| \| \| (.078) \| \| (.029) \| \| \| (.040) \| \| $\kappa_{22}$ \| 0.1217 \| 0.1219 \| 0.0020 \| 0.0024 \| 0.1231 \| 0.3434 \| \| \| (.038) \| (.001) \| (.001) \| (.001) \| (.086) \| (.067) \| \| $\sigma_{11}$ \| 0.0236 \| 0.0236 \| 0.1092 \| 0.1032 \| 0.1092 \| 0.0995 \| \| \| (.0005) \| (.0005) \| (.004) \| (.003) \| (.009) \| (.003) \| \| $\sigma_{22}$ \| 0.0101 \| 0.0099 \| 0.0116 \| 0.0084 \| 0.0116 \| 0.0053 \| \| \| (.001) \| (.0007) \| (.0003) \| (.0003) \| (.0004) \| (.001) \| \| $\lambda^Y_{11}$ \| 0.0900 \| 0.0877 \| -0.2173 \| -0.0446 \| -0.2169 \| 0.2207 \| \| \| (.211) \| (.210) \| (.106) \| (.091) \| (.106) \| (.040) \| \| $\lambda^Y_{21}$ \| -0.1080 \| 0.1126 \| * \| * \| * \| -0.6776 \| \| \| (.079) \| (.121) \| \| \| \| (.272) \| \| $\lambda^Y_{22}$ \| -0.1192 \| -0.1194 \| * \| * \| -0.1211 \| -0.3409 \| \| \| (.037) \| (.050) \| \| \| (.009) \| (.067) \| \| $\lambda_{02}$ \| 0.0072 \| 0.0069 \| -0.0014 \| -0.0125 \| 0.0001 \| -0.0005 \| \| \| (.003) \| (.003) \| (.002) \| (.002) \| (.0008) \| (.003) \| \| Likelihood \| 36.547 \| 36.557 \| 36.668 \| 36.712 \| 36.670 \| 36.733 \| The model-implied $\tilde{d}_n^y$ from the $A_0(2)$ and $A_1(2)$ models are displayed in Figures 4 and 5, respectively, along with the historical results from Table 1 (“Historical Campbell-Shiller”). Recall that if the model-implied risk premiums are well matched to those of the data-generating process, then the term structure of estimated $\tilde{d}_n^y$ should be a horizontal line at unity. Within the Gaussian family $A_0(2)$, allowing for state-dependent risk premiums substantially improves the model’s ability to match $LPEH$: compare the “Historical Campbell-Shiller” result (the Gaussian model with constant term premiums) to the result for the Gaussian “SG-U” model. Allowing for non-zero factor correlations (SG-C) further improves the fit, but even this model seems to not fully resolve $LPEH$. More success at matching $LPEH$ is obtained within the family $A_1(2)$ that accommodates stochastic volatility. Again, there is a substantial improvement of fit to $LPEH$ by allowing for negatively correlated factors. Moreover, when an extended, state-dependent risk premium is introduced for the second, Gaussian factor and the factors are correlated, the $A_1(2)$SG-C model matches the maturity structure of $LPY$ virtually perfectly for maturities longer than two to three years.\footnote{This matching does not, of course, presume that there is no small-sample bias in these projection coefficients. In fact, from previous studies of both yield regressions and dynamic factor models we know that estimates of conditional means tend to be biased in small samples. We do not expect the bias in one of the estimates of $\hat{d}_n^y$ to be notably different from the others. Therefore, we view the differences in these figures as arising largely from differences in the dynamics of yields implied by different affine models.} We conjecture that a three-factor model within the families $A_1(3)$ or $A_2(3)$ would have the requisite additional flexibility to match $LPY$ at maturities under two years as well, at least down to six months or so. At the very short end of the treasury yield curve, Duffee (1996) shows that there are significant institutional/liquidity effects that could affect yield projections. Longstaff (2000) finds that, for very short-term generic repo rates, which are less encumbered by liquidity effects, there is little evidence against the $EH$. The third factor in empirical affine three-factor models typically has the fastest rate of mean reversion leading its influence on yield curve movements to die out relatively quickly (see, e.g., Chen and Scott (1993), Dai and Singleton (2000), and Duffee (1999)) so we do not believe that our basic findings on the maturity patterns of $LPEH$ for longer-term rates will be materially affected by the inclusion of a third factor. If anything, a third factor should only improve a model’s matching ability. Figure 5 for the $A_1(2)$ family also sheds light on the relative importance of a state-dependent risk premium for $Y_2(t)$ and allowing for (negatively) correlated factors in matching $LPEH$. Starting with model $A_1(2)CG-U$, we see that having the standard state-dependence of the risk premium for the CIR-style factor $Y_1(t)$ gives virtually no improvement in fit to $LPY$ over a model with constant risk premiums in which $EH$ is true. Model $A_1(2)SG-U$ introduces state-dependence of the risk premium for $Y_2(t)$ by having $\lambda_{22}^Y \neq 0$, but $\lambda_{21}^Y = 0$ so this model completely rules out factor correlation (through both the drift matrix $\kappa$ and risk premium matrix $\lambda_Y$). We see that own state-dependence of the risk premium for $Y_2(t)$ leads to a modest improvement in fit to $LPY$. On the other hand, model $A_1(2)CG-C$ allows for factor correlation induced only by $\kappa_{21} \neq 0$, while forcing state-independence of the risk premium for $Y_2(t)$. Interestingly, this parameterization largely eliminates the puzzling negative projection coefficients. Thus, for matching $LPY$ within this family of $DTSMs$, negative factor correlation through the drift seems more important than own state-dependence of the second risk premium. This observation is also likely to be relevant to Duffee’s analysis of the forecasting performances of alternative affine models. His reference “completely” affine model is the $A_3(3)$ model with risk premium parameterization (13). Since this model rules out negative factor correlations, his assessment of the improvement in forecasting power of affine models with risk premium specification (13) over those with specification (17) is likely to be exaggerated. Negative factor correlation through $\kappa$ alone is not sufficient to match $LPY$, however. The results for model $A_1(2)SG-C$ show that allowing the extra flexibility and amplified negative correlation that comes from having $\lambda_{21}^Y < 0$ is necessary to match $LPY$. Figure 4: Model Implied Estimates of $\tilde{d}^y_n$ from the $A_0(2)$ models. Figure 5: Model Implied Estimates of $\tilde{d}^y_n$ from the $A_1(2)$ models. 6 Conclusion We began this exploration of expectations puzzles with the conjecture that richer parameterizations of risk premiums – parameterizations that have the risk premiums affecting both the drifts and rates of mean reversion of the state variables – will give the requisite flexibility for matching $LPEH$. For several of the popular families of one-factor $DTSM$s, we showed that this is indeed the case as these models were calibrated to match $LPEH$ quite closely. We then took up the more demanding challenge of formulating models that match $LPEH$ and at the same time match other features of the conditional distributions of bond yields as summarized by the scores of the model-implied log-likelihood functions. Focusing on the case of two-factor affine models, we showed that a “mixed” Gaussian-square-root diffusion model with correlated factors and state-dependence of both risk premiums fully resolved the Campbell-Shiller expectations puzzles \textit{at the maximum likelihood estimates for this model}. In the process, several observations about the empirical fits of affine and quadratic-Gaussian models emerged. First, since quadratic-Gaussian and “extended” Gaussian affine models have the same structure of their risk premiums, they are both capable in principle of matching $LPEH$. In our calibration exercise, we found that one-factor versions of these models perform equally well in this regard. However, in our maximum likelihood analysis of two-factor affine models, we found that the Gaussian models with state-dependent risk premiums did not match $LPEH$ as well as an affine model with stochastic volatility introduced through a CIR-style factor. Seemingly central to the goodness-of-fit of the latter $A_1(2)$ model was the negative correlation among the two factors. In fact, simply allowing for negative correlation in a standard $A_1(2)$ model with constant risk premium for the Gaussian factor took us a long way (though not all the way) toward resolving $LPEH$. We do not presume that all of the important features of the conditional distributions of bond yields are captured by a two-factor model. The widely cited analysis of three factors by Litterman and Scheinkman (1991), and our failure to match the maturity structure of $LPY$ at the very short end of the maturity spectrum, suggest otherwise. Extending our analysis to three (or more factors) is an interesting topic for future research. Such extensions would bring more flexibility in matching $LPEH$, because of their richer correlation structures through their drifts and through state-dependence of the risk premiums.\footnote{The findings in Duffee (1999) that three-factor models with state-dependent risk premiums on the (conditionally) Gaussian factors out-forecast their affine counterparts with state-independent premiums suggests that the latter source of flexibility will remain important in matching $LPEH$.} Our focus on affine and quadratic-Gaussian models is motivated by the historical importance of these models. We conjecture that there is a much larger class of $DTSM$s with the key features of the risk premiums outlined above that will also match $LPEH$. One such family is obtained by combining a standard affine model with a Markov switching process as in Bansal and Zhou (2000).\footnote{Bekaert et al. (1997b) also explore “peso problem” interpretations of the failure of the expectations hypothesis by positing a regime switching model for the short rate and exploring the implications for the Campbell-Shiller regressions.} From Naik and Lee (1997), for the case of CIR-style models with shifts only in the long-run mean of a square-root diffusion, we know that Markov switching introduces additional free parameters (only) into the “intercept” weights $A(\tau)$ in the pricing relation $\log P(t,\tau) = A(\tau) + B(\tau)'Y(t)$ (see Evans (2000) for the analogous result for discrete-time CIR-style models). Thus, among other things, introducing regime switching into an otherwise standard affine model has the effect of giving the model more flexibility to match both the long-run mean of yields (influenced by the $A(\tau)$) and their correlation structure (determined by the $B(\tau)$). Another family of DTSMs that might resolve LPEH are the models proposed by Duarte (1999) in which the state vector follows the affine diffusion (11) and $\Lambda(t) = \sqrt{S(t)}\ell_0 + \Sigma^{-1}c$, for some constant $N$-vector $c$. The only state-dependence of $\Lambda(t)$ in Duarte’s model is through the factor volatilities. We also defer to future research the question of whether these models generate the maturity pattern of LPY, while matching other features of the conditional distributions of bond yields. Appendices A Multi-factor Gaussian Model – Some Basic Facts This appendix outlines the basic features of Gaussian DTSMs that we use in our analysis. Assume that the instantaneous short rate $r_0(t)$ is a linear function of the $N \times 1$ state vector $Y(t)$: $$r_0(t) = a_0 + Y(t)'b_0,$$ where $a_0$ is a constant, and $b_0$ is a $N \times 1$ vector. The state dynamics under the physical measure is given by $$dY(t) = \kappa(\theta - Y(t))dt + \sigma dW(t),$$ where $\kappa$ and $\sigma$ are $N \times N$ matrices and $\theta$ is a $N \times 1$ vector. The market price of risk$^{31}$ is given by $$\Lambda(t) = \sigma^{-1}(\lambda^0 + \lambda^Y Y(t)),$$ where $\lambda^0$ is a $N \times 1$ vector and $\lambda^Y$ is a $N \times N$ matrix of constants. If the Girsanov’s theorem applies,$^{32}$ the risk neutral dynamics of the state vector is given by $$dY(t) = \tilde{\kappa}(\tilde{\theta} - Y(t))dt + \sigma d\tilde{W}(t),$$ where $\tilde{\kappa} = \kappa + \lambda^Y$ and $\tilde{\theta} = \tilde{\kappa}^{-1}(\kappa\theta - \lambda^0)$. We assume that $\kappa$ can be decomposed as $\kappa = X^{-1}\kappa_dX$, where $\kappa_d$ is a diagonal matrix with strictly positive diagonal elements $\kappa_i$, $1 \leq i \leq N$, $X$ is a non-singular real matrix, with diagonal elements normalized to 1.$^{33}$ Similarly, we assume that $\tilde{\kappa}$ can also be decomposed as $\tilde{\kappa} = \tilde{X}^{-1}\tilde{\kappa}_d\tilde{X}$, where $\tilde{\kappa}_d$ is diagonal with diagonal elements $\tilde{\kappa}_i$, $1 \leq i \leq N$, and $\tilde{X}$ is a non-singular normalized matrix. The relevant properties of the Gaussian model we need for later development are the following. First, the conditional mean of the state vector is given by $$E[Y(t + \tau)\|Y(t)] = e^{-\kappa\tau}Y(t) + (I - e^{-\kappa\tau})\theta.$$ The conditional variance is given by $$\text{Var}(Y(t + \tau)\|Y(t)) = X^{-1}\Omega(\tau)X'_{-1},$$ $^{31}$The pricing kernel is given by $$\frac{dM(t)}{M(t)} = -r_0(t)dt + \Lambda(t)dW(t).$$ $^{32}$See Appendix C for a proof that this is indeed the case. $^{33}$Alternatively, one could normalize the Euclidean length of each column vector of $X$ to 1. If $\sigma$ is completely free, then we can choose to normalize $\kappa$ to be diagonal. In which case, we set $X \equiv I$. where \[ \Omega_{ij}(\tau) = \Sigma_{ij} \frac{1 - e^{-(\kappa_i + \kappa_j)\tau}}{\kappa_i + \kappa_j}, \] (44) \[ \Sigma = X\sigma\sigma'X'. \] (45) The zero coupon bond price and yield (with term to maturity $\tau$) are given by \[ P(t, \tau) = e^{-A(\tau) - B(\tau)'Y(t)}, \] (46) \[ R(t, \tau) = a(\tau) + b(\tau)'Y(t), \] (47) where $a(\tau) = A(\tau)/\tau$, $b(\tau) = B(\tau)/\tau$, \[ b(\tau) = (I - e^{-\tilde{\kappa}'\tau})(\tilde{\kappa}'\tau)^{-1}b_0, \] (48) \[ a(\tau) = a_0 + (b_0 - b(\tau))'\tilde{\theta} - \frac{1}{2}\text{Tr}\left[\Xi(\tau)\tilde{X}'^{-1}\tilde{\kappa}'^{-1}b_0b_0'\tilde{\kappa}^{-1}\tilde{X}^{-1}\right], \] (49) \[ \Xi_{ij}(\tau) = \tilde{\Sigma}_{ij}\left[1 - \frac{1 - e^{-\tilde{\kappa}_i\tau}}{\tilde{\kappa}_i\tau} - \frac{1 - e^{-\tilde{\kappa}_j\tau}}{\tilde{\kappa}_j\tau} + \frac{1 - e^{-(\tilde{\kappa}_i + \tilde{\kappa}_j)\tau}}{(\tilde{\kappa}_i + \tilde{\kappa}_j)\tau}\right], \] (50) \[ \tilde{\Sigma} = \tilde{X}\sigma\sigma'\tilde{X}'. \] (51) ### A.1 Risk Premiums Let us fix $\Delta$ as the length of a period, and define $a_n \equiv a(n\Delta)$, $b_n \equiv b(n\Delta)$, $A_n \equiv A(n\Delta)$, and $B_n \equiv B(n\Delta)$. We will also frequently use the short hand $t + n$ to represent $t + n\Delta$, whenever there is no confusion. Then the $n$-period zero yield is given by $R^n_t = a_n + b_nY_t$ and we let $r_t \equiv R^1_t$. The conditional mean of the short rate is given by \[ E_t[r_{t+n}] = \mu_n + Y(t)'v_n, \text{ where} \] (52) \[ \mu_n = a_1 + \theta'(I - e^{-\kappa'n})b_1 \] (53) \[ \nu_n = e^{-\kappa'n}b_1 \] (54) The one-period forward rate, delivered $n$-period hence, $f^n_t$, is given by \[ f^n_t \equiv -\frac{1}{\Delta} \ln \frac{P(t,(n+1)\Delta)}{P(t,n\Delta)} = A^\Delta_n + B^\Delta_nY(t), \] (55) where \[ A^\Delta_n \equiv \frac{A_{n+1} - A_n}{\Delta} \quad \text{and} \quad B^\Delta_n \equiv \frac{B_{n+1} - B_n}{\Delta}. \] (56) Thus, the forward risk premium is given by \[ p_t^n \equiv f_t^n - E_t[r_{t+n}] = (A_n^\Delta - \mu_n) + Y(t)'(B_n^\Delta - \nu_n), \] which is linear in the state vector. It follows that the yield risk premium, $ c_t^n $, defined by \[ c_t^n \equiv \frac{1}{n} \sum_{i=0}^{n-1} p_t^i, \] is also linear in the state vector. If we have $ N $ observed yields (or related yield curve variables, such as term spreads), we can substitute out $ Y(t) $ by these yields. This is the general procedure for obtaining an $ N $-factor risk premium model in which the forward term premium is predicted by $ N $ observed yields. ### A.2 One-factor Case The formulas for the factor loadings in the one-factor Gaussian model are \[ A(\tau) &= a_0 \tau + (\tau - B(\tau))(\tilde{\theta} - \frac{\sigma^2}{2\tilde{\kappa}^2}) + \frac{\sigma^2}{4\tilde{\kappa}}B(\tau)^2, \\ B(\tau) &= \frac{1 - e^{-\tilde{\kappa}\tau}}{\tilde{\kappa}}b_0. \] The forward-spot spread is given by \[ f_t^n - r_t = (A_n^\Delta - a_1) + (B_n^\Delta - b_1)Y(t). \] Substituting (60) into (57), we have \[ f_t^n - E_t[r_{t+n}] = \delta_n + \alpha_n(f_t^n - r_t), \] where \[ \delta_n &= \frac{A_n^\Delta - \mu_n}{B_n^\Delta - b_1}, \\ \alpha_n &= \frac{B_n^\Delta - e^{-\kappa'n\Delta}b_1}{B_n^\Delta - b_1} = \frac{e^{-\tilde{\kappa}n} - e^{-\kappa n}}{e^{-\tilde{\kappa}n} - 1} \] Since $ E[p_t^n] = E[f_t^n - r_t] $, $ \delta_n $ can be related to the sample mean of the forward spread: \[ \delta_n = (1 - \alpha_n)E(f_t^n - r_t). \] ### A.3 Two-factor Case In the two-factor model, we use the forward-spot spread and the one-period rate to back out the state vector. Since \[ f_t^n - r_t &= (A_n^\Delta - a_1) + (B_n^\Delta - b_1)'Y(t), \\ r_t &= a_1 + b_1'Y(t), \] we have \[ Y(t) = J'^{-1} \left( \begin{array}{c} f_t^n - r_t - (A_n^\Delta - a_1) \\ r_t - a_1 \end{array} \right), \] where $J$ is a $2 \times 2$ matrix formed by stacking $(B_n^\Delta - b_1)$ and $b_1$. It follows that $$p_t^n = \delta_n + \alpha_n (f_t^n - r_t) + \beta_n r_t,$$ (67) where $$\begin{pmatrix} \alpha_n \\ \beta_n \end{pmatrix} = J^{-1}(B_n^\Delta - e^{-\kappa' n \Delta} b_1),$$ (68) $$\delta_n = (1 - \alpha_n)(A_n^\Delta - a_1) - \beta_n a_1.$$ (69) Since $E[p_t^n] = E[f_t^n - r_t]$, $\delta_n$ can be related to the sample means of the forward spread and the short rate: $$\delta_n = (1 - \alpha_n)E(f_t^n - r_t) - \beta_n E(r_t).$$ (70) When the state variables are independent, we obtain $$\alpha_n = \frac{e^{-\tilde{\kappa}_1 n} - e^{-\kappa_1 n}}{e^{-\tilde{\kappa}_1 n} - e^{-\tilde{\kappa}_2 n}} - \frac{e^{-\tilde{\kappa}_2 n} - e^{-\kappa_2 n}}{e^{-\tilde{\kappa}_1 n} - e^{-\tilde{\kappa}_2 n}},$$ (71) $$\beta_n = -\left(e^{-\tilde{\kappa}_2 n} - 1\right)\alpha_n + \left(e^{-\tilde{\kappa}_2 n} - e^{-\kappa_2 n}\right).$$ (72) Similar relationship can be derived for any two-factor affine models. We refer interested readers to Dai and Singleton (2000) for details. ## B Quadratic-Gaussian Model Starting with the specification of the one-factor quadratic-Gaussian model in Section 4.3, we let $A_n \equiv A(n \Delta)$, $B_n = B(n \Delta)$, $C_n = C(n \Delta)$, $a_1 = \frac{A_1}{\Delta}$, $b_1 = \frac{B_1}{\Delta}$, $c_1 = \frac{C_1}{\Delta}$, $A_n^\Delta \equiv \frac{A_{n+1} - A_n}{\Delta}$, $B_n^\Delta \equiv \frac{B_{n+1} - B_n}{\Delta}$, and $C_n^\Delta \equiv \frac{C_{n+1} - C_n}{\Delta}$. Then the one-period short rate is given by $$r_t = a_1 + b_1 Y_t + c_1 Y_t^2,$$ (73) and the one-period forward rate, delivered $n$ periods from $t$, is given by $$f_t^n \equiv -\frac{1}{\Delta} \log \frac{P_t^{n+1}}{P_t^n} = A_n^\Delta + B_n^\Delta Y_t + C_n^\Delta Y_t^2.$$ (74) The expected short rate is given by $$E_t[r_{t+n}] = \mu_n + \nu_n Y_t + \omega_n Y_t^2,$$ (75) where $$\mu_n = a_1 + b_1 \theta (1 - e^{-\kappa n \Delta}) + c_1 \theta^2 (1 - e^{-\kappa n \Delta})^2 + c_1 \text{Var}_t(Y_{t+n})$$ $$\nu_n = b_1 e^{-\kappa n \Delta} + 2c_1 \theta (1 - e^{-\kappa n \Delta}) e^{-\kappa n \Delta}$$ $$\omega_n = c_1 e^{-2\kappa n \Delta}.$$ From above, we can deduce the functional forms of constant coefficients in a two-factor forward risk premium model generated by the Quadratic-Gaussian model: \[ f^n_t - E_t[r_{t+n}] = \delta_n + \alpha_n (f^n_t - r_t) + \beta_n r_t, \] where \[ \begin{pmatrix} B^\Delta_n - b_1 & b_1 \\ C^\Delta_n / c_1 - 1 & 1 \end{pmatrix} \begin{pmatrix} \alpha_n \\ \beta_n \end{pmatrix} = \begin{pmatrix} B^\Delta_n - \nu_n \\ C^\Delta_n / c_1 - \omega_n / c_1 \end{pmatrix}, \] or \[ \alpha_n = 1 - \frac{\nu_n / b_1 - \omega_n / c_1}{B^\Delta_n / b_1 - C^\Delta_n / c_1} \] \[ \beta_n = (B^\Delta_n / b_1 - \nu_n / b_1) - (B^\Delta_n / b_1 - 1) \alpha_n \] and \[ \delta_n = (1 - \alpha_n) E[f^n_t - r_t] - \beta_n E_t[r_t]. \] Note that due to the existence of invariant transformations, we can normalize $ \theta = 0, $ $ b = 1. $ Now, the parameters $ \sigma, c, $ and $ \lambda^0 $ appear only in the combinations $ c\sigma^2 $ and $ c\lambda^0 $ in our moment conditions. So one of the three parameters is not independently identified and must be normalized to 1. Consistent estimators of the “true” parameter values can be inferred once one of the parameters is identified through other means.$^{34}$ ### C Conditions for Girsanov’s Theorem The goal is to show that \[ Z(t) = e^{\int_0^t \Lambda'_s dW_s - \frac{1}{2} \int_0^t \Lambda'_s \Lambda_s ds}, \] is a Martingale, when $ \Lambda_s $ is an affine function of a Gaussian state-vector. It can be shown that the standard Novikov condition imposes a strong restriction on model parameters. We use a weaker condition to show that $ Z(t) $ is a Martingale without imposing parametric restrictions. According to Corollary 5.16 of Karatzas and Shreve (1988), if, $ \Lambda_t $ is a progressively measurable function of the Brownian motion, and for arbitrary $ T > 0, $ there exists a $ K_T > 0, $ such that \[ \|\Lambda_t\| \leq K_T (1 + W^(t)), \quad 0 \leq t \leq T, \] where $ W^(t) = \max_{0 \leq s \leq t} \|W(s)\|, $ then $ Z(t) $ is a martingale. $^{34}$For an example, suppose that, under the normalization $ \sigma = 1, $ the estimators for $ c $ and $ \lambda^0 $ are $ c_T $ and $ \lambda_{0T}, $ respectively. If we subsequently have a consistent estimator of $ \sigma, $ $ \sigma_T, $ then the consistent estimators for $ c $ and $ \lambda^0 $ would be $ c_T / \sigma_T^2 $ and $ \lambda_{0T} \sigma_T^2, $ respectively. For our purpose, however, only $ c_T $ and $ \lambda_T $ matter, although they should not be interpreted as consistent estimators of the population coefficients for the underlying DGP. For simplicity, consider the one-dimensional case (extension to the multi-dimensional case is straightforward.) Without loss of generality, we can assume that the long-run mean of $Y(t)$ is zero, and its volatility is 1. Then it can be shown that $$Y_t = \int_0^t e^{-\kappa(t-u)} dW_u = W_t + \int_0^t W_u de^{-\kappa(t-u)}.$$ It follows that $$\|Y_t\| \leq \|W_t\| + \int_0^t \|W_u\| de^{-\kappa(t-u)}$$ $$\leq W_t^(1 + \int_0^t de^{-\kappa(t-u)}) = W_t^(2 - e^{-\kappa t})$$ $$\leq (2 - e^{-\kappa T})W_t^* \leq (2 - e^{-\kappa T})(1 + W_t^)$$ Since $\Lambda_t$ is an affine function of $Y(t)$, it is obvious that (82) holds. References* Ahn, D.-H., Dittmar, R. F., and Gallant, A. R. (2000). Quadratic gaussian models: Theory and evidence. working paper, University of North Carolina. Backus, D., Foresi, S., Mozumdar, A., and Wu, L. (1997). Predictable changes in yields and forward rates. Working Paper, New York University. Bansal, R. and Zhou, H. (2000). Term structure of interest rates with regime shifts. Working Paper, Duke University. Beaglehole, D. R. and Tenney, M. S. (1991). General solutions of some interest rate-contingent claim pricing equations. Journal of Fixed Income, pages 69–83. Bekaert, G., Hodrick, R., and Marshall, D. (1997a). On biases in tests of the expectations hypothesis of the term structure of interest rates. Journal of Financial Economics, 44:309–348. Bekaert, G., Hodrick, R., and Marshall, D. (1997b). ‘Peso problem’ explanations for term structure anomalies. Working paper, Columbia University. Campbell, J. Y. and Shiller, R. J. (1991). Yield spreads and interest rate movements: A bird’s eye view. Review of Economic Studies, 58:495–514. Chen, R. and Scott, L. (1993). Maximum likelihood estimation for a multifactor equilibrium model of the term structure of interest rates. Journal of Fixed Income, 3:14–31. Cox, J. C., Ingersoll, J. E., and Ross, S. A. (1985). A theory of the term structure of interest rates. Econometrica, 53:385–408. Dai, Q. (2000). From equity premium puzzle to expectations puzzle: A general equilibrium production economy with stochastic habit formation. working paper, New York University. Dai, Q. and Singleton, K. (2000). Specification analysis of affine term structure models. Journal of Finance, forthcoming. Duarte, J. (1999). The relevance of parameterization of market price of risk in affine term structure models. Working paper, University of Chicago. Duffee, G. (1996). Idiosyncratic variation in treasury bill yields. Journal of Finance, 51:527–552. Duffee, G. R. (1999). Forecasting future interest rates: Are affine models failures? Working paper, University of California, Berkeley. Duffie, D. and Kan, R. (1996). A yield-factor model of interest rates. Mathematical Finance, 6:379–406. Duffie, D. and Singleton, K. (1997). An econometric model of the term structure of interest rate swap yields. Journal of Finance, 52:1287–1321. Evans, B. D. (2000). Regime shifts, risk and the term structure. Working Paper, Georgetown University. Fama, E. (1976). Forward rates as predictors of future spot rates. Journal of Financial Economics, 3:361–377. Fama, E. (1984a). The information in the term structure. Journal of Financial Economics, 13:509–528. Fama, E. (1984b). Term premiums in bond returns. Journal of Financial Economics, 13:529–546. Fama, E. F. and Bliss, R. R. (1987). The information in long-maturity forward rates. American Economic Review, 77(4):680–692. Fisher, M. (1998). A simple model of the failure of the expectations hypothesis. Working Paper, Federal Reserve Board. Hansen, L. (1982). Large sample properties of generalized method of moments estimators. Econometrica, 50:1029–1286. Karatzas, I. and Shreve, S. (1988). Brownian Motion and Stochastic Calculus. New York: Springer-Verlag. Kugler, P. (1997). Central bank policy reaction and expectations hypothesis of the term structure. International Journal of Financial Economics, 2:217–224. Litterman, R. and Scheinkman, J. (1991). Common factors affecting bond returns. Journal of Fixed Income, 1:54–61. Longstaff, F. (2000). The term structure of very short term rates: New evidence for the expectations hypothesis. Journal of Financial Economics, forthcoming. McCallum, B. T. (1994). Monetary policy and the term structure of interest rates. NBER Working Paper No. 4938. Naik, V. and Lee, M. H. (1997). Yield curve dynamics with discrete shifts in economic regimes: Theory and estimation. Working paper, Faculty of Commerce, University of British Columbia. Pearson, N. D. and Sun, T. (1994). Exploiting the conditional density in estimating the term structure: An application to the Cox, Ingersoll, and Ross model. Journal of Finance, 49:1279–1304. Pedersen, D. D. L. and Singleton, K. (1999). Modeling credit spreads on sovereign debt. working paper, Stanford University. Roberds, W. and Whiteman, C. (1999). Endogenous term premia and anomalies in the term structure of interest rates: Explaining the predictability smile. Journal of Monetary Economics, 44:555–580.
1. A segment of DNA contains 1200 nucleotides, of which 200 have adenine base. How many cytosine bases are present in this segment of DNA? (1) 100 (2) 200 (3) 400 (4) 800 2. You are observing a non-chlorophyllous, eukaryotic organism with chitinous cell wall under a microscope. You shall describe the organism as a (1) fungus (2) alga (3) protozoa (4) bacterium 3. Match the items given in column A and Column B, and identify the correct alternative listed below. \| Column–A \| Column–B \| \|----------------\|--------------\| \| (a) Flying fish\| (i) Draco \| \| (b) Flying lizard\| (ii) Echidna \| \| (c) Egg laying mammals\| (iii) Exocoetus \| \| (d) Flightless bird\| (iv) Struthio \| (1) (a)–(i), (b)–(iii), (c)–(ii), (d)–(iv) (2) (a)–(iii), (b)–(i), (c)–(ii), (d)–(iv) (3) (a)–(iii), (b)–(i), (c)–(iv), (d)–(ii) (4) (a)–(i), (b)–(iii), (c)–(iv), (d)–(ii) 4. Which one of the following statements about cell organelles and their function is correct? (1) Mitochondria are associated with anaerobic respiration. (2) Smooth endoplasmic reticulum is involved in protein synthesis. (3) Lysosomes are important in membrane biogenesis. (4) Golgi bodies are involved in packaging and dispatching of materials. 5. A leguminous plant grown in an autoclaved, sterilized soil fails to produce root nodules because– (1) autoclaved soil is not good for root growth. (2) autoclaved soil is devoid of bacteria. (3) autoclaving reduces $N_2$ content of soil. (4) plants cannot form root hairs in such a soil. 6. The causative agent of the disease ‘sleeping sickness’ in human beings is an (1) intracellular parasite found in RBC (2) extracellular parasite found in blood plasma. (3) intracellular parasite found in WBC. (4) extracellular parasite found on the surface of platelets 7. The gene of hemophilia is present on X chromosome. If a hemophilic male marries a normal female, the probability of their son being hemophilic is (1) nil (2) 25% (3) 50% (4) 100% 8. Abundance of coliform bacteria in a water body is indicative of pollution from (1) petroleum refinery (2) metal smelter (3) fertilizer factory (4) domestic sewage 9. Prolonged exposure to the fumes released by incomplete combustion of coal may cause death of a human because of- (1) inhalation of unburnt carbon particles (2) continuous exposure to high temperature (3) increased level of carbon monoxide (4) increased level of carbon dioxide 10. The phenomenon of normal breathing in a human being comprises (1) an active inspiratory and a passive expiratory phase (2) a passive inspiratory and an active expiratory phase (3) both active inspiratory and expiratory phases (4) both passive inspiratory and expiratory phases 11. Which one of the following statements is true with respect to photosynthesis? (1) Oxygen evolved during photosynthesis comes from CO$_2$. (2) Chlorophyll a is the only photosynthetic pigment in plants. (3) Photosynthesis occurs in stem of some plants. (4) Photosynthesis does not occur in red light. 12. The girth of stem increases due to the activity of (1) lateral meristem (2) apical meristem (3) intercalary meristem (4) apical and intercalary meristem 13. Which one of the following represents the correct sequence of reflex action? (1) Receptor $\rightarrow$ Sensory nerve $\rightarrow$ motor nerve $\rightarrow$ spinal cord $\rightarrow$ muscle (2) Receptor $\rightarrow$ motor nerve $\rightarrow$ spinal cord $\rightarrow$ sensory nerve $\rightarrow$ muscle (3) Receptor $\rightarrow$ sensory nerve $\rightarrow$ spinal cord $\rightarrow$ muscle $\rightarrow$ motor nerve (4) Receptor $\rightarrow$ sensory nerve $\rightarrow$ spinal cord $\rightarrow$ motor nerve $\rightarrow$ muscle 14. In human female, immature eggs are for the first time seen in ovary 15. What happens when a fixed amount of oxygen gas is taken in a cylinder and compressed at constant temperature? (a) Number of collisions of oxygen molecules at per unit area of the wall of the cylinder increase. (b) Oxygen ($O_2$) gets converted into ozone ($O_3$). (c) Kinetic energy of the molecules of oxygen gas increases. (1) a and c (2) b and c (3) c only (4) a only 16. The solubility of a substance S in water is 28.6% (mass by volume) at 50°C. When 50 mL of its saturated solution at 50°C is cooled to 40°C, 2.4 g of solid S separates out. The solubility of S in water at 40°C (mass by volume) is: (1) 2.4% (2) 11.9% (3) 26.2% (4) 23.8% 17. What mass of $CO_2$ will be formed when 6 g of carbon is burnt in 32 g of oxygen? (1) 38 g (2) 12 g (3) 26 g (4) 22 g 18. The law of conservation of mass is valid for which of the following? (a) Reactions involving oxidation. (b) Nuclear reactions. (c) Endothermic reactions. (1) a and c (2) a and b (3) b and c (4) b only 19. How many sub-atomic particles are present in an $\alpha$-particles used in Rutherford’s scattering experiment? \| No. of Protons \| No. of Neutrons \| No. of Electrons \| \|---------------\|----------------\|------------------\| \| (1) \| 4 \| 0 \| 0 \| \| (2) \| 2 \| 0 \| 2 \| \| (3) \| 2 \| 2 \| 0 \| \| (4) \| 2 \| 2 \| 1 \| 20. A certain sample of element Z contains 60% of $^{69}Z$ and 40% $^{71}Z$. What is the relative atomic mass of element Z in this sample? (1) 69.2 (2) 69.8 (3) 70.0 (4) 70.2 21. Compound A on strong heating in a boiling tube gives off reddish brown fumes and a yellow residue with a few drops of sodium hydroxide solution, a white precipitate appeared. Identify the cation and anion present in the compound A. 22. A substance A reacts with another substance B to produce the product C and a gas D. If a mixture of the gas D and ammonia is passed through an aqueous solution of C, baking soda is formed. The substances A and B are (1) HCl and NaOH (2) HCl and Na₂CO₃ (3) Na and HCl (4) Na₂CO₃ and H₂O 23. A metal occurs in nature as its ore X which on heating in air converts to Y. Y reacts with unreacted X to give the metal. The metal is (1) Hg (2) Cu (3) Zn (4) Fe 24. Assertion (A): Nitrate ores are rarely available. Reason (R): Bond dissociation energy of nitrogen is very high. (1) Both A and R are true and R is the correct explanation of A. (2) Both A and R are correct but R is not the correct explanation of A. (3) A is correct and R is false. (4) Both A and R are false. 25. The number of structural isomers of the compound having molecular formula C₄H₉Br is (1) 3 (2) 5 (3) 4 (4) 2 26. The total number of electrons and the number of electrons involved in the formation of various bonds present in one molecule of propanal (C₂H₅CHO) are respectively. (1) 32 and 20 (2) 24 and 20 (3) 24 and 18 (4) 32 and 18 27. Consider following as a portion of the periodic table from Group No. 13 to 17. Which of the following statement/s is/are true about the elements shown in it? (I) V, W, Y and Z are less electropositive than X. (II) V, W, X and Y are more electronegative than Z. (III) Atomic size of Y is greater than that of W. (IV) Atomic size of W is smaller than that of X. \| \| \| V \| Z \| \|-----\|-----\|---\|---\| \| W \| \| \| \| \| \| \| \| \| \| X \| \| \| \| 28. A man running with a uniform speed ‘u’ on a straight road observes a stationary bus at a distance ‘d’ ahead of him. At that instant, the bus starts with an acceleration ‘a’. The condition that he would be able to catch the bus is: (1) $ d \leq \frac{u^2}{a} $ (2) $ d \leq \frac{u^2}{2a} $ (3) $ d \leq \frac{u^2}{3a} $ (4) $ d \leq \frac{u^2}{4a} $ 29. A ball is thrown vertically upwards with a given velocity ‘v’ such that it rises for T seconds ($ T > 1 $). What is the distance traversed by the ball during the last one second of ascent (in meters)? (Acceleration due to gravity is $ g \ m/s^2 $). (1) $ \frac{1}{2} g T^2 $ (2) $ vT + \frac{1}{2} g [T^2 - (T - 1)^2] $ (3) $ \frac{g}{2} $ (4) $ \frac{1}{2} g [T^2 - (T - 1)^2] $ 30. The radius of a planet A is twice that of planet B. The average density of the material of planet A is thrice that of planet B. The ratio between the values of acceleration due to gravity on the surface of planet A and that on the surface of planet B is: (1) $ \frac{2}{3} $ (2) $ \frac{3}{2} $ (3) $ \frac{4}{3} $ (4) 6 31. A small spherical ball of mass ‘m’ is used as the bob of a pendulum. The work done by the force of tension on its displacement is $ W_1 $. The same ball is made to roll on a frictionless table. The work done by the force of normal reaction is $ W_2 $. Again the same ball is given a positive charge ‘q’ and made to travel with a velocity $ v $ in a magnetic field $ B $. The work done by the force experienced by the charged ball is $ W_3 $. If the displacements in each case are the same, we have (1) $ W_1 < W_2 < W_3 $ (2) $ W_1 > W_2 > W_3 $ (3) $ W_1 = W_2 = W_3 $ (4) that $ W_1, W_2, W_3 $ cannot be related by any equation 32. The variation in the kinetic energy (K.E.) and the potential energy (P.E.) of a particle moving along the x-axis are shown in the graphs below. Which one of the following graphs violates the law of conservation of energy? (1) ![Graph 1](image1) (2) ![Graph 2](image2) (3) ![Graph 3](image3) (4) ![Graph 4](image4) 33. The disc of a siren containing 60 holes rotates at a constant speed of 360 rotations per minute. The emitted sound is in unison with a tuning fork of frequency: (1) 270 Hz (2) 360 Hz (3) 480 Hz (4) 540 Hz 34. A tuning fork is excited by striking it with a padded hammer. What would be the nature of the vibrations executed by the prongs as well as the stem of the fork respectively? (The reference direction is that of the propagation of the sound wave.) (1) Both vibrate longitudinally (2) Both vibrate transversely (3) The prongs vibrate longitudinally whereas the stem vibrates transversely (4) The prongs vibrate transversely whereas the stem vibrates longitudinally 35. Find the reading of the ammeter in the circuit given below: ![Circuit Diagram](circuitdiagram) (1) $\frac{V}{2R}$ (2) $\frac{3V}{4R}$ (3) $\frac{2V}{7R}$ (4) $\frac{11V}{R}$ 36. Three bulbs with individual power ratings of 12W, 2W and 6W respectively are connected as per the circuit diagram below. Find the amount of heat dissipated by each in 10 seconds. ![Circuit Diagram](image) 37. Which of the following can produce a magnetic field? (1) Electric charges at rest (2) Electric charges in motion (3) Only by permanent magnets (4) Electric charges whether at rest or in motion 38. A wire is lying horizontally in the north-south direction and there is a horizontal magnetic field pointing towards the east. Some positive charges in the wire move north and an equal number of negative charges move south. The direction of force on the wire will be: (1) east (2) down into the page (3) up, out of the page (4) west 39. Match the following: \| Phenomenon \| Reason \| \|---------------------\|-------------------------\| \| (i) Rainbow \| A. Scattering of light \| \| (ii) Twinkling of stars \| B. Dispersion of light \| \| (iii) Blue colour of sky \| C. Fluctuation of the refraction index in atmosphere layers \| \| (iv) Advancement of sunrise and delay of sunset \| D. Refraction of light \| 40. A person is suffering from both near sightedness and far sightedness. His spectacles would be made of 1. two convex lenses with the upper lens having a larger focal length than the lower lens. 2. two concave lenses with the upper lens having a smaller focal length than the lower lens. 3. a concave lens as the upper lens and a convex lens as the lower lens 4. a convex lens as the upper lens and a concave lens as the lower lens 41. LCM of two numbers $ x $ and $ y $ is 720 and the LCM of numbers $ 12x $ and $ 5y $ is also 720. The number $ y $ is (1) 180 (2) 144 (3) 120 (4) 90 42. When a natural number $ x $ is divided by 5, the remainder is 2. When a natural number $ y $ is divided by 5, the remainder is 4. The remainder is $ z $ when $ x + y $ is divided by 5. The value of $ \frac{2z - 5}{3} $ is (1) -1 (2) 1 (3) -2 (4) 2 43. If the zeroes of the polynomial $ 64x^3 - 144x^2 + 92x - 15 $ are in A.P., then the difference between the largest and the smallest zeroes of the polynomial is (1) 1 (2) $ \frac{7}{8} $ (3) $ \frac{3}{4} $ (4) $ \frac{1}{2} $ 44. $ x $ and $ y $ are two non-negative numbers such that $ 2x + y = 10 $. The sum of the maximum and minimum values of $ (x + y) $ is (1) 6 (2) 9 (3) 10 (4) 15 45. The number of integral solutions of the equation $ 7 \left( y + \frac{1}{y} \right) - 2 \left( y^2 + \frac{1}{y} \right) = 9 $ is (1) 0 (2) 1 (3) 2 (4) 3 46. A circle with area $ A $ cm$^2$ is contained in the interior of a larger circle with area $ (A + B) $ cm$^2$ and the radius of the larger circle is 4 cm. If $ A, B, A+B $ are in arithmetic progression, then the diameter (in cm) of the smaller circle is (1) $ \frac{\sqrt{3}}{2} $ (2) $ \frac{4\sqrt{3}}{3} $ (3) $ \frac{8\sqrt{3}}{3} $ (4) $ 2\sqrt{3} $ 47. Each of the sides of a triangle is 8 cm less than the sum of its other two sides. Area of the triangle (in cm$^2$) is (1) 8 (2) $ 8\sqrt{3} $ (3) 16 (4) $ 16\sqrt{3} $ 48. If $\csc x - \cot x = \frac{1}{3}$, where $x \neq 0$, then the value of $\cos^2 x - \sin^2 x$ is (1) $\frac{16}{25}$ (2) $\frac{9}{25}$ (3) $\frac{8}{25}$ (4) $\frac{7}{25}$ 49. A sector with acute central angle $\theta$ is cut from a circle of diameter 14 cm. The area (in $cm^2$) of the circle circumscribing the sector is (1) $\frac{22}{7} \sec^2 \frac{\theta}{2}$ (2) $\frac{77}{2} \sec^2 \theta$ (3) $\frac{7}{2} \cos^2 \frac{\theta}{2}$ (4) $\frac{77}{2} \sec^2 \frac{\theta}{2}$ 50. In the figure, PQSO is a trapezium in which PQ\|\|OS, $\angle POS = 135^\circ$ and $\angle OSQ = 90^\circ$. Points P, Q and R lie on a circle with centre O and radius 12 cm. The area of the shaded part, in $cm^2$, is ![Diagram](image) (1) $61\frac{2}{7}$ (2) $61\frac{5}{7}$ (3) $73\frac{5}{7}$ (4) $73\frac{2}{7}$ 51. A solid sphere is cut into identical pieces by three mutually perpendicular planes passing through its centre. Increase in total surface area of all the pieces with respect to the total surface area of the original sphere is (1) 250% (2) 175% (3) 150% (4) 125% 52. A right circular cylinder has its height equal to two times its radius. It is inscribed in a right circular cone having its diameter equal to 10 cm and height 12 cm, and the axes of both the cylinder and the cone coincide. Then, the volume (in $cm^3$) of the cylinder is approximately (1) 107.5 (2) 118.6 (3) 127.5 (4) 128.7 53. In the figure, ABCD is a square of side 1 dm and $\angle PAQ = 45^\circ$. The perimeter (in dm) of the triangle PQC is (1) 2 (2) $1 + \sqrt{2}$ (3) $2\sqrt{2} - 1$ (4) $1 + \sqrt{3}$ 54. In the figure, ABC is a triangle in which AD bisects $\angle A$, AC = BC, C $\angle B = 72^\circ$ and CD = 1 cm. Length of BD (in cm) is (1) 1 (2) $\frac{1}{2}$ (3) $\frac{\sqrt{5} - 1}{2}$ (4) $\frac{\sqrt{3} + 1}{2}$ 55. In the figure, BC is a chord of the circle with centre O and A is a point on the minor arc BC. Then, $\angle BAC = \angle OBC$ is equal to (1) $30^\circ$ (2) $60^\circ$ (3) $80^\circ$ (4) $90^\circ$ 56. In the figure, DAPB is formed by three tangents to the circle with centre O. If $\angle APB = 40^\circ$, then the measure of $\angle BOA$ is 57. $(5, -10), (-15, 15)$ and $(5, 5)$ are the coordinates of vertices $A, B$ and $C$ respectively of $\Delta ABC$ and $P$ is a point on median $AD$ such that $AP : PD = 2 : 3$. Ratio of the areas of the triangles $PBC$ and $ABC$ is (1) $2 : 3$ (2) $3 : 4$ (3) $3 : 5$ (4) $4 : 5$ 58. $P$ is a point on the graph of $y = 5x + 3$. The coordinates of a point $Q$ are $(3, -2)$. If $M$ is the mid point of $PQ$, then $M$ must lie on the line represented by (1) $y = 5x + 1$ (2) $y = 5x - 7$ (3) $y = \frac{5}{2}x - \frac{7}{2}$ (4) $y = \frac{5}{2}x + \frac{1}{2}$ 59. Three-digit numbers formed by using digits 0, 1, 2 and 5 (without repetition) are written on different slips with distinct number on each slip, and put in a bowl. One slip is drawn at random from the bowl. The probability that the slip bears a number divisible by 5 is (1) $\frac{5}{9}$ (2) $\frac{4}{9}$ (3) $\frac{2}{3}$ (4) $\frac{1}{3}$ 60. The mean of fifteen different natural numbers is 13. The maximum value for the second largest of these numbers is (1) 46 (2) 51 (3) 52 (4) 53 61. Assertion (A): During eighteenth century France witnessed the emergence of a middle class. Reason (R): The emergence of the middle class happened on account of royal patronage. (1) A is true, R is false. (2) A is false, R is true. (3) Both A and R are true but R is not the correct explanation of A. (4) Both A and R are true and R is the correct explanation of A. 62. Assertion (A): The lives of pastoralists in India underwent dramatic changes under colonial rule. Reason (R): In most areas the lands regularly used by pastoralists for grazing were taken over by the colonial state and given to select individuals for cultivation. (1) A is true, R is false (2) A is false, R is true (3) Both A and R are true but R is not the correct explanation of A. (4) Both A and R are true and R is the correction explanation of A. 63. Assertion (A): By the early twentieth century, America became the biggest supplier of wheat to Europe. Reason (R): The expansion of the railways during the period greatly facilitated the transport of grain. (1) A is true, R is false (2) A is false, R is true (3) Both A and R are true but R is not the correct explanation of A. (4) Both A and R are true and R is the correction explanation of A. 64. Match the following table and choose the correct response from the options given thereafter. \| Column-I \| Column-II \| \|----------\|-----------\| \| A. 1910 \| I. Establishment of Tonkin Free School. \| \| B. 1930 \| II. Formation of French Indo-China. \| \| C. 1907 \| III. Completion of the trans-Indo-China rail network. \| \| D. 1887 \| IV. Formation of the Vietnamese Communist Party. \| (1) A-III, B-IV, C-I, D-II (2) A-IV, B-III, C-II, D-I (3) A-III, B-I, C-IV, D-I (4) A-IV, B-I, C-II, D-III 65. Arrange the following Indian novels in accordance with their year of writing/publication a. Indulekha b. Rajasekhara Caritramu c. Yamuna Paryatan d. Pariksha-Guru (1) c, b, d, a (2) a, d, b, c (3) c, d, b, a (4) a, b, d, c 66. The main tenets of April Theses during the Bolshevik Revolution were: (1) Closing the war, shifting of banks, land polling by government. (2) Formation of labour government, bank nationalisation and land distribution. (3) Communists government, land fragmentation and merger of banks. (4) Ending the war, bank nationalisation and land transfer. 67. Mahatma Gandhi changed his dressing style from Western to Indian over a period of time. Match those changes as given Column-I and Column-II and choose the correct response from the option given thereafter \| Column-I \| Column-II \| \|----------\|-----------\| \| A \| Suit \| I. \| 1915 \| \|-----\|------------\|-----\|------\| \| B \| Lungi-Kurta\| II. \| 1890 \| \| C \| Peasant Dress \| III.\| 1921 \| \| D \| Short Dhoti \| IV. \| 1913 \| (1) A-II, B-IV, C-I, D-III (2) A-II, B-I, C-IV, D-III (3) A-III, B-IV, C-I, D-II (4) A-IV, B-III, C-I, D-II 68. In late 19th and early 20th centuries, nationalism captured the imagination of the Indian people through a variety of cultural processes. Which of the following was not a part of those processes? (1) Rewriting history to show India’s continuous progress from the ancient to the modern times. (2) Creation of different images of Bharat Mata. (3) Recording, collection and publication of folk tales and folk songs. (4) Designing flags as inspiring symbols of nationalism. 69. Choose the correct response from the given options. Nomadic people move over long distances because (1) By temperament they do not like to settle down in any one place. (2) They constantly look for good pastureland for their cattle. (3) They follow a lifestyle which is very different from the settled communities. (4) Economically they are too poor to own land. 70. Choose the correct response from the given options. In 19th century England grain production grew as quickly as the population because (1) Farmers used simple agricultural technology to greater effect. (2) Radical innovations were made in agricultural technology. (3) Larger and larger areas were brought under cultivation. (4) Increasing number of poor people found work as agricultural labourers. 71. Choose the correct response from the given options. By the late 19th century Indians began searching for a national dress because they wanted to (1) Show that in terms of dress they were not inferior to the British. (2) Get rid of the blame of blindly aping the West. (3) Define the cultural identity of the nation. (4) Culturally synthesize the traditions of the East and the West. 72. Choose the correct response from the given options. The unification of Germany in 1871, for a change, demonstrated. (1) The triumph of the democratic aspirations of the German middle class. (2) The fulfilment of the liberal initiative to nation-building. (3) The power of the common people, das volk. (4) The dominance of the state power and conservatives success in mobilising nationalist sentiments. 73. Choose the correct response from the given options. The formation of the ‘United Kingdom of Great Britain’ in 1707 meant, in effect. (1) Equal representation of all the British Isles in the British Parliament. (2) Recognition to the ethnic identities of the Welsh, the Scot and the Irish. (3) The cessation of conflicts between the Catholics and the Protestants. (4) The dominance of England on Scotland through the English supremacy in Parliament. 74. Choose the correct response from the given option. Many within the congress were initially opposed to the idea of non-cooperation because— (1) They did not think that British rule in India would collapse if Indians refused to cooperate. (2) They were not yet sure of Gandhiji’s ability to successfully lead a nationwide movement. (3) They were reluctant to boycott the council election scheduled for November 1920. (4) They did not agree with Gandhiji’s proposal to carry the movement forward in stages. 75. Choose the correct response from the given options. The main reason why the society of Revolutionary and Republican Women was set up during the French Revolution was because. (1) women wanted laws that would help improve their lives. (2) Women wanted the same political rights as men. (3) Women wanted their interests to be properly represented in the new government. (4) Women wanted access to education, training for jobs, and wages on par with men. 76. Assertion (A): The El Nino, a cold ocean current flows along the coast of Peru during Christmas. Reason (R): The presence of the El Nino leads to an increase in sea-surface temperatures and weakening of the trade winds in the region. (1) Both A and R are true and R explains A. (2) Both A and R are true but R does not explain A. (3) A is true and R is false. (4) A is false and R is true. 77. Assertion (A): Air temperature decreases from the equator towards the poles. Reason (R): As one moves from the sea level to higher altitudes, the atmosphere becomes less dense and temperature decreases. (1) Both A and R are true and R explains A. (2) Both A and R are true but R does not explain A. (3) A is true and R is false. (4) A is false and R is true. 78. Match List-I (local name of shifting cultivation) with List-II (States/Region) and select the correct answer using the code given below: \| List-I (Local name of shifting) \| List-II (States/Region) \| \|---------------------------------\|-------------------------\| \| A. Dahiya \| I. Jharkhand \| \| B. Kumari \| II. Madhya Pradesh \| \| C. Bringa \| III. Odisha \| \| D. Kuruwa \| IV. Western Ghats \| (1) A-III, B-IV, C-II, D-I (2) A-II, B-IV, C-III, D-I (3) A-I, B-III, C-IV, D-II (4) A-I, B-IV, C-III, D-II 79. Assertion (A): Most nuclear power stations in India have been constructed near sources of water. Reason (R): Nuclear power stations require a great quantity of water for cooling purposes. (1) Both A and R are true and R explains A. (2) Both A and R are true but R does not explain A. (3) A is true and R is false. (4) A is false and R is true. 80. Assertion (A): Peninsular rocks contain many reserves of coal, metallic minerals, mica and many other nonmetallic minerals. Reason (R): Sedimentary rocks on the western and eastern flanks of the peninsula, in Gujarat and Assam have most of the ferrous minerals. (1) Both A and R are true and R explains A. (2) Both A and R are true but R does not explain A. (3) A is true and R is false. (4) A is false and R is true. 81. Which one of the following states has common borders with the least number of countries? (1) Uttarakhand (2) West Bengal (3) Arunachal Pradesh (4) Sikkim 82. Match List-I (Rivers) with List-II (National Waterways) and select the correct answer using the code given below: \| List-I (Rivers) \| List-II (National Waterways) \| \|--------------------------\|------------------------------\| \| A. Ganga \| I. National Waterway No. 4 \| \| B. Brahmaputra \| II. National Waterway No. 1 \| \| C. Godavari and Krishan \| III. National Waterway No. 5 \| \| D. Mahanadi and Brahmani \| IV. National Waterway No. 2 \| 83. Match List-I (Rivers) with List-II (Tributaries) and select the correct answer using the code given below: \| List-I (Rivers) \| List-II (Tributaries) \| \|-----------------\|-----------------------\| \| A. Godavari \| I. Lihit \| \| B. Ganga \| II. Koyana \| \| C. Krishna \| III. Wainganga \| \| D. Brahmaputra \| IV. Son \| (1) A-II, B-III, C-IV, D-I (2) A-II, B-I, C-III, D-IV (3) A-III, B-IV, C-II, D-I (4) A-I, B-III, C-IV, D-II 84. Arrange these hills/ranges from north to south direction I. Zuskar Range II. Shiwalik Range III. Karakoram Range IV. Ladakh Range (1) II, IV, I, II (2) III, I, IV, II (3) I, II, III, IV (4) IV, III, I, II 85. Match List-I (Rivers) with List-II (Origin) and select the correct answer using the codes given below: \| List-I (Rivers) \| List-II (Tributaries) \| \|-----------------\|-----------------------\| \| A. Godavari \| I. Cardamom Hills \| \| B. Krishna \| II. Amarkantak Hills \| \| C. Narmada \| III. Nasik Hills \| \| D. Vaigai \| IV. Mahabaleshwar \| (1) A-IV, B-III, C-I, D-II (2) A-III, B-IV, C-II, D-I (3) A-I, B-II, C-IV, D-III (4) A-II, B-I, C-III, D-IV 86. Assertion (A): In India, most migrations have been from rural to urban areas. Reason (R): The urban areas offer greater employment opportunities and better living conditions. (1) Both A and R are true and R explains A (2) Both A and R are true but R does not explain A (3) A is true and R is false (4) A is true and R is false 87. Arrange these hills from west to east direction A. Khasi hills B. Garo hills C. Naga hills D. Jaintia Range (1) C, A, B, D (2) D, B, A, C (3) A, B, C, D (4) B, A, D, C 88. Assertion (A): The Earth does not receive an equal amount of solar energy at all latitudes. Reason (R): As one goes from low altitude to high altitude temperature decreases because atmosphere becomes less dense. (1) Both A and R are true and R explains A (2) Both A and R are true but R does not explain A (3) A is true and R is false (4) A is false and R is true 89. Match the vegetation zones in Column -I with the associated mean annual average temperature (in degree Celsius) in Column-II. Column-I Column -II A Tropical I 17°C to 24°C B Sub-tropical II Above 24°C C Temperate III 7°C to 17°C D Alpine IV Below 7°C (1) A-II, B-I, C-III, D-IV (2) A-II, B-III, C-IV, D-I (3) A-II, B-IV, C-III, D-I (4) A-IV, B-II, C-III, D-I 90. Match the given crops with their major producing areas shown on the map of India. 90. Which of the following is/are grown in the region marked I? A. Wheat B. Coffee C. Rice D. Tea (1) A-I, B-IV, C-III, D-II (2) A-I, B-II, C-III, D-IV (3) A-III, B-II, C-I, D-IV (4) A-IV, B-III, C-I, D-II 91. Which of the following statement/s is/are true about federal system? a. All federations have a similar scheme of distribution of powers. b. The origins of different federations are dissimilar. c. Federalism promotes unity at the cost of diversity. d. Federalism promotes unity in diversity. (1) Only b (2) a and c (3) b and d (4) a, b and c 92. I do not contest elections, but I try to influence the political process. I have a specific policy agenda, I have no interest in seeking political power. Who am I? (1) Bureaucracy (2) Court (3) Pressure group (4) Media 93. Which of the following statements/s is/are true? a. India is among the bottom group of nations in the world when it comes to the representation of women in legislatures. b. Women in the Arab countries are most active in public life. c. India has lesser representation of women in legislatures as compared to Sub-Saharan Africa. d. The share of women in legislative assemblies in India is lower than that of their representation in Parliament. (1) a and b (2) b and c (3) a, b and d (4) a, c and d 94. Which of the following issues has been most successfully addressed by the Indian democracy? (1) Social inequality (2) Economic inequality (3) Political inequality (4) Natural inequality 95. Match List I (Leaders) with List II (Political parties) and select the answer using the codes given below. \| \| List I \| \| List II \| \|---\|-----------------\|---\|--------------------------\| \| I.\| E.M.S. Namboodiripad \| a.\| Bahujan Samaaj Party \| \| II.\| Sheikh Abdullah \| b.\| Telugu Desam \| \| III.\| N.T. Rama Rao \| c.\| Communist Party of India \| \| IV.\| Kanshi Ram \| d.\| Jammu & Kashmir National \| (1) I c II d III a IV b (2) I b II d III c IV a (3) I b II c III a IV d (4) I c II d III b IV a 96. Economic growth is growth in (1) value of total output (2) value of total investment (3) value of industrial output (4) value added of all sectors 97. Mahatma Gandhi National Rural Employment Guarantee Act aims at providing (1) employment to rural people in government offices. (2) 200 days of work/year in rural areas (3) 100 days of wage employment in a year to rural households (4) 365 days work in rural areas 98. A landless worker in a village takes a king loan of two bags of rice from the village landlord. The condition is that she will repay the loan in two and half bags of rice at the end of one year. The interest paid equals (1) the difference between the money value of rice between now and at the end of the year. (2) 31.25 percent of the original amount of loan. (3) 25 percent of the original amount of loan. (4) the difference between the rates of interest charged by banks between now and at the end of the year. 99. Non-market activity is (1) a state of unemployment (2) producing for self consumption (3) selling the products nearby temples (4) selling the products through the Regulated Market 100. A typical farmer’s capital includes tractor, turbines, plough, seeds, fertilisers, pesticides and cash in hand. Which of these combinations can be classified as working capital? (1) Tractor, turbines and plough (2) Seeds, fertilisers, pesticides and cash in hand (3) Plough, seeds, fertilisers and pesticides (4) Plough, seeds, fertilisers, pesticides and cash in hand
\| \| TERM 1 1st Half (8 weeks) Repton Values 1.Empathy Empathy is the ability to see things from another’s perspective, to use one’s imagination to enter into someone else’s subjective state. Essentially it is the ability to ‘walk in someone else’s shoes’. \| TERM 1 2nd Half (8 weeks) Repton Values 2. Respect Respect is a feeling or understanding that someone or something is important, serious or worthy and should be treated in an appropriate way. \| TERM 2 1st Half (6 weeks) Repton Values- 1.Resilience Resilience is the capacity to recover quickly from difficulties. It implies self-confidence and mental toughness in individuals. \| TERM 2 2nd Half (5 weeks) Repton Values 2. Honesty/integrity Honesty is the quality of knowing and distinguishing between right and wrong, and acting fairly; being truthful. Integrity is the quality of being honest and having strong moral principles in all that is done, whether within the family, education or career. Integrity is related to honesty - Integrity is how we make honesty actionable – it is the character and courage to do what is right. \| TERM 3 1st Half (6 weeks) Repton Values 1. Tolerance Tolerance is the willingness to accept feelings, habits, or beliefs that are different from your own. \| \|---\|---\|---\|---\|---\|---\| \| \| Inventions \| Keeping Fit \| Fire \| Global Gardens \| Journeys \| \| \| Sheikh Zayed Museum/ Qasr Al Hosn \| Theatre trip \| Fire Station (Topic-related) \| Falcon Hospital \| Creative Robotics (Linked to Computing curriculum) \| \| Text/Genre \| Fiction 1: Stories in Familiar Settings Fiction 2: Traditional Tales - including Emirati folk tales: The Fox and the Chicken The Consequence of Greediness Fiction: Postcards and Letters (to penpal about first weeks of Year 2) Non-Fiction: Categorising Alphabetically \| Non-Fiction 2: Explanations Include diagrams (link to Science) Non-Fiction 2: Instructions How to make a fire in the desert Poetry 1: Songs and Repeatable Poems \| Poetry 3: The Senses (Fire poetry) Non-Fiction 4: Recounts and Reports (Fire of London) \| Fiction 6: Stories by Same Author ‘Tales of Arabia’ series Poetry 2: Traditional Poems for Young Children Non-Fiction 5: Information Texts (link to falcon hospital trip) \| Poetry 4: Humorous Poems Fiction 4: Fantasy Stories (Around the World in 80 Days) Fiction 3: Traditional Tales from Other Cultures - including Emirati folk tales: The Fox and the Chicken The Consequence of Greediness Non - Fiction 6: Recounts (link to Humanities) \| \| Speaking and Listening Skills \| Retell story using formal language Recite aloud Listen to and follow simple instructions \| Give instructions using appropriate sequence Discuss how to read poems effectively Discuss usefulness of non fictions texts \| Describe how to locate words Explain the meaning of words located Sequencing of events using language of time \| Discuss themes and link to own lives Discuss and compare story themes Talk about settings and consider how they influence events and behaviour \| Predict story endings in unfinished extracts Discuss and describe characters expressing own view Discuss and use appropriate language to present, sequence and categorise ideas \| \|---\|---\|---\|---\|---\|---\| \| \| CT / C / SC / GEW / DC / CI IL / CTH (Please see SCF Outcomes document for specific skill outcomes for Year 2) \| CT / C / SC / GEW / DC / CI IL / CTH \| CT / C / SC / GEW / DC / CI IL / CTH \| CT / C / SC / GEW / DC / CI IL / CTH \| CT / C / SC / GEW / DC / CI IL / CTH \| Maths Counting, partitioning and calculating Counting, partitioning and calculating Counting, partitioning and calculating Numbers to 100 Compare numbers to 100 using < > and = Place value - 3 digit numbers \| \| CT / C / SC / LR / ISD / DC / PS / CI IL / CTH (Please see SCF Outcomes document for specific skill outcomes for Year 2) \| \| CT / C / SC / LR / ISD / DC / PS / CI IL / CTH \| \| \| \|---\|---\|---\|---\|---\|---\| \| Science \| Materials (Move it) To describe the importance for humans of exercise, eating the right amounts of \| Animals and Humans (Healthy Me) To find out how the shapes of solid objects made from some \| Materials (Materials Monster) To identify and compare the suitability of a \| Plants (Young Gardeners) To identify and name a variety of plants. \| All living things and their habitats/Materials (Mini Worlds) To identify and compare the suitability of a variety \| different types of food, and hygiene. materials can be changed by squashing, bending, twisting and stretching. To observe and describe how seeds grow into mature plants. of everyday materials, including wood, metal, plastic, glass, brick, rock, paper and cardboard for particular uses. \| \| \| \| \| To gather and record data to help in answering questions. \| \| \|---\|---\|---\|---\|---\|---\| \| \| CT / C / SC / LR / ISD / DC / PS / CI IL / CTH (Please see SCF Outcomes document for specific skill outcomes for Year 2) \| CT / C / SC / LR / ISD / DC / PS / CI IL / CTH \| CT / C / SC / LR / ISD / DC / PS / CI IL / CTH \| CT / C / SC / LR / ISD / DC / PS / CI IL / CTH \| CT / C / SC / LR / ISD / DC / PS / CI IL / CTH \| \| Humanities \| ● The genius of Leonardo ● Timeline of main events ● Inventions that changed the world ● \| ● Where does our food come from - home grown and imported ● How far has our food travelled ● A meal made of local produce and food \| ● Fire of London ● Cultural dragons and dragon stories \| ● Gardens/nature reserves etc around the world ● UAE farms - what produce is grown. Mr Abou Samra - landscape gardener - Visit. ● Botanical gardens ● The worlds first botanical garden \| Ways of travelling around the world: Wilfred Thesiger travelling across the UAE focus ● Mapping ● Major UAE family groups ● Journeys and distances ● Problem solving on the way (maths/philosophy link) \| \| UAE heritage and culture \| Food ● Types of traditional food ● Customs – eating habits ● Ramadan / fasting UAE Inventions Focus ● Masdar City ● Explore Emirati inventors e.g. Reem Al Marzouqi and Mohammed Al Shamsi \| UAE celebrations ● Eid - what is it and why/how do we celebrate? ● Prophet Mohameds birthday, when is it, what does it mean to the country we live in? ● National day celebrations and history. \| History of the UAE ● Then and now ● Bedouin culture - children to make own bedouin camp. ● Different cultures who make up the UAE. ● Flag - colours and each colours meaning. \| Emirates ● How many are there? ● Can the children locate them on a map? ● What are the similarities/differe nces? ● Children to compete a study about one of the emirates. ● Gardens in the Emirates - dubai miracle garden. \| Animals ● National bird - Falcon ● Camels ● Salukis ● Scorpion \| \| \| CT / C / SC / LR / ISD / DC / PS / CI IL / CTH (Please see SCF Outcomes document for specific skill outcomes for Year 2) \| CT / C / SC / LR / ISD / CAC / GEW / DC / PS / CI IL / CTH \| CT / C / SC / LR / ISD / / GEW / DC / PS / CI IL / CTH \| CT / C / SC / LR / ISD / GEW / DC / PS / CI IL / CTH \| CT / C / SC / LR / ISD / GEW / DC / PS / CI IL / CTH \| Creative National Day - 3D fiery Van Gogh - The ●UAE desert scene - Whole Year Undersea Development Art and Design Arabic style caligraphy \| Repton Skills: (Student Competences) \| CT / C / SC / LR / ISD / E CAC / GEW / PS / CI IL / CTH (Please see SCF Outcomes document for specific skill outcomes for Year 2) \| CT / C / SC / LR / ISD / E CAC / GEW / PS / CI IL / CTH \| CT / C / SC / LR / ISD / E CAC / GEW / PS / CI IL / CTH \| CT / C / SC / LR / ISD / E CAC / GEW / PS / CI / DC / IL / CTH \| CT / C / SC / LR / ISD / E CAC / GEW / PS / CI IL / CTH \| \|---\|---\|---\|---\|---\|---\| \| Design and Technology \| ● Working with tools and equipment ● Making water wheels \| ● Using watercolours to illustrate a story ● Making healthy snakes - fruit kebabs \| \| ● Plan, design and make a model science garden \| ● Air balloon project (papier mache) \| \| \| CT / C / SC / LR / ISD / E CAC / GEW / PS / CI IL / CTH (Please see SCF Outcomes document for specific skill outcomes for Year 2) \| CT / C / SC / LR / ISD / E CAC / GEW / PS / CI IL / CTH \| \| CT / C / SC / LR / ISD / E CAC / GEW / PS / CI / DC / IL / CTH \| CT / C / SC / LR / ISD / E CAC / GEW / PS / CI IL / CTH \| \| \| ● use sequence, selection, and repetition in programs; work with variables and various forms of input and output. Introduce to Al Gorithmi. ● Begin to create content using apps such as Explain everything. Factfile about UAE culture. ● Showbie introduced as precursor to workflow solution ● Use epic to build up online reading collection and read a range of genres ● Continue to use Seesaw as e-portfolio across all subjects. \| \| ● Understand what algorithms are; how they are implemented as programs on digital devices; and that programs execute by following precise and unambiguous instructions. ● Create and debug simple programs ● Use technology safely and respectfully. ● Skoolbo ● Use epic to build up online reading collection and read a range of genres \| \| \| Arabic style teapot dragon (mod rock sunflowers include native plants and Display Student Competences Key Personal and Social skills National and Global Citizenship skills Learning and Innovation skills PS - Problem Solving CT – Collaboration/teamwork C – Communication SC – Self confidence CI - Creativity and innovation CAC – Cultural awareness/citizenship IL – Independent learning LR – Leadership and responsibility ISD – Initiative and self-direction GEW – Global and environmental awareness CTH – critical thinking DC – Digital competence E – Entrepreneurship Date Reviewed: May 2018 Next Review Date: June 2019
La scheda è dedicata alla raccolta dati delle attività proposte da un soggetto nell’ambito della piattaforma di erogazione. Ogni attività ha un profilo dedicato che descrive tutti gli elementi che contraddistinguono la fase di produzione e di proposta commerciale all’utente. Una struttura può avere più schede attività, tante quanti sono i prodotti proposti. \| Titolo dell’attività/prodotto e indirizzo \| 3 GIORNI ALLA SCOPERTA DEL FINALESE by MTB Guide Finale Piazza Garibaldi 15, 17024 Finale Ligure \| \|------------------------------------------\|----------------------------------------------------------------------------------\| \| Recapiti tel – mail e sito web \| +393497414819 email@example.com www.mtbguidefinale.com \| \| Descrizione ITA \| Questi itinerari ci permetteranno di scoprire tutti gli elementi che fanno di questo piccolo angolo di mondo un concentrato di bellezza. Scopriremo paesi e villaggi unici, un vero e proprio museo a cielo aperto, e altre meraviglie che potrebbero passare inosservati ad un occhio poco attento, ma che resteranno sicuramente nel cuore e nell’anima di chi le saprà assaporare. Splendidi borghi, sentieri alla scoperta delle vie dell’olio e del sale; centinaia di grotte e caverne, con un mare cristallino a fare da sfondo. Insomma, luoghi dove lo stupore e le emozioni sono continue. Data la grande possibilità di adeguare l’itinerario, il tour si presta ad un’ampia fascia di persone. Dai più esperti ed allenati, alla ricerca di sentieri adrenalinici e di puro divertimento, ai meno esperti, ma desiderosi di scoprire i luoghi visitati in modo dinamico e attivo. \| DETTAGLI DEL TOUR GIORNO 1 – FINALBORGO, PERTI, VEREZZI, BORGIO VEREZZI Si parte in bicicletta per visitare Finalborgo, vero centro culturale e artistico della zona. Si potranno visitare, oltre alle botteghe artigianali che fanno parte del gruppo “Fatto a mano a Finalborgo”, anche monumenti di pregio tra i quali: Basilica di San Biagio, Complesso di Santa Caterina, Teatro Aycardi, Castel Govone, Castel San Giovanni. Dopo la visita al centro storico, si sale dall’antica strada Beretta alla volta di Perti, da cui si può ammirare la valle e i castelli più da vicino, oltre che gli uliveti e la chiesa di S. Eusebio. Da qui si ridiscende nella valle e, percorrendo strade secondarie poco trafficate e vecchie mulattiere, si raggiunge il secondo Borgo medievale di Verezzi, anch’esso come Finalborgo e Noli annoverato tra i Borghi più Belli d’Italia. Pedaleremo attraverso il fitto sistema viario di Verezzi. Lungo i caruggi e le crêuze che collegano le borgate si aprono a ogni passo suggestivi scorci, passaggi, portoni antichi, lavatoi, edicole votive, angoli ricchi di storia e di bellezza, con splendidi scorci sulla costa ligure. Il borgo partecipa all’iniziativa La strada del vino e dell’olio, che si propone di valorizzare le tradizioni eno-gastronomiche e le produzioni tipiche del territorio. Si pedalerà poi fino a raggiungere il Mulino Fenicio, l’esemplare meglio conservato dei tre attualmente presenti in Europa. In questo tipo di mulino eolico, le pale erano situate all’interno della struttura e si muovevano grazie al vento che passava attraverso le feritoie aperte sulla facciata. Da Verezzi si scenderà alla volta di Borgio, l’antico abitato da cui la moderna città ha preso vita. Qui si potranno visitare le Grotte di Borgio Verezzi. Offrono un percorso turistico, che si snoda per circa 800 metri all’interno di grandi sale. E dappertutto i colori: bianco, giallo, rosso in mille sfumature diverse. Dovuti alla presenza di svariati minerali, fanno delle Grotte di Borgio Verezzi la grotta turistica più colorata d’Italia. Un vero scrigno di bellezza ipogea, le Grotte si aprono esattamente sotto il centro abitato e presentano oltre agli incredibili colori, un notevole interesse naturalistico e paleontologico essendo un sito di raccolta di resti di animali estinti. Le Grotte prevedono un percorso turistico visitabile in un’ora circa. Concluderemo la giornata con il ritorno a Finale e la visita ad un frantoio moderno, ma con radici nel passato, dove si potranno degustare gli oli prodotti e altre raffinatezze del territorio. GIORNO 2 – FINALMARINA, FINALPIA, LE MANIE, NOLI, VARIGOTTI Il secondo giorno il tour prevede di nuovo la partenza da Finale, questa volta passando però per il borgo marinaro. Entreremo a Finalmarina e percorreremo le sue stradine affacciate sul mare. Il Borgo si presenta ad un occhio poco attento come una successione monotona di palazzi moderni. Con una visita più attenta, però, si scoprirà che il Borgo presenta vicende storiche articolate, frutto di oltre duemila anni di storia. Scopriremo subito la magnificenza della Basilica di San Giovanni, considerata una delle chiese barocche più belle del Savonese e della Liguria. Proseguiremo poi con la visita al centro dell’abitato, costituito dall’ampio spazio aperto (attuale Piazza Vittorio Emanuele II). Quando nell’agosto 1666 sbarcò alla marina l’infanta Margherita di Spagna, fu eretto in suo onore il grande Arco Trionfale destinato a divenire uno dei simboli del Finale. Visiteremo anche il piccolo borgo di Finalpia, che oggi ci appare quasi un tutt’uno con Finalmarina sulla costa e con Calvisio nell’entroterra. L’abitato è posto alle sponde del torrente Sciusa e lungo la via Aurelia. La parte più antica di Finalpia sorge attorno al Santuario di Santa Maria di Pia ed all’adiacente Monastero Benedettino, ancora oggi protagonisti della vita religiosa e culturale del borgo. Dopo la visita al Finalpia, ci si sposta nuovamente in direzione est verso l’Altopiano delle Manie, vero e proprio scrigno di bellezze naturali e paesaggi suggestivi. Pedaleremo lungo l’antica via Julia Augusta, passando tre ponti romani, due dei quali ancora perfettamente conservati. Una volta raggiunta la vetta dell’altopiano, potremo visitare la Grotta dell’Arma, sulla cui sommità si trova l’omonima Osteria, tappa obbligatoria per i buongustai. Godremo poi di paesaggi e scorci sul mare unici, immersi nei profumi della macchia mediterranea. Scendendo un tratto della panoramica Strada di Isasco, si incontra l’omonima località, abitata fin dall’antichità. Nel 1952-53 venne qui scoperta una necropoli di età imperiale, costituita da una quarantina di tombe. Oltre a Isasco, scendendo verso il mare, potremo ammirare gli altri splendidi Borghi di Kien, Pino e Pietragrossa. Agglomerati di casupole in pietra a vista, quasi tutte con tetto piatto, probabile reminiscenza di architetture musulmane, affacciate sul mare e sul borgo sottostante. Scenderemo poi a Noli per la nostra penultima tappa attraverso questi borghi magnifici. Antico centro dei Liguri, Noli fu municipio in epoca romana. Divenuta in seguito un importante centro marinaro, con una conspicua e preparata flotta navale alla pari di altri grossi centri marinari della Liguria, partecipò nel 1099 alla prima crociata. A ricordo degli antichi tempi in cui la cittadina era al centro di commerci floridi, ci sono le numerose torri (anticamente se ne contavano 50, oggi ne restano solo una decina), erette per volere dei mercanti a rappresentare la loro ricchezza. Di qui pare passò anche Dante Alighieri, che nella Divina Commedia scrisse in un tratto “Vassi in San Leo e discendesi in Noli”, forse per lodare la bellezza della città che visitò realmente. Non a caso alcuni dei sentieri che percorreremo fanno parte di un Itinerario Dantesco che ogni anno attrae molti escursionisti. Noli vanta anche i resti di un castello, sempre di epoca medievale, circondato da mura. Il castello di Monte Ursino. Nel trasferimento tra Noli e Varigotti passeremo da Capo Noli, dove la strada, costruita nel tardo ‘800 per offrire una via di comunicazione più rapida sulla costa, offre scorci magnifici a picco sul mare. Qui si può ammirare anche la natura selvaggia della costa, con le pareti verticali di roccia alte centinaia di metri. Ci avviciniamo alla nostra ultima tappa, Varigotti. Di questo antico villaggio di pescatori colpisce subito la bellezza degli scorci vista mare tra le viuzze, che con il mare grosso vengono letteralmente bagnate dagli spruzzi d’acqua. Le origini di Varigotti sono da alcuni datate al II sec d.C. Varigotti, come tutta la costa della penisola italiana, subì a lungo la minaccia saracena. È possibile che qui alcuni di loro si fermarono stabilmente e si mescolarono alla popolazione locale, influenzandone usi e costumi, primo tra tutti e più evidente l’architettura delle case. Saliremo lungo vie ciottolate per visitare la chiesa di S. Lorenzo, probabilmente risalente al VII secolo, che affaccia sulla splendida Baia dei Saraceni, antico porto usato già in epoca romana. Dopo la visita al centro della cittadina, il tour si concluderà con il ritorno a Finale e la visita ad un pastificio locale, per scoprire tutte le ricette di pasta fresca che questa regione offre. Ovviamente condite con dell’ottimo pesto ligure appena fatto. GIORNO 3 – MELOGNO, ALTA VIA DEI MONTI LIGURI, BARDINETO, CASTELVECCHIO DI ROCCA BARBENA, ZUCCARELLO, ALBENGA Il tour di questa giornata è votato in buona parte alla contemplazione della natura in tutte le sue sfumature. Si prevede un trasferimento dei clienti e delle biciclette con bus navetta fino al Colle del Melogno, a circa 1.000m sul livello del mare, da cui si inizierà a pedalare nella suggestiva Foresta della Barbottina, la più grande foresta di faggi d’Europa. A quest’altitudine la macchia mediterranea della costa lascia spazio ad alberi da fusto più imponenti. Il bosco di faggi, lecci e castagni la fa da padrone. La giornata prevede poi di seguire parte dell’Alta Via dei Monti Liguri: un percorso suggestivo, principalmente su strade sterrate, che segue la dorsale montuosa della Liguria, vera spina dorsale naturale della regione. Questa antica rete viaria fu usata, oltre che dai pellegrini diretti ai luoghi di culto nel Medioevo, anche nel ‘700 dalle truppe di Napoleone che si scontrarono con i soldati austro-piemontesi in diverse battaglie. Visiteremo il Forte del Melogno e alcuni luoghi chiave delle guerre di conquista che Bonaparte aveva pianificato per impossessarsi del nord Italia. Scendendo verso il mare potremo osservare come la natura cambia col cambiare dell’altitudine, godendo di scorci magnifici sulla costa. Nelle giornate limpide si può ammirare buona parte della Riviera Ligure di Ponente, con l’isola Gallinara e Capo Mele a ovest e Genova a est a fare da confine. Spesso si riesce a scorgere anche la Corsica, in lontananza. Toccheremo la cittadina di Bardinetto, anticamente parte del Marchesato dei Del Carretto di Finale Ligure, che vi fecero costruire uno stravagante castello a 16 lati per offrire protezione al borgo. Bardinetto fu infatti crocevia importante per i trasporti e i commerci tra Liguria e Piemonte in epoche antiche, trovandosi in uno dei luoghi facili da attraversare andando dal mare verso i monti. Scendendo verso il mare passeremo da Castelvecchio di Rocca Barbena, suggestivo borgo arroccato su un promontorio naturale e sormontato da un imponente castello. Il borgo, in cui alcune stradine e passaggi sono così stretti e angusti che assomigliano a vere e proprie grotte, è oggi quasi interamente ristrutturato grazie a investimenti di stranieri che hanno acquistato gli alloggi dopo essersi innamorati di questo luogo. Penultima tappa prima di ritornare a Finale Ligure è Zuccarello, costruito lungo il torrente Neva. Anche questo borgo fu dominio dei Del Carretto in epoca Medioevale e luogo di passaggio di commerci con la costa e l’entroterra. Da notare i numerosi ponti di medievale perfettamente conservati e la struttura del centro, costituita da palazzi al cui piano terreno si aprono logge arcate più tipiche di una città piemontese che non di un borgo ligure. A conclusione del nostro tour arriveremo ad Albenga: secondo comune e secondo agglomerato urbano della provincia per popolazione, ha l'appellativo di "Città delle cento torri". È oggi una città multietnica e dai forti contrasti: unica vera zona pianeggiante della regione, i suoi dintorni sono stati “colonizzati” da serre e strutture per il commercio di fiori e piante, su cui basa molto del suo sostentamento. Visitando il centro storico si potranno invece ammirare i suoi fasti e la sua magnificenza secolare. La città fu infatti un centro potente fin dal momento della sua fondazione in epoca romana. Concluderemo il tour con la visita ad una cantina locale e la degustazione di vini tipici della zona: Pigato, Rossese e Vermentino. Descrizione ENG These itineraries allow us to discover all the elements that make this small corner of the world a concentrate of beauty. We will discover unique towns and villages, a real open-air museum, and other wonders that may go unnoticed to an unwary eye, but which will surely remain in the heart and soul of those who will be able to savour them. Beautiful villages, paths to discover the oil and salt routes; hundreds of caves and caverns, with a crystal clear sea as a backdrop. In short, places where amazement and emotions are continuous. Given the great possibility of adapting the itinerary, the tour is suitable for a wide range of people. From the most experienced and trained, looking for adrenaline-pumping trails and pure fun, to the less experienced, but eager to discover the places visited dynamically and actively. TOUR DETAILS DAY 1 - FINALBORGO, PERTI, VEREZZI, BORGIO VEREZZI We leave by bicycle to visit Finalborgo, a true cultural and artistic centre of the area. In addition to the craft shops that are part of the “Handmade in Finalborgo” group, you can also visit prestigious monuments including: Basilica of San Biagio, Complex of Santa Caterina, Aycardi Theater, Castel Govone, Castel San Giovanni. After visiting the historic centre, we go up from the ancient Beretta road towards Perti, from which you can admire the valley and the castles more closely, as well as the olive groves and the church of S. Eusebio. From here we go back down into the valley and, along secondary roads with little traffic and old mule tracks; we will eventually reach the second medieval village of Verezzi, which, like Finalborgo and Noli, is awarded as one of the most beautiful villages in Italy. We will cycle through the dense road system of Verezzi. Along the alleys and créuze that connect the villages, evocative glimpses, passages, ancient gates, wash houses, shrines, corners rich in history and beauty, with splendid views of the Ligurian coast open up at every step. The village participates in the initiative “The wine and oil route”, which aims to enhance the food and wine traditions and typical products of the area. We will then cycle until we reach the Phoenician Mill, the best preserved of the three currently present in Europe. In this type of windmill, the blades were located inside the structure and moved thanks to the wind that passed through the slits open on the facade. From Verezzi we will go down to Borgio, the ancient town from which the modern city came to life. Here you can visit the Borgio Verezzi Caves. They offer a tourist route, which winds for about 800 meters inside large rooms. And colours everywhere: white, yellow, red in a thousand different shades. Due to the presence of various minerals, they make the Caves of Borgio Verezzi the most colourful tourist cave in Italy. A treasure trove of hypogean beauty, the Caves open exactly under the inhabited centre and present also a remarkable naturalistic and paleontological interest being a site of the remains of extinct animals. The Caves include a tourist route that can be visited in about an hour. We will conclude the day returning to Finale and with a visit to a modern oil mill, but with roots in the past, where you can taste the oils produced and other local delicacies. DAY 2 - FINALMARINA, FINALPIA, LE MANIE, NOLI, VARIGOTTI On the second day, the tour will again depart from Finale, this time passing through the seaside village. We will enter Finalmarina and walk its narrow streets overlooking the sea. The Borgo appears to the unknowing eye as a monotonous succession of modern buildings. With a more careful visit, however, you will discover that the Borgo presents complex historical events, the result of over two thousand years of history. We will immediately discover the magnificence of the Basilica di San Giovanni, considered one of the most beautiful Baroque churches in Savona and Liguria. We will then continue with a visit to the town centre and the large square, Piazza Vittorio Emanuele II. When the Infanta Margherita of Spain arrived here in August 1666, the great Triumphal Arch was erected in her honour, becoming soon one of the symbols of Finale. We will also visit the small village of Finalpia, which today appears almost one with Finalmarina on the coast and with Calvisio in the hinterland. The town is located on the banks of the Sciusa stream and along the Via Aurelia. The oldest part of Finalpia rises around the Sanctuary of Santa Maria di Pia and the adjacent Benedictine Monastery, still today an important part of the religious and cultural life of the village. After the visit to Finalpia, we move again in an easterly direction towards the Altopiano delle Manie, a treasure trove of natural beauty and evocative landscapes. We will cycle along the ancient Via Julia Augusta, passing three Roman bridges, two of which are still perfectly preserved. Once we reach the summit of the plateau, we can visit the Grotta dell’Arma, on the top of which is the Tavern of the same name, a must for gourmet lovers. We will then enjoy unique landscapes and glimpses of the sea, immersed in the scents of the Mediterranean scrub. Going down a stretch of the scenic Strada di Isasco, you come to the locality of the same name, inhabited since ancient times. In 1952-53 a necropolis from the imperial age was discovered here, consisting of about forty tombs. In addition to Isasco, going down towards the sea, we will be able to admire the other splendid villages of Kien, Pino and Pietragrossa. Agglomerations of exposed stone huts, mostly with flat roofs, probably reminiscent of Muslim architecture, overlooking the sea and the village below. We will then descend to Noli. An ancient centre of the Ligurians, Noli was a town hall in Roman times. It later became an important maritime centre, with a conspicuous and well-prepared naval fleet on a par with other large maritime centres in Liguria, took part in the first crusade in 1099. In memory of the ancient times when the town was the centre of flourishing trade, there are numerous towers (long ago there were 50, today only a dozen remain), erected at the behest of merchants to represent their wealth. Dante Alighieri also seems to have passed through here, who in the Divine Comedy wrote in a stroke "Vassi in San Leo and descended in Noli", perhaps to praise the beauty of the city he visited. It is no coincidence that some of the paths that we will take are part of a Dantesque itinerary that attracts many hikers every year. Noli also boasts the remains of a castle, also from the Middle Ages, surrounded by walls. The castle of Monte Ursino. In the transfer between Noli and Varigotti we will pass by Capo Noli, where the road, built in the late 1800s to offer a faster communication route on the coast, offers magnificent views overlooking the sea. Here you can also admire the wild nature of the coast, with vertical rock walls hundreds of meters high. We are approaching our last stop, Varigotti. Of this ancient fishing village, the beauty of the sea-view glimpses of the narrow streets is immediately striking: with the rough sea are literally bathed by the splashes of water. The origins of Varigotti are from some dated to the 2nd century AD. Varigotti, like the whole coast of the Italian peninsula, suffered the Saracen threat for a long time. It is possible that here some of them stopped permanently and mingled with the local population, influencing their customs and traditions, first of all, and most, the architecture of the houses. We will climb along cobbled streets to visit the church of San Lorenzo, probably dating back to the 7th century, which overlooks the splendid Baia dei Saraceni, an ancient port used already in Roman times. After a visit to the town centre, the tour ends with returning to Finale and with a visit to a local pasta factory, to discover all the fresh pasta recipes that this region offers. Obviously seasoned with excellent freshly made Ligurian pesto. DAY 3 - MELOGNO, ALTA VIA DEI MONTI LIGURI, BARDINETO, CASTELVECCHIO DI ROCCA BARBENA, ZUCCARELLO, ALBENGA The tour of the 3rd day is largely devoted to the contemplation of nature in all its nuances. We will start with a transfer of customers and bicycles by shuttle bus to Colle del Melogno, about 1,000m above sea level, from which we’ll start pedalling in the suggestive Barbottina Forest, the largest beech forest in Europe. At this altitude, the Mediterranean scrub of the coast gives way to more impressive trees. The beech, holm oak and chestnut wood are the masters. We will then follow part of the Alta Via dei Monti Liguri: an evocative route, mainly on dirt roads, which follows the mountain ridge of Liguria, the true natural backbone of the region. This ancient road network was used not only by pilgrims going to places of worship in the Middle Ages, but also in the 1700s by Napoleon’s troops who clashed with Austro-Piedmontese soldiers in various battles. We will visit the Forte del Melogno and some key places of the wars of conquest that Bonaparte had planned to take over northern Italy. Going down to the sea we will be able to observe how nature changes as the altitude changes, enjoying magnificent views of the coast. On clear days you can admire a large part of the western Ligurian Riviera, with the Gallinara island and Capo Mele to the west and Genoa to the east as the border. Corsica can often be seen in the distance. We will touch the town of Bardinetto, formerly part of the Del Carretto Marquisate of Finale Ligure, which had an extravagant 16-sided castle built there to offer protection to the village. Bardinetto was in fact an important crossroads for transport and trade between Liguria and Piedmont in ancient times, being in one of the places easy to cross from those that were going from the sea to the mountains. Heading down towards the sea we will pass by Castelvecchio di Rocca Barbena, a charming village perched on a natural promontory and surmounted by an imposing castle. The village, in which some streets and passages are so narrow and cramped that they resemble real caves, is today almost entirely renovated thanks to investments by foreigners who have bought the accommodations after falling in love with this place. The penultimate stop before returning to Finale Ligure is Zuccarello, built along the Neva stream. This village was also the domain of the Del Carretto family in the Middle Ages and a place of trade with the coast and the hinterland. Note the numerous perfectly preserved medieval bridges and the structure of the centre, made up of buildings that on the ground floor have arched loggias, more typical of a Piedmontese city than of a Ligurian village. At the end of our tour we will arrive in Albenga: second municipality and second urban agglomeration of the province by population, it has the nickname of "City of a hundred towers". Today it is a multi-ethnic city with strong contrasts: the only real flat area in the region, its surroundings have been "colonized" by greenhouses and structures for the flowers and plants trade. Visiting the historic centre you can instead admire its splendour and its secular magnificence. The city was in fact a powerful centre from the moment of its foundation in Roman times. We will conclude the tour with a visit to a local winery and a tasting of typical wines of the area: Pigato, Rossese and Vermentino. \| Prezzo listino \| \|----------------\| \| Prezzo Intero \| 370€ a persona per gruppi di 4 persone, e-bike e trasferimenti con navetta inclusi \| \| Prezzo ridotto \| \| \| Riduzioni per più di 4 partecipanti \| \| \| Riduzioni: \| \| \| 10% ai possessori della tourist card \| \| \| Prezzo scontato \| \|-----------------\| \| Prezzo Intero \| 335€ \| \| Prezzo ridotto \| \| \| Riduzioni \| \| \| Durata attività/esperienza \| 3 giorni, ciascuno di circa 7 ore \| \|----------------------------\|----------------------------------\| \| Massimo partecipanti \| 7 \| \|----------------------\|---\| \| Lingue parlate \| \|----------------\| \| x ITA \| \| x ENG \| \| x FRA \| \| x TED \| \| x SPA \| \| □□ RUS \| \| Altro \| \| Accessibilità ai disabili (specificare quali) \| \| \|-----------------------------------------------\|--- \| Orari disponibilità/accesso \| \|-----------------------------\| \| x Lunedì orario 9-19 \| \| x Martedì orario 9-19 \| \| x Mercoledì orario 9-19 \| \| x Giovedì orario 9-19 \| \| x Venerdì orario 9-19 \| \| x Sabato orario 9-19 \| \| x Domenica orario 9-19 \| \| Periodo dal _01_/ _01_/______ al _31_/ _12_/______ \| \| Raggiungibilità con trasporto pubblico \| SI \| \|----------------------------------------\|----\| \| Categoria \| \|-----------\| \| X Famiglie \| \| X Turismo attivo \| \| X Cultura \| \| X Natura \| \| □□ Eventi \| \| Si può fare anche in caso di maltempo? \| NO \| \|------------------------------------------\|----\| \| E' necessaria la prenotazione? Se si indicare entro \| SI. Entro 1 settimana precedente al tour \| \|-----------------------------------------------------\|-----------------------------------------\| \| Nota bene / indicazioni \| Necessario un livello minimo di esperienza e di dimestichezza con la bicicletta \|
2 B esikeičianti aplinka ir Lietuvos narystė Europos Sąjungoje skatina muitinę numatyti naujas veiklos sąlygas atitinkančius žingsnius. Ši strategija – tai vienos svarbiausių verslui įtakos turinčių valstybės institucijų žvilgsnis į plačius 2005–2010 metų veiklos horizontus. Gerai suprasdama savo vaidmens svarbą ir atsakomybę tarptautinės prekybos grandinėje bei pritardama prieš terorizmą besitelkiančio pasaulio idėjoms Lietuvos muitinė strateginius tikslus, prioritetus, uždavinius sujungė į darnią visumą. Nusibrėžusi dar vieno veiklos etapo gaires, muitinė siekia ryškių pokyčių visose srityse ir ES gyvenimo ritmu skuba panaudoti naujas galimybes tolesnei pažangai. T he changing environment and Lithuania's membership in the European Union encourage the Customs to foresee steps complying with the new conditions of activities. Thisstrategyisaglimpseofoneofthemostimportantpublicinstitutionshaving impact on business into the wide horizons of 2005-2010 year activities. Being well aware of the signiﬁcance of its role and responsibility in the international trade supply chain, and supporting the ideas of the world rallying against terrorism, the Lithuanian Customs has integrated the strategic goals, priorities, objectives into a harmonious entirety. Having deﬁned the guidelines for one more activity stage, the Customs seeks distinct changes in all areas and, following the rhythm of the EU life, is in a hurry to use new possibilities for further progress. B 1. Integracija į ES ir NATO, auganti tarptautinio terorizmo ir organizuoto nusikalstamumo grėsmė, vykstantys globalizacijos procesai bei informacinių technologijų plėtra lemia sparčius Lietuvos politinio, ekonominio, socialinio ir kultūrinio gyvenimo pokyčius. Visa tai didina valstybės strateginio valdymo reikšmę visose valdymo srityse. Lietuvos Respublikos muitinės (toliau – Lietuvos muitinė) išorinės ir vidinės aplinkos pokyčiai turi svarbią įtaką jos strateginei ir taktinei veiklai. Todėl iškilo poreikis parengti naują Lietuvos Respublikos muitinės veiklos strategiją. Lietuvos Respublikos muitinės veiklos strategija 2005–2010 metams (toliau – Strategija) parengta vadovaujantis Europos Komisijos bei Pasaulio muitinių organizacijos dokumentais bei atsižvelgiant į nacionalinius dokumentus. Ši Strategija – tai Lietuvos muitinės veiklos gairės, apimančios laikotarpį iki 2010 metų, – kelias į modernią Lietuvos muitinę, palankiai vertinamą visuomenės, patikimą kitų valstybių muitinių partnerę. Šioje Strategijoje Lietuvos muitinė ypač didelį dėmesį skiria verslo aplinkos sąlygų gerinimui bei Lietuvos konkurencingumo ES didinimui, rinkos ir visuomenės apsaugai bei efektyviam mokesčių administravimui. II. V IZIJA 2. Lietuvos muitinė – lanksti, skaidri, efektyvi ir patikima, į geriausią ES valstybių muitinių patirtį orientuota valstybės institucija, sauganti visuomenę nuo neteisėtos tarptautinės prekybos daromos žalos ir sudaranti palankias sąlygas verslo plėtrai. III. M ISIJA 3. Lietuvos muitinės paskirtis yra: 3.1. užtikrinti rinkos ir visuomenės saugą ir saugumą taikant efektyvią muitinės priežiūrą bei plėtojant vidaus ir tarptautinį bendradarbiavimą; 3.2. užtikrinti muitinės administruojamų mokesčių surinkimą; 3.3. sudaryti palankias sąlygas verslo plėtrai, diegiant modernius darbo metodus ir kuriant elektroninę muitinės aplinką. G 1. Integration into the EU and NATO, the growing threat of international terrorism and organized crime, the ongoing processes of globalisation and development of information technologies determine rapid changes in political, economic, social and cultural life in Lithuania. All these factors increase the signiﬁcance of strategic administration of the state in all the ﬁelds of administration. Changes in external and internal environment of the Customs of the Republic of Lithuania (hereinafter referred to as the Lithuanian Customs) signiﬁcantly inﬂuence its strategic and tactical activities. Therefore, there is a need to prepare a new strategy for activities of the Customs of the Republic of Lithuania. The Business Strategy of the Customs of the Republic of Lithuania for 2005–2010 (hereinafter referred to as the Strategy) was prepared in accordance with the documents of the European Commission and the World Customs Organization and taking into account some national documents. This Strategy provides the activity guidelines of the Lithuanian Customs for the period till 2010 – a road towards modern Lithuanian Customs, appreciated by the public and a reliable partner of the customs of other countries. In the Strategy, a lot of attention is granted to improvement of business environment and enhancement of Lithuania's competitiveness in the EU, protection of market and society, and eﬃcient administration of taxes. T 2. The Lithuanian Customs as a ﬂexible, transparent, eﬀective and reliable public institution, oriented towards the best experience of the customs of EU countries, protecting society from damage done by illegal international traﬃcking and establishing favourable conditions for business development. T 3. The mission of the Lithuanian Customs includes the following: 3.1. to ensure safety and security of market and society by applying eﬃcient customs supervision and by developing domestic and international cooperation; 3.2. to ensure collection of taxes that are administered by the Customs; 3.3. to establish favourable conditions for business development by implementing modern working methods and creating electronic customs environment. IV. RIORITETINĖS LIETUVOS MUITINĖS VEIKLOS SRITYS P 4. Prioritetinės Lietuvos muitinės veiklos sritys yra: 4.1. rinkos ir visuomenės apsauga bei mokesčių administravimas; 4.2. santykiai su muitinės aplinka; 4.3. organizacijos plėtra. V. ILGALAIKIAI STRATEGINIAI TIKSLAI 5. Ilgalaikiai strateginiai tikslai yra šie: 5.1. rinkos ir visuomenės apsaugos bei mokesčių administravimo srityje – apsaugoti rinką ir visuomenę nuo neteisėtos tarptautinės prekybos daromos žalos, efektyviai kovoti su vengimu mokėti mokesčius, tobulinti mokesčių apskaitą, gerinti jų surinkimą, užkirsti kelią muitų teisės aktų pažeidimams bei kitai nusikalstamai veiklai. 5.2. santykių su muitinės aplinka srityje – sudaryti palankias sąlygas verslo plėtrai, rengti nacionalinius muitų teisės aktus, atstovauti Lietuvos interesams rengiant ES muitų teisės aktus, efektyviai bendradarbiauti su kitomis Lietuvos Respublikos institucijomis, ES institucijomis, kitų valstybių muitinėmis ir tarptautinėmis organizacijomis, teikti visuomenei operatyvią ir kokybišką informaciją apie savo veiklą. 5.3. organizacijos plėtros srityje – siekti, kad Lietuvos muitinė taptų efektyviai dirbančia, gebančia greitai adaptuotis, lanksčia ir konkurencinga organizacija. VI. UŽDAVINIAI RINKOS IR VISUOMENĖS APSAUGOS BEI MOKESČIŲ ADMINISTRAVIMO SRITYJE 6. Uždaviniai rinkos ir visuomenės apsaugos bei mokesčių administravimo srityje yra šie: 6.1. įgyvendinti priemones, susijusias su tarptautinės prekybos saugumo užtikrinimu, terorizmo aktų bei organizuoto nusikalstamumo užkardymu: 6.1.1. įdiegti kompiuterizuotą su prekėmis, muitinės procedūromis bei asmenimis susijusių rizikos veiksnių valdymo sistemą, siekti jos integravimo su ES rizikos valdymo procesu; 6.1.2. siekti tapti koordinuojančia institucija, atsakinga už prekių, gabenamų per Lietuvos Respublikai tenkančią ES išorinės sienos dalį, kontrolę integruotoje Lietuvos Respublikos valstybės sienos apsaugos sistemoje; 6.1.3. užtikrinti prekių judėjimo kontrolę, diegiant modernias kitose ES valstybėse taikomas prekių ir jas gabenančių transporto priemonių muitinio tikrinimo priemones bei metodikas; IV. RIORITY ACTIVITY FIELDS OF THE LITHUANIAN CUSTOMS P 4. Priority activity ﬁelds of the Lithuanian Customs include the following: 4.1. protection of market and society and administration of taxes; 4.2. relations with the customs environment; 4.3. organizational development. 5. The long-term strategic goals are as follows: V. L ONG-TERM STRATEGIC GOALS 5.1. In the ﬁeldofmarketandsocietyprotectionandtaxadministration – to protect market and society from the damage done by international traﬃcking, to eﬀectively ﬁght against tax evasion, to improve tax accounting and collection, to preclude violations of customs legislation and other criminal activities. 5.2. In the ﬁeld of relations with the customs environment – to establish favourable conditions for business development, to prepare national customs related legislative acts, to represent interests of Lithuania when preparing EU customs legislation, to eﬀectively cooperate with other institutions of the Republic of Lithuania, EU institutions, customs authorities of other countries, and international organizations, to provide to the public operative and high-quality information on its activities. 5.3. In the ﬁeldoforganizationaldevelopment– to seek that the Lithuanian Customs becomes an eﬃciently-operating, capable of rapid adaptation, ﬂexible and competitive organization. VI. T ASKS IN THE FIELD OF MARKET AND SOCIETY PROTECTION AND TAX ADMINISTRATION 6. The tasks in the market and society protection and tax administration include the following: 6.1. to implement measures related to safeguarding security of international trade and prevention of terrorist acts and organized crime: 6.1.1. to implement a computerized management system for risks related to goods, customs procedures and persons, and to integrate it into EU risk management process; 6.1.2. to become a coordinating institution, responsible for control of goods being transported through the external EU borders of Lithuania in the integrated state border protection system of the Republic of Lithuania; 6.1.3. to ensure control of movement of goods by implementing modern measures and methodologies, as used in other EU Member States, for customs examination of goods and the vehicles transporting the goods; 6.1.4. to ensure appropriate provision of the Lithuanian customs institutions with up-todate means of control and inspection equipment and to ensure eﬀective use of such means; 6.1.4. užtikrinti tinkamą Lietuvos muitinės įstaigų aprūpinimą moderniomis kontrolės priemonėmis bei tikrinimo įranga, užtikrinti efektyvų šių priemonių panaudojimą; 6.2. tobulinti ir plėtoti muitinės informacijos kaupimo, analizės, keitimosi ir naudojimo priemones, efektyviau naudoti šią informaciją muitų teisės aktų pažeidimų prevencijai, pažeidėjų išaiškinimui, tarptautinės prekybos saugumui užtikrinti; 6.3. plėtoti duomenų mainus tarp Lietuvos muitinės ir verslo, muitinės ir kitų Lietuvos Respublikos institucijų, muitinės ir kitų teisėsaugos institucijų ir tarp Lietuvos muitinės ir užsienio valstybių muitinių, ES institucijų ir tarptautinių organizacijų muitų teisės aktų įgyvendinimo, jų pažeidimų prevencijos, kontrolės ir tyrimų srityse, diegti tarptautinius šių duomenų standartus; 6.4. plėtoti bendradarbiavimą su kitomis Lietuvos Respublikos institucijomis, ES institucijomis, užsienio valstybių muitinėmis, Pasaulio muitinių organizacija bei kitomis tarptautinėmis organizacijomis muitų teisės aktų įgyvendinimo, jų pažeidimų prevencijos, kontrolės ir tyrimų srityse, vykdyti tarptautinėmis sutartimis prisiimtus įsipareigojimus; 6.5. tobulinti mokesčių apskaitą, surinkimą ir išieškojimą, efektyviau vykdyti mokesčių įstatymų pažeidimų prevenciją bei prekių, kurioms taikomos eksporto grąžinamosios išmokos, kontrolę. VII. UŽDAVINIAI SANTYKIŲ SU MUITINĖS APLINKA SRITYJE 7. Uždaviniai santykių su muitinės aplinka srityje yra šie: 7.1. siekti sukurti kuo palankesnes verslo aplinkos sąlygas rengiant Lietuvos muitų teisės aktus, atstovaujant Lietuvos interesams rengiant ES muitų teisės aktus ir ES muitų politiką; 7.2. plačiau įgyvendinti ES muitų teisės aktų nuostatas, numatančias verslo subjektams taikytinus supaprastinimus, atsižvelgiant į geriausią ES valstybių muitinių praktiką; 7.3. vykdyti priemones, susijusias su elektroninės muitinės iniciatyvos įgyvendinimu, t. y. siekti, kad: 7.3.1. visi asmenys galėtų internetu pateikti elektroninę bendrąją ir (arba) muitinės deklaraciją ir gauti elektroninį muitinės pranešimą apie jos priėmimą; 7.3.2. būtų kompiuterizuoti pagrindiniai muitinės veiklos procesai; 7.3.3. būtų sukurtas informacinis portalas – bendra elektroninė prieiga prie muitinės ir kitų su prekių importu ar eksportu susijusių valstybės institucijų informacinių sistemų; 7.3.4. muitinės viešosios paslaugos teikiamos „vieno langelio" principu; 7.4. sukurti pakopinę juridinių asmenų patikimumo sistemą; 7.5. parengti ir įgyvendinti Muitinės ir verslo bendradarbiavimo teisėkūros, mokymo, konsultavimosi ir kitose srityse programą, pagrįstą muitinės ir verslo partneryste; 7.6. plėtoti Visuomenės informavimo apie muitinės veiklą sistemą; 7.7. efektyviai dalyvauti su muitinės veikla susijusiose ES programose, plėtoti bendradarbiavimą su ES institucijomis, užsienio valstybių muitinėmis, Pasaulio muitinių organizacija bei kitomis tarptautinėmis organizacijomis muitinės darbo metodų tobulinimo, muitinės veiklos procesų kompiuterizavimo ir verslo aplinkos sąlygų gerinimo srityse. 6.2. to improve and develop means for accumulation, analysis, exchange and exploitation of customs information, to eﬃciently use such information for prevention of violations of customs legislation, for discovering oﬀenders and for ensuring safety of international trade; 6.3. to develop data exchange between the Lithuanian Customs and the business sector, the customs and other institutions of the Republic of Lithuania, the Customs and other law enforcement institutions and between the Lithuanian Customs and Customs of other countries, EU institutions and international organizations in the ﬁelds of implementation of customs legislation, prevention of violations, control and investigation, and to implement international standards for such data; 6.4. to expand cooperation with other institutions of the Republic of Lithuania, EU institutions, customs of other countries, the World Customs Organization and other international organizations in the ﬁelds of implementation of customs legislation, prevention of violations, control and investigation in order to implement obligations accepted in international agreements; 6.5. to improve tax accounting, collection and exacting, to more eﬃciently perform prevention of infringements of tax related legislation, and control of goods, to which export refunds are applied. VII. ASKS IN THE FIELD OF RELATIONS WITH CUSTOMS ENVIRONMENT T 7. The tasks in the ﬁeld of relations with the customs environment are the following: 7.1. to create the most favourable business environment conditions when preparing national customs legislative acts and when representing the interests of Lithuania in preparation of EU customs legislation and formation of EU customs policy; 7.2. to more extensively implement provisions of EU customs legislation providing simpliﬁcations applicable to business entities, paying due regard to the best practices of the customs of EU Member States; 7.3. to pursue measures related to implementation of the e-customs initiative, that is, to aim that: 7.3.1. all the persons can submit an electronic general and/or customs declaration via Internet and receive receipt conﬁrmation from the Customs; 7.3.2. all the principal customs processes are computerized; 7.3.3. an information portal is created – a common electronic access to information systems of the customs and other public authorities related to imports and exports of goods; 7.3.4. public services of the customs are provided following the "single window" principle; 7.4. to establish a stepped system for reliability of legal entities; 7.5. to prepare and to implement the Programme for customs and business cooperation in preparation of legislation, training, consulting and in other ﬁelds, based on the customs and business partnership; 7.6. to expand the Public information system on customs activities; 7.7. to eﬀectively participate in customs-related EU programmes, to develop cooperation with EU institutions, customs authorities of other countries, the World Customs Organization and other international organizations for improvement of customs working methods, computerization of customs processes and perfection of business environment conditions. VIII. ŽDAVINIAI ORGANIZACIJOS PLĖTROS SRITYJE U 8. Uždaviniai organizacijos plėtros srityje yra šie: 8.1. modernizuoti Lietuvos muitinės valdymą, perimant geriausiąją užsienio valstybių muitinių praktiką, tobulinant vidaus kontrolės sistemą bei diegiant šiuolaikinius kokybės vadybos metodus; 8.2. sukurti ir įgyvendinti funkcijų bei kontrolės paskirstymo tarp muitinės įstaigų centralizavimo ir decentralizavimo koncepciją; 8.3. tobulinti Lietuvos muitinės administracinius gebėjimus: sudaryti sąlygas pritraukti, ugdyti ir išlaikyti aukštos kvaliﬁkacijos specialistus, įtvirtinti laipsnišką karjeros siekimą, stiprinti pareigūnų motyvaciją, tobulinti kvaliﬁkaciją, ugdyti pareigūnų sugebėjimus aktyviai dalyvauti ES institucijų darbe, efektyviai naudoti tarnybinės veiklos vertinimą ir skatinimą; 8.4. vykdyti sistemingą korupcijos prevenciją, veiksmingiau atskleisti ir tirti korupcinio pobūdžio veikas, ugdyti antikorupcinio elgesio standartus bei kitomis priemonėmis gerinti Lietuvos muitinės įvaizdį visuomenėje; 8.5. koncentruoti Lietuvos muitinės veiklą moderniose, gerai įrengtose ir aprūpintose šiuolaikine kompiuterių, ryšio bei muitinio tikrinimo technika muitinės įstaigose. IX. S TRATEGIJOS ĮGYVENDINIMAS 9. Šiai Strategijai įgyvendinti būtina, kad: 9.1. kitos valstybės institucijos pripažintų Lietuvos muitinę svarbia visuomenės apsaugos institucija ir suprastų jos Strategijos reikšmę; 9.2. Lietuvos muitinės pareigūnai suvoktų strateginių uždavinių reikšmę, nustatytų jiems įgyvendinti reikalingas priemones ir savo veikla prisidėtų prie jų įgyvendinimo; 9.3. Lietuvos muitinėje dirbtų pakankamas skaičius aukštos kvaliﬁkacijos darbuotojų; 9.4. visuomenėje būtų formuojamas teigiamas Lietuvos muitinės įvaizdis ir pagarba jai kaip valstybės institucijai; 9.5. abipuse Lietuvos muitinės ir verslo iniciatyva būtų plėtojamas tarpusavio bendradarbiavimas; 9.6. Lietuvos muitinės veikla bei jos modernizavimas būtų pakankamai ﬁnansuojami. 10. Lietuvos muitinė asignavimus planuoja pagal programas vadovaujantis Lietuvos Respublikos Vyriausybės nustatyta institucijos strateginio veiklos plano rengimo tvarka. Kasmet prieš rengiant Lietuvos muitinės strateginį veiklos planą nustatomi vidutinės trukmės strateginiai tikslai bei ilgalaikių, vidutinės trukmės strateginių tikslų, uždavinių vertinimo kriterijai. Strateginiai tikslai bus pasiekti, ﬁnansuojantšios Strategijos uždavinius ir priemones, įtrauktas į Lietuvos muitinės strateginius veiklos planus. 11. Strateginiams tikslams pasiekti ir uždaviniams įgyvendinti sudaromi Lietuvos muitinės veiklos metiniai darbo planai, kuriuose numatomos priemonės uždaviniams įgyvendinti. Nustatyta tvarka patvirtinus šiuos darbo planus, pradedamas jų įgyvendinimas, o kartu ir stebėsena bei atsiskaitymas už rezultatus. Uždavinių įgyvendinimo priežiūrai atlikti nustatomi vertinimo kriterijai, pagal kuriuos įvertinama per tam tikrą laiką pasiekta pažanga įgyvendinant uždavinius. 10 VIII. ASKS IN THE FIELD OF ORGANIZATIONAL DEVELOPMENT T 8. The tasks in the ﬁeld of organizational development include the following: 8.2. to create and to implement a conception for centralisation and decentralisation of distribution of functions and control tasks among customs oﬃces; 8.1. to modernize management of the Lithuanian Customs by taking over the best practices of foreign customs, by improving the internal control system and establishing up-to-date methods of quality management; 8.3. to improve administrative capacities of the Lithuanian Customs: to establish conditions for attracting, educating and retaining specialists of high qualiﬁcation,toestablish gradual career seeking, to enhance motivation of oﬃcers, to improve their qualiﬁcation, to cultivate their abilities for active participation in the work of EU institutions, to eﬀectively use assessment and stimulation of service activities; 8.5. to concentrate activities of the Lithuanian Customs in modern and well equipped customs oﬃces,providedwithup-to-datecomputer,communicationancustomscontrol technologies. 8.4. to implement systematic prevention of corruption, to more eﬃciently disclose and investigate corruptive acts, to develop standards of anti-corruptive behaviour and to use other means for improvement of the Lithuanian Customs image; IX. I MPLEMENTATION OF THE STRATEGY 9. In order to implement the Strategy, it is necessary that: 9.2. oﬃcers of the Lithuanian Customs understand the signiﬁcance of the strategic goals, establish the means necessary for their implementation and contribute to such implementation by their activities; 9.1. other public authorities acknowledge the Lithuanian Customs as an important institution for protection of society and understand the signiﬁcance of its Strategy; 9.3. an adequate number of employees of high qualiﬁcation is employed in the Lithuanian Customs; 9.5. on mutual initiative of the Lithuanian Customs and business sector, a mutual cooperation is developed; 9.4. a positive view towards the Lithuanian Customs is formed in society and respect for it as a public authority; 9.6. activities and modernization of the Lithuanian Customs receive adequate funding. 11. In order to achieve the strategic goals and to implement the tasks, the Lithuanian Customs annual working plans are prepared, wherein the means for implementation of the tasks are stipulated. After the plans are approved in a laid down procedure, their implementation commences and, at the same time, monitoring and reporting of results. For supervision of implementation of the tasks, assessment criteria are laid down that are used in order to assess the progress achieved in implementing the tasks during a certain period of time. 10. The Lithuanian Customs plans its allocations under the programmes, following the procedure for preparation of authorities' strategic plans as laid down by the Government of the Republic of Lithuania. Each year, before preparation of a strategic plan of the Lithuanian Customs activities, middle-term strategic goals and criteria for assessing long-term and middleterm goals and tasks are established. The strategic goals will be achieved by ﬁnancing the tasks and means of this Strategy, included into strategic business plans of the Lithuanian Customs. 11 MUITINĖS DEPARTAMENTAS PRIE LIETUVOS RESPUBLIKOS FINANSŲ MINISTERIJOS A. Jakšto g. 1/25, LT-01105 Vilnius Tel. (8~5) 266 61 11 Faks. (8~5) 266 60 05 El. paštas firstname.lastname@example.org http://www.cust.lt Informacija verslo atstovams ir keleiviams, tel. (8~5) 261 30 27 Svarbiausia informacija anglų kalba, tel. (8~5) 261 72 58 Nemokamas pasitikėjimo telefonas (8~800) 55 544 THE CUSTOMS DEPARTMENT UNDER THE MINISTRY OF FINANCE OF THE REPUBLIC OF LITHUANIA A. Jakšto str. 1/25, LT-01105 Vilnius Tel. (+370 5) 266 61 11 Fax (+370 5) 266 60 05 E-mail email@example.com http://www.cust.lt Information in Lithuanian and Russian languages (+370 5) 261 30 27 Information in English language (+370 5) 261 72 58 24 hours telephone line for the anonymous announcements (+370 5) 212 49 77 Išleido LĮ „Kriventa", V. Pietario g. 5-3, LT-03122 Vilnius Tel./faks. (8~5) 265 06 29, www.kriventa.lt Pasirašyta spaudai 2006-07-20 Tiražas 500 vnt.
When Is Spring Coming? A Security Analysis of Avalanche Consensus Ignacio Amores-Sesar University of Bern, Switzerland Christian Cachin University of Bern, Switzerland Enrico Tedeschi The Arctic University of Norway, Tromsø, Norway Abstract Avalanche is a blockchain consensus protocol with exceptionally low latency and high throughput. This has swiftly established the corresponding token as a top-tier cryptocurrency. Avalanche achieves such remarkable metrics by substituting proof of work with a random sampling mechanism. The protocol also differs from Bitcoin, Ethereum, and many others by forming a directed acyclic graph (DAG) instead of a chain. It does not totally order all transactions, establishes a partial order among them, and accepts transactions in the DAG that satisfy specific properties. Such parallelism is widely regarded as a technique that increases the efficiency of consensus. Despite its success, Avalanche consensus lacks a complete abstract specification and a matching formal analysis. To address this drawback, this work provides first a detailed formulation of Avalanche through pseudocode. This includes features that are omitted from the original whitepaper or are only vaguely explained in the documentation. Second, the paper gives an analysis of the formal properties fulfilled by Avalanche in the sense of a generic broadcast protocol that only orders related transactions. Last but not least, the analysis reveals a vulnerability that affects the liveness of the protocol. A possible solution that addresses the problem is also proposed. 2012 ACM Subject Classification Theory of computation → Cryptographic protocols; Software and its engineering → Distributed systems organizing principles Keywords and phrases Avalanche, security analysis, generic broadcast Digital Object Identifier 10.4230/LIPIcs.OPODIS.2022.10 Related Version Full Version: https://arxiv.org/abs/2210.03423 Funding This work has been funded by the Swiss National Science Foundation (SNSF) under grant agreement Nr. 200021_188443 (Advanced Consensus Protocols). 1 Introduction The Avalanche blockchain with its fast and scalable consensus protocol is one of the most prominent alternatives to first-generation networks like Bitcoin and Ethereum that consume huge amounts of energy. Its AVAX token is ranked 14th according to market capitalization in August 2022 [9]. Avalanche offers a protocol with high throughput, low latency, excellent scalability, and a lightweight client. In contrast to many well-established distributed ledgers, Avalanche is not backed by proof of work. Instead, Avalanche bases its security on a deliberately metastable mechanism that operates by repeatedly sampling the network, guiding the honest parties to a common output. This allows Avalanche to reach a peak throughput of up to 20'000 transactions per second with a latency of less than half a second [29]. This novel mechanism imposes stricter security constraints on Avalanche compared to other networks. Traditional Byzantine fault-tolerant consensus tolerates up to a third of the parties to be corrupted [24] and proof-of-work protocols make similar assumptions in... terms of mining power [13, 12]. Avalanche, however, can tolerate only up to $O(\sqrt{n})$ malicious parties. Furthermore, the transactions in the “exchange chain” of Avalanche (see below) are not totally ordered, in contrast to most other cryptocurrencies, which implement a form of atomic broadcast [6]. As the protocol is structured around a directed acyclic graph (DAG) instead of a chain, it permits some parallelism. Thus, the parties may output the same transactions in a different order, unless these transactions causally depend on each other. Only the latter must be ordered in the same way. The consensus protocol of a blockchain is of crucial importance for its security and for the stability of the corresponding digital assets. Analyzing such protocols has become an important topic in current research. Although Bitcoin appeared first without formal arguments, its security has been widely understood and analyzed meanwhile. The importance of proving the properties of blockchain protocols has been recognized for a long time [8]. However, there are still protocols released today without the backing of formal security arguments. The Avalanche whitepaper [29] introduces a family of consensus protocols and offers rigorous security proofs for some of them. Yet the Avalanche protocol itself and the related Snowman protocol, which power the platform, are not analyzed. Besides, several key features of this protocol are either omitted or described only vaguely. In this paper, we explain the Avalanche consensus protocol in detail. We describe it abstractly through pseudocode and highlight features that may be overlooked in the whitepaper (Sections 3–4). Furthermore, we use our insights to formally establish safety properties of Avalanche. Per contra, we also identify a weakness that affects its liveness. In particular, Avalanche suffers from a vulnerability in how it accepts transactions that allows an adversary to delay targeted transactions by several orders of magnitude (Section 5), which may render the protocol useless in practice. The problem results from dependencies that exist among the votes on different transactions issued by honest parties; the whitepaper does not address them. The attack may be mounted by a single malicious party with some insight into the network topology. Finally, we suggest a modification to the Avalanche protocol that would prevent our attacks from succeeding and reinstantiate liveness of the protocol (Section 6). This version, which we call Glacier, restricts the sampling choices in order to break the dependencies, but also eliminates the parallelism featured by Avalanche. The vulnerability has been acknowledged by the Avalanche developers. However, the deployed version of the protocol implements another measure that prevents the problem. ## Related work Despite Avalanche’s tremendous success, there is no independent research on its security. Recall that Avalanche introduces the “snow family” of consensus protocols based on sampling [29, 4]: Slush, Snowflake, and Snowball. Detailed proofs about liveness and safety for the snow-family of algorithms are given. The Avalanche protocol for asset exchange, however, lacks such a meticulous analysis. The dissertation of Yin [32] describes Avalanche as well, but does not analyze its security in more detail either. Recall that Nakamoto introduced Bitcoin [23] without any formal analysis. This has been corrected by a long line of research, which established the conditions under which it is secure (e.g., by Garay, Kiayias, and Leonardos [13, 14] and by Eyal and Sirer [12]). The consensus mechanisms that stand behind the best-known cryptocurrencies are meanwhile properly understood. Some of them, like the proof-of-stake protocols of Algorand [15] and the Ouroboros family that powers the Cardano blockchain [17, 10], did apply sound design principles by first introducing and analyzing the protocols and only later implementing them. Many others, however, have still followed the heuristic approach: they released code first and were confronted with concerns about their security later. This includes Ripple [3, 1] and NEO [31], in which several vulnerabilities have been found, or Solana, which halted multiple times in 2021–2022. Stellar comes with a formal model [21], but it has also been criticized [18]. Protocols based on DAGs have potentially higher throughput than those based on chains. Notable examples include PHANTOM and GHOSTDAG [27], the Tangle of IOTA (www.iota.org), Conflux [20], and others [16]. However, they are also more complex to understand and susceptible to a wider range of attacks than those that use a chain. Relevant examples of this kind are the IOTA protocol [22], which has also failed repeatedly in practice [30] and PHANTOM [27], for which a vulnerability has been shown [19] in an early version of the protocol. ## 3 Model ### 3.1 Avalanche platform We briefly review the architecture of the Avalanche platform [4]. It consists of three separate built-in blockchains, the exchange or X-Chain, the platform or P-Chain, and the contract or C-Chain. Additionally there are a number of subnets. In order to participate in the protocols and validate transactions, a party needs to stake at least $2'000$ AVAX (about $50'000$ USD in August 2022 [9]). The exchange chain or X-Chain secures and stores transactions that trade digital assets, such as the native AVAX token. This chain implements a variant of the Avalanche consensus protocol that only partially orders the transactions and that is the focus of this work. All information given here refers to the original specification of Avalanche [29]. The platform chain or P-Chain secures platform primitives; it manages all other chains, allows parties to join the network, designates parties to become validators or removes them again from the validator list, and creates or deletes wallets. The P-Chain implements the Snowman consensus protocol: this is a special case of Avalanche consensus that always provides total order, like traditional blockchains. It is not explained in the whitepaper and we do not describe it further here. The C-Chain hosts smart contracts and runs transactions on an Ethereum Virtual Machine (EVM). It also implements the Snowman consensus protocol of Avalanche and totally orders all transactions and blocks. ### 3.2 Communication and adversary We now abstract the Avalanche consensus protocol and consider a static network of $n$ parties $\mathcal{N} = \{p, q, \ldots\}$ that communicate with each other by sending messages. An adversary may corrupt up to $f$ of these parties and cause them to behave maliciously and diverge arbitrarily from the protocol. Non-corrupted parties are known as honest, messages and transactions sent by them are referred to as honest. Analogously, corrupted parties send malicious transactions and messages. The parties may access a low-level functionality for sending messages over authenticated point-to-point links between each pair of parties. In the protocol, this functionality is accessed by two events send and receive. Parties may also access a second low-level functionality for broadcasting messages through the network by gossiping, accessed by the two events gossip and hear in the protocol. Both primitives are subject to network and timing assumptions. We assume the same network model as in the original Avalanche whitepaper [29]. Messages are delivered according to an exponential distribution, that is, the amount of time between the sending and the receiving of a message follows an exponential distribution with unknown parameter to the parties. However, messages from corrupted parties are not affected by this delay and will be delivered as fast as the adversary decides. This model differs from traditional assumptions like partial synchrony [11], because the adversary does not possess the ability to delay honest messages as it pleases. ### 3.3 Abstractions The payload transactions of Avalanche are submitted by users and built according to the unspent transaction output (UTXO) model of Bitcoin [23]. A payload transaction $tx$ contains a set of inputs, a set of outputs, and a number of digital signatures. Every input refers to a position in the output of a transaction executed earlier; this output is thereby spent (or consumed) and distributed among the outputs of $tx$. The balance of a user is given by the set of unspent outputs of all transactions (UTXOs) executed by the user (i.e., assigned to public keys controlled by that user). A payload transaction is valid if it is properly authenticated and none of the inputs that it consumes has been consumed yet (according to the view of the party executing the validation). Blockchain protocols are generally formalized as atomic broadcast, since every party running the protocol outputs the same ordered list of transactions. However, the transaction sequences output by two different parties running Avalanche may not be exactly the same because Avalanche allows more flexibility and does not require a total order. Avalanche only orders transactions that causally depend on each other. Thus, we abstract Avalanche as a generic broadcast according to Pedone and Schiper [25], in which the total-order property holds only for related transactions as follows. Definition 3.1. Two payloads $tx$ and $tx'$ are said to be related, denoted by $tx \sim tx'$, if $tx$ consumes an output of $tx'$ or vice versa. Our generic broadcast primitive is accessed through the two events $\text{broadcast}(tx)$ and $\text{deliver}(tx)$. Similar to other blockchain consensus protocols, it defines an “external” validity property and introduces a predicate $V$ that determines whether a transaction is valid [7]. Definition 3.2. A payload $tx$ satisfies the validity predicate of Avalanche if all the cryptographic requirements are fulfilled and there is no other delivered payload with any input in common with $tx$. For the remainder of this work, we fix the external validation predicate $V$ to check the validity of payloads according to the logic of UTXO mentioned before. Since Avalanche is a randomized protocol, the properties of our broadcast abstraction need to be fulfilled only with all but negligible probability. Definition 3.3. A protocol solves validated generic broadcast with validity predicate $V$ and relation $\sim$ if it satisfies the following conditions, except with negligible probability: - Validity. If a honest party broadcasts a payload transaction $tx$, then it eventually delivers $tx$. - Agreement. If a honest party delivers a payload transaction $tx$, then all honest parties eventually deliver $tx$. - Integrity. For any payload transaction $tx$, every honest party delivers $tx$ at most once, and only if $tx$ was previously broadcast by some party. - Partial order. If honest parties $p$ and $q$ both deliver payload transactions $tx$ and $tx'$ such that $tx \sim tx'$, then $p$ delivers $tx$ before $tx'$ if and only if $q$ delivers $tx$ before $tx'$. - External validity. If a honest party delivers a payload transaction $tx$, then $V(tx) = \text{TRUE}$. Note that different instantiations of the relation $\sim$ transform the generic broadcast primitive into well-known primitives. For instance, when no pair of transactions are related, generic broadcast degenerates to reliable broadcast. Whereas when every two transactions are related, generic broadcast transforms into atomic broadcast. In our context, broadcasting corresponds to submitting a payload transaction to the network, whereas delivering corresponds to accepting a payload and appending it to the ledger. The Avalanche protocol augments payload transactions to \textit{protocol transactions}. A protocol transaction additionally contains a set of \textit{references} to previously executed protocol transactions, together with further attributes regarding the execution. A protocol transaction in the implementation contains a batch of payload transactions, but this feature of Avalanche is ignored here, since it affects only efficiency. Throughout this paper, \textit{transaction} refers to a protocol transaction, unless the opposite is indicated, and \textit{payload} means simply a payload transaction. A transaction references one or multiple previous transactions, unlike longest-chain protocols, in which each transaction has a unique parent [23]. An execution of the Avalanche protocol will therefore create a directed acyclic graph (DAG) that forms its ledger data structure. Given a protocol transaction $T$, all transactions that it references are called the \textit{parents} of $T$ and denoted by $\text{parents}(T)$. The parents of $T$ together with the parents of those, recursively, are called the \textit{ancestors} of $T$, denoted by $\text{ancestors}(T)$. Analogously, the transactions that have $T$ as parent are called the \textit{children} of $T$ and are denoted by $\text{children}(T)$. Finally, the children of $T$ together with their recursive set of children are called the \textit{descendants} of $T$, denoted by $\text{descendants}(T)$. Note that two payload transactions $tx_1$ and $tx_2$ in Avalanche that consume the same input are not related, unless the condition of Definition 3.1 is fulfilled. However, two Avalanche payloads consuming the same output \textit{conflict}. For each transaction $T$, Avalanche maintains a set $\text{conflictSet}[T]$ of transactions that conflict with $T$. \section{A description of the Avalanche protocol} Avalanche’s best-known quality is its efficiency. Permissionless consensus protocols, such as those of Bitcoin and Ethereum, are traditionally slow, suffer from low throughput and high latency, and consume large amounts of energy, due to their use of proof-of-work (PoW). Avalanche substitutes PoW with a random sampling mechanism that runs at network speed and that has every party adjust its preference to that of a (perceived) majority in the system. Avalanche also differs from more traditional blockchains by forming a DAG of transactions instead of a chain. \subsection{Overview} Avalanche is structured around its \textit{polling} mechanism. In a nutshell, party $u$ repeatedly selects a transaction $T$ and sends a \textit{query} about it to $k$ randomly selected parties in the network. If a majority of them send a positive reply, the query is successful and the transaction contributes to the security of other transactions. Otherwise, the transaction is still processed but does not contribute to the security of any other transactions. Then the party selects a new transaction and repeats the procedure. A bounded number of such polls may execute concurrently. Throughout this work the terms “poll” and “query” are interchangeable. In more detail, the protocol operates like this. Through the gossip functionality, every party is aware of the network membership $\mathcal{N}$. A party locally stores all those transactions processed by the network that it knows. The transactions form a DAG through their references as described in the previous section. Whenever a user submits a payload transaction $tx$ to the network, the user actually submits it through a party $u$. Then, $u$ randomly selects a number of leaf nodes from a part of the DAG known as the virtuous frontier; these are the leaf nodes that are not part of any conflicting set. Party $u$ then extends $tx$ with references to the selected nodes and thereby creates a transaction $T$ from the payload transaction $tx$. Next, $u$ sends a QUERY message with $T$ to $k$ randomly, according to stake, chosen parties in the network and waits for their replies in the form of VOTE messages. When a party receives a query for $T$ and if $T$ and its ancestors are preferred, then the party replies with a positive vote. The answer to this query depends exclusively on the status of $T$ and its ancestors according to the local view of the party that replies. Moreover, the definition of preferred is non-trivial and will be explained further below. If the polling party receives more than $\alpha > \frac{k}{2}$ positive votes, the poll is defined to be successful. Every party $u$ running the Avalanche protocol sorts transactions of its DAG into conflict sets. Definition 4.1. The conflict set $\text{conflictSet}[T]$ of a given transaction $T$ is the set of transactions that have an input in common with $T$ (including $T$ itself). Note that even if two transaction $T$ and $T'$ consume one common transaction output and thus conflict, their conflict sets $\text{conflictSet}[T]$ and $\text{conflictSet}[T']$ can differ, since $T$ may consume outputs of further transactions. (In Figure 1, for example, $T_8$ conflicts with $T_6$ and $T_7$, although $T_7$ conflicts with $T_8$ but not with $T_6$.) Decisions on accepting transactions are made as follows. For each of its conflict sets, a party selects one transaction and designates it as preferred. This designation is parametrized by a confidence value $d[T]$ of $T$, which is updated after each transaction query. If the confidence value of some conflicting transaction $T^$ surpasses $d[T]$, then $T^$ becomes the preferred transaction in the conflict set. It has been shown [28, 29] that regardless of the initial distribution of such confidence values and preferences of transactions, this mechanism converges. For the transactions of one conflict set considered in isolation, this implies that all honest parties eventually prefer the same transaction from their local conflict sets. (The actual protocol has to respect also dependencies among the transactions; we return to this later.) To illustrate this phenomenon, assume that there exist only two transactions $T$ and $T'$ and that half of the parties prefer $T$, whereas the other half prefers $T'$. This is the worst-case scenario. Randomness in sampling breaks the tie. Without loss of generality, assume that parties with preferred transaction $T$ are queried more often. Hence, more parties consider $T$ as preferred as a consequence. Furthermore, the next time when a party samples again, the probability of hitting a party that prefers $T$ is higher than hitting one that prefers $T'$. This is the “snowball” effect that leads to ever more parties preferring $T$ until every party prefers $T$. This preferred transaction is the candidate for acceptance and incorporation into the ledger. The procedure is parametrized by a confidence counter for each conflict set, which reflects the probability that $T$ is the preferred transaction in the local view of the party. The party increments the confidence counter whenever it receives a positive vote to a query on a descendant of $T$; the counter is reset to zero whenever such a query obtains a negative vote. When this counter overcomes a given threshold, $T$ is accepted and its payload is added to the ledger. We now present a detailed description of the protocol and refer to the pseudocode in Algorithm 1–4. ### 4.2 Data structures The information presented here has been taken from the whitepaper [29], the source code [5], or the official documentation [4]. Notation. We introduce the notation used in the remaining sections including the pseudocode. For a variable $a$ and a set $\mathcal{S}$, the notation $a \xleftarrow{R} \mathcal{S}$ denotes sampling $a$ uniformly at random from $\mathcal{S}$. We frequently use hashmap data structures: A hashmap associates keys in a set $\mathcal{K}$ with values in $\mathcal{V}$ and is denoted by $\text{HashMap}[\mathcal{K} \rightarrow \mathcal{V}]$. For a hashmap $\mathcal{F}$, the notation $\mathcal{F}[K]$ returns the entry stored under key $K \in \mathcal{K}$; referencing an unassigned key gives a special value $\bot$. We make use of timers throughout the protocol description. Timers are created in a stopped state. When a timer has been started, it produces a timeout event once after a given duration has expired and then stops. A timer can be (re)started arbitrarily many times. Stopping a timer is idempotent. Global parameters. We recall that we model Avalanche as run by an immutable set of parties $\mathcal{N}$ of size $n$. There are more three global parameters: the number $k$ of parties queried in every poll, the majority threshold $\alpha > \frac{k}{2}$ for each poll, the acceptance parameters $\beta_1$ and $\beta_2$, and the maximum number $\text{maxPoll}$ of concurrent polls. Local variables. Queried transactions are stored in a set $\mathcal{Q}$, the subset $\mathcal{R} \subset \mathcal{Q}$ is defined to be the set of repollable transactions, a feature that is not explained in the original paper [29]. The number of active polls is tracked in a variable $\text{conPoll}$. The parents of a transaction are selected from the virtuous frontier, $\mathcal{VF}$, defined as the set of all non-conflicting transactions that have no known descendant and whose ancestors are preferred in their respective conflict sets. A transaction is non-conflicting if there is no transaction in the local DAG spending any of its inputs. For completeness, we recall that conflicting transactions are sorted in $conflictSet[T]$ formed by transactions that conflict with $T$, i.e., transactions which have some input in common with $T$. Transactions bear several attributes related to queries and transaction preference. A confidence value $d[T]$ is defined to be the number of positive queries of $T$ and its descendants. Given a conflict set $conflictSet[T]$, the variable $pref[conflictSet[T]]$, called preferred transaction, stores the transaction with the highest confidence value in $conflictSet[T]$. The variable $last[conflictSet[T]]$ denotes which transaction was the preferred one in $conflictSet[T]$ after the most recent update of the preferences. The preferred transaction is the candidate for acceptance in each conflict set, the acceptance is modeled by a counter $cnt[conflictSet[T]]$. Once accepted, a transaction remains the preferred one in its conflict set forever. ### 4.3 Detailed description Each transaction goes through three phases during the consensus protocol: query of transactions, reply to queries, and update of preferences. All of the previous phases call the same set of functions. Functions. The function $updateDAG(T)$ sorts the transactions in the corresponding conflict sets. The function $preferred(T)$ (L 98) outputs TRUE if $T$ is the preferred transaction in its conflict set and FALSE otherwise. The function $stronglyPreferred(T)$ (L 100) outputs TRUE if and only if $T$, and everyone of its ancestors is the preferred transaction in its respective conflict set. The function $acceptable(T)$ (L 102) determines whether $T$ can be accepted and its payload added to the ledger or not. Transaction $T$ is considered accepted when one of the two following conditions is fulfilled: - $T$ is the unique transaction in its conflict set, all the transactions referenced by $\mathcal{T}$ are considered accepted, and $cnt[conflictSet[T]]$ is greater or equal than $\beta_1$. - $cnt[conflictSet[T]]$ is greater or equal than $\beta_2$. Finally, the function $updateRepollable()$ (L 106) updates the set of repollable transactions. A transaction $T$ is repollable if $T$ has already been accepted; or all its ancestors are preferred, a transaction in its conflict set has not already been accepted, and no parent has been rejected. Transaction query. A party in Avalanche progresses only by querying transactions. In each of these queries, party $u$ selects a random transaction $T$ (L 38), from the set of transactions that $u$ has not previously queried by $u$. Then, it samples a random subset $\mathcal{S}[T] \subset \mathcal{N}$ of $k$ parties from the set of parties running the Avalanche protocol and sends each a $[\text{QUERY}, T]$ message. In the implementation of the protocol, party $u$ performs up to $maxPoll$ simultaneous queries. The repoll functionality (L 33–48) consists of performing several simultaneous transactions. When $u$ does not know of any transaction that has not been queried, $u$ queries a transaction that has not been accepted yet. The main idea behind this functionality is to utilize the network when this is not saturated. The repoll functionality (L 33–48) constitutes one of the most notable changes from Avalanche’s whitepaper [29]. Query reply. Whenever $u$ receives a query message with transaction $T$, it replies with a message $[\text{VOTE}, u, T, \text{stronglyPreferred}(T)]$ containing the output of the binary function $\text{stronglyPreferred}(T)$ according to its local view (L 100). Update of preferences. Party $u$ collects the replies $[\text{VOTE}, v, T, \text{stronglyPreferred}(T)]$, and counts the number of positive votes. On the one hand, if the number of positive votes overcomes the threshold $\alpha$ (L 53), the query is considered successful. In this case party $u$ loops over $T$ and all its ancestors $T'$, increasing the confidence level $d[T']$ by one. If $T'$ is the preferred transaction in its conflict set, then party $u$ increases the counter for transaction $\text{cnt}[\text{conflictSet}[T']]$ by one. Subsequently, $u$ checks whether $T'$ has also previously been the preferred transaction in its conflict set. And when $T'$ is not the preferred transaction according to the most recent query, party $u$ will set the counter to one (L 53–67), in order to ensure that $\text{cnt}[\text{conflictSet}[T']]$ correctly reflects the number of consecutive successful queries of descendants of $T'$. On the other hand, if $u$ receives more than $k - \alpha$ negative votes, party $u$ loops also over $T$ and its ancestors, and sets their counters $\text{cnt}[\text{conflictSet}[T']]$ to zero as if to indicate that $T'$ and the other transactions should not be accepted yet. (L 68–73). Party $u$ only waits until $\alpha$ positive votes or $k - \alpha$ votes in total are received, since $u$ can then determine the outcome of the query. Acceptance of transactions. Party $u$ accepts $T$ when its counter $\text{cnt}[\text{conflictSet}[T]]$ reaches a certain threshold $\beta_1$ or $\beta_2$. If $T$ is the only transaction in its conflicting set and all its parents have already been accepted, then $u$ accepts $T$ if $\text{cnt}[\text{conflictSet}[T]] \geq \beta_1$, otherwise $u$ waits until the counter overcomes a higher value $\beta_2$. No-op transactions. The local DAG is modified whenever a poll is finalized. In particular, only the queried transaction and its ancestors are modified. Avalanche makes use of no-op transactions to modify all the transactions in the DAG. After finalizing a poll, party $u$ queries the network with all the transactions in the virtuous frontier whose state has not been modified, in a sequential manner. ### 4.4 Life of a transaction We follow an honest transaction $T$ through the protocol. The user submits the payload transaction $tx$ to some party $u$, then $u$ adds references $refs$ to the payload transaction, creating a transaction $T = (tx, refs)$. These references point to transactions in the virtuous frontier $\mathcal{VF}$. Transaction $T$ is then gossiped through the network and added to the set of known transactions $\mathcal{T}$ (L 22–28). Party $u$ may also hear about new transactions through this gossip functionality. Whenever this is the case, $u$ adds the transaction to its set of known transactions $\mathcal{T}$ (L 29–32). Party $u$ eventually selects $T$ to be processed. When this happens, $u$ samples $k$ random parties from the network and stores them in $\mathcal{S}[T]$. Party $u$ queries parties in $\mathcal{S}[T]$ with $T$ and starts a timer $\text{timeout}[T]$. $T$ is added to $\mathcal{Q}$ (L 33–48). Parties queried with $T$ reply with the value of the function $\text{stronglyPreferred}(T)$ (L 100). This function answers positively ($\text{TRUE}$) if $T$ is strongly preferred, i.e., if $T$ and all of its ancestors are the preferred transaction inside each respective conflict set. A negative answer ($\text{FALSE}$) is returned if either $T$ or any of its ancestors fail to satisfy these conditions. Party $u$ then stores the answer from party $v$ to the query in the variable $\text{votes}[T][v]$ and proceeds according to them. Algorithm 1 Avalanche (party $u$), state. Global parameters and state 1: $\mathcal{N}$ // set of parties 2: $maxPoll \in \mathbb{N}$ // maximum number of concurrent polls, default value 4 3: $k \in \mathbb{N}$ // number of parties queried in each poll, default value 20 4: $\alpha \in \{\lceil \frac{k+1}{2} \rceil, \ldots, k\}$ // majority threshold for queries, default value 15 5: $\beta_1 \in \mathbb{N}$ // threshold for early acceptance, default value 15 6: $\beta_2 \in \mathbb{N}$ // threshold for acceptance, default value 150 7: $\mathcal{T} \leftarrow \emptyset$ // set of known transactions 8: $\mathcal{Q} \subset \mathcal{T} \leftarrow \emptyset$ // set of queried transactions 9: $\mathcal{R} \subset \mathcal{Q} \leftarrow \emptyset$ // set of repollable transactions 10: $\mathcal{D} \subset \mathcal{T} \leftarrow \emptyset$ // set of no-op transactions to be queried 11: $\mathcal{VF} \subset \mathcal{Q} \leftarrow \emptyset$ // set of transactions in the virtuous frontier 12: $conPoll \in \mathbb{N} \leftarrow 0$ // number of concurrent polls performed 13: $conflictSet : \text{HashMap}[\mathcal{T} \rightarrow 2^{\mathcal{T}}]$ // conflict set 14: $\mathcal{S} : \text{HashMap}[\mathcal{T} \rightarrow \mathcal{N}]$ // set of sampled parties to be queried with a transaction 15: $votes : \text{HashMap}[\mathcal{T} \times \mathcal{N} \rightarrow \{\text{FALSE}, \text{TRUE}\}]$ // variable to store the replies of queries 16: $d : \text{HashMap}[\mathcal{T} \rightarrow \mathbb{N}]$ // confidence value of a transaction 17: $pref : \text{HashMap}[2^{\mathcal{T}} \rightarrow \mathcal{T}]$ // preferred transaction in the conflict set 18: $last : \text{HashMap}[2^{\mathcal{T}} \rightarrow \mathcal{T}]$ // preferred transaction in the last query 19: $cnt : \text{HashMap}[2^{\mathcal{T}} \rightarrow \mathbb{N}]$ // counter for acceptance of the conflict set 20: $accepted : \text{HashMap}[\mathcal{T} \rightarrow \{\text{FALSE}, \text{TRUE}\}]$ // indicator that a transaction is accepted 21: $timer : \text{HashMap}[\mathcal{T} \rightarrow \{\text{timers}\}]$ // timer for the query of transactions - If $u$ receives more than $\alpha$ positive votes, $u$ runs over all the ancestors of $T$. If the ancestor $T'$ was the most recent (or “last”) preferred transaction in its conflict set, its counter is increased by one. Otherwise, $T'$ becomes the most recent preferred transaction and its counter is reset to one (L 53–67). - If $u$ receives at least $k - \alpha$ FALSE votes, $u$ resets the counter for acceptance of all its ancestors $cut[T'] \leftarrow 0$ (L 68–73). - If timer $timeout[T]$ is triggered before the query is completed, the query is aborted instead. The votes are reset and every party is removed from the set $\mathcal{S}[T]$, so no later reply can be considered (L 80–83). In parallel to the previous procedure, party $u$ may perform up to $conPoll$ concurrent queries of different transactions. Once $T$ has been queried, it awaits in the local view of party $u$ to be accepted. Since by assumption $T$ is honest, $conflictSet[T] = \{T\}$. Hence $T$ is accepted when $cnt[conflictSet[T]]$ reaches $\beta_1$, if its ancestors are already accepted, or $\beta_2$ otherwise (L 102–104). We recall that $cnt[conflictSet[T]]$ is incremented whenever a query involving a descendant of $T$ is successful. However, when a non-descendant of $T$ is queried, it may trigger a no-op transaction (L 35) that is a descendant of $T$. If there is no new transaction waiting to be queried, i.e., $\mathcal{T} \setminus \mathcal{Q}$ is empty, the party proceeds with a repollable transaction (L 40–42). A repollable transaction is one that has not been previously accepted but it is a candidate to be accepted (L 106–110). Algorithm 2 Avalanche (party $u$), part 1. 22: upon broadcast($tx$) do 23: if $V(tx)$ then 24: $T \leftarrow (tx, VF)$ // up to a maximum number of parents 25: $\mathcal{T} \leftarrow \mathcal{T} \cup \{T\}$ 26: accepted[$T$] $\leftarrow$ FALSE 27: updateDAG($T$) 28: gossip message [BROADCAST, $T$] 29: upon hearing message [BROADCAST, $T$] do 30: if $T \not\in \mathcal{T}$ do 31: $\mathcal{T} \leftarrow \mathcal{T} \cup \{T\}$ 32: accepted[$T$] $\leftarrow$ FALSE 33: upon conPoll < maxPoll do 34: conPoll $\leftarrow$ conPoll + 1 35: if $\mathcal{D} \neq \emptyset$ then // prefer no-op transactions 36: $T \leftarrow$ least recent transaction in $\mathcal{D}$ 37: else if $\mathcal{T} \setminus \mathcal{Q} \neq \emptyset$ then // take any not yet queried transaction 38: $T \overset{R}{\leftarrow} \mathcal{T} \setminus \mathcal{Q}$ 39: $d[T] \leftarrow 0$ 40: else // all transaction queried already, take one of them 41: updateRepollable() 42: $T \overset{R}{\leftarrow} \mathcal{R}$ 43: $\mathcal{S}[T] \leftarrow$ sample($\mathcal{N} \setminus \{u\}, k$) // sample $k$ parties randomly according to stake 44: send message [QUERY, $T$] to all parties $v \in \mathcal{S}[T]$ 45: $\mathcal{D} \leftarrow \mathcal{D} \cup \{(\bot, VF \setminus \{T\})\}$ // create a no-op transaction 46: start timer[$T$] // duration $\Delta_{query}$ 47: $\mathcal{Q} \leftarrow \mathcal{Q} \cup \{T\}$ 48: updateDAG($T$) 49: upon receiving message [QUERY, $T$] from party $v$ do 50: send message [VOTE, $u$, $T$, stronglyPreferred($T$)] to party $v$ 51: upon receiving message [VOTE, $v$, $T$, $w$] such that $v \in \mathcal{S}[T]$ do // $w$ is the vote 52: votes[$T, v$] $\leftarrow w$ // $w \in \{\text{FALSE, TRUE}\}$ 5 Security analysis Avalanche deviates from the established PoW protocols and uses a different structure. Its security guarantees must be assessed differently. The bedrock of security for Avalanche is random sampling. 5.1 From Snowball to Avalanche The Avalanche protocol family includes Slush, Snowflake, and Snowball [29] that implement single-decision Byzantine consensus. Every party proposes a value and every party must eventually decide the same value for an instance. The Avalanche protocol itself provides a “payment system” [29, Sec. V]; we model it here as generic broadcast. Algorithm 3 Avalanche (party $u$), part 2. \begin{align} \textbf{upon} & \exists T \in \mathcal{T} \text{ such that } \|\{v \in S[T] \mid votes[T, v] = \text{TRUE}\}\| \geq \alpha \text{ do} // \text{query successful} \\ & \textbf{stop timer}[T] \\ & votes[T,] \leftarrow \perp \quad // \text{remove all entries in votes for } T \\ & S[T] \leftarrow [] \quad // \text{reset } S \text{ for } T \\ & d[T'] \leftarrow d[T'] + 1 \\ & \textbf{for } T' \in \text{ancestors}(T) \text{ do} \quad // \text{all ancestors of } T \\ & \quad d[T'] \leftarrow d[T'] + 1 \\ & \quad \textbf{if } d[T'] > d[\text{pref[conflictSet}[T']]] \text{ then} \\ & \quad \quad \text{pref[conflictSet}[T']]] \leftarrow T' \\ & \quad \textbf{if } T' \neq \text{last[conflictSet}[T']]] \text{ then} \\ & \quad \quad \text{last[conflictSet}[T']]] \leftarrow T' \\ & \quad \quad \text{cnt[conflictSet}[T']]] \leftarrow 1 \\ & \quad \textbf{else} \\ & \quad \quad \text{cnt[conflictSet}[T']]] \leftarrow \text{cnt[conflictSet}[T']]] + 1 \\ & \quad \text{conPoll} \leftarrow \text{conPoll} - 1 \\ \textbf{upon} & \exists T \in \mathcal{T} \text{ such that } \|\{v \in S[T] \mid votes[T, v] = \text{FALSE}\}\| > k - \alpha \text{ do} // \text{query failed} \\ & \textbf{stop timer}[T] \\ & votes[T,] \leftarrow \perp \quad // \text{remove all entries in votes for } T \\ & S[T] \leftarrow [] \quad // \text{reset } S \text{ for } T \\ & \textbf{for } T' \in \text{ancestors}(T) \text{ do} \quad // \text{all ancestors of } T \\ & \quad \text{cnt[conflictSet}[T']]] \leftarrow 0 \\ \textbf{upon} & \exists T \in \mathcal{T} \text{ such that } \text{acceptable}(T) \land \neg \text{accepted}[T] \text{ do} \quad // T \text{ can be accepted} \\ & (tx, parents) \leftarrow T \\ & \textbf{if } V(tx) \text{ then} \\ & \quad \text{accepted}[T] \leftarrow \text{TRUE} \\ & \quad \text{deliver } tx \\ \textbf{upon} & \text{timeout from timer}[T] \text{ do} \quad // \text{not enough votes on } T \text{ received} \\ & Q \leftarrow Q \setminus \{T\} \\ & votes[T,] \leftarrow \perp \quad // \text{remove all entries in votes for } T \\ & S[T] \leftarrow [] \quad // \text{do not consider more votes from this query} \end{align} The whitepaper [29] meticulously analyzes the three consensus protocols. It shows that as long as $f = O(\sqrt{n})$, the consensus protocols are live and safe [29] based on the analysis of random sampling [26]. On the other hand, an adversary controlling more than $\Theta(\sqrt{n})$ parties may have the ability to keep the network in a bivalent state. For the remainder of this section we assume $f = O(\sqrt{n})$. However, the Avalanche protocol itself is introduced without a rigorous analysis. The most precise statement about its is that “it is easy to see that, at worst, Avalanche will degenerate into separate instances of Snowball, and thus provide the same liveness guarantee for virtuous transactions” [29, p. 9]. In fact, it is easy to see that this is wrong because every vote on a transaction in Avalanche is linked to the vote on its ancestors. The vote on a descendant $T'$ of $T$ depends on the state of $T$. Algorithm 4 Avalanche, auxiliary functions. function updateDAG(T) VF ← set of non-conflicting leaves in the DAG conflictSet[T] ← ∅ for T' ∈ T such that T' ≠ T and T' has a common input with T do conflictSet[T] ← conflictSet[T] ∪ {T'} conflictSet[T'] ← conflictSet[T'] ∪ {T'} if conflictSet[T] = ∅ then // T is non-conflicting pref[conflictSet[T]] ← T last[conflictSet[T]] ← T cnt[conflictSet[T]] ← 0 conflictSet[T] ← conflictSet[T] ∪ {T} function getParents(T) (tx, parents) ← T return parents // set of parents stored in T function preferred(T) return T ≼ pref[conflictSet[T]] function stronglyPreferred(T) return ⋀ T'∈ancestors(T) preferred(T') function acceptable(T) return (\|conflictSet[T]\| = 1 ∧ cnt[conflictSet[T]] ≥ β₁) ∧ ⋀ T'∈ parents(T) acceptable(T') ∨ cnt[conflictSet[T]] ≥ β₂ function isRejected(T) return ∃T' ∈ T such that ∀T'' ∈ conflictSet[T] \ {T} : acceptable(T'') function updateRepollable() R ← ∅ for T ∈ T do if acceptable(T) ∨ ⋀ T'∈ parents(T) stronglyPreferred(T') ∧ ¬isRejected(T') then R ← R ∪ {T} However, we can isolate single executions of Snowball that occur inside Avalanche. For an execution of Avalanche and a transaction T, we define an equivalent execution of Snowball consensus as the execution in which a party u proposes 1 if it locally prefers T in the Avalanche execution, proposes 0 if u prefers some other transaction, and does not propose otherwise. Every party also selects the same parties in each round of snowball and for a query with T, for a query with a transaction that conflicts with T, or for any query with a descendant of these two. A formal description of Snowball is provided in the full version [2]. Lemma 5.1. If party u delivers an honest transaction in Avalanche, then u decided 1 in the equivalent execution of Snowball with threshold β₁. Furthermore, u delivers a conflicting transaction in Avalanche, then u decides 1 in Snowball with threshold β₂. Proof. By construction of the Avalanche and Snowball protocols [29], the counter for acceptance of value 1 in Snowball is always greater or equal than the counter for acceptance in Avalanche. Since a successful query in Avalanche implies a successful query in Snowball, if an honest transaction in Avalanche is delivered, the counter in the equivalent Snowball instance is at least $\beta_1$. Analogously, if a conflicting transaction in Avalanche is delivered, then the counter in Snowball is at least $\beta_2$. Hence, a party in Snowball would decide 1 with the respective thresholds. Looking ahead, we will introduce a modification of Avalanche that ensures the complete equivalence between Snowball and Avalanche. We first assert some safety properties of the Avalanche protocol. Theorem 5.2.* Avalanche satisfies integrity, partial order, and external validity of a generic broadcast for payload transactions under relation $\sim$ and UTXO-validity. Proof. The proof is structured by property: - Integrity. We show that every payload is delivered at most once. A payload $tx$ may potentially be delivered multiple times in two ways: different protocol transactions that both carry $tx$ may be accepted or $tx$ is delivered multiple times as payload of the same protocol transaction. First, we consider the possibility of accepting two different transactions $T_1$ and $T_2$ carrying $tx$. Assume that party $u$ accepts transaction $T_1$ and party $v$ accepts transaction $T_2$. By definition, $T_1$ and $T_2$ are conflicting because they spend the same inputs. Using Lemma 5.1, party $u$ and $v$ decide differently in the equivalent execution in Snowball, which contradicts agreement property of the Snowball consensus [29]. The second option is that one protocol transaction $T$ that contains $tx$ is accepted multiple times. However, this is not possible either because $tx$ is delivered only if $accepted[T] = \text{FALSE}$; variable $accepted[T]$ is set to TRUE when transaction $T$ is accepted (L 74–78). - Partial order. Avalanches satisfies partial order because no payload is valid unless all payloads creating its inputs have been delivered (L 74–78). Transactions $T$ and $T'$ are related according to Definition 3.1 if and only if $T$ has as input (i.e., spends) at least one output of $T'$, or vice versa. This implies that related transactions are delivered in the same order for any party. - External validity. The external validity property follows from L 74, as a payload transaction can only be delivered if it is valid, i.e., its inputs have not been previously spent and the cryptographic requirements are satisfied. Theorem 5.2 shows that Avalanche satisfies the safety properties of a generic broadcast in the presence of an adversary controlling $O(\sqrt{n})$ parties. A hypothetical adversary controlling substantially more parties could violate safety. It is not completely obvious how an adversary could achieve that. Such an adversary would broadcast two conflicting transactions $T_1$ and $T_2$. As we already discussed, and also explained in the whitepaper of Avalanche [29], such an adversary can keep the network in a bivalent state, so the adversary keeps the network divided into two parts: parties in part $\mathcal{P}_1$ consider $T_1$ preferred, and parties in part $\mathcal{P}_2$ prefer $T_2$. The adversary behaves as preferring $T_1$ when communicating with parties is $\mathcal{P}_1$ and as preferring $T_2$ when communicating with parties in $\mathcal{P}_2$. Eventually, a party $u \in \mathcal{P}_1$ will query only parties in $\mathcal{P}_1$ or queries the adversary $\beta_2$ times in a row. Thus, $u$ will accept transaction $T_1$. Similarly, a party $v \in \mathcal{P}_2$ will eventually accept transaction $T_2$. Party $u$ will deliver the payload contained in $T_1$ and $v$ the payload contained in $T_2$, hence violating agreement. An adversary controlling at most $O(\sqrt{n})$ can also violate agreement, but the required behavior is more sophisticated, as we explain next. 5.2 Delaying transaction acceptance An adversary aims to prevent that a party $u$ accepts an honest transaction $T$. A necessary precondition for this is $\text{cnt}[\text{conflictSet}[T]] \geq \beta_1$. Note that whenever a descendant of $T$ is queried, $\text{cnt}[\text{conflictSet}[T]]$ is modified. If the query is successful (L 53), then $\text{cnt}[\text{conflictSet}[T]]$ is incremented by one. If the query is unsuccessful, $\text{cnt}[\text{conflictSet}[T]]$ is reset to zero. Remark, however, $\text{cnt}[\text{conflictSet}[T]]$ cannot be reset to one as a result of another transaction becoming the preferred in $\text{conflictSet}[T]$ (L 62) because $T$ is honest, as there exist no transaction conflicting with $T$. Furthermore, a naive adversary that aims to delay transactions by not answering the query of a transaction $T'$ would not succeed because the timers $\text{timeout}[T']$ would be triggered and the query would be aborted. Thus, the honest party would select new $k$ parties to query and proceed in the protocol. Our adversary proceeds by sending to $u$ a series of cleverly generated transactions that reference $T$. We describe the steps that will delay the acceptance of $T$ (see also Algorithm 5): 1. Preparation phase. The adversary submits conflicting transactions $T_1$ and $T_2$. For simplicity, we assume that she submits first $T_1$ and then $T_2$, so the preferred transaction in both conflict sets will be $T_1$. The adversary then waits until the target transaction $T$ is submitted. 2. Main phase. The adversary repeatedly sends malicious transactions referencing the target $T$ and $T_2$ to $u$. These transactions are valid but they reference a particular set of transactions. 3. Searching phase. Concurrently to the main phase, the adversary looks for transactions containing the same payload as $T$. If some are found, she references them as well from the newly generated transactions. Algorithm 5 Liveness attack: Delaying transaction $T$. Initialization 111: create two conflicting transactions $T_1$ and $T_2$ 112: gossip two messages $[\text{BROADCAST}, T_1]$ and $[\text{BROADCAST}, T_2]$ 113: $\mathcal{A} \leftarrow \emptyset$ 114: upon hearing message $[\text{BROADCAST}, T]$ do // target transaction 115: $\mathcal{A} \leftarrow \{T\}$ 116: upon $\text{cnt}[\text{conflictSet}[T]] = \lfloor \frac{\beta_1}{2} \rfloor$ in the local view of $u$ do 117: create $\hat{T}$ such that $T_2 \in \text{ancestors}(\hat{T})$ and for all $T' \in \mathcal{A}$, also $T' \in \text{ancestors}(\hat{T})$ 118: send message $[\text{BROADCAST}, \hat{T}]$ to party $u$ // pretend to gossip the message 119: upon hearing message $[\text{BROADCAST}, \hat{T}]$ such $\hat{T}$ and $T$ contain the same payload do 120: $\mathcal{A} \leftarrow \mathcal{A} \cup \{T\}$ For simplicity, we assume that the adversary knows the acceptance counter of $T$ at $u$, so she can send a malicious transaction whenever $T$ is close to being accepted. In practice, she can guess this only with a certain probability, which will degrade the success rate of the attack. We also assume that the query of an honest transaction is always successful, which is the worst case for the adversary. After $u$ submits $T$, the adversary starts the main phase of the attack. If $u$ queries an honest transaction $\hat{T}$, and if $\hat{T}$ references a descendant of $T$, then $cnt[conflictSet[T]]$ increases by one. If it does not, then $\hat{T}$ may cause $u$ to submit a no-op transaction referencing a descendant of $T$. Hence, honest transactions always increase $cnt[conflictSet[T]]$ by one, this is the worst case for an adversary aiming to delay the acceptance of $T$. If $u$ queries a malicious transaction $\hat{T}$, then honest parties compute $stronglyPreferred(\hat{T})$ and reply with this value. Since $T_2$ is an ancestor of $\hat{T}$ and not the preferred transaction in its conflict set (as we have assumed that $T_1$ is preferred), all queried parties return FALSE. Thus, $u$ sets acceptance counter of every ancestor of $\hat{T}$ to zero (L 68), in particular, $cnt[conflictSet[T]] \leftarrow 0$. However, since $\hat{T}$ does not reference the virtuous frontier, $u$ submits a no-op transaction that references a descendant of $T$, thus increasing $cnt[conflictSet[T]]$ to one. We show that when the number of transactions is low, in particular when $\|\mathcal{T} \setminus \mathcal{Q}\| \leq 1$ for every party, then Avalanche may lose liveness. Theorem 5.3. Avalanche does not satisfy validity nor agreement of generic broadcast with relation $\sim$ with one single malicious party if $\|\mathcal{T} \setminus \mathcal{Q}\| \leq 1$ for every party. Proof. We consider again the adversary described above that targets $T$ and $u$. - Validity. Whenever $cnt[conflictSet[T]]$ in the local view of $u$ reaches $\lfloor \frac{\beta_1}{2} \rfloor$, the adversary sends a malicious transaction to party $u$, who immediately queries it (since $\|\mathcal{T} \setminus \mathcal{Q}\| \leq 1$). It follows that $u$ sets $cnt[conflictSet[T]]$ to zero and increases it intermediately afterwards, due to a no-op transaction. This process repeats indefinitely over time and prevents $u$ from delivering the payload in $T$. - Agreement. Assume that an honest party broadcasts the payload contained in $T$. The adversary forces a violation of agreement by finding honest parties $u$ and $v$ such that $cnt[conflictSet[T]] = \beta_1 - 1$ at $v$ and $cnt[conflictSet[T]] < \beta_1 - 1$ at $u$ (such parties exist because in the absence of an adversary, as $cnt[conflictSet[T]]$ increases monotonically over time). The adversary then sends an honest transaction $T_h$ that references $T$ to $v$ and a malicious transaction $T_m$, as described before, to $u$. On the one hand, party $v$ queries $T_h$, increments $cnt[conflictSet[T]]$ to $\beta_1$, accepts transaction $T$, and delivers the payload. On the other hand, party $u$ queries $T_m$ and sets $cnt[conflictSet[T]]$ to one. After that, the adversary behaves as discussed before. Notice that $v$ has delivered the payload within $T$ but $u$ will never do so. An adversary may thus cause Avalanche to violate validity and agreement. For this attack, however, the number of transactions in the network must be low, in particular, $\|\mathcal{T} \setminus \mathcal{Q}\| \leq 1$. In July 2022, the Avalanche network processed an average of 647238 transactions per day (\url{https://subnets.avax.network/stats/network}). Assuming two seconds per query, four times the value observed in our local implementation, the recommended values of 30 transactions per batch, and four concurrent polls, the condition $\|\mathcal{T} \setminus \mathcal{Q}\| \leq 1$ is satisfied 88% of the time. However, the adversary still needs to know the value of the counter for acceptance of the different parties. ### 5.3 A more general attack We may relax the assumption of knowing the acceptance counters and also send the malicious transaction to more parties through gossip. After selecting a target transaction, the adversary continuously gossips malicious transactions to the network instead of sending them only to one party as in Algorithm 5. For analyzing the performance of this attack, our figure of merit will be the number of transactions to be queried by an honest party (not counting no-ops) for confirming the target transaction $T$. The larger this number becomes, the longer it will take the party until it may accept $T$. We assume that $\mathcal{T} \setminus \mathcal{Q} \neq \emptyset$ and that a fraction $\gamma$ of those transactions are malicious at any point in time\footnote{Avalanche may impose a transaction fee for processing transactions. However, since the malicious transactions cannot be delivered, this mechanism does not prevent the adversary from submitting a large number of transactions.}. A non-obvious implication is that the repoll function never queries the same transaction twice. ▶ Lemma 5.4. Avalanche requires every party to query at least $\beta_1$ transactions before accepting transaction $T$ in the absence of an adversary. Proof. The absence of an adversary carries several simplifications. Firstly, there are no conflicting transactions, thus every transaction is the preferred one in its respecting conflict set and every query is successful. Secondly, due to the no-op transactions, the counter for acceptance of every transaction in the DAG is incremented by one after each query. Finally, a transaction $T$ is accepted when its counter for acceptance reaches $\beta_1$, since the counter of the parent of any transaction reaches $\beta_1$ strictly before $T$ (L 102). ▶ Lemma 5.5. The average number of queried transactions before accepting transaction $T$ in the presence of the adversary, as described in the text, is at least $$\beta_1 + \frac{1 + (2 + \beta_1 \gamma)(1 - \gamma)^{\beta_1} - (1 - \gamma)^{2\beta_1}(1 + \beta_1 \gamma)}{\gamma(1 - \gamma)^{\beta_1}(1 - (1 - \gamma)^{\beta_1})}.$$ Proof. We recall that in the worst-case scenario for the adversary, the query of an honest transaction increments the counter for acceptance of the target transaction $T$ by one, while the query of a malicious transaction, effectively, resets the counter for acceptance to one, as a result of a no-op transaction. Let a random variable $W$ denote the number of transactions queried by $u$ until $T$ is accepted, and let $X \in \{0, 1\}$ model the outcome of the following experiment. Party $u$ samples transactions until it picks a malicious transaction or until it has sampled $\beta_1 - 1$ honest transactions. In the first case, $X$ takes the value zero, and otherwise, $X$ takes the value one. By definition, $X$ is a Bernoulli variable with parameter $p = (1 - \gamma)^{(\beta_1 - 1)}$. Thus, the number of attempts until $X$ returns one is a random variable $Y$ with geometric distribution, $Y \sim \mathcal{G}(p)$, with the same parameter $p$. We let $W_a$ be the random variable denoting the number of queried transactions per attempt of this experiment. The expected number of failed attempts is $\mathbb{E}[Y] = \frac{1}{(1 - \gamma)^{\beta_1}}$. Furthermore, the probability that an attempt fails after sampling exactly $k$ transactions, for $k \leq \beta_1$, is $$\mathbb{P}[W_a = k \| X = 0] = \frac{\gamma(1 - \gamma)^{k-1}}{1 - (1 - \gamma)^{\beta_1}}.$$ Thus, the expected number of transactions per failed attempt can be expressed as $$\mathbb{E}[W \| X = 0] = \frac{1 - (1 - \gamma)^{\beta_1}(1 + \beta_1 \gamma)}{\gamma(1 - (1 - \gamma)^{\beta_1})}. \quad (1)$$ The expected number of transaction queried during a successful attempt is at least $\beta_1$ by Lemma 5.4. Finally, the total expected number of queried transactions can be written as the expected number of transaction per failed attempt multiplied by the expected number of failed attempts plus the expected number of transactions in the successful attempt, $$\mathbb{E}[W] = \mathbb{E}[W_a \| X = 0] \cdot (\mathbb{E}[Y] - 1) + \mathbb{E}[W_a \| X = 1] \cdot 1. \quad (2)$$ From equations (1) and (2) and basic algebra, we obtain \[ E[W] = \beta_1 + \frac{1 + (2 + \beta_1 \gamma)(1 - \gamma)^{\beta_1} - (1 - \gamma)^{2\beta_1}(1 + \beta_1 \gamma)}{\gamma(1 - \gamma)^{\beta_1}(1 - (1 - \gamma)^{\beta_1})}. \] This expression is complex to analyze. Hence, a graphical representation of this bound is given in Figure 2. It shows the expected smallest number of transactions to be queried by an honest party (not counting no-ops) until it can confirm the target transaction $T$. The larger this gets, the more the protocol loses liveness. It is relevant that this bound grows proportional to $\frac{1}{(1 - \gamma)^{\beta_1}}$, i.e., exponential in acceptance threshold $\beta_1$ since $(1 - \gamma) < 1$. ![Figure 2](image) Figure 2 Expected delay in number of transactions needed to confirm a given transaction with acceptance threshold $\beta_1 = 15$, the recommended value [4], and assuming that the queries of honest transactions are successful. The (green) horizontal line shows $\beta_1$, the expected delay without attacker. The (blue) dotted line represents the expected confirmation delay in Avalanche depending on the fraction of malicious transactions. The (orange) squared line denotes the delay in Glacier (Section 6). The Avalanche team has acknowledged our findings and the vulnerability. The protocol deployed in the actual network, however, differs from our formalization in a way that should prevent the problem. ## Fixing liveness with Glacier The adversary is able to delay the acceptance of an honest transaction $T$ because $T$ is directly influenced by the queries of its descendants. Note the issuer of $T$ has no control over its descendants according to the protocol. A unsuccessful query of a descendant of $T$ carries a negative consequence for the acceptance of $T$, regardless of the status of $T$ inside its conflict set. This influence is the root of the problem described earlier. An immediate, but inefficient remedy might be to run one Snowball consensus instance for each transaction. However, this would greatly degrade the throughput and increase the latency of the protocol, as many more messages would be exchanged. We propose here a modification, called Glacier, in which an unsuccessful query of a transaction $T$ carries negative consequences only for those of its ancestors that led to negative votes and caused the query to be unsuccessful. Our protocol is shown in Algorithm 6. It specifically modifies the voting protocol and adds to each VOTE message for $T$ a list $L$ with all ancestors of $T$ that are not preferred in their respective conflict sets (L 123–127). When party $u$ receives a negative vote like [VOTE, $v$, $T$, FALSE, $L$], it performs the same actions as before. Additionally, it increments a counter for each ancestor $T^$ of $T$ to denote how many parties have reported $T^$ as not preferred while accepting $T$ (L 135). If $u$ receives a positive vote, the protocol remains unchanged. If the query is successful because $u$ receives at least $\alpha$ positive votes on $T$, then it proceeds as before (Algorithm 3, L 53). But before $u$ declares the query to be unsuccessful, it furthermore waits until having received a vote on $T$ from all $k$ parties sampled in the query (L 137). When this is the case, $u$ only resets the counter for acceptance of those ancestors $T^$ of $T$ that have been reported as non-preferred by more than $k - \alpha$ queried parties (L 141–143). If $T^$ is preferred by at least $\alpha$ parties, however, then $u$ increments its confidence level as before (L 145). Algorithm 6 Modifications to Avalanche (Algorithm 1–4) for Glacier (party $u$). ``` State nonpref : HashMap[T × T → N] // votes on $T$ saying $T'$ is not preferred upon receiving message [QUERY, $T$] from party $v$ do // replaces L 49 $L ← []$ // contains the non-preferred ancestors of $T$ for $T' ∈ ancestors(T)$ do if ¬preferred($T'$) then append $T'$ to $L$ send message [VOTE, $v$, $T$, stronglyPreferred($T$), $L$] to party $v$ // replaces code at L 51 upon receiving message [VOTE, $v$, $T$, $w$, $L$] from a party $v ∈ S[T]$ do // $w$ is the vote votes[$T$, $v$] ← $w$ for $T' ∈ L$ do if nonpref[$T$, $T'$] = ⊥ then nonpref[$T$, $T'$] ← 1 else nonpref[$T$, $T'$] ← nonpref[$T$, $T'$] + 1 // replaces code at L 68 upon ∃$T ∈ T$ such that \|votes[$T$, $v$]\| = $k$ ∧ \|{ $v ∈ S[T]$ \| votes[$T$, $v$] = FALSE }\| > $k - \alpha$ do stop timer[$T$] votes[$T$, ] ← ⊥ // remove all entries in votes for $T$ $S[T] ← []$ // reset the HashMap $S$ for $T'$ such that nonpref[$T$, $T'$] ≠ ⊥ do // all ancestors of $T$ if nonpref[$T$, $T'$] > $k - \alpha$ then cut[conflictSet[$T'$]] ← 0 else // nonpref[$T$, $T'$] ≤ $\alpha$ cut[conflictSet[$T'$]] ← cut[conflictSet[$T'$]] + 1 nonpref[$T$, ] ← ⊥ ``` Considering the adversary introduced in Section 5.3, a negative reply to the query of a descendant of the target transaction $T$ does not carry any negative consequence for the acceptance of $T$ here. In particular, the counter for acceptance of transaction $T$ is never reset, even when a query is unsuccessful, because $T$ is the only transaction in its conflicting set, then always preferred. Thus, transaction $T$ will be accepted after $\beta_1$ successful queries, if all its parents are accepted, or $\beta_2$ successful queries if they are not accepted. Assuming that queries of honest transactions are successful, on average $\frac{\beta}{1-\delta}$ transactions are required to accept $T$ for $\beta \in [\beta_1, \beta_2]$ depending on the state of the parents of $T$. For simplicity we assume that the parents are accepted, thus, the counter needs to achieve the value $\beta_1$. If this were not the case, then it is sufficient to substitute $\beta_1$ with $\beta$ in the upcoming expression. Avalanche requires on average $\beta_1 + \frac{1+(2+\beta_1\gamma)(1-\gamma)^{\beta_1}-(1-\gamma)^{2\beta_1}(1+\beta_1\gamma)}{(1-\gamma)^{\beta_1}(1-(1-\gamma)^{\beta_1})}$ transactions to accept $T$ by Lemma 5.5. The assumption that the query of honest transactions is always successful is more beneficial to Avalanche than to Glacier, since in Avalanche such a query resets the counter for acceptance of $T$. But in Glacier, the query simply leaves the counter as it is. The value of the acceptance threshold $\beta_1$ is also more beneficial for Avalanche since the number of required transactions increases linearly in Glacier and exponentially in Avalanche. Figure 2 shows a comparison of both expressions. In Glacier, the vote for a transaction is independent of the vote of its descendant and ancestors, even if a query of a transaction carries an implicit query of all its ancestors. Thus, Lemma 5.1 can be extended. ▶ Lemma 6.1. Party $u$ delivers a transaction $T$ with counter for acceptance with value $cnt[conflictSet[T]] \geq \beta_1$ in Glacier if and only if $u$ decides 1 in the equivalent execution of Snowball with threshold $cnt[conflictSet[T]]$. Proof. Consider a transaction $T$ in the equivalent execution of Snowball. The counter for acceptance of the value 1 in Snowball is always the same as the counter for acceptance of transaction $T$ in Glacier because of the modifications introduced by Glacier. Thus, following the same argument as in Lemma 5.1, transaction $T$ is accepted in Glacier with counter $cnt[conflictSet[T]]$ if and only if 1 is decided with counter $cnt[conflictSet[T]]$ in the equivalent execution of Snowball. ▶ ▶ Theorem 6.2. The Glacier algorithm satisfies the properties of generic broadcast in the presence of an adversary that controls up to $O(\sqrt{n})$ parties. Proof. Lemma 5.1 is a special case of Lemma 6.1. Theorem 5.2 shows that Lemma 5.1 and the properties of Snowball [2] guarantee that Avalanche satisfies integrity, partial order, and external validity. In the same way, Lemma 6.1 guarantees that Glacier satisfies these same properties. Thus, it is sufficient to prove that Glacier satisfies validity and agreement. - Validity. Assume that an honest party broadcasts a payload $tx$. Because the party is honest, the transaction $T$ containing $tx$ is valid and non-conflicting. In the equivalent execution of Snowball, every honest party that proposes a value proposes 1. Hence, using the validity and termination properties of Snowball, every honest party eventually decides 1. Using Lemma 6.1, every honest party eventually delivers $tx$. - Agreement. Assume that an honest party delivers a payload transaction $tx$ contained in transaction $T$. Using Lemma 6.1, an honest party decides 1 in the equivalent execution of Snowball. Because of the termination and agreement properties of Snowball, every honest party decides 1. Using Lemma 6.1 again, every honest party eventually delivers payload $tx$. We conclude that Glacier satisfies the properties of generic broadcast. ▶ With the modification to Glacier, Avalanche can be safely used as the basis for a payment system. Notice that the sample mechanism is not modified, thus remains the same as in the original protocol. The only possible concern with Glacier could be a decrease in performance compared to Avalanche. However, Glacier does not reduce the performance but rather improves it. Glacier only modifies the update in the local state of party $u$ after a query has been unsuccessful. The counter of acceptance of a given transaction $T$ in Glacier implementation is always greater or equal than its counterpart in Avalanche. This follows because a reset of $cnt[conflictSet[T]]$ in Glacier implies the same reset in Avalanche. Such a reset in Glacier occurs if the query of a descendant of $T$ fails and $T$ was reported as non-preferred by more than $k - \alpha$ parties, whereas in Avalanche it is enough if the query of the descendant failed. In Avalanche, $cnt[conflictSet[T]]$ is incremented if the query of a descendant of $T$ succeeds, and the same occurs in Glacier. Thus, $cnt[conflictSet[T]]$ in Glacier is at least as large as in Avalanche. We recall that a transaction is accepted when $cnt[conflictSet[T]]$ reaches a threshold depending on some conditions of the local view of the DAG, but these are identical for Glacier and Avalanche. Hence, every transaction that is accepted in Avalanche is accepted in Glacier with equal or smaller latency. This implies not only that the latency of Glacier is smaller than the latency of Avalanche, but also that the throughput of Glacier is at least as good as the throughput of Avalanche. 7 Conclusion Avalanche is well-known for its remarkable throughput and latency that are achieved through a metastable sampling technique. Our pseudocode captures in a compact and relatively simple manner the intricacies of the protocol. We show that Avalanche, as originally introduced, possesses a vulnerability allowing an adversary to delay transactions arbitrarily. We also address such vulnerability with a modification of the protocol, Glacier, that allows Avalanche to satisfy both safety and liveness. The developers of Avalanche have acknowledged the vulnerability, and the actual implementation does not suffer from it due to an alternative fix. Understanding this variant of Avalanche remains open and is subject of future work. References 1 Ignacio Amores-Sesar, Christian Cachin, and Jovana Micic. Security analysis of ripple consensus. In OPODIS, volume 184 of LIPIcs, pages 10:1–10:16. Schloss Dagstuhl - Leibniz-Zentrum für Informatik, 2020. 2 Ignacio Amores-Sesar, Christian Cachin, and Enrico Tedeschi. When is spring coming? A security analysis of avalanche consensus. CoRR, abs/2210.03423, 2022. arXiv:2210.03423. 3 Frederik Armknecht, Ghassan O. Karame, Avikarsha Mandal, Franck Youssef, and Erik Zenner. Ripple: Overview and outlook. In TRUST, volume 9229 of Lecture Notes in Computer Science, pages 163–180. Springer, 2015. 4 Ava Labs, Inc. Avalanche documentation. https://docs.avax.network/. 5 Ava Labs, Inc. Node implementation for the Avalanche network. https://github.com/ava-labs/avalanchego. 6 Christian Cachin, Rachid Guerraoui, and Luis E. T. Rodrigues. Introduction to Reliable and Secure Distributed Programming (2. ed.). Springer, 2011. 7 Christian Cachin, Klaus Kursawe, Frank Petzold, and Victor Shoup. Secure and efficient asynchronous broadcast protocols. In CRYPTO, volume 2139 of Lecture Notes in Computer Science, pages 524–541. Springer, 2001. 8 Christian Cachin and Marko Vukolic. Blockchain consensus protocols in the wild (keynote talk). In DISC, volume 91 of LIPIcs, pages 1:1–1:16. Schloss Dagstuhl - Leibniz-Zentrum für Informatik, 2017. 9 Coinmarketcap: Today’s cryptocurrency prices by market cap. https://coinmarketcap.com/, 2022. 10 Bernardo David, Peter Gazi, Aggelos Kiayias, and Alexander Russell. Ouroboros prao: An adaptively-secure, semi-synchronous proof-of-stake blockchain. In EUROCRYPT (2), volume 10821 of Lecture Notes in Computer Science, pages 66–98. Springer, 2018. Cynthia Dwork, Nancy A. Lynch, and Larry J. Stockmeyer. Consensus in the presence of partial synchrony. J. ACM, 35(2):288–323, 1988. Ittay Eyal and Emin Gün Sirer. Majority is not enough: Bitcoin mining is vulnerable. In Financial Cryptography, volume 8437 of Lecture Notes in Computer Science, pages 436–454. Springer, 2014. Juan A. Garay, Aggelos Kiayias, and Nikos Leonardos. The bitcoin backbone protocol: Analysis and applications. In EUROCRYPT (2), volume 9057 of Lecture Notes in Computer Science, pages 281–310. Springer, 2015. Juan A. Garay, Aggelos Kiayias, and Nikos Leonardos. The bitcoin backbone protocol with chains of variable difficulty. In CRYPTO (1), volume 10401 of Lecture Notes in Computer Science, pages 291–323. Springer, 2017. Yossi Gilad, Rotem Hemo, Silvio Micali, Georgios Vlachos, and Nickolai Zeldovich. Algorand: Scaling byzantine agreements for cryptocurrencies. In SOSP, pages 51–68. ACM, 2017. Idit Keidar, Eleftherios Kokoris-Kogias, Oded Naor, and Alexander Spiegelman. All you need is DAG. In PODC, pages 165–175. ACM, 2021. Aggelos Kiayias, Alexander Russell, Bernardo David, and Roman Oliynykov. Ouroboros: A provably secure proof-of-stake blockchain protocol. In CRYPTO (1), volume 10401 of Lecture Notes in Computer Science, pages 357–388. Springer, 2017. Minjeong Kim, Yujin Kwon, and Yongdae Kim. Is stellar as secure as you think? In EuroS&P Workshops, pages 377–385. IEEE, 2019. Chenxing Li, Peilun Li, Wei Xu, Fan Long, and Andrew Chi-Chih Yao. Scaling nakamoto consensus to thousands of transactions per second. CoRR, abs/1805.03870, 2018. arXiv:1805.03870. Chenxing Li, Peilun Li, Dong Zhou, Zhe Yang, Ming Wu, Guang Yang, Wei Xu, Fan Long, and Andrew Chi-Chih Yao. A decentralized blockchain with high throughput and fast confirmation. In USENIX Annual Technical Conference, pages 515–528. USENIX Association, 2020. Marta Lokhava, Giuliano Losa, David Mazières, Graydon Hoare, Nicolas Barry, Eli Gafni, Jonathan Jove, Rafał Malinowski, and Jed McCabe. Fast and secure global payments with stellar. In SOSP, pages 80–96. ACM, 2019. Hamed Mamache, Gabin Mazué, Osama Rashid, Gewu Bu, and Maria Potop-Butucaru. Resilience of IOTA consensus. CoRR, abs/2111.07805, 2021. arXiv:2111.07805. Satoshi Nakamoto. Bitcoin: A peer-to-peer electronic cash system. Whitepaper, https://bitcoin.org/bitcoin.pdf, 2009. Marshall C. Pease, Robert E. Shostak, and Leslie Lamport. Reaching agreement in the presence of faults. J. ACM, 27(2):228–234, 1980. Fernando Pedone and André Schiper. Generic broadcast. In DISC, volume 1693 of Lecture Notes in Computer Science, pages 94–108. Springer, 1999. Sheldon Ross. Stochastic Processes. Wiley, second edition, 1996. Yonatan Sompolinsky, Shai Wyborski, and Aviv Zohar. PHANTOM GHOSTDAG: a scalable generalization of nakamoto consensus: September 2, 2021. In AFT, pages 57–70. ACM, 2021. W. Y. Tan. On the absorption probabilities and absorption times of finite homogeneous birth-death processes. Biometrics, 32(4):745–752, 1976. Team Rocket, Maofan Yin, Kevin Sekniqi, Robbert van Renesse, and Emin Gün Sirer. Scalable and probabilistic leaderless BFT consensus through metastability. e-print, arXiv:1906.08936 [cs.CR], 2019. Bozhi Wang, Qin Wang, Shiping Chen, and Yang Xiang. Security analysis on tangle-based blockchain through simulation. CoRR, abs/2008.04863, 2020. arXiv:2008.04863. Qin Wang, Jiangshan Yu, Zhimiang Peng, Van Cuong Bui, Shiping Chen, Yong Ding, and Yang Xiang. Security analysis on dbft protocol of NEO. In Financial Cryptography, volume 12059 of Lecture Notes in Computer Science, pages 20–31. Springer, 2020. Maofan Yin. Scaling the Infrastructure of Practical Blockchain Systems. PhD thesis, Cornell University, USA, 2021.
EXTERNAL OVERSIGHT OF COMPLAINTS AGAINST POLICE IN AUSTRALIA: A CROSS-JURISDICTIONAL COMPARISON July 1995 Research and Co-ordination Division © Criminal Justice Commission, 1995. Apart from any fair dealing for the purpose of private study, research, criticism or review, as permitted under the COPYRIGHT ACT, no part may be reproduced by any process without permission. Inquiries should be made to the publisher, the Criminal Justice Commission. ISBN 0-7242-6521 Printed by Criminal Justice Commission, Brisbane. ACKNOWLEDGEMENTS Ms Colleen Lewis, an Associate Researcher with the Centre for Australian Public Sector Management, Griffith University, was primarily responsible for researching and writing this paper. Clare Smith, Janette Brown and Megan Atterton of the Research and Co-ordination Division assisted in preparing the document for publication. In conducting research for the paper, Ms Lewis consulted with the Chief Executive Officers and staff of the civilian oversight bodies around Australia. Representatives of these agencies also provided useful comments on draft sections of the paper. The CJC wishes to acknowledge the valuable assistance provided by all of these people. As much care as possible has been taken to ensure that the information contained in this paper is accurate. However, the Research and Co-ordination Division is solely responsible for any errors or omissions. David Brereton Director Research and Co-ordination # CONTENTS ACKNOWLEDGEMENTS .......................................................... i ABBREVIATIONS ................................................................ iv PART 1 INTRODUCTION ........................................................................ 1 Purpose and Scope of the Study ........................................... 1 Structure of Report ............................................................. 2 Information Sources ............................................................ 2 PART 2 DESCRIPTION OF POLICE OVERSIGHT BODIES IN AUSTRALIA .... 5 Criminal Justice Commission – Queensland Police Service ........ 5 Ombudsman of New South Wales – New South Wales Police .... 10 Victorian Deputy Ombudsman – Victoria Police .................... 13 Parliamentary Commissioner for Administrative Investigations – Western Australia Police .............................................. 15 Police Complaints Authority – South Australia Police ............. 18 Northern Territory Ombudsman – Northern Territory Police ...... 20 Ombudsman of Tasmania – Tasmanian Police ....................... 23 Commonwealth Ombudsman – Australian Federal Police ........ 25 PART 3 SUMMARY ................................................................................ 29 REFERENCES ......................................................................... 37 \| Abbreviation \| Description \| \|--------------\|-------------\| \| AFP \| Australian Federal Police \| \| ALRC \| The Australian Law Reform Commission \| \| CJC \| Criminal Justice Commission (Queensland) \| \| IIB \| Internal Investigation Branch (South Australian Police) \| \| IID \| Internal Investigation Division (Australian Federal Police; Victoria Police) \| \| IIU \| Internal Investigation Unit (New South Wales Police; Tasmanian Police) \| \| JRC \| Joint Review Committee (Northern Territory) \| \| NSW \| New South Wales \| \| PCA \| Police Complaints Authority (South Australia) \| \| PCAI \| Parliamentary Commissioner for Administrative Investigations (Western Australia) \| \| PCJC \| Parliamentary Criminal Justice Committee (Queensland) \| \| QPS \| Queensland Police Service (Queensland) \| PART 1 INTRODUCTION PURPOSE AND SCOPE OF THE STUDY The Australian Law Reform Commission (ALRC) Report, Complaints Against Police, published in 1975 recommended, amongst other things, that an 'independent element be introduced into the investigation and determination of complaints against members of the Australia Police' (ALRC 1975:71). The ALRC Report formally placed the police complaints process onto the political agenda.$^1$ By 1985, all governments in Australia had established bodies to provide for some form of external civilian oversight of complaints against police. This paper describes and compares the key features of these various bodies. The eight agencies currently exercising oversight functions in Australia are: - Queensland – Criminal Justice Commission (CJC)$^2$ - New South Wales – Ombudsman - Victoria – Deputy Ombudsman (Police Complaints) - Western Australia – Parliamentary Commissioner for Administrative Investigations (PCAI) - South Australia – Police Complaints Authority (PCA) - Northern Territory – Ombudsman - Tasmania – Ombudsman - Commonwealth/ACT – Ombudsman Until now, information about the structure, powers and functions of these different agencies could only be obtained by examining the governing legislation for each body and consulting documents such as annual reports. As anyone who has embarked on this type of research would be aware, collecting data from eight jurisdictions is a laborious and time consuming exercise. This publication, which was originally prepared as an internal working document for the CJC, brings this information together in the one document and places it within a comparative framework. The paper does not aim to provide an exhaustive description of each system; those who require clarification or elaboration of specific aspects will still need to contact the agencies concerned, or consult the relevant legislation. However, the paper does provide a useful overview of the major differences and similarities between the various agencies and enables the interested reader to see where particular bodies fit into the national picture. --- $^1$ In 1978 the Federal Government requested that the ALRC produce a supplementary report in relation to the Australian Federal Police and the Northern Territory and Australian Capital Territory Police. The ALRC report (1978) again recommended independent participation in the overseeing of police conduct. $^2$ A Police Complaints Tribunal operated in Queensland from 1 May 1982 to April 1990. The functions performed by that body are now performed by the CJC. It was originally proposed to also present comparative data on the resources available to each agency, the number of complaints received, the outcome of these complaints and the level of reported police misconduct in each jurisdiction. However, due to the lack of consistency in the definitions, counting rules and recording practices used in different jurisdictions, it proved impossible to make these types of comparisons. It is to be hoped that, in the future, agencies will be able to introduce greater uniformity into the collection and reporting of relevant statistical data about their activities. STRUCTURE OF REPORT The main body of the paper briefly describes the structure, functions and powers of each agency under the following headings: - the role and functions of the agency - whether the agency has own motion powers; that is it is able to independently determine whether it will investigate a matter without receipt of a complaint. - the jurisdiction of the agency in relation to complaints made by police against other police - whether the agency uses seconded police - the investigative powers available to the agency - whether the agency can impose sanctions - whether informal resolution or conciliation is used - the formal accountability of the oversight agency. The final section of the paper identifies some of the key differences between the various agencies and presents a summary comparative table. INFORMATION SOURCES This paper has been prepared using the following sources: - the annual reports of each oversight body for the years ended 30 June 1991, 1992, 1993 and 1994 - interviews conducted with officers from each of the oversight bodies, either by telephone or on a face to face basis$^3$ - correspondence with each of the oversight bodies --- $^3$ Personal interviews were conducted with staff from the Office of the New South Wales Ombudsman and the South Australian PCA. legislation: - Criminal Justice Act 1989 (Queensland) - Ombudsman Act 1974 (New South Wales) - Ombudsman Act 1973 (Victoria) - Ombudsman (Northern Territory) Act 1993 - Ombudsman Act 1978 (Tasmania) - Ombudsman Act 1976 (Commonwealth). - Parliamentary Commissioner Act 1971 (Western Australia) - Police (Complaints and Disciplinary Proceedings) Act 1985 (South Australia) PART 2 DESCRIPTION OF POLICE OVERSIGHT BODIES IN AUSTRALIA CRIMINAL JUSTICE COMMISSION – QUEENSLAND POLICE SERVICE ROLE AND FUNCTION The Queensland Criminal Justice Commission (CJC) was established in 1990, following upon the recommendations of the Fitzgerald Inquiry (1989). The CJC is not a dedicated police complaints body, but has multiple functions and responsibilities. There are five main divisions: the Official Misconduct Division, the Witness Protection Division, the Research and Co-ordination Division, the Intelligence Division and the Corruption Prevention Division. Between them, these divisions are concerned with: • investigating official misconduct in units of public administration and alleged or suspected misconduct by members of the Queensland Police Service (QPS) • monitoring, reviewing, co-ordinating and initiating reform of the administration of criminal justice • overseeing criminal intelligence matters and managing criminal intelligence specifically with respect to major and organised crime and official misconduct • providing witness protection • in certain situations, investigating organised or major crime • overseeing and reporting on reform of the QPS • through research, investigation and analysis, providing policy directives, and recommendations with respect to law enforcement priorities, education and training of police, revised methods of police operation, and the optimum use of law enforcement resources. It is the Official Misconduct Division, and more particularly the Complaints section, which is primarily responsible for with the oversight of police conduct and the investigation of complaints against police. The main role of the Division in terms of the oversight of police conduct is to assess and investigate complaints of misconduct. However, the Division also has a monitor and review function in relation to complaints of a minor nature, investigated by the QPS. Complaints against members of the QPS are divided into three categories: ‘breaches of discipline’, ‘misconduct’ and ‘official misconduct’. A breach of discipline is a breach of any provision of the Police Service Administration Act 1990 or directions of the Police Commissioner. Breaches can commonly be described as a violation or dereliction of duty. Misconduct matters are more serious. Misconduct is defined as disgraceful, improper or other conduct unbecoming an officer; or conduct --- 4 The CJC’s practice has been to rely on recommendations and informal feedback and advice, rather than policy directives. that does not meet the standard of conduct reasonably expected by the community of a police officer (Police Service Administration Act 1990, s. 1.4). Official misconduct is the most serious category of complaint in that it involves conduct of such a nature that it constitutes, or could constitute, a criminal offence or a disciplinary breach warranting dismissal. Furthermore, the conduct must involve the officer acting in his or her capacity as a police officer in a manner that is not honest or impartial, involves a breach of trust, or a misuse of information. The CJC is formally responsible for investigating all allegations of misconduct and official misconduct against police. However, it frequently refers cases of minor misconduct back to the QPS for investigation on behalf of the CJC. When the investigation has been concluded, the CJC reviews the investigation report, examines the recommendations and determines if the complaint has been substantiated. Police are obliged to report all complaints of misconduct to the CJC. The QPS is responsible for dealing with complaints involving breaches of discipline, but through agreement, the QPS also notifies the CJC of all complaints alleging breaches of discipline. The CJC assesses all complaints to determine whether they involve breaches of discipline or misconduct. As with other jurisdictions in Australia, many complaints are disposed of without a full investigation. If at the initial assessment stage it is decided that additional information is required, preliminary inquiries are carried out by seconded police or civilian investigators who report back to the head of the assessment unit, a civilian senior lawyer. If a complaint is assessed as a breach of discipline, it is referred to the QPS for action and the CJC has no further interest in it. If the complaint is assessed as a misconduct matter, the CJC is responsible for its investigation. The CJC may also refer misconduct matters assessed as minor to the QPS for investigation. However, in such instances the CJC still reviews the investigation. At the completion of the police investigation, the CJC is provided with a detailed report which is reviewed by a civilian senior legal officer. In addition, at any stage of the investigative process the CJC can recall the complaint. This would happen, for instance, if a complainant made a complaint about the police investigator or if preliminary inquiries showed suspected criminality. If a complaint is assessed as serious misconduct, official misconduct or criminal in nature, the CJC retains carriage of the investigation. In such cases the matter is usually referred to one of two complaints teams for investigation. The teams comprise seconded police, civilian investigators (former police) and civilian lawyers. The teams are co-operatively managed by a senior lawyer and an inspector of police, but the ultimate responsibility for the decisions of the team rest with a civilian senior legal officer. The teams have access to a financial analyst and to intelligence material if necessary. At times the teams also make use of expertise in other units of the CJC; for example, proceeds of crime, witness protection and surveillance. On occasions, the CJC will have the QPS conduct a preliminary investigation into a complaint which has been assessed as possibly constituting criminal or official misconduct. However, in such instances the CJC retains responsibility for the investigation. The CJC’s Complaints Section closely monitors these matters. The police officers follow strict, detailed guidelines laid down by the CJC. The officers are told who the CJC wants interviewed and what their report is to include. When the report is received by the CJC the complaint goes through the normal assessment process. The officer, or officers, who are the subject of the complaint, are interviewed by CJC personnel. Allegations which involve major or organised crime where the CJC has jurisdiction, or serious complaints against police of a more complex nature go to a Multi-Disciplinary Team for investigation. These teams are comprised of seconded police, former police, accountants and civilian lawyers and are supported by intelligence analysts. The teams also have access to the expertise found in other units of the CJC. The teams are headed by a senior civilian lawyer or police officer. The final responsibility for the Multi-Disciplinary Teams' decisions rest with the Director of the Official Misconduct Division, who is a senior lawyer. SECONDED POLICE The Complaints Section of the CJC has around 23 seconded police, who are primarily used in the assessment and investigative stage of the complaints process. To a lesser extent the Section also uses former police. In addition, seconded police are used in the surveillance and witness protection areas, and in Multi-Disciplinary Teams. INVESTIGATIVE POWERS The CJC can require a person to furnish information or produce material that it considers relevant to an investigation or proposed investigation.$^5$ The CJC can enter and search premises of a unit of public administration (which includes the QPS), inspect records, seize or remove them from premises and/or make copies or take extracts. It can make application to a judge of the Supreme Court for a warrant to enter and search premises (as specified in the warrant), search any person on the premises, seize records or things as stipulated in the warrant, and can make a copy or extract of records. The CJC can summons a person to attend before it. If a person has been served with a notice to attend as a witness and fails to comply with that notice, the Chairperson of the CJC can make application to a Supreme Court judge for a warrant to be issued for the person's apprehension. The CJC can also apply to a Supreme Court judge for authority to use a listening device, to take possession of a passport or other travel documents and to take possession of instruments of title and financial documents. It can make copies of and inspect bank records and records from share brokers, and require a person holding an appointment in a unit of public administration and any person associated with that person, to furnish an affidavit relating to their assets. SANCTIONS Subsequent to its investigation of misconduct, the CJC may only make recommendations to the Commissioner of Police. If the Police Commissioner disagrees with a CJC recommendation, the CJC has no avenue of appeal. --- $^5$ This does not apply if a person is before a Misconduct Tribunal on a charge of official misconduct. Misconduct Tribunals are discussed below. The situation is different with respect to official misconduct. If, after investigation, it is recommended that an officer be charged with official misconduct, the CJC can require the Commissioner of Police to have a police officer so charged and placed before a Misconduct Tribunal, where a determination takes place and sanctions can be imposed. Misconduct Tribunals are attached to the CJC administratively, but operate independently.$^6$ Misconduct Tribunals receive evidence on oath. They are not bound by the rules of evidence or the practice of any other court or tribunal. The Tribunals may inform themselves of any matter and conduct proceedings as it thinks fit. Under certain circumstances they can proceed in the absence of the person who is the subject of the hearing. The Tribunals have two jurisdictions: the original and appellate. In the original jurisdiction the Tribunals have the power to investigate and determine charges of official misconduct against prescribed persons. If a Tribunal finds the charge is established, it has the power to determine punishment ranging from dismissal to a fine. The original jurisdiction is exclusive. A person aggrieved by a decision in this jurisdiction can appeal to the Supreme Court. In the appellate jurisdiction, the Tribunals have the power to review decisions (excluding those of a Court or Misconduct Tribunal) made in relation to a disciplinary charge of misconduct. When exercising its appellate jurisdiction a Tribunal informs itself of the facts and determines the issue afresh. It has the power to affirm, quash or substitute a decision. Decisions taken in the appellate jurisdiction are final and conclusive. OWN MOTION POWERS The CJC has own motion powers; that is, it is able to independently determine whether it will investigate a matter without receipt of a complaint. COMPLAINTS BY POLICE AGAINST OTHER POLICE The CJC has the power to investigate complaints made by police against other police. Furthermore, members of the QPS are under a positive duty to report misconduct and suspected misconduct to the Commissioner of Police and the CJC. Failure to do so attracts a penalty. It is an offence under section 7.3 of the Police Service Administration Act 1990 to take any action detrimental to a police officer because that officer reported or took action to deal with misconduct or a breach of discipline. INFORMAL RESOLUTION – CONCILIATION Informal resolution was introduced into the QPS in July 1993, largely at the instigation of the CJC. This is a method for dealing with minor complaints such as incivility, rudeness and inappropriate language. Senior police officers designated to handle such matters are expected to act as conciliators not investigators. The focus is on complainant satisfaction rather than on determining if an offence has been committed. --- $^6$ The CJC has been seeking to have the Tribunals made totally separate from the CJC. The new procedures were introduced in the expectation that they would decrease the time taken to deal with complaints, free up police resources from costly formal complaint investigations, and provide more satisfaction for complainants, the officer complained about, and the senior officers responsible for handling complaints. (See CJC 1994 for an evaluation of these new procedures.) If a complaint is assessed as a breach of discipline, the QPS decides whether the matter is appropriately dealt with by informal resolution. However, if the CJC, upon reviewing the matter, believes that the complaint is one of misconduct, the CJC decides if it is suitable for informal resolution. In addition, complaints which are initially classified as misconduct are assessed by the CJC to see whether they are suitable for informal resolution. ACCOUNTABILITY The CJC is accountable to the all party Parliamentary Criminal Justice Committee (PCJC) and through it to the Parliament. The PCJC monitors and reviews the activities of the CJC and reports to Parliament. The CJC provides monthly reports to the PCJC and the CJC’s Directors attend before it. The Committee may request the CJC to elaborate on specific issues or address matters that have come to the Committee’s attention and can hold public hearings into the CJC’s activities. The CJC also produces an Annual Report for tabling in Parliament. Ombudsman of New South Wales – New South Wales Police Role and Function The New South Wales (NSW) Ombudsman has the power to monitor, review and investigate complaints against the police. However, like most other jurisdictions in Australia, ‘modest funding’ restricts monitoring and the capacity of the Ombudsman to undertake direct investigations. The latter are initiated in only the most serious or publicly important cases. The NSW Ombudsman’s role is essentially to determine the appropriate course of action; to determine if a complaint is sustained or not sustained; and, if necessary, to monitor an investigation or conduct a direct investigation. The police are obliged to notify the Ombudsman of all complaints except those of a minor nature which are more appropriately dealt with by the police service as internal management issues. Examples of such complaints are absence from duty or failure to attend court. The Ombudsman reviews all complaints against the police at various stages of the complaints process. There is a determination after the preliminary inquiry stage as to whether the Ombudsman will decline to investigate or investigate. Another determination occurs after an investigation by the NSW Police Internal Investigation Unit (IIU) when the decision is made about whether the complaint is sustained or not sustained. The Ombudsman also has the right to monitor investigations and re-investigations at various stages of the process and to conduct direct investigations. In essence the Ombudsman determines the appropriate course of action in relation to a complaint. The NSW Police IIU conducts the majority of investigations. Having completed its investigation, the Unit then forwards the file to the Ombudsman who determines whether the complaint is sustained or not, and makes recommendations for appropriate action. Where the Ombudsman finds that a police officer has acted improperly or illegally, he or she can recommend disciplinary action to the Police Commissioner. In accordance with an agreed arrangement between the Ombudsman and the Police Commissioner, the Ombudsman can monitor ongoing police investigations into complaints about alleged police misconduct. The Ombudsman, or one of his or her officers, may be present during the interview stage and can confer with the investigating officers in relation to the conduct and progress of the investigation. The Commissioner of Police is obliged to provide the Ombudsman with any documents or other material requested in respect of the investigation. The Ombudsman finds this is a valuable power as it allows officers from the Ombudsman’s office to confer with police ‘in a timely manner’. This is seen as preferable in some cases to reviewing the matter after the police investigation is completed. Monitoring powers also allow investigative staff from the Ombudsman’s office ‘to get an immediate and ongoing feel for the progress of the matter under scrutiny. This is found to be extremely helpful when assessing an investigation submission and determining whether a complaint is sustained’ (NSW Ombudsman’s Office Annual Report 1993–94:36). OWN MOTION POWERS The Ombudsman does not have the ability to independently determine to investigate a matter without receipt of a complaint in relation to police misconduct (Police Service Act 1990) but does have own motion powers in relation to administrative matters involving the police service (Ombudsman Act 1974 – (NSW)). COMPLAINTS BY POLICE AGAINST OTHER POLICE The Ombudsman has the power to investigate complaints made by police about other police. SECONDED POLICE There is presently only one seconded police officer on the Ombudsman’s investigative staff. INVESTIGATIVE POWERS When conducting an investigation in relation to complaints against police, the Ombudsman has the power to: require a person to produce material; enter and search premises; inspect records, seize or remove records or make copies; and to require a person to answer questions provided they are not self incriminatory. The Ombudsman can also summons a person to attend. Non-attendance is in breach of the Royal Commission Act and renders the person liable to prosecution. The normal course would be for the Ombudsman to refer such a matter to the Director of Public Prosecutions who would arrange for the person to be charged and arrested. SANCTIONS The Ombudsman does not have the power to impose sanctions: he or she can only make recommendations to the Commissioner of Police. If the Commissioner does not concur with the Ombudsman’s recommendations the Ombudsman may refer the issue to the President of the Police Tribunal. The Police Tribunal is an independent judicial body with both original and appellate jurisdiction. The Tribunal does not have the power to determine punishment but may make recommendations to the Commissioner. These can range from dismissal to a reprimand. The Ombudsman also has the right to make a special report to Parliament on a matter. INFORMAL RESOLUTION—CONCILIATION New South Wales legislation provides for conciliation of minor complaints. The majority are resolved by the NSW Police Service and complainants through the process of ‘open and informal discussions’ (NSW Ombudsman’s Office 1994:2). Some cases require the active participation of the Ombudsman’s staff. The Ombudsman’s office is provided with details of all finalised conciliations for review. The Office further audits the process through complainants’ surveys and visits to police stations. The Ombudsman views this method of dispute resolution as most effective, and more importantly, as producing a high level of complainant satisfaction. ACCOUNTABILITY The NSW Ombudsman is accountable to the Parliamentary Joint Committee on the Office of the Ombudsman, and to the Parliament. The NSW Parliamentary Joint Committee’s role includes the monitoring and review of the exercise of the Ombudsman’s functions. The Committee may report to both Houses of Parliament on any matter concerning the Ombudsman or connected with the exercise of the Ombudsman’s function. The Joint Committee may also report on any changes it recommends to the functions, structures and procedures of the Office of the Ombudsman. The Committee must examine the annual report of the Office and report on it to Parliament. However, the Committee is not authorised to reconsider any findings, recommendations or determinations. The Committee also cannot investigate any conduct or reconsider any decisions the Ombudsman may make concerning whether or not to investigate. VICTORIAN DEPUTY OMBUDSMAN – VICTORIA POLICE ROLE AND FUNCTIONS Victoria has a Deputy Ombudsman (Police Complaints). This office is a separate statutory office created by the Victorian Ombudsman Act 1973. The Deputy Ombudsman primarily performs a monitor and review function: most complaints against police are investigated by the Internal Investigation Department of the Victoria Police. The Victoria Police notify the Deputy Ombudsman of any complaints they receive and must report on investigations as the Deputy Ombudsman requires. The arrangement reached between the Police Commissioner and the Deputy Ombudsman is that the police will report on each investigation within two months and monthly thereafter. When police have completed their investigation, and before any conclusions are drawn, the Deputy Ombudsman reviews the police investigation. He or she may choose to investigate further, or may request the police to conduct further investigations. The Deputy Ombudsman has the power to conduct his or her own investigation at the beginning of an investigation, or at any stage of the process. The Deputy Ombudsman may also choose to assign a person from the office to liaise with the police throughout an investigation. This may be done in relation to complex matters, if it appears that there could be a heavy demand on resources, or if the review at the end of the process would be complicated. In these circumstances, the Deputy Ombudsman feels that it makes more sense to have an officer across the problem at the outset (Annual Report 1992–93:8). Despite having the power to conduct investigations, the Deputy Ombudsman primarily performs a monitor and review function. The review process looks at the ‘relevance, thoroughness and comprehensiveness’ of police investigations and the ‘soundness’ of proposed outcomes (Annual Report 1992–93:10). At the very least, the Deputy Ombudsman conducts a thorough review of the police file. This may involve discussions between the revising officers and the investigating police officer, interviews with the complainant and other inquiries. The review process is independent of the police and the Deputy Ombudsman does not depend entirely on the police for information. He or she may call for a brief of evidence, have a person from the Deputy Ombudsman’s office inspect the scene of the incident, contact independent witnesses, and seek clarification on any matter. If the Deputy Ombudsman has any reservations about a withdrawn complaint, he or she contacts the complainant, and other persons if necessary, to ensure that no undue pressure was placed on the person to withdraw. If for any other reason the Deputy Ombudsman is dissatisfied about particular aspects of an investigation, he or she may request the Police Deputy to conduct further investigations. Alternatively, the Deputy Ombudsman may choose to take over the investigation from police and conduct his or her own further investigations. ‘That decision is entirely [his]’ (Victorian Deputy Ombudsman’s Annual Report 1991:55). OWN MOTION POWERS The Deputy Ombudsman (Police Complaints) is not able to independently determine to investigate a matter without receipt of a complaint. COMPLAINTS BY POLICE AGAINST OTHER POLICE The Deputy Ombudsman cannot receive complaints from members of the Victoria Police about the conduct of other police. The Victoria Police investigates those complaints itself. However, there is an informal arrangement that the Deputy Ombudsman will review the police investigation. Under this arrangement, the Victoria Police has agreed to respond to the Deputy Ombudsman’s review in the same manner it would to any review by the Deputy Ombudsman of the police investigation of a citizen’s complaint. SECONDED POLICE The Ombudsman’s office does not have seconded police officers on staff but has employed two former police officers to investigate complaints against the police. INVESTIGATIVE POWERS In the course of an investigation the Deputy Ombudsman can: require a person to answer questions and produce material; enter and search premises; inspect records, seize and remove records and make copies. He or she can also summons a person to attend a hearing and give sworn evidence. The sanction for non-appearance is set down in the Evidence Act, which provides for a penalty of $1500 or three months imprisonment. SANCTIONS The Deputy Ombudsman can make formal recommendations to the Chief Commissioner of Police in relation to sanctions, but if the Chief Commissioner disagrees the Deputy Ombudsman cannot enforce them. The procedure for resolving disagreements between the Chief Commissioner of Police and the Deputy Ombudsman in relation to such matters is laid out in the Police Regulation Act 1958. The matter goes to the Minister for Police and Emergency Services unless criminal charges are involved, in which case the matter goes to the Director of Public Prosecutions. INFORMAL RESOLUTION – CONCILIATION The Deputy Ombudsman has an oversight role in the area of informal conciliation. The Victoria Police use the informal conciliation process for minor matters such as discourtesy, but not for more serious allegations such as assault. The outcome of the conciliation process is confirmed with the complainant by letter. ACCOUNTABILITY The Deputy Ombudsman (Police Complaints) is accountable to the Parliament. This is done primarily through the tabling in Parliament of an Annual Report. PARLIAMENTARY COMMISSIONER FOR ADMINISTRATIVE INVESTIGATIONS - WESTERN AUSTRALIA POLICE ROLE AND FUNCTION Western Australia does not have a dedicated police complaints body. The Parliamentary Commissioner for Administrative Investigations (PCAI), also referred to as the State Ombudsman, monitors police investigations of complaints against the police and, in selected cases, reviews the completed investigation. The PCAI can also investigate complaints against the police but only after the police have had a reasonable opportunity to investigate (42 days). If the Commissioner of Police needs an extension beyond 42 days, he or she is required to get the agreement of the PCAI. This allows the Parliamentary Commissioner to monitor the time police take to complete an investigation. Complaints received by the PCAI in respect of police are forwarded to the Western Australia Police Force to investigate in the first instance. However, by agreement with the Commissioner of Police certain complaints are chosen for assessment by the PCAI at the outset, or at different stages of the complaints process. These are usually the more serious cases such as allegations of grave threats, intimidation, assault or excessive force. When cases are selected for assessment, the Commissioner of Police is obliged to furnish the PCAI with a progress report 21 days after the commencement of the investigation. The PCAI can discuss any aspect of the progress report with the Police Commissioner. The PCAI's assessment occurs after the police investigation is completed and before the complainant is advised of the outcome. Even with serious cases, the PCAI has no power to direct an investigation; it can only assess the adequacy or otherwise of the police investigation at the completion of the process and consider the investigating officer's recommendations. The PCAI may become directly involved in an investigation if the complainant indicates that he or she is dissatisfied with the outcome of the police process. At that point, the PCAI makes a detailed assessment of the police investigation, including an examination of the police file. Depending on the nature of the problem, this may lead to interviews with the complainant and any civilian witnesses by the PCAI's investigating officers. If it is considered appropriate, court transcripts and videos can be examined and site inspections carried out. The PCAI may then decide to conduct a formal or informal investigation. Formal investigations are by way of a hearing chaired by the PCAI. The PCAI has recently been given the power to delegate certain Royal Commission powers in respect of formal inquiries to other senior staff. However, the PCAI has indicated that such delegations are unlikely except in relation to more serious cases. The PCAI has the authority to access all completed police investigations before the complainant is advised of the outcome. In practice this oversighting function is generally restricted to the more serious cases. The Police Commissioner informs the complainant by letter of the outcome of the investigation. The Commissioner's letter also advises that if the complainant is not satisfied with the result of the police investigation he or she can contact the PCAI. If the PCAI believes that the police investigation was inadequate, the case is usually referred back to the Commissioner of Police for further investigation. After the additional investigations are completed, the file is returned to the PCAI for further review. OWN MOTION POWERS The PCAI does not have own motion powers in respect of police. However, the PCAI does have this power with respect to other departments within its jurisdiction. The Commissioner of Police may request the PCAI to conduct a direct investigation if he or she deems it appropriate in the circumstances: the PCAI has indicated that such requests will be seriously considered. COMPLAINTS BY POLICE AGAINST OTHER POLICE The PCAI can investigate complaints made by police against other police. SECONDED POLICE The PCAI does not have any seconded police as investigators, but does use former police. INVESTIGATIVE POWERS The PCAI has the power to take evidence on oath and can examine a person without representation, although normally this course of action would not be adopted. The PCAI has power to enter and search premises; inspect records, seize or remove records or make copies; and require a person to produce material and to attend. The PCAI has Royal Commission powers and can issue a warrant in his or her own right; he or she can summons a person to attend, with failure to attend being an offence. A formal investigation by the PCAI must be conducted in private. The PCAI is obliged to notify the complainant, the Commissioner of Police and the Police Minister of the outcome of the investigation. After the investigation, the PCAI can make recommendations that a complainant receive redress and/or that a procedure, practice or legislative provision be examined to try and prevent a similar complaint arising in the future. However, the PCAI has no enforcement powers. SANCTIONS If, after an investigation, the PCAI believes that a breach of discipline or misconduct has occurred on the part of a police officer, the PCAI is obliged to report to the Commissioner of Police together with appropriate recommendations. A copy of the report is also forwarded to the Minister of Police. The PCAI has no power to enforce its recommendations; how or if an officer is to be disciplined remains the responsibility of the Commissioner of Police. INFORMAL RESOLUTION – CONCILIATION Procedures and guidelines are in place to enable minor complaints against the police, such as those relating to traffic matters, demeanour and misunderstanding of police procedures, to be informally conciliated. Conciliation is conducted by the police, but the PCAI’s office is advised of all matters which have been the subject of conciliation and is able to vet the process. In every case, the complainant is advised that if the conciliation is unsuccessful an approach can be made to the PCAI’s office. If an approach is made, the PCAI decides whether to have further enquiries made or to conduct a separate investigation. ACCOUNTABILITY The PCAI reports directly to the Parliament through the two Presiding Officers and is responsible to the Parliament, for example, through the tabling of an Annual Report. POLICE COMPLAINTS AUTHORITY – SOUTH AUSTRALIA POLICE ROLE AND FUNCTION South Australia is currently the only Australian jurisdiction with a dedicated Police Complaints Authority (PCA). The primary role of this body is to monitor internal investigations conducted by the police department’s Internal Investigation Branch (IIB) and to assess the conduct of police officers who are the subject of complaints. Complaints can be received by either the Police Department or the PCA, but all complaints must be registered with the PCA. It scrutinises these complaints and can reclassify or redirect an investigation. The PCA has the power to require the IIB to provide it with information on the progress of an investigation and can inspect documents and other material which the Branch may have. The PCA can also direct (supervise) any investigation as it sees fit. Provisions in the Police (Complaints and Disciplinary Proceedings) Act 1985 allow the PCA to conduct an investigation if the Authority considers it necessary. In practice, this is the exception not the norm and usually happens only when the allegations are against senior police officers, or members of the IIB, or involve complaints concerning ‘policies, practices or procedures of the South Australia police force’. The usual practice is that once all investigations are completed by an officer of the IIB he or she prepares a comprehensive report. The report includes a summary of the investigation, conclusions and recommendations. This report is then forwarded to the officer in charge of the IIB (Commander) who in turn forwards the file to the Deputy Commissioner of Police before a summary report and the investigation file is sent to the PCA. The PCA makes findings in relation to the issues raised by the investigations and assesses whether the conduct falls within section 32 (1) of the Police (Complaints and Disciplinary Proceedings) Act 1985. OWN MOTION POWERS The PCA is not able to independently determine to investigate a matter without receipt of a complaint. COMPLAINTS BY POLICE AGAINST OTHER POLICE The PCA can investigate complaints made by police about other officers but only if they are lodged with the PCA, not if they are made to the Police Department. INVESTIGATIVE POWERS If the PCA decides to conduct an investigation it must be done in private. The PCA can require a person to produce material and can enter and search premises, inspect records, seize or remove records or make copies. The PCA has the power to require people to attend and produce material. It is an offence under the Act to fail to respond. On attendance, the PCA has the power to compel the person to answer questions with qualifications. However, people can refuse to answer on the grounds that it may incriminate them or a close relative. SANCTIONS The PCA can recommend disciplinary action to the Police Commissioner, ranging from charging a person with an offence or breach of discipline to taking no further action in the matter. If the Commissioner disagrees with the PCA’s recommendation he or she is obliged to confer with the PCA. If no agreement can be reached the matter is referred to the Attorney-General. The PCA has no sanctioning powers, but once the Police Commissioner agrees with a PCA recommendation he or she is obliged to implement it. INFORMAL RESOLUTION – CONCILIATION South Australia uses conciliation and informal resolution although conciliation is used only infrequently. Informal resolution was recently introduced to decrease the number of complaints dealt with by any one of the formal processes established by the Police Complaints and Disciplinary Proceedings Act 1985 (conciliation, determination or assessment). Allegations considered suitable for informal resolution are those of a minor nature and include complaints that, even if proved, would not attract a criminal or disciplinary charge; for example: use of bad language, incivility or jostling in a crowded situation. Complaints can only be resolved through the informal process if the complainant agrees. He or she can withdraw that consent at any stage of the process. A ‘resolving officer’ – a member of the South Australia Police Service of the rank of sergeant or above – attempts to informally resolve the complaint. The IIB receives a copy of a report from the resolving police officer. It then decides if the matter has been successfully resolved and advises the complainant of the decision in writing. The Commander of the IIB forwards a report to the PCA which reviews the action taken and considers whether the complaint has been properly resolved. This audit by the PCA may include contacting the complainant to ensure he or she is satisfied with the process. ACCOUNTABILITY The Police Complaints Authority is accountable to the Parliament, primarily through the tabling of its Annual Report. NORTHERN TERRITORY OMBUDSMAN – NORTHERN TERRITORY POLICE ROLE AND FUNCTION The Northern Territory does not have a dedicated police complaints body. Part of the Ombudsman’s function is to investigate the actions (or failure to act) of members of the Northern Territory Police. The Ombudsman’s jurisdiction covers administrative and operational behaviour. The Ombudsman primarily performs a monitor and review function. Complaints can be received by either the Police Department or the Ombudsman. However, the Ombudsman scrutinises all complaints at the initial stage of the process. If a complaint is lodged with the Ombudsman he or she is obliged to refer the matter to the Commissioner of Police prior to an investigation being commenced. Complaints are investigated through the Northern Territory Police Force’s Inspectorate, but the actual investigation of the complaint is undertaken by the Police Command with responsibility for the area concerned. The Inspectorate has a general involvement in administrative processing, monitoring and review of complaints and the senior officer of the Inspectorate is a member of the Joint Review Committee (JRC). The JRC is comprised of the Deputy Ombudsman and the Superintendent in charge of the Police Force’s Inspectorate. The Inspectorate does not nominate the investigating officer, or have any direct authority over the investigating officer. The Northern Territory Ombudsman’s office considers that the JRC has the power to issue specific instructions if necessary. However, police investigators and officers of the Commands have queried this power. Recent discussions between the Ombudsman and the Commissioner of Police indicate that the roles of the respective parties may soon be clarified. The JRC is not involved in less serious complaints. At the completion of investigations into these type of complaints, the Commissioner of Police writes to complainants advising them of the outcome. The Ombudsman informs complainants that, if they are dissatisfied with the findings of the police investigation, they can ask the Ombudsman to review it. The Ombudsman can decide either to refer the matter back to the police for further investigation or to conduct an independent investigation. If the Ombudsman decides to proceed to a formal investigation he or she is obliged to notify the Minister, the principal officer of the Police Department and the member of Parliament for the electoral district in which the complainant resides. Alternatively, the Ombudsman can utilise the preliminary inquiry provisions of the Ombudsman (Northern Territory) Act which do not require notification to the Minister. OWN MOTION POWERS The Northern Territory Ombudsman is able to independently determine to investigate a matter without receipt of a complaint. COMPLAINTS BY POLICE AGAINST OTHER POLICE The Northern Territory Ombudsman has the power to investigate complaints made by police against other police, provided that these do not relate to employment matters or matters which arise when a police officer is acting in a private capacity (when off duty and not using any police powers). SECONDED POLICE The Northern Territory Ombudsman does not have any seconded police but has used former police as investigators. INVESTIGATIVE POWERS If the Ombudsman is conducting an investigation he or she has the power to require a person to attend and to produce material. The Ombudsman can examine a person on oath and without representation, enter and search premises, inspect records and seize or remove records and make copies. The Ombudsman can summons a person to attend. A person who fails to comply with a summons can be prosecuted for failing to attend. The Ombudsman has no authority to apply for or obtain a warrant to enter and search premises, search a person on the premises, seize records or things, or make copies. However, section 8(1) of the Inquiries Act, which applies to the Ombudsman, provides that the Ombudsman ‘shall at all times have full and free access to all buildings, places, goods, books, documents and other papers for the purposes of the inquiry’. To refuse access would be an offence. SANCTIONS The Northern Territory Ombudsman can make formal recommendations to the Commissioner of Police in relation to the type of disciplinary action he or she believes appropriate, but the Office has no compulsive powers. If the Commissioner does not take up the Ombudsman’s recommendation, the Ombudsman can furnish a report on the disagreement to the Minister. The Minister is obliged to table the Ombudsman’s report in the Assembly within three sitting days of its receipt. INFORMAL RESOLUTION – CONCILIATION In certain cases the Ombudsman may agree to a complaint being determined as ‘minor’. In such cases, attempts at conciliation are allowed without there being any finding of fault (Northern Territory Ombudsman’s Annual Report 1993–94:84). All matters that are conciliated have to go back to the Ombudsman for overview. At times, the Ombudsman will also write to a complainant to see if he or she is satisfied with the process and outcome of the conciliation process. ACCOUNTABILITY The Northern Territory Ombudsman is accountable directly to Parliament, primarily through the tabling of an Annual Report. Ombudsman of Tasmania – Tasmanian Police Role and Function The Tasmanian Ombudsman’s role in respect to police investigations is primarily a review function. Most investigations are carried out by the Tasmanian Police Department’s Internal Investigation Unit (IIU). As a matter of management practice the Ombudsman automatically forwards most complaints it receives to the IIU, although this is not obligatory. If complaints are lodged with the Police Department, the Department is under no obligation to advise the Ombudsman of the complaint. However, complainants referred to the Internal Investigation Unit are advised that if they are not satisfied with the IIU’s findings they can take the issue up with the Ombudsman. When a complainant expresses dissatisfaction with the police investigation, the Ombudsman makes a preliminary inquiry which may include an examination of the police file. The Ombudsman can also conduct additional inquiries himself or herself. The Ombudsman can investigate complaints, but is only empowered to investigate administrative action. This restriction may limit the Ombudsman’s jurisdiction in certain matters: for example, does street or beat policing entail administrative action? To deal with these limitations, the Ombudsman usually looks at a complaint on the basis of whether the administrative action taken by the IIU constitutes a failure to investigate adequately. In some circumstances the Ombudsman’s office and the police attached to the IIU carry out a joint investigation. This monitoring process avoids duplication of the process and therefore saves time. If the police have already commenced an investigation, the Ombudsman does not have the power to instruct the Police Commissioner to cease that investigation. Under such circumstances, the Ombudsman would normally allow the police investigation to be completed before pursuing any investigation himself or herself. Alternatively, if special circumstances warranted it, the Ombudsman would reach agreement with the Commissioner as to a mutually satisfactory way of proceeding with the matter. Own Motion Powers The Office can independently determine to investigate a matter without receipt of a complaint. Complaints by Police Against Other Police The Ombudsman can investigate complaints made by police about other police. Seconded Police The Ombudsman does not have seconded police as investigators. There have been recent talks about this issue and the Ombudsman has stated that if his role were to be widened to include total monitoring of the IIU function, as has been considered from time to time, he would require a senior police officer to be seconded to the agency. However, the problem for the Police Commissioner is one of resources due to the relatively small size of the Tasmania Police Force. INVESTIGATIVE POWERS If the Ombudsman’s office conducts an investigation, the Ombudsman Act 1978 provides that he or she may do so in whatever manner he or she thinks fit. However there are some restrictions. For example, the Ombudsman can enter and search premises, and inspect and copy records, but cannot seize or remove them. There is a provision under the Act which makes it an offence to obstruct the Ombudsman in the course of his or her duties. If someone tried to prevent the Ombudsman from carrying out relevant investigations, he or she could use this section of the Act to effect compliance. The Ombudsman’s office has the power to require police to answer questions and can summons a person to attend. Failure to attend would be obstructing the Ombudsman’s power and would constitute an offence under the Act. The Ombudsman can also invoke the provision of the Act which says he or she can act in any way he or she thinks fit. Once the Ombudsman has decided to conduct a formal investigation he or she must notify the Minister of Police and give a report to the Police Commissioner. SANCTIONS On completion of an investigation, the Ombudsman only has the power to make recommendations to the Commissioner of Police: these may or may not include disciplinary sanctions. The Police Commissioner is asked for a response to the Ombudsman’s recommendations. If the Commissioner does not accept these recommendations he or she has to explain why. The Ombudsman can report to the Minister of Police, the Premier and Parliament on any matters of disagreement. INFORMAL RESOLUTION – CONCILIATION The Tasmanian Police regularly undertake informal resolution on an ‘unofficial’ basis, but the Ombudsman does not play any role in this process. ACCOUNTABILITY The Ombudsman is accountable directly to the Parliament, primarily through the tabling of an Annual Report. COMMONWEALTH OMBUDSMAN — AUSTRALIAN FEDERAL POLICE ROLE AND FUNCTIONS The Office of the Commonwealth Ombudsman has responsibility for the supervision of complaints concerning the Australian Federal Police (AFP). The Ombudsman’s primary role in respect to complaints against police is to review investigations conducted by the Internal Investigation Division (IID) of the AFP to ensure the adequacy of those investigations.$^7$ If the Ombudsman believes further investigations are warranted he or she can conduct those investigations, or instruct the IID to do so. Owing to resource constraints the Ombudsman normally refers the matter back to the IID. Complaints can be lodged with either the Ombudsman’s office or the AFP. Each agency is obliged to notify the other of all complaints received, but the Commonwealth Ombudsman ultimately has the power to decide the appropriate course of action. Regular meetings take place between the IID and the Ombudsman’s staff to discuss progress reports and to highlight cases which the Ombudsman considers the IID is taking an ‘unduly’ long time to finalise. The Ombudsman has the power, in the first instance, to investigate complaints received about AFP practices and procedures. He or she also has the power to investigate a complaint where it would not be appropriate for the IID to do so, such as if the complaint concerned IID personnel or practices. With the agreement of the Commissioner of Police, these type of investigations are carried out by either the staff of the Ombudsman’s office or by a special investigator. Special investigators are often members of the AFP but are independent of the complaint and usually report directly to the Ombudsman. Occasionally, the Ombudsman attends the complainant’s initial interview with the IID. This is usually done at the complainant’s request. If the Ombudsman considers a complaint to be ‘particularly significant or sensitive’ it may be decided that it is important for the office to ‘maintain a close scrutiny throughout the investigation’ (Commonwealth Ombudsman’s Annual Report 1993/94:122). With the agreement of the AFP, an officer from the Ombudsman’s office attends when the complainant, witnesses and the AFP member are interviewed. Owing to the resources involved in this approach it is adopted sparingly. However, this practice does provide a ‘useful additional monitoring of the investigation of particular complaints’ (Commonwealth Ombudsman’s Annual Report 1993/94:122). Once the Ombudsman is satisfied that he or she has sufficient information to determine that a complaint has been adequately investigated, the complainant and the AFP are advised of the decision. If a complaint is substantiated, the Ombudsman also considers the issue of remedy for the complainant and any action that may be necessary in terms of the AFP member involved in the complaint; or any procedure, instruction or education and training program that may require attention. $^7$ The Commonwealth Ombudsman also has responsibility for the investigation of complaints concerning the death of, or involving serious injury to, an Aboriginal person in AFP custody. This is the result of the recommendations of the Royal Commission into Aboriginal Deaths in Custody (recommendations 226(a), (i) and (k)). OWN MOTION POWERS The Ombudsman has recently acquired own motion powers for complaints against the police. The relevant provision came into force on 13 January 1995. This means that the Ombudsman may independently determine to investigate the matter without receipt of a complaint. COMPLAINTS BY POLICE AGAINST OTHER POLICE The Ombudsman does not have the power to investigate complaints against police made by other police. Any complaint made by another officer, about a police officer's conduct is handled by the Internal Investigation or the Internal Security and Audit Divisions of the AFP. The Ombudsman generally does not see complaints of this nature. SECONDED POLICE The Commonwealth Ombudsman does not use seconded police in the investigative stage of the complaints process but does employ former police officers as investigators. INVESTIGATIVE POWERS If the Ombudsman’s Office conducts an investigation into allegations of police misconduct it has the power to require a person to produce material and to attend. A person can be examined on oath without representation. However, representation is allowed if the Ombudsman believes it is warranted. The Ombudsman also has the power to enter premises and carry on the investigation at that place. During the course of an investigation a person may be required to answer questions under compulsion. Self incrimination is not a defence to refusing to answer. A person can be summoned on notice to attend before the Ombudsman. If the person fails to do so, the Federal Court can make an order requiring him or her to attend. It is also an offence not to attend. SANCTIONS The Ombudsman cannot impose sanctions on police but can make formal recommendations to the Commissioner of Police. If the Commissioner fails to take adequate or appropriate action within a reasonable time, the Ombudsman may inform the Prime Minister. INFORMAL RESOLUTION – CONCILIATION Under section 6A of the Complaints (Australian Federal Police) Act, AFP officers (sergeants or above) can try to resolve minor complaints through the conciliation process instead of referring them to the IID. Regardless of whether a satisfactory conciliation is achieved, the conciliating officer must furnish the IID with a brief report about the complaint and the type of action used to try and resolve it. The IID forwards this report to the Ombudsman who considers the adequacy of the action taken. The Ombudsman maintains an overview of the process and monitors complainants’ satisfaction with the outcome. Conciliation is considered a speedy and cost effective way of resolving minor complaints: it is also used as a way of making police supervisors responsible for the handling of complaints that arise in their area of responsibility. This method of dealing with complaints also helps to free up scant resources and may allow the Ombudsman's office 'to become more actively involved in serious complaints from day one . . . [or] in the supervision of the IID investigations' (Commonwealth Ombudsman's Annual Report 1993-94:124). An expansion of the conciliation process, called 'workplace resolution', is currently being trialed in the Australian Capital Territory component of the AFP. This initiative is aimed at streamlining complaint handling procedures. Workplace resolution also places greater responsibility on line area supervisors to handle complaints. The types of complaints that may be dealt with under the new system include those relating to demeanour, discourtesy, rudeness or other incivility; a misunderstanding of the facts or of the law; and "less than serious neglect" of duty and "less than serious" traffic complaints. ACCOUNTABILITY The Commonwealth Ombudsman is accountable to the Parliament primarily through the tabling of Annual Report. PART 3 SUMMARY A number of key features emerge when comparing the oversight bodies in each jurisdiction. While the tendency in Australia is for such bodies to primarily perform a monitor and review function, there has been a move towards giving these bodies the power to conduct their own investigations. Most jurisdictions have formally empowered the oversight body to investigate and most of these bodies have similar hearing and compulsory powers available to them. However, depending on the jurisdiction there are limitations on: - when a complaint can be investigated - the manner in which a complaint can be investigated - notification requirements - whether the agency can investigate complaints made by police against police - whether the agency can investigate on its own motion - the level of resourcing. Examples of these limitations are discussed in more detail below. WHEN CAN THE COMPLAINT BE INVESTIGATED Most of the oversight bodies are formally empowered to initiate investigations from the outset of a complaint, but in Western Australia the PCAI can conduct its own investigations only after the police themselves have had 42 days to do so. The PCAI gets directly involved if the complainant indicates that he or she is unhappy with the outcome of the police process. If that happens, staff from the Office make a detailed assessment on the adequacy of the police investigation. If it is dissatisfied, the PCAI can conduct a formal investigation by way of a hearing. The exception to the 42 day rule is with serious cases involving allegations of grave threats, intimidation, assault or excessive force. According to an agreement with the Commissioner of Police, these types of complaints can be chosen for assessment by the PCAI at the outset or at different stages of the complaints process. The Commissioner of Police is obliged to furnish the PCAI with a progress report 21 days after the commencement of the investigation and the PCAI can discuss any aspects of the progress report with the Police Commissioner. However, even with these more serious cases, the PCAI has no power to direct an investigation; it can only assess the adequacy or otherwise of the police investigation. THE MANNER IN WHICH THE COMPLAINT CAN BE INVESTIGATED In Tasmania, the Ombudsman has the power to investigate complaints about police conduct but is restricted to investigating administrative action. This limits the Ombudsman's jurisdiction in certain matters and means that he or she must look at a complaint on the basis of whether the administrative action taken by the Internal Investigation Unit constitutes a failure to investigate adequately. No such restrictions are placed on other oversight bodies. WHETHER THE OVERSIGHT BODY IS NOTIFIED OF ALL COMPLAINTS Another weakness in the Tasmanian legislation is that the police are under no obligation to advise the Ombudsman of complaints lodged with the Police Department by members of the public. Elsewhere, all such complaints must be notified to the relevant oversight body. WHETHER THE OVERSIGHT BODY CAN INVESTIGATE COMPLAINTS MADE BY POLICE AGAINST POLICE Not all oversight bodies can investigate complaints made by police against other police. For example, the Commonwealth Ombudsman does not have this power. Instead, such complaints are handled by the Internal Investigation Division or the Internal Security and Audit Unit of the Police. The Victoria Deputy Ombudsman (Police Complaints) is also unable to receive this class of complaint, although there is an informal arrangement that the Deputy Ombudsman will review such complaints and that the police will respond to the Deputy Ombudsman's report in the same way they would to any other report dealing with a citizen's complaint against the police. The South Australia PCA can investigate complaints made by police about other officers but only if they are lodged with the PCA. The Northern Territory Ombudsman has this power provided it does not relate to employment matters or matters which arise when a police officer is acting in a private capacity (when off duty and not using any police powers). The jurisdictions which have a general power to investigate complaints by police about other officers are Western Australia, Tasmania, New South Wales and Queensland. RESTRICTIONS ON WHETHER CAN INVESTIGATE WITHOUT RECEIVING A COMPLAINT DIRECTLY Only, Queensland, the Northern Territory, Tasmania, and the Commonwealth Ombudsman have powers to independently determine to investigate a complaint against police without receiving a complaint directly. RESOURCING In most jurisdictions the lack of resources has impeded the abilities of oversight bodies to use their monitoring and investigative powers as often as they would wish. David Landa, the New South Wales Ombudsman from 1988 to January 1995, succinctly summed up the problem when he said that: [we] have not been able to fully use the new powers granted to us under recent changes to the Police Service Act because of resource limitations. The reality is that powers without necessary resources are not true powers. (NSW Ombudsman’s Office, Annual Report 1993–94:22). Similar concerns have been echoed by many oversight agencies throughout Australia. The notable exception is Queensland’s Criminal Justice Commission which has been comparatively well resourced since its establishment in 1990. COMPARATIVE TABLE The following table summarises the key differences and similarities between the various agencies described in this paper. \| JURISDICTION \| QUEENSLAND \| NEW SOUTH WALES \| VICTORIA \| WESTERN AUSTRALIA \| SOUTH AUSTRALIA \| NORTHERN TERRITORY \| TASMANIA \| COMMONWEALTH/ AUSTRALIAN CAPITAL TERRITORY \| \|--------------\|------------\|-----------------\|----------\|-------------------\|-----------------\|--------------------\|---------\|------------------------------------------\| \| RELEVANT LEGISLATION \| CRIMINAL JUSTICE ACT 1989 \| OMBUDSMAN ACT 1974 PART 84 POLICE SERVICE ACT 1990 \| OMBUDSMAN ACT 1973 POLICE REGULATION ACT 1958 \| PARLIAMENTARY COMMISSIONER ACT 1971 ROYAL COMMISSIONS ACT 1945 \| POLICE (COMPLAINTS AND DISCIPLINARY PROCEDURES) ACT 1985 \| OMBUDSMAN (NORTHERN Territory) ACT 1993 \| OMBUDSMAN ACT 1978 \| OMBUDSMAN ACT 1976 \| \| NAME OF POLICE oversight body \| Criminal Justice Commissioner \| Ombudsman \| Deputy Ombudsman (Police Complaints) \| Parliamentary Commissioner for Administrative Investigations \| Police Complaints Authority \| Ombudsman \| Ombudsman \| \| ROLE AND FUNCTIONS \| Assess and investigate complaints against police \| Monitor and review police investigations \| Monitor and review police investigations \| Monitor and review police investigations, assess subject officer's conduct \| Monitor police investigations, assess subject officer's conduct \| Police or oversight body \| Police or oversight body \| \| Who can receive complaints? \| Police or oversight body \| Police or oversight body \| Police or oversight body \| Police or oversight body \| Police or oversight body \| Police or oversight body \| Police or oversight body \| \| Must police notify oversight body of all complaints? \| Yes – if official misconduct or alleged misconduct \| Yes – except certain agreed managerial matters \| Yes – but only if from a member of the public \| Yes \| Yes \| No \| Yes – except complaints by police against other police \| \| At which stage in the complaint process must police notify oversight body? \| Initial stage \| Initial stage \| Initial stage \| Initial stage \| Initial stage \| If complainant unhappy with police investigation \| Initial stage \| \| JURISDICTION \| QUEENSLAND \| NEW SOUTH WALES \| VICTORIA \| WESTERN AUSTRALIA \| SOUTH AUSTRALIA \| NORTHERN TERRITORY \| TASMANIA \| COMMONWEALTH/ AUSTRALIAN CAPITAL TERRITORY \| \|--------------\|------------\|-----------------\|----------\|-------------------\|-----------------\|---------------------\|---------\|----------------------------------------\| \| DOES OVERSIGHT BODY HAVE OWN MOTION POWERS RE POLICE? \| Yes \| No, except in relation to administrative matters involving the police service \| No \| No \| Yes \| Yes \| Yes \| Yes \| \| JURISDICTION TO INVESTIGATE COMPLAINTS BY POLICE AGAINST OTHER POLICE? \| Yes \| No \| Yes \| Yes, but only if lodged with P.C.A \| Yes, providing officer not acting in a private capacity \| Yes \| No \| \| DOES THE OVERSIGHT BODY USE SECONDED POLICE AS INVESTIGATORS? \| Yes, approximately 23 police officers in Complaints Section \| No \| No \| Yes, for its own investigations by arrangement \| No \| No \| No \| \| JURISDICTION \| QUEENSLAND \| NEW SOUTH WALES \| VICTORIA \| WESTERN AUSTRALIA \| SOUTH AUSTRALIA \| NORTHERN TERRITORY \| TASMANIA \| COMMONWEALTH/ AUSTRALIAN CAPITAL TERRITORY \| \|--------------\|------------\|-----------------\|----------\|-------------------\|-----------------\|--------------------\|---------\|---------------------------------------------\| \| INVESTIGATIVE POWERS OF THE OVERSIGHT BODY \| Yes \| Yes \| Yes \| No \| Yes \| Yes \| Yes \| Yes \| \| Can oversight body conduct investigative hearings? \| Yes \| Yes \| Yes \| Yes \| Yes \| No \| No \| Yes \| \| Can oversight body compel production of documents? \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Can oversight body compel attendance of witnesses &/or impose sanctions for not attending? \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Does oversight body have power of entry? \| Yes, for public authorities. Any other premises require order of Supreme Court Judge \| Yes, for public authorities \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Sanctions available for failure to comply with investigative powers of oversight body \| Guilty of an offence. Sanctions vary between fine of up to 85 penalty units (approx. $2,500) or up to 3 years imprisonment \| Guilty of an offence. Sanctions vary between $1000 fine to 5 years imprisonment \| Guilty of an offence. Sanctions vary between $1,000 fine to 5 years imprisonment \| Non-police guilty of an offence. Sanctions up to $2,000 or 6 months imprisonment. Police – breach of discipline under Royal Commissioner Act – fine $250 or 12 months imprisonment or both \| Guilty of an offence – can prosecute a person \| Guilty of an offence – referred to DPP who could issue a summons \| Guilty of an offence – imprisonment of 6 months or a fine \| \| JURISDICTION \| QUEENSLAND \| NEW SOUTH WALES \| VICTORIA \| WESTERN AUSTRALIA \| SOUTH AUSTRALIA \| NORTHERN TERRITORY \| TASMANIA \| COMMONWEALTH/AUSTRALIAN CAPITAL TERRITORY \| \|--------------\|------------\|-----------------\|----------\|-------------------\|-----------------\|---------------------\|---------\|---------------------------------------------\| \| Can a police officer be compelled to answer incriminating questions? \| Yes \| No \| No \| No \| No \| No \| Yes \| No \| \| DOES THE OVERSIGHT BODY HAVE POWER TO IMPOSE DISCIPLINARY SANCTIONS? \| No² \| No \| No \| No \| No \| No \| No \| No \| \| DOES THE OVERSIGHT BODY HAVE THE POWER TO MAKE RECOMMENDATIONS ON PROCEDURAL ISSUES? \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes on any administrative actions as defined in the Act \| Yes \| Yes \| \| DOES THE JURISDICTION/USE INFORMAL RESOLUTION/CONCILIATION? \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes, informally at this stage \| Yes \| Yes \| \| BODY TO WHICH OVERSIGHT BODY IS ACCOUNTABLE \| Parl. C'tee – Parl. \| Parl. C'tee – Parl. \| Parliament \| Parliament \| Parliament \| Parliament \| Parliament \| 1. If an officer can be compelled to answer, the use which can be made of the answer given under compulsion may be restricted. A police officer may attract a penalty for refusing to answer a question put by a superior officer whether or not he or she is compelled to answer. 2. If the Chair of the CJC reports to the Commissioner of Police that there is a prima facie case of official misconduct, the Commissioner of Police must charge the officer with official misconduct. The Misconduct Tribunal may impose a sanction if it finds an officer guilty of official misconduct. REFERENCES ACTS OF PARLIAMENT Criminal Justice Act 1989 (Queensland) Ombudsman Act 1974 (New South Wales) Ombudsman Act 1973 (Victoria) Ombudsman (Northern Territory) Act 1993 Ombudsman Act 1978 (Tasmania) Ombudsman Act 1976 (Commonwealth) Police Service Administration Act 1990 (Queensland) Police Service Act 1990 (New South Wales) Parliamentary Commissioner Act 1971 (Western Australia) Police (Complaints and Disciplinary Proceedings) Act 1985 (South Australia) Western Australia Police Act 1892 ANNUAL REPORTS Commonwealth Ombudsman, Annual Reports 1990–91 1991–92 1992–93 1993–94 New South Wales Ombudsman, Annual Reports 1990–91 1991–92 1992–93 1993–94 Northern Territory Ombudsman, Annual Reports 1990–91 1991–92 1992–93 1993–94 Queensland Criminal Justice Commission, Annual Reports 1990–91 1991–92 1992–93 1993–94 South Australia, Police Complaints Authority, Annual Report 1990–91, 1992–94 Tasmania Ombudsman, Annual Report 1990–91, 1991–92, 1992–93, 1993–94 Victoria Deputy Ombudsman (Police Complaints) Annual Report 1990–91, 1992–93, 1993–94 Western Australia, Parliamentary Commissioner for Administrative Investigations, Annual Report 1990–91, 1991–92, 1992–93, 1993–94 CORRESPONDENCE Commonwealth Ombudsman, April 1995 New South Wales Ombudsman, April 1995 Northern Territory Ombudsman, April 1995 South Australia, Police Complaints Authority, April 1995 Tasmanian Ombudsman, April 1995 Victoria Ombudsman, April 1995 Western Australia, Parliamentary Commissioner for Administrative Investigations, August 1994 and April 1995 INTERNAL DOCUMENTS South Australia, Police Complaints Authority, Police Complaints Authority: Summary of Functions South Australia, Police Complaints Authority, Informal Resolution of Complaints INTERVIEWS (Personal) Office of New South Wales Ombudsman, March 1995 Office of South Australian Police Complaints Authority, December 1994 (Telephone) Northern Territory Police Department, March 1995 Office of Commonwealth Ombudsman, March 1995 Office of Northern Territory Ombudsman, March 1995 Office of South Australian Police Complaints Authority, March 1995 Office of Tasmania Ombudsman, March 1995 Office of Victoria Deputy Ombudsman (Police Complaints), March 1995 Office of Western Australia Parliamentary Commissioner for Administrative Investigations, March 1995 Tasmanian Police Department, March 1995 REPORTS Criminal Justice Commission (1994) Informal Complaints Resolution in the Queensland Police Service, Government Printer, Brisbane New South Wales Ombudsman’s Office (1994) Police Conciliation: towards progress, A special report to parliament, December Parliamentary Criminal Justice Committee (Queensland) (1995) Report No. 26, A report of a review of the activities of the Criminal Justice Commission pursuant to s. 118 (1)(f) of the Criminal Justice Act 1989, Government Printer, Brisbane
The Essentials 2008: A Dozen Names to Remember Written by Mike Schulz Wednesday, 17 December 2008 02:42 - Buy OEM Autodesk Combustion 4 - Buy Cheap Corel WordPerfect Office X6 Professional Edition - Buy Cheap Microsoft Windows 8.1 (32 bit) - Download Lynda.com - Photoshop CS6 Essential Training - 199.95$ Adobe RoboHelp Server 9 (32-bit) cheap oem - Buy Cheap Adobe Premiere Pro CS5.5 MAC - Buy Autodesk AutoCAD P&ID 2014 (64-bit) (en) - Buy OEM Omni Group OmniFocus MAC - Discount - Adobe Dreamweaver CS6 - 389.95$ Autodesk Robot Structural Analysis Professional 2014 cheap oem - Buy Cheap Microsoft Office 2010 Professional with SP1 (32-bit & 64-bit) - Discount - Autodesk Revit Structure 2012 For the third year in a row, I've composed a list of 12 area-theatre participants who devoted their time, energy, and skills to numerous theatrical organizations and venues during the past year. And once again - happily and inspiringly - it hasn't been necessary to repeat names from one year to the next; local theatre, to the great good fortune of local audiences, never seems to run out of talent. Past "Essentials" lists have included Jeremy Day, Jeff De Leon, Erin Churchill (nee Dickerson), Pat and Patti Flaherty, Kimberly Furness, Bob Hanske, Brad Hauskins, Jennifer Kingry, Adam Lewis, Jackie Madunic, Jeremy Mahr, Andrea Moore, Jason Platt, Tristan Tapscott, Harold Truitt, Tom Walljasper, Chris White, and Maggie Woolley, each of whose theatrical gifts were amply (and oftentimes frequently) employed in 2008. It is a pleasure to add the following dozen to their ranks - performers, directors, and impresarios who added immeasurably to the continual thrill that was area theatre in 2008. There were so many contenders for the list, in truth, that I had to impose some parameters to keep the mentions down to a mere 12: involvement in at least four productions (up from three in 2006), and participation with at least two different theatre companies. Meaning that, for the first time, I had to leave off some hard-working, incredibly enjoyable performers at the Clinton Showboat and Timber Lake Playhouse. Apologies, then, to Clinton's Joshua Estrada and Craig A. Miller, and Timber Lake's Justin Banta, Samantha Dubina, Brandon Ford, Zachary Gray, Jenny Guse, Danny Henning, Heather Herkelman, and Michael J. Yarnell. But, you know, if you all ever want to move here ... . Derek Bertelsen and Tyson Danner, Let's see. In 2008, Bertelsen lent his directorial ingenuity, playfulness, and superior strengths with actors to productions of Fully Committed, Eleemosynary, Misery, the sensational A Year with Frog & Toad and the spectacular at the Green Room (where Bertelsen serves as executive director), helmed a first-rate Assassins presentation of A Streetcar Named Desire The Essentials 2008: A Dozen Names to Remember Written by Mike Schulz Wednesday, 17 December 2008 02:42 for Harrison Hilltop, and appeared as a sardonic jester for Music Guild's . Danner, the Green Room's artistic director, made his directorial debut with the venue's marvelous Once Upon a Mattress john & jen, Jerry Finnegan's Sister followed it (a mere two weeks later) with , music-directed and delivered gorgeous vocals within the singing quintet of New Ground's Assassins, Closer Than Ever Angels in America: Millennium Approaches . Oh yeah, and Bertelsen and Danner ended their year with the Green Room's and , with Bertelsen directing (and directing Perestroika well Hair, Cabaret, ) and Danner playing the engagingly caustic, self-loathing Louis. Among the duo's Green Room projects for 2009: and . I mean, are they Doubt kidding with this? James Bleecker If you're a theatre-goer, you probably weren't aware of Bleecker's talents before he starred in the Green Room's June comedy Jerry Finnegan's Sister. By the time he finished his second turn as Prior Walter in December's Ang els in America: Perestroika , though, you'd be hard-pressed to forget them. I'm not sure how someone goes from unknown to indispensable so quickly, but man , did it ever happen for this wonderfully enthusiastic and naturalistic performer. After his charming partnership with Abby Van Gerpen in the two-character J.F.S. , Bleecker enacted a winning, singing-and-dancing snail for A Year with Frog & Toad , made memorable (unrequited) love in Harrison Hilltop's Almost, Maine ,rose to another two-person challenge with the theatre's The Woman in Black, and - entering the rehearsal process 11 days before Millennium Approaches' opening night - gave a pair of stunningly subtle, hilarious, heartrending performances in the Angels in America presentations. The actor's name on his Facebook page reads "James Effing Bleecker." I'm thinking that's because he's so effing good. Jaci Entwisle Some area performers are known for their work at a specific area venue. Given time, Entwisle might be known for her work at all of them. A senior at St. Ambrose University, she performed for no less than five different theatre groups in 2008, bringing her sharp focus, beguiling ease, and justifiable confidence - to say nothing of that beautifully rich, low voice of hers - to each and every one. Entwisle appeared in The Taming of the Shrew, Life's a Dream, and The Merchant of Venice (also serving as that production's lighting master) alongside the Prenzie Players, portrayed one of Almost, Maine 's romantics at Harrison Hilltop, gave a hysterical performance in the Riverbend Theatre Collective's Kimberly Akimbo, Kimberly Akimbo, delivered a charismatic female lead in Playcrafters' Promises, Promises, and even found time for a show at St. Ambrose, joining in the merriment of Seussical Jr. Just imagine what Entwisle can accomplish after May, when she finally has some time on her hands ... ! Neil Friberg Show for show, few actors this year looked like they were having a better time on-stage than Friberg. Granted, he had plenty of reason for exuding such positive energy. At Black Hawk College, the performer was able to deliver robust character turns in April's Death in Character and November's Jack: Or, the Submission , and at Genesius Guild, Friberg was cast in plum Shakespeare roles - Antipholus in The Comedy of Errors, Paris in Romeo & Juliet - that he pulled off with skill and style. (He also added to the genial buffoonery in Don Wooten's take on The Clouds .) Still, Friberg appeared to be having just as much fun in Genesius Guild's Electra this summer, a show in which I don't recall him even having a line . But every time your eye landed on him, you saw someone completely engaged in the moment; like all good stage actors, Friberg is always present . I'm glad that, in 2008, he was nearly omni present. Don Hazen Hazen is the possessor of one of area theatre's great voices - it suggests a hard-won ease and relaxation, and projects utter honesty - and in 2008, happily, the actor wasn't shy about sharing it. After taking part (and parts ) in the springtime trifecta of Richmond Hill (for February'sLight Up the Sky), Music Guild (for March's Once Upon a Mattress), and Playcrafters (for May's 12 Angry Men ), Hazen complemented his busy spring with a busy fall, appearing in Harrison Hilltop's The Woman in Black and The Odd Couple . Performing opposite Greg O'Neill's Oscar Madison, Hazen was cast wa-a-a-ay against type in Neil Simon's comedy - his serene presence and soothing vocal rhythms were, theoretically, all wrong for Felix - and wound up delivering a beautifully thought-out portrayal of a character you never thought of as having depth . As an actor, Hazen doesn't necessarily fit every part (nor should he), but it's impressive and inspiring to watch every new part fit him. J.W. Hertner Hertner performed in seven 2008 productions, but you'll be forgiven for not realizing it, because he didn't act - or look- the same in any of them. His incredibly productive year began with Scott Community College's Casablanca-meets-Shakespeare spoofRichard Blaine, and continued with My Verona's debuting Inside Out , which found Hertner playing the son of a goat (!). This was followed by a charming Design for Living for Scott, and then an excellent performance in Harrison Hilltop's Almost, Maine , where the formerly clean-shaven, brunette actor was now blond and bearded. Hertner stayed at Harrison, sans beard, for a beautifully played newsboy in A Streetcar Named Desire , then joined the ensemble of Playcrafters' Promises, Promises , and wrapped up his year back at Harrison, where his dynamic cop Murray for The Odd Couple was an uncanny doppelgänger of David Arquette in Scream . Sadly for us, Hertner departs the area in January for California, but if he ever chooses to return, I'm betting there'll be a role - or a dozen - waiting for him. Sheri Hess When I interviewed Hess in conjunction with Music Guild's 2007Beehive , we discussed the availability of meaty roles for women, and Hess said, "When they do come around, I seek them out. I go hunting ." Seek and ye shall find; Hess didn't start her 2008 theatre endeavors until August, yet this radiant, focused, sneakily funny performer found meaty roles to last her the rest of the year. Playing Music Guild's Evita , she handled the demanding Andrew Lloyd Webber score with inspiring ease (her vocal range is truly intimidating), and was unapologetic about revealing Eva Peron's steely will and flinty nature. Her solos in New Ground's Closer Than Ever were among that revue's very best, particularly her giddy, free-wheeling account of a joyous one-night stand. And in The Green Room's Angels in America plays, she enacted an angel, a nurse, a homeless woman, and more with alertness, sincerity, and comic panache. Here's hoping that Hess' role-hunting, and role- gathering , continues in 2009. Liz J. Millea
Instalación SCOM 2012 (RC) SCOM 2012 • En muchos casos luego de tener nuestra infraestructura de virtualización funcionando sin problemas el próximo paso es el MONITOREO para esto utilizamos System Center Operations Manager 2012, en esta presentación realizaremos la instalación del producto. • Requerimientos: – Windows 2008 R2, Servidor Miembro. – .NET Framework 4.0 (Instalado). – ISO SQL 2008 R2 Standard. – Cuenta en Dominio (servicio SQL) Ingresamos al equipo donde se instalara SCOM Desde Server Manager -> Features -> Add Features -> .NET Framework 3.5.1 Features Seleccionar -> Add Required Role Services Aceptar todos los valores por defecto e instalar el servicio Luego de agregar la Feature, comenzamos la instalación de SQL, seleccionamos New installation or add features to an existing installation. Seleccionamos -> Ok Confirmamos los datos de SQL -> Next Product Key Specify the edition of SQL Server 2008 R2 to install. Product Key License Terms Setup Support Files Validate this instance of SQL Server 2008 R2 by entering the 25-character key from the Microsoft certificate of authenticity or product packaging. You can also specify a free edition of SQL Server, such as Evaluation or Express. Evaluation has the largest set of SQL Server features, as documented in SQL Server Books Online, and is activated with a 180-day expiration. To upgrade from one edition to another, run the Edition Upgrade Wizard. Specify a free edition: Evaluation Enter the product key: Next > Aceptamos la licencia -> Next MICROSOFT SOFTWARE LICENSE TERMS MICROSOFT SQL SERVER 2008 R2 STANDARD These license terms are an agreement between Microsoft Corporation (or based on where you live, one of its affiliates) and you. Please read them. They apply to the software named above, which includes the media on which you received it, if any. The terms also apply to any Microsoft - updates, - supplements, - Internet-based services, and I accept the license terms. Send feature usage data to Microsoft. Feature usage data includes information about your hardware configuration and how you use SQL Server and its components. See the Microsoft SQL Server 2008 R2 Privacy Statement for more information. Seleccionamos -> Install Seleccionamos -> Next (ignoramos los warnings) Seleccionamos -> Next Seleccionamos las siguientes características -> Next Seleccionamos -> Next Configuramos nuestra instancia -> Next Seleccionamos -> Next Seleccionamos -> Use the same account for all SQL Server Services Validamos la cuenta de Servicio -> Ok Seleccionamos la solapa -> Collation Seleccionar Customize... -> Configurar SQL_Latin1_General_CP1_CI_AS (única soportada por SCOM 2012) Seleccionamos -> Next PASO IMPORTANTE SIN SELECCIONAR COLLATION NO ES POSIBLE INSTALAR SCOM 2012 Seleccionamos las cuentas con permisos de administrador -> Next Seleccionamos -> Next Reporting Services Configuration Specify the Reporting Services configuration mode. - Install the native mode default configuration. Setup will install the report server and configure it in Native mode to use the default values. The report server is usable as soon as Setup is finished. - Install the SharePoint integrated mode default configuration. Setup will create the report server database in SharePoint integrated mode and configure the report server to use the default values. However, integrated operations will not be supported until a minimal installation of a SharePoint product or technology is deployed on the report server computer and the Reporting Services Add-in for SharePoint Technologies is installed and configured on the instance of the SharePoint product or technology you are using. - Install, but do not configure the report server. Setup will install, but will not configure, the report server software. After installation is finished, you can use the Reporting Services Configuration tool to set options that are required to run the report server. Seleccionamos -> Next Specify the information that you would like to automatically send to Microsoft to improve future releases of SQL Server. These settings are optional. Microsoft treats this information as confidential. Microsoft may provide updates through Microsoft Update to modify feature usage data. These updates might be downloaded and installed on your machine automatically, depending on your Automatic Update settings. See the Microsoft SQL Server 2008 R2 Privacy Statement for more information. Read more about Microsoft Update and Automatic Update. Send Windows and SQL Server Error Reports to Microsoft or your corporate report server. This setting only applies to services that run without user interaction. Seleccionamos -> Next Seleccionamos -> Install Seleccionamos -> Close -> Cerramos en instalador de SQL Server Debemos instalar SQL 2008 R2 CU 9, se descarga desde http://support.microsoft.com/kb/2567713 (registrarse y llegarán los pasos por mail) Seguir el asistente con los valores predeterminados para instalar la actualización Montamos el ISO de SCOM 2012 RC -> Iniciamos el instalador -> Install Seleccionamos -> Management Server / Console -> Next Seleccionamos -> Next Seleccionamos -> Next Configuramos nuestro Management Group name: -> Next Specify an installation option To proceed with installing a Management server, select an installation option below. - Create the first Management server in a new management group Setup will create a new Operations Manager management group, operational database, and data warehouse, and then it will install the Management server. After you create a management group, you cannot change its name. Before you proceed, ensure that the management group name is unique. Management group name: ITSanchez - Add a Management server to an existing management group If you have an existing management group that contains at least one Management server, Setup will install a new Management server that is linked to the existing operational database and data warehouse. Aceptamos los términos de licencia -> Next Please read the license terms MICROSOFT PRE-RELEASE SOFTWARE LICENSE TERMS MICROSOFT SYSTEM CENTER 2012 OPERATIONS MANAGER, RELEASE CANDIDATE These license terms are an agreement between Microsoft Corporation (or based on where you live, one of its affiliates) and you. Please read them. They apply to the pre-release software named above, which includes the media on which you received it, if any. The terms also apply to any Microsoft updates, supplements, Internet-based services, and support services for this software, unless other terms accompany those items. If so, those terms apply. By using the software, you accept these terms. If you do not accept them, do not use the software. As described below, using some features also operates as your consent to the transmission of certain standard computer information for Internet-based services. I have read, understood, and agree with the license terms Read our privacy statement Next > Confirmamos los datos del SQL [SCOM\SCOM2012] -> Next Configure the operational database Before you click Next, verify the database name, the instance name, and the port. Ensure that you have sufficient permissions on the database instance. - Server name and instance name: - SCOM\SCOM2012 - SQL Server port: - 1433 - Format: server name\instance name - Database name: - OperationsManager - Database size (MB): - 1000 - Data file folder: - D:\SCOM2012\MSSQL10_50.SC0M2012\MSSQL\DATA\ - Log file folder: - D:\SCOM2012\MSSQL10_50.SC0M2012\MSSQL\DATA\ Confirmamos los datos del SQL [SCOM\SCOM2012] -> Next Configure the data warehouse database Before you click Next, verify the database name, the instance name, and the port. Ensure that you have sufficient permissions on the database instance. - Server name and instance name: - SCOM\SCOM2012 - SQL Server port: - 1433 - Format: server name\instance name - Create a new data warehouse database - Use an existing data warehouse from a different management group - Database name: - OperationsManagerDW - Database size (MB): - 1000 - Data file folder: - D:\SCOM2012\MSSQL10_50.SCOM2012\MSSQL\DATA\ - Log file folder: - D:\SCOM2012\MSSQL10_50.SCOM2012\MSSQL\DATA\ Seleccionamos los usuarios -> Next Configure Operations Manager accounts If you want to use a single account for all services, verify that the account has all the required rights. For more information, see the Operations Manager deployment documentation. \| Account Name \| Local System \| Domain Account \| Domain\User Name \| Password \| \|---------------------------------------------------\|--------------\|----------------\|----------------------\|----------\| \| Management server action account \| \| \| TSANCHEZ\administrator \| ******* \| \| System Center Configuration service and System Center Data Access service \| \| \| \| \| \| Data Reader account \| \| \| ITSANCHEZ\sql \| ***** \| \| Data Writer account \| \| \| ITSANCHEZ\sql \| ******* \| Operations Manager Security Guide Seleccionamos -> Next Help improve Operations Manager 2012 Customer Experience Improvement Program The Customer Experience Improvement Program collects data about your use of Microsoft applications to identify possible improvements for Microsoft products. - Yes, I am willing to participate anonymously in the Customer Experience Improvement Program - No, I am not willing to participate Error Reporting When a program error occurs, information about the error can be anonymously reported to Microsoft. This information is used to help identify and resolve common issues with Operations Manager. - Yes, I am willing to participate anonymously. Please automatically send my error reports. - Yes, I am willing to participate anonymously. Please queue the reports so that I can choose when to send them. - No, I am not willing to participate Read more about these program(s) Seleccionamos tipo de actualizaciones -> Next Seleccionamos -> Install Installation Summary Review your selections for the features that you are installing. To continue, click Install. To change your selections, click Previous. Installation location: C:\Program Files\System Center Operations Manager 2012 Management group name: ITSanchez Operational database: OperationsManager will be created on SCOM\SCOM2012 Database size (MB): 1000 Data warehouse database: OperationsManagerDW will be created on SCOM\SCOM2012 Data warehouse database size (MB): 1000 Management server action account: ITSANCHEZ\administrator System Center Configuration service and System Center Data Access service account: Local System Seleccionamos Close para terminar la instalación
LIGHT ENTRÉES All light entrées come with the choice of one side unless stated otherwise. NEW! HAMBURGER STEAK . . . . . . . . . . . . . Half $ $ Our juicy, classic 12.95 / Full 15.95 then smothered with sautéed onions, mushrooms and our mushroom Menu Design by Certified Angus Beef LLC (6/20). CertifiedAngusBeef.com Certified Angus Beef®burger grilled to perfection, and ENTRÉES Served with a cup of Soup of the Day or Garden or Caesar Salad (Spinach or Greek $ 1.50 extra) to start. A choice of Seasoned Vegetables or Asparagus and choice of one side. Add a Cup of Day Soup or Signature Soup for $ 2.00 BABY BACK RIBS 306-842-3838 596 18 th Street NE • Weyburn, SK S4H 3B3 APPETIZERS SIDE CHOICES Fries Garden Salad Caesar Salad Lager Chips ADD Garlic Mashed Potatoes Day Soup Rice (Gluten Free) Mini Roasted Potatoes $ Sweet Potato Fries Potato Wedges Greek Salad Spinach Salad Signature Potato-Bacon Soup Signature Broccoli-Cheddar Soup ADD $ Onion Rings 2.50 Poutine Loaded Mashed Potatoes PASTA Served with Garden or Caesar Salad to start.(Spinach or Greek Add $ 1.50) $ NEW! PUMPJACKS LINGUINE OR PENNE ALFREDO $ $ Half Order 10.95 / Full Order 13.95 Certified Angus Beef Add Grilled or Crispy Chicken Breast 5.00, Garlic Shrimp 6.00, ® $ NEW! SPAGHETTI & MEAT SAUCE Sirloin Steak Strips 8.00. Half Order $ 10.95 / Full Order $ 13.95 / Add Meatballs $ 6.00 CHICKEN PARMESAN . . . . . . . . Half Order $ 15.95 / Full Order $ 20.95 Tender chicken breasts lightly breaded, topped with rich marinara sauce, parmesan and our four-cheese blend, placed on a bed of linguini, served with garlic bread. SEAFOOD LINGUINE . . . . . . . . . Half Order $ $ Crab, scallops and jumbo prawns sautéed with green onions, black 16.95 / Full Order 21.95 olives and tomato in our rich rosé sauce. $ 1.50 Hi and welcome to PUMPJACKS…whether you're having a cold beer, a juicy burger, an appetizer or one of our delicious Certified Angus Beef ® steaks, it is the goal of our staff to give you the best dining experience possible every time you enter our door. We want our service and quality to be second to none! Moreover, when you decide to leave PUMPJACKS, you have a smile on your face and you’re thinking, "LIFE IS GOOD TODAY". From your PUMPJACKS Crew SALADS GARDEN SALAD. . . . . . . . . . . . . . . . Starter $ 6.95 / Large $ 10.95 Fresh spring California greens with cucumber, shredded carrots, red onions and cherry tomatoes CAESAR SALAD. . . . . . . . . . . . . . . . . . . Starter $ 6.95 / Large $ 10.95 Our crisp Romaine lettuce with croutons tossed in our creamy Caesar dressing and topped with shredded parmesan cheese. NEW! GREEK SALAD . . . . . . . . . . . . Starter $ 7.95 / Large $ 11.95 Crisp Romaine hearts tossed in our Greek dressing with cucumber, tomato, red onion, feta cheese and black olives. NEW! SPINACH SALAD. . . . . . . . . . . . Starter $ 7.95 / Large $ 11.95 Fresh baby spinach with strawberries, pecan pieces, dried cranberries, bacon, mushrooms, cherry tomatoes and feta cheese. PJ'S JAZZED UP SALADS PJ'S GARDEN SALAD. . . . . . . . . . . . . Small $ 11.95 / Large $ 15.95 With your choice of grilled or crispy chicken, poached salmon, shrimp or Cod bites. CHICKEN CAESAR SALAD . . . . . . . . . . Small $ 11.95 / Large $ 15.95 Our classic Caesar salad served with seasoned, chicken breast, crispy or grilled, and a slice of garlic toast. GREEK OR SPINACH SALAD . . . . . . . Small $ 12.95 / Large $ 16.95 We recommend our tasty Cod bites for these two delicious salads. Other options include crispy or grilled chicken, poached salmon or shrimp. PUMPJACKS TACO SALAD. . . . . . . . . Small $ 12.95 / Large $ 16.95 Crisp Romaine hearts with tomato, red onion, black olives and fourcheese blend with your choice of Certified Angus Beef ® taco beef, Certified Angus Beef ® taco steak or chicken breast, crispy or grilled, served with tortilla chips, salsa and sour cream. SOUPS SOUP & SALAD COMBO PUMPJACKS STIR-FRY A traditional Thai mix of broccoli, bok choy, sliced carrot, diced onion, diced red and green peppers mixed with a flavorful stir-fry sauce and served on a bed of white rice or chow mein noodles. Choose from: PUMPJACKS SIGNATURE BURGERS All our Certified Angus Beef ® burgers and chicken burgers come topped with PJ's Burger Sauce, Lettuce, Tomato, Cucumber, Red Onion and a Pickle on the side and your choice of one side. PJ'S CLASSIC BURGER. . . . . . . . . . . . . . . . ¼-lb. $ 11.95 / ½-lb. $ 13.95 Our classic, house-made Certified Angus Beef ® burger. PJ'S CLASSIC CHEESEBURGER . . . . . . . ¼-lb. $ 12.95 / ½-lb. $ 14.95 Our classic, house-made Certified Angus Beef ® burger topped with your choice of mozza, Swiss or cheddar cheese. PJ'S BACON-CHEESEBURGER. . . . . . . . . . ¼-lb. $ 13.95 / ½-lb. $ 15.95 Our classic Certified Angus Beef ® burger topped with two strips of bacon and your choice of mozza, Swiss or cheddar cheese. NEW! PJ'S THE BOPPER. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $15.95 Just meat and cheese ... two of our classic Certified Angus Beef ® beef patties, with two slices of cheddar cheese, two strips of bacon and our PJ's Burger Sauce. NEW! HANGOVER BURGER. . . . . . . . . . . ¼-lb. $ 13.95 / ½-lb. $ 15.95 We take our classic bacon-cheese Certified Angus Beef ® burger, with your choice of cheese and top it off with an over easy egg. PJ'S SWISS & MUSHROOM BURGER. . . . ¼-lb. $ 12.95 / ½-lb. $ 14.95 Our classic Certified Angus Beef ® burger topped with sautéed mushrooms and Swiss cheese. PJ'S BBQ HAWAIIAN BACON-CHEESEBURGER . . . . . . . . . . . . . . ¼-lb. $ 13.95 / ½-lb. $ 15.95 Our classic Certified Angus Beef ® burger topped with our PJ's BBQ sauce, a pineapple ring, two strips of bacon and your choice of mozza, Swiss or cheddar cheese. PJ'S DELUXE RIDER BURGER. . . . . . . . . . . . . . . . . . . . . . . . . $ 15.95 Two of our classic Certified Angus Beef ® patties layered with two slices of cheddar cheese, two strips of bacon and an onion ring. PUMPJACKS CHICKEN BURGERS PJ'S CLASSIC CHICKEN BURGER . . . . . . . . . . . . . . . . . . . . . . $ A five-ounce seasoned, crispy or grilled, chicken breast. Add cheddar cheese 1.00 . . . . . . . . . . . . . . . . . PJ'S CHICKEN CORDON BLEU BURGER $ A tender, chicken breast, dusted and fried and topped with ham and Swiss cheese. PJ'S BBQ-BACON-CHEDDAR-CHICKEN BURGER . . . . . . . . . . $ A five-ounce, chicken breast, crispy or grilled, brushed with our PJ's BBQ $ 11.95 13.95 13.95 sauce then topped with two strips of bacon and cheddar cheese. NEW! PJ'S BUFFALO-HAWAIIAN CHICKEN BURGER. . . . . . $ 14.95 A five-ounce, chicken breast, crispy or grilled, brushed with our buffalo sauce then topped with ham, a pineapple ring and feta cheese. PUMPJACKS FAJITAS A classic Tex-Mex dish. Caramelized onions, roasted red peppers and jalapeños compliment the fajita you choose, served sizzling in a cast iron skillet with warm tortillas, pico de gallo salsa, chipotle-sour cream and aged cheddar. Choose from: Certified Angus Beef ® STEAK & PRIME RIB Served with a cup of Soup of the Day or Garden or Caesar Salad (Spinach or Greek $ 1.50 extra) to start. A choice of Seasoned Vegetables or Asparagus and one of the following. SIDE CHOICES Fries Garden Salad Caesar Salad Lager Chips ADD $ 1.50 Garlic Mashed Potatoes Day Soup Rice (Gluten Free) Mini Roasted Potatoes Sweet Potato Fries Potato Wedges Greek Salad Spinach Salad Signature Potato-Bacon Soup Signature Broccoli-Cheddar Soup ADD $ 2.50 Poutine Onion Rings Loaded Mashed Potatoes With every Certified Angus Beef brand steak we serve, you're getting the best Angus beef ever. RIBEYE . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 oz. $ 31.95 / 12 oz. $ NEW YORK 35.95 Well marbled cut, rich in flavor. A Pumpjacks Favorite! . . . . . . . . . . . . . . . . . . . . . . . . 8 oz. $ $ The most renown and flavorful classic cut perfectly marbled for 26.95 / 10 oz. 30.95 tenderness. PRIME RIB . . . . . . . . . . . . . . . . . . . . . . . 10 oz. $ 32.95 / 12 oz. $ 36.95 Perfectly marbled, slow roasted then seared on both sides in our house red wine au jus, served with a side of au jus, side of horseradish and prepared medium rare to medium. SIRLOIN . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 oz. $ 20.95 / 8 oz. $ 24.95 This sirloin is lean and bursting with flavor just like the ten ounce only not quite as thick! NEW! SIRLOIN OSCAR . . . . 6 oz. $ 24.95 / 8 oz. $ 28.95 / 10 oz. $ 32.95 Our sirloin topped with choice of crab or shrimp in our creamy Bearnaise sauce, served with asparagus spears. $ $ Well-marbled ribeye smothered with sautéed mushrooms, onions and NEW! SMOTHERED RIBEYE . . . . . . . . . . 10 oz. 35.95 / 12 oz. 39.95 melted Swiss cheese with a side of our bourbon-peppercorn sauce. . . . . . . . . . . . . . . . . . . 8 oz. STEAK & LOBSTER 44.95 / 10 oz. 48.95 $ $ The classic New York steak served with a six-ounce lobster tail. STEAK ADD ONS 6-OZ. LOBSTER TAIL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17.95 PIZZA All pizzas topped with our four-cheese blend and signature pizza sauce. Gluten Free available for 10" Pizzas only for an additional $ 2.00. Flatbread available for 10" Pizzas only. 1. CANADIAN 10" MED/12" LG/15" X-LG or Flatbread Ham, Pineapple & Bacon. . . . . . . . . . . . $ $ 17.95. . . 24.95. . . $35.95
Chang’e 3 lunar mission and upper limit on stochastic background of gravitational wave around the 0.01 Hz band Wenlin Tang\textsuperscript{a,b,c}, Peng Xu\textsuperscript{b}, Songjie Hu\textsuperscript{a}, Jianfeng Cao\textsuperscript{a}, Peng Dong\textsuperscript{d}, Yanlong Bu\textsuperscript{a}, Lue Chen\textsuperscript{a,e,f}, Songtao Han\textsuperscript{a,e}, Xuefei Gong\textsuperscript{b}, Wenxiao Liu\textsuperscript{e,f}, Jinsong Ping\textsuperscript{e}, Yun-Kau Lau\textsuperscript{b,}, Geshi Tang\textsuperscript{a,} \textsuperscript{a}Science and Technology on Aerospace Flight Dynamics Laboratory, Beijing Aerospace Control Center, Beijing, China. \textsuperscript{b}Institute of Applied Mathematics, Morningside Center of Mathematics and LESC, Institute of Computational Mathematics, Academy of Mathematics and System Science, Chinese Academy of Sciences, Beijing, China. \textsuperscript{c}Department of Aerospace Guidance Navigation and Control, School of Astronautics, Beihang University, Beijing, China. \textsuperscript{d}Beijing Institute of Aerospace Control Devices, Beijing, China. \textsuperscript{e}National astronomical observatories, Chinese Academy of Sciences, Beijing, China. \textsuperscript{f}University of Chinese Academy of Sciences, Beijing, China. \textsuperscript{}Corresponding author \textsuperscript{}Corresponding author \textit{Email addresses:} email@example.com (Yun-Kau Lau), firstname.lastname@example.org (Geshi Tang) Abstract The Doppler tracking data of the Chang’e 3 lunar mission is used to constrain the stochastic background of gravitational wave in cosmology within the 1 mHz to 0.05 Hz frequency band. Our result improves on the upper bound on the energy density of the stochastic background of gravitational wave in the 0.02 Hz to 0.05 Hz band obtained by the Apollo missions, with the improvement reaching almost one order of magnitude at around 0.05 Hz. Detailed noise analysis of the Doppler tracking data is also presented, with the prospect that these noise sources will be mitigated in future Chinese deep space missions. A feasibility study is also undertaken to understand the scientific capability of the Chang’e 4 mission, due to be launched in 2018, in relation to the stochastic gravitational wave background around 0.01 Hz. The study indicates that the upper bound on the energy density may be further improved by another order of magnitude from the Chang’e 3 mission, which will fill the gap in the frequency band from 0.02 Hz to 0.1 Hz in the foreseeable future. Keywords: Chang’e lunar mission; Doppler tracking data; stochastic background of gravitational waves. --- 1. Introduction Chang’e 3 is an unmanned lunar exploration mission operated by the China National Space Administration. As part of the second phase of the Chinese Lunar Exploration Program, it was landed on the Moon on 14 December 2013, becoming the first spacecraft to soft-land on the Moon since the Soviet Union’s Luna 24 in 1976. At present it is located on the Lunar surface at about 44.12° N, 19.51° W and ~2640 m in elevation (Cao et al., 2014; Ping, 2014). The tracking of the lander by the Chinese deep space network is still ongoing. Every day the lander is tracked continuously for about two to four hours by two ground stations located at Kashi and Jianusi within China by means of X band radio waves (uplink and downlink at 8.47 GHz). For the Jianusi station, the two-way Doppler tracking can reach the measurement accuracy of about 0.2mm/s, with sampling time of one second. The high precision Doppler tracking data of Chang’e 3 encodes information concerning the dynamics of the motion of the Moon relative to the Earth and it is worth understanding better whether it is feasible to extract useful science from the data. As a starting point of our investigation in this direction, the present work aims to understand possible upper bound on the isotropic stochastic background of gravitational waves (SBGWs) imposed by the Chang’e 3 Doppler tracking data. The stochastic background is of cosmological significance as it contains a component of primordial gravitational waves generated during the beginning stage of our Universe (Maggiore, 2000; Sathyaprakash et al., 2009). The structure of the Chang’e 3 data suggests that the frequency window around 0.01 Hz would be the appropriate window to be looked at. Further, with Chang’e 4 to be launched at around 2018 and the prospect of deep space exploration beyond the Earth-Moon system after Chang’e 4, it is anticipated that more Doppler tracking data with higher precision will be available to the scientific community in future, the present work then also serves the dual purpose of being a pilot study of Doppler tracking data analysis for future Chinese deep space missions. With this prospect in mind, we undertake meticulous noise analysis for the Chang’e 3 Doppler tracking data, in order to understand the prospect of mitigating various noise sources in the Doppler tracking data in future deep space Chinese missions. In addition, a feasibility study is also undertaken to understand the scientific potential of the Chang’e 4 mission in relation to the stochastic gravitational wave background. Currently, over the band from $10^{-6}$ Hz up to 1 Hz, the Cassini spacecraft (Armstrong et al., 2003) gives the best constraint on the energy density ($\Omega_{gw}(f)$) of the SBGWs from $1.2 \times 10^{-6}$ Hz up to $10^{-4}$ Hz, the ULYSSES spacecraft (Bertotti et al., 1995) together with the normal modes of the Earth (Coughlin et al., 2014a) give the best constraint on $\Omega_{gw}(f)$ of the SBGWs from $2.3 \times 10^{-4}$ Hz up to 0.02 Hz, the Apollo missions (Aoyama et al., 2014) gives the best constraint on $\Omega_{gw}(f)$ from 0.02 Hz up to 0.05 Hz, the Earth’s seismic data (Coughlin et al., 2014b) gives the best constraint on $\Omega_{gw}(f)$ from 0.05 Hz up to 0.1 Hz, and the Lunar seismic data (Coughlin et al., 2014c) gives the best constraint on $\Omega_{gw}(f)$ from 0.1 Hz up to 1 Hz. See Figure 10 for an illustration of the sensitivity limits obtained by previous missions or other detection methods in different frequency windows. Upon comparison, we find that the constraint on $\Omega_{gw}(f)$ imposed by the Apollo missions from 0.02 Hz up to 0.1 Hz is by far worse than others in the frequency band ranges from $10^{-4}$ Hz to 1 Hz. As the frequency window of Chang’e 3 overlaps with that of the Apollo missions and at the same time the measurement accuracy of the Doppler tracking data of Chang’e 3 is better than that of the Apollo missions, it is not surprising to obtain that the upper bound on $\Omega_{gw}(f)$ imposed by Chang’e 3 improves on that given by the Apollo missions. The outline of this paper is as follows. Section 2 describes the algorithm for the data analysis and we work out the power spectral density of the noise in the measured Doppler tracking data of Chang’e 3. Section 3 presents the main results concerning the upper bound on the energy density $\Omega_{gw}(f)$ of the SBGWs in the band from 1 mHz to 0.05 Hz by using the Doppler tracking data of Chang’e 3. A detailed noise analysis of the Doppler tracking data of the Chang’e 3 mission is given in Section 4. Section 5 presents the feasibility study of constraining the SBGWs in the frequency band from 1 mHz to 0.1 Hz using the future Doppler tracking data of Chang’e 4. Some brief remarks are then made to conclude this paper in the final section. 2. Data analysis The Doppler tracking data used is the two-way range rate data recorded at the Jiamusi station, it is taken from UTC 13:22:25.0 to 15:01:49.0 on 17 December 2013. The time series has sampling time of 1 s and it composes of 6000 data points, with the standard deviation about 0.2 mm/s, as shown in Fig. 1. The round-trip time between the lander and the station is about 2.65 s. The Sun-Earth-Moon angle was about 180 degrees and therefore the lander was in the solar opposite direction. As we shall see later, the Sun-Earth-Moon angle is an important factor when it comes to the estimate of the tropospheric and ionospheric delay noises in the Doppler tracking. The algorithm for data analysis is illustrated in the flow chart displayed in Fig. 2. In this work, we will focus on constraining the SBGWs in the frequency band from 1 mHz to 0.05 Hz using the Doppler tacking data of Chang’e 3. According to the Nyquist criterion, the data used to constrain the SBGWs must have a sampling interval smaller than 10 s. Further, the random fluctuations in a time series can be suppressed by smoothing it to a new time series with longer sampling interval. To this end, we smooth the Doppler tracking data to generate a new time series with sampling time 9 s. Then we evaluate the residual of the new time series and estimate its power spectral density in the band from 1 mHz to 0.05 Hz. Finally, we give the upper bound on the energy density $\Omega_{gw}$ of the SBGWs in the frequency band from 1 mHz to 0.05 Hz. In the Chang’e 3 mission, the radio signal is transmitted from the station at time $t_1$ to the lander at time $t_2$ and then reflected from the lander at time $t_2$ to the station at time $t_3$. All dates $t_1$, $t_2$ and $t_3$ are in Universal Time Coordinated (UTC). For the Doppler tracking, one observation consists in $t_3$, the date of the radio signal arrived at the station in Universal Time Coordinated (UTC), and $v_o$, the two-way range rate, which is obtained by $v_o = c \cdot \Delta f_o$, where $\Delta f_o$ is the relative variation of the frequency of the radio signal. The other data supplied are the frequency of the radio signal, the signal/noise rate, and the temperature, pressure and humidity of the atmosphere. Denote by $\{v(t_i)\}_{i=1}^n$ the range rate data, where $n$ is its length. The range rate is smoothed to generate a new time series $\{\bar{v}(s_i)\}_{i=1}^m$ with sampling time 9 s, where $m$ is the largest integer smaller than $n/9$ and $s_i = t_{1+9(i-1)}$. Denote by $\{\epsilon(s_i)\}_{i=1}^m$ the residuals in the time series $\{\bar{v}(s_i)\}_{i=1}^m$ defined by $$\epsilon(s_i) \equiv \bar{v}(s_i) - v_c(s_i), \quad i = 1, 2, \cdots, m,$$ where $v_c(t)$ is the theoretical value of the two-way range rate at epoch $t$, which is evaluated as \[ v_c(t) = \frac{\rho^{2w}(t) - \rho^{2w}(t - \Delta t)}{\Delta t} \] (2) from the two-way range $ \rho^{2w} $ by difference, where in our calculations, $ \Delta t = 1s $. The calculation of the two-way range in Chang'e 3 is introduced as follows. We show in Fig. 3 the schematic diagram of the lunar radio ranging of Chang'e 3. Compare with the lunar laser ranging (LLR) measurement (Chapront et al., 2006), we find that the role of the lander is similar as that of the reflectors in the LLR. Thus we may follow the same procedure (Chapront et al., 2006) in calculating the round-trip time of light in LLR to calculate the two-way range in Chang'e 3. The theoretical value of the two-way range can be evaluated by $ \rho^{2w} = c \cdot \Delta t $ from the duration $ \Delta t $ of the round trip travel of the radio signal in atomic time (TAI, Temps Atomique International), where $ c $ is the speed of light. To model the duration $ \Delta t $, we need to take into account the relativistic curvature of the signal, and the influence of the troposphere and ionosphere. The computation of the duration $ \Delta t $ should be given in the frame of General Relativity theory, and will depend on the barycentric positions of $ T $, $ L $ and $ S $, respectively the center of the mass of the Earth, of the Moon and of the Sun. Thus in the calculation all coordinated are in the celestial barycentric reference system. The theoretical value of $ \Delta t $ is given by (Chapront et al., 2006) \[ \Delta t = [t_3 - \Delta T_1(t_3)] - [t_1 - \Delta T_1(t_1)], \] (3) which is the same as that used in the calculation of the round trip time of the light, where $ \Delta T_1 $ is the relativistic correction on the time scale, it transforms the time in Barycentric Dynamical Time (TDB) to that in TAI, whose calculation can see the reference (Soffel et al., 2013). However, since the observation data contains only the date $ t_3 $, $ t_1 $ (or $ \Delta t $) should be given by iteration from $ t_3 $ and the ephemerids of the Earth, the Moon and the Sun, such as \[ t_3 = t_2 + \frac{1}{c} \| \mathbf{BR}(t_2) - \mathbf{BO}(t_3) \| + \Delta T_{grav} + \Delta T_{trop} + \Delta T_{iono}, \] (4) \[ t_2 = t_1 + \frac{1}{c} \| \mathbf{BR}(t_2) - \mathbf{BO}(t_1) \| + \Delta T_{grav} + \Delta T_{trop} + \Delta T_{iono}, \] (5) where $ B $ is the barycenter of the solar system, $ \mathbf{BR} $ and $ \mathbf{BO} $ are respectively the coordinates of the lander and the station with respect to $ B $, $ \Delta T_{grav} $ is the time contribution due to the gravitational curvature of the signal, $\Delta T_{trop}$ is the atmospheric delay and the $\Delta T_{iono}$ is the ionospheric delay. The vectors $\mathbf{BR}$ and $\mathbf{BO}$ are given by (Chapront et al., 2006) $$\mathbf{BR}(t) = \mathbf{BG}(t) + \frac{m_T}{m_T + m_L} \mathbf{TL}(t) + \mathbf{LR}(t)$$ (6) and $$\mathbf{BO}(t) = \mathbf{BG}(t) - \frac{m_L}{m_T + m_L} \mathbf{TL}(t) + \mathbf{TO}(t),$$ (7) where $m_T$ and $m_L$ are respectively the Earth and Moon masses, $\mathbf{BG}(t)$ is the coordinates of the Earth-Moon barycenter $G$ with respect to $B$, $\mathbf{TL}(t)$ is the position vector from the center of mass of the Earth to that of the Moon, $\mathbf{LR}(t)$ is the position vector from the center of mass of the Moon to the lander, and $\mathbf{TO}(t)$ is the position vector from the center of mass of the Earth to the station. In our paper, the vectors $\mathbf{BG}(t)$ and $\mathbf{TL}(t)$ are provided by the JPL planetary ephemeris DE421. The vector $\mathbf{LR}$ is dependent of the lander coordinates, which are $(1173217.870, -416319.429, 1208153.007)(m)$ (Wagner et al., 2014) in a selenocentric frame defined by the principal axes of inertia of the Moon. The coordinates of the lander should be transformed from the selenocentric frame to the celestial barycentric reference system (Chapront et al., 2006). The vector $\mathbf{TO}$ are primarily defined in the International Terrestrial Reference Frame (ITRF) and are subject to various corrections due to the Earth deformations: terrestrial and oceanic tides and pressure anomaly. The transformation from the ITRF to the celestial barycentric reference system involves the Earth rotation parameters, the precession, the nutation, the obliquity $\epsilon$ in J2000.0 and the arc $\phi$ separating the inertial equinox and the origin of the right ascensions on the equator of J2000.0 (Chapront et al., 2006). The correction $\Delta T_{grav}$ due to the gravitations of the Moon, Earth and Sun can be given according to the one-body light time equation (Moyer, 2003). The tropospheric delay $\Delta T_{trop}$ and ionospheric delay $\Delta T_{iono}$ on the radio signal are evaluated according to the tropospheric model and ionospheric model recommended by IERS convention No.36 (Petit et al., 2010). To calculate the ionospheric delay $\Delta T_{iono}$, the total electron content (TEC) used is provided by International GNSS Service (IGS) associate analysis centers (see http://cddis.nasa.gov). When we obtain the theoretical value of the two-way range, the theoretical value of the two-way range rate can be obtained from the Eq. (2). The final Figure 3: The Lunar Radio Ranging in the Chang’e 3 mission. It measures the distance between the station on the Earth and the lander on the Moon. This measurement principle is the same as that of the Lunar Laser Ranging, which measures the distance between the station on the Earth and the reflectors on the Moon (Williams et al., 2009). residual is shown in Fig. 4. Its root mean square is about $5.92 \times 10^{-5}$ m/s, which is consistent with the measurement accuracy of the original two-way range rate data in Chang’e 3. Figure 4: The residual of the time series $\{\bar{v}(s_i)\}_{i=1}^m$ used to constrain the SBGWs in the frequency band from 1 mHz to 0.05 Hz. Its mean is zero and its root mean square is about $5.92 \times 10^{-5}$ m/s. The power spectral density of the residual is estimated as follows. Our approach is to fit the residual by a standard autoregressive moving average (ARMV) process (Peter et al., 1991). Then estimate the power spectral density of the residual by that of the fitted process. The sample autocorrelation coefficients of the residual are evaluated as shown in Fig. 5. From this figure, we find that for all nonzero time lags only $\rho(1) = -0.1639$ exceed the bounds given by the two blue lines in the figure, where the two lines represent the $2\sigma$ uncertainties if we estimate the autocorrelation coefficients of the residual by the sample autocorrelation coefficients. Here $\sigma$ is about 0.03. Thus we may fit the residual with the standard moving average processing MV(1) model (Peter et al., 1991): $$X_t = Z_t + \theta Z_{t-1},$$ where $\theta$ is a constant, and $Z_t$ is a Gaussian process with mean zero and variance $\sigma_z^2$. The values of $\theta$ and $\sigma_z$ can be estimated from the root mean square and the sample correlation coefficient $\rho(1)$ of the residual as $$\theta = -0.1639,$$ $$\sigma_z = 5.84 \times 10^{-5}.$$ Therefore the noise in the new range rate data is estimated by the MV(1) process (8), where the parameter $\theta$ and the root mean square $\sigma_z$ of the Gauss process $Z_t$ are given by Eq. (9) and Eq. (10) respectively. ![Sample Autocorrelation Function](image) Figure 5:** The sample autocorrelation coefficients of the residual. The lower and upper bounds (the two blue lines) in the figure represent the $2\sigma$ bounds of the estimated autocorrelation coefficients of the residual. The residual of the range rate data measured by the Deep Space Station at Jiamusi. The data is obtained at modified Julian date 56643. For the MV(1) process given in Eq. (8), from its spectral density (Peter et al., 1991) $$S(f) = \frac{\sigma_z^2}{2\pi}[1 + 2\theta \cos(2\pi f) + \theta^2],$$ we may estimate the power spectral density of the noise in the new range rate in the band from 0.1 mHz to 0.05 Hz to be $$S_{\text{est}}(f) = 5.528 \times 10^{-10} \cdot [1 - 0.3278 \cos(2\pi f) + 0.0269].$$ Since the Doppler shift $\Delta f/f$ is obtained from the two-way range rate $v^{2w}$ by $\Delta f/f = v^{2w}/c$, the power spectral density of the noise in the Doppler shift in the band from 0.1 mHz to 0.05 Hz is estimated from Eq. (11) as $$S_{DS}(f) = 6.039 \times 10^{-27} \cdot [1 - 0.3278 \cos(2\pi f) + 0.0269],$$ and it is shown in Fig. 6. ![Figure 6: The power spectral density of the noise in Doppler shift. The data is obtained at modified Julian date 56643 and at the deep space station at Jianusi.](image) ### 3. Stochastic background of gravitational waves’ upper bound in the 0.02 to 0.05 Hz band Using spacecraft Doppler tracking to detect gravitational waves was first proposed by Estabrook and Wahlquist in 1975 (Estabrook et al., 1975). Let $S_{g2}^{gw}(f)$ be the power spectrum of the two-way fractional Doppler fluctuations generated by the isotropic gravitational wave background. It is related to the power spectrum $S_h(f)$ of the stochastic background of gravitational waves by $S_{g2}^{gw}(f) = R_2(f) S_h(f)$, where $R_2(f)$ is the transfer function. For each Fourier component of the SBGWs, the transfer function is given as (Estabrook et al., 1975) $$\bar{R}_2(f) = 1 - \frac{1}{3} \cos(2\pi f T_2) - \frac{(3 + \cos(2\pi f T_2))}{(\pi f T_2)^2} + \frac{2 \sin(2\pi f T_2)}{(\pi f T_2)^3},$$ (14) where $T_2$ is the round-trip time of the radio signal transmitted from the station to the lander and then back to the station. Input the mean round-trip time $T_2 = 2.65$ s into the above transfer function and the result is shown in Fig. 7. ![Figure 7: Transfer function of Doppler shift w.r.t SBGW when $T_2 = 2.65$ s.](image) The spectrum of the isotropic SBGWs can be characterized by its dimensionless energy density $\Omega_{gw}(f)$, or the characteristic rms strain $S_h(f)$ of the wave, which are defined respectively by (Maggiore, 2000; Armstrong et al., 2003) $$S_h(f) = \frac{S_{gw}(f)}{R_2(f)}, \tag{15}$$ and $$\Omega_{gw}(f) = \frac{8\pi^2 f^3}{3H_0^2} S_h(f), \tag{16}$$ where the $H_0$ denotes the Hubble constant. At this level of measurement precision of the Doppler tracking data of the Chang'e 3 mission, the fluctuation power generated by the stochastic background of gravitational waves is expected to be submerged under the observed fluctuation power, namely, $$S_{gw}^{gw}(f) \leq S_{DS}(f). \tag{17}$$ From Eqs. (15) and (16), this implies that $$S_h(f) \leq \frac{S_{DS}(f)}{R_2(f)}. \tag{18}$$ and \[ \Omega_{gw}(f) \leq \frac{8\pi^2 f^3}{3H_0^2} \cdot \frac{S_{DS}(f)}{R_2(f)}. \] (19) From the power spectral density $ S_{DS}(f) $ of the noise in the Doppler shift given in Eq. (13), the upper bounds on the characteristic rms strain $ S_h(f) $ and the dimensionless energy density $ \Omega_{gw}(f) $ are worked out and shown respectively in Fig. 8 and Fig. 9. For the dimensionless energy density $ \Omega_{gw}(f) $, the results give the upper bound on the $ \Omega_{gw} $ ranging from $ 6.04 \times 10^5 \cdot h_{75}^{-2} $ at 1 mHz to $ 3.24 \times 10^7 \cdot h_{75}^{-2} $ at 0.05 Hz, where $ h_{75} $ is the Hubble constant in units of $ 75 \text{km} \cdot \text{s}^{-1} \cdot \text{Mpc}^{-1} $. ![Figure 8: The upper bound on the characteristic rms strain $ S_h(f) $ of the stochastic background of gravitational wave in the frequency band from 1 mHz to 0.05 Hz.](image) ![Figure 9: The upper bound on the energy density $ \Omega_{gw} $ of the stochastic background of gravitational wave in the frequency band from 1 mHz to 0.05 Hz.](image) Comparing (see Fig. 10) the upper bound of the energy density $\Omega_{gw}$ obtained from Chang’e 3 with those given by other missions in the low frequency band from 0.1 mHz to 1 Hz, we find that Chang’e 3 gives the best upper bound in the frequency band from 0.02 to 0.05 Hz. This improves the results given by the Apollo missions(Aoyama et al., 2014), with almost one order of improvement at around 0.05 Hz. Further, at about 0.05 Hz, our result is slightly better than that given by the Earth’s seismic data(Coughlin et al., 2014b). ![Figure 10: Summary of the upper bounds on the energy density of SBGWs from $10^{-6}$Hz to $10^4$ Hz band. It includes the results obtained from the Cassini spacecraft(Armstrong et al., 2003), the ULYSSES spacecraft(Bertotti et al., 1995), the normal modes of the Earth(Coughlin et al., 2014a), the Apollo missions(Aoyama et al., 2014), the Earth’s seismic data(Coughlin et al., 2014b), the Lunar seismic data(Coughlin et al., 2014c), the torsion-bar antenna(Shoda et al., 2013), the LIGO mission(Aasi et al., 2014)(corresponds to four lines) and the Chang’e 3 mission (red line).] 4. Noise analysis In this section we will carry out detailed noise analysis of Chang’e 3. It should be remarked that in the Chang’e 3 mission, the Doppler tracking data was originally used for the determination of the position of the lander on the lunar surface. Thus no detailed calibrations on individual noise source have been made. Only a total noise budget for the Doppler tracking data was considered. What we do is to estimate these individual noise sources indirectly through some auxiliary data, together with the characteristics of the noises and some previous noise analysis of the Doppler tracking data in other missions, such as the Cassini mission. The expectation is that the detailed noise analysis will help us understand the prospect of mitigating various noise sources in the Doppler tracking data in the upcoming Chang’e 4 mission and future Chinese deep space missions. The main noises in the Doppler tracking in Chang’e 3 contain the propagation noises and the instrumental noises, as listed in Table 1. These noise terms include the tropospheric noise $y^{trop}$ and the ionospheric noise $y^{iono}$ due to the phase scintillation when the radio signal propagates through the neutral atmosphere and the ionosphere; the antenna noise $y^{ant}$ due to the antenna mechanical motion; the clock noise $y^{FTS}(t)$ due to the instability of the frequency standard; the unmodeled mechanical motion of the lander $y^{ldr}$; the transponder noise $y^{trans}$; the thermal noise $y^{ther}$ in the receiver due to the finite signal-to-noise ratio on the downlink and the ground electrical noise $y^{groundelec}$. These noises enter into the two-way fractional Doppler $y_2(t)$ in a way given by $$y_2(t) = y_2^{gw}(t) + y^{trop}(t) + y^{trop}(t - T_2) + y^{iono}(t) + y^{iono}(t - T_2)$$ $$+ y^{FTS}(t) - y^{FTS}(t - T_2) + y^{ant}(t) + y^{ant}(t - T_2) + y^{ldr}\left(t - \frac{T_2}{2}\right)$$ $$+ y^{trans}\left(t - \frac{T_2}{2}\right) + y^{ther}(t) + y^{groundelec}(t). \quad (20)$$ For any noise, its statistics can be given by the Allan deviation $\sigma_y(\tau)$ (Barnes et al., 1971), where $\tau$ is the integration time. The Allan deviation may be evaluated from the spectrum $S_y(f)$ of the noise by (Barnes et al., 1971) $$\sigma_y^2(\tau) = \int_{-\infty}^{\infty} df 2 S_y(f) \sin^2(\pi f \tau)/(\pi f \tau)^2.$$ In this work, we will concentrate on the Doppler noise spectra in the frequency band from 1 mHz to 0.1 Hz. Within this frequency band, the instrumental noises are dominated by the noise in the clock, the thermal noise in the receiver, and the antenna mechanical noise (Tinto, 2002; Asmar et al., 2005). The clock noise $y^{FTS}$ is fundamental to the radio observation. It enters into the Doppler shift by $y^{FTS}(t) - y^{FTS}(t - T_2)$. In Chang’e 3, the clock used is the hydrogen masers, its stability can be better than $5 \times 10^{-14}$ when $\tau = 9s$. Thus the Allan deviation of the clock noise in the Doppler shift is at most $1.0 \times 10^{-13}$. It is smaller than that of the noise of the Doppler shift, because from the power spectral density $S_{DS}(f)$ given in Eq.(13), the Allan deviation of the noise in the Doppler shift is evaluated to be close to $2.13 \times 10^{-13}$ when the parameter $\tau$ is 9 s. \| Noise \| Allan deviation $\sigma_y$ ($\tau = 9s$) \| \|---------------\|------------------------------------------\| \| Clock \| Estimated to be smaller than $1.0 \times 10^{-13}$ \| \| Thermal \| Estimated to be smaller than $5.5 \times 10^{-15}$ \| \| Troposphere \| Estimated to be smaller than $5.0 \times 10^{-14}$ \| \| Ionosphere \| Estimated to be smaller than $9.1 \times 10^{-15}$ \| \| Lander \| Estimated to be smaller than $1.0 \times 10^{-16}$ \| \| Transponder \| Estimated to be smaller than $1.0 \times 10^{-13}$ \| \| Antenna \| No explicitly positive correlation exists in the residual, thus expected to be smaller than the noise in the Doppler tracking \| \| Ground electronics \| Estimated not to contribute significantly to the noise in the Doppler tracking \| Table 1: Main noise sources and the Allan deviations of their contributions to the residual of the Doppler tracking data of the Chang’e 3 mission. The thermal noise is white in phase, which is determined essentially by the finite effective temperature of the receiver and the finite intensity of the signal. The Allan deviation for white phase noise associated with the finite signal-to-noise ratio (SNR) thermal noise component is given by $\sigma_y(\tau) \approx \sqrt{3BS_\phi}/(2\pi f_0 \tau)$, where $B$ is the bandwidth of the phase detector, $f_0$ is the frequency of the radio signal, and $S_\phi$ is the one-sided phase noise spectral density, which is approximated by $1/(\text{SNR in a 1-Hz bandwidth})$ (Barnes et al., 1971). For the Chang’e 3 mission, using the X-band observation at the Jiamusi station, its signal-to-noise ratio in the 1 Hz band is larger than 59 dB. Thus its Allan deviation is smaller than $5.5 \times 10^{-15}$ when $\tau$ is 9s. According to Eq. (20), the Allan deviation for the noise in the Doppler shift induced by the thermal noise is the same as that of the thermal noise itself. It is about two orders in magnitude smaller than that of the noise in the Doppler shift. The antenna mechanical noise of the antenna is not previously measured and calculated, thus we cannot estimate its Allan deviation. Here, we will borrow from the experience of the Cassini mission, though the antenna mechanical noise is not the same. The antenna mechanical noise is a random process which may have the positive correlation at the two-way light time (Armstrong et al., 2003). But from the autocorrelation of the residual as shown in Fig. 5, there is no explicitly positive correlation in the residual, thus we may expect from the Cassini experiment (Asmar et al., 2005) that the Allan deviation of the Doppler shift noise induced by the antenna mechanical noise is smaller than that of the noise in Doppler shift. For the transponder noise and the ground electronics noise, they are also not tested. From the analysis of these noises in the Cassini experiment (Asmar et al., 2005), the Allan deviation of the transponder noise may be smaller than $1 \times 10^{-13}$. If we assume the same form of the power spectrum $S_y_{\text{groundelec}} \propto f^2$ of the ground electronics noise as that in the Cassini mission, then the Allan deviation of the ground electrical noise is smaller than $3 \times 10^{-14}$ when $\tau = 9s$. Thus we expect that the ground electronics noise of the Chang’e 3 mission will not contribute significantly to the noise in the Doppler shift. The unmodeled mechanical motion of the lander can also give rise to noise in the Doppler tracking data. The mechanical motion of the lander is mainly generated by the lunar seismic shaking and the solid-body tide on the Moon due to the attraction of the Earth. For the lunar seismic shaking, from the analysis of the events collected from the seismometers of the Apollo program, it was predicted that a ground motion of magnitude larger than 22.5 nm may occur at most once in one year (Mendell, 1998). The time-varying tidal displacements mainly contains a constant term and two dominant periodic terms with periods 27.55 d and 27.21 d, whose amplitudes are all smaller than 0.1 m (Williams et al., 1996). Therefore the noise due to the unmodelled motion of the lander in the Doppler shift is very small. Its Allan deviation is estimated to be smaller than $1 \times 10^{-16}$. Among the propagation noises, the tropospheric delay noise in the Doppler tracking is the most important. At microwave frequencies, tropospheric refractive index fluctuations are non-dispersive and dominated by the water vapor fluctuation. Since the data used was obtained on 17 December, 2013, which was winter time at the Jiamusi station, the elevation angles were larger than 20 degrees, the diameter of the antenna was 65m and the Sun-Earth-Moon angle was nearly 180 degrees, thus the Allan deviation $\sigma_y(\tau)$ for the Doppler shift noise induced by the troposphere is estimated to be smaller than $5.0 \times 10^{-14}$ (Linfield, 1998) when $\tau = 9s$. The ionospheric delay noise is another source of propagation noise. The ionospheric correction is small in the X-band ($\approx 8.47$ GHz), which is of the order of 10 $\mu m/s$ in magnitude. Since the power spectral density of the ionospheric noises is of the form $S_y(f) \propto f^{-2/3}$ (Asmar et al., 2005), and the Sun-Earth-Moon angle is nearly 180 degrees, we may estimate that the Allan deviation $\sigma_y(\tau)$ for the Doppler shift noise due to the ionosphere is smaller than $9.1 \times 10^{-15}$ with $\tau = 9s$. Thus it is of one to two orders in magnitude smaller than the Allan deviation of the noise in the Doppler shift. 5. A feasibility study of using the future Chang’e 4 to constrain the SBGWs around 0.01 Hz Chang’e 4 was originally built as a backup to the Chang’e 3 mission. After the successful landing of the Chang’e 3 mission on the lunar surface, Chang’e 4 is redefined to land on the far side of the Moon and due to be launched by the end of 2018. To maintain communication between the lander and the ground station, a tracking and data relay satellite (TDRS) will be launched and located at the Earth-Moon L2 point. With this mission design, the Doppler tracking of two possible coherent radio links, with frequency standard referenced to a very stable hydrogen clock on ground, will be considered in what follows. The first link is the station-TDRS-station link, as shown in Fig. 11. In this link, the radio signal is transmitted from the station to the TDRS and then phase coherently sent back to the station. The second link is the station-TDRS-lander-TDRS-station link, as shown in Fig. 12. In this link, the radio signal is transmitted from the station to the TDRS, then it is phase coherently transmitted from the TDRS to the lander. At the lander, the signal is phase coherently sent back to the TDRS and then sent back to the station. Figure 11: The station-TDRS-station link. The radio signal is transmitted from the station to the TDRS and then phase coherently sent back to the station. From each link, with the upgrade of the radio measurement system of the deep space network, especially with higher precision ultra stable oscillators, the Doppler tracking data with higher precision is expected to be available. Given the upper bound on the SBGWs within the frequency band from 1 mHz to 0.05 Hz attained by the Chang'e 3 mission, it is likely that the Doppler tracking data of the Chang'e 4 mission may yield a better upper bound on the SBGWs in the frequency band from 1 mHz to 0.1 Hz. 5.1. The first scheme to constrain the SBGWs In this scheme, the Doppler tracking data is obtained from the first link, which is denoted by $\hat{\rho}^{2w}_E$. The corresponding baseline is the distance between the station and the TDRS, as shown in Fig. 11, which is about $4.2 \times 10^5$ km. The corresponding round-trip time, denoted by $T^E_2$, of the radio signal along the first link is about 2.80 s. After subtracting the theoretical values from the observations, the residual $y_I$ in the Doppler shift $\hat{\rho}^{2w}_E/c$ ($c$ is the speed of light) may be modelled as $$y_I(t) = y^{gw}_{2,E}(t) + y^{trop}(t) + y^{trop}(t - T^E_2) + y^{iomo}(t) + y^{iomo}(t - T^E_2) + y^{ant}(t) + y^{ant}(t - T^E_2) + y^{FTS}(t) - y^{FTS}(t - T^E_2) + y^{TDRS}(t - T^E_2/2) + y^{ther}(t) + y^{groundelec}(t), \tag{21}$$ where $y_{2,E}^{gw}$ is the contribution of the SBGWs to the Doppler variability, the other terms are the main noise sources of variability in the Doppler shift. The meanings of the noise terms $y^{trop}$, $y^{iono}$, $y^{ant}$, $y^{FTS}(t)$, $y^{ther}$ and $y^{groundelec}$ are the same as those given in Eq.(20). The noise $y^{TDRS}$ represents the transponder noise in the TDRS. In the spectral domain, the power spectrum $S_{y_I}(f)$ of $y_I$ is given by $$S_{y_I}(f) = S_{y_{2,E}}^{gw}(f) + 4 \cos^2(\pi T_2^E f) \left[ S_y^{trop}(f) + S_y^{iono}(f) + S_y^{ant}(f) \right] + 4 \sin^2(\pi T_2^E f) S_y^{FTS}(f) + S_y^{TDRS}(f) + S_y^{groundelec}(f) + S_y^{ther}(f),$$ (22) where $S_{y_{2,E}}^{gw}$ is the power spectrum of the term $y_{2,E}^{gw}$ due to the SBGWs and the other terms are the corresponding power spectrums of the noises in Eq.(21). Suppose the power spectrum $S_{y_I}(f)$ of $y_I$ is white in the band from 1 mHz to 0.1 Hz. It may be modelled as $S_{y_I}(f) = \frac{\sigma_I^2}{2\pi}$, where $\sigma_I$ represents the root mean square of the residual $y_I$. For the power spectrum $S_{y_I}(f)$ of $y_I$ to give an improved upper bound on the SBGWs, the main noises must satisfy certain requirements, which are easily evaluated from Eq. (22) and listed in the Table 2. \| Noise \| Requirement on psd \| \|-------------\|---------------------\| \| Troposphere \| $\leq \frac{\sigma_I^2}{8\pi \cos^2(\pi T_2^E f)}$ \| \| Ionosphere \| $\leq \frac{\sigma_I^2}{8\pi \cos^2(\pi T_2^E f)}$ \| \| Antenna \| $\leq \frac{\sigma_I^2}{8\pi \cos^2(\pi T_2^E f)}$ \| \| Clock \| $\leq \frac{\sigma_I^2}{8\pi \sin^4(\pi T_2^E f)}$ \| \| TDRS \| $\leq \frac{\sigma_I^2}{756}$ \| \| Ground electric \| $\leq \frac{\sigma_I^2}{756}$ \| \| Thermal \| $\leq \frac{\sigma_I^2}{756}$ \| Table 2: Requirements on the power spectral density of the noises in the first scheme. 5.2. The second scheme to constrain the SBGWs In Chang'e 4, the simultaneously obtained two coherent radio links will share the same uplink carrier wave, and for the downlink waves, they will pass the same space path between the relay satellite and the ground tracking antenna, as well as the receiver, the low noise amplifier, and the Doppler counter. Thus it may be possible to reduce or cancel out many common noise fluctuations by the combination of the two kinds of Doppler tracking. Let $\dot{\rho}^{4w}(t)$ denote the range rate given from the second link. The residual $y_4$ in the Doppler shift $\dot{\rho}^{4w}(t)/c$ may be modelled as \begin{align} y_4(t) &= y_4^{gw}(t) + y^{trop}(t) + y^{trop}(t - T_2^E - T_2^M) + y^{iono}(t) + y^{iono}(t - T_2^E - T_2^M) \\ &+ y^{ant}(t) + y^{ant}(t - T_2^E - T_2^M) + y^{FTS}(t) - y^{FTS}(t - T_2^E - T_2^M) \\ &+ y^{TDRS}(t - T_2^E/2) + y^{TDRS}(t - T_2^E/2 - T_2^M) \\ &+ y^{ldr}(t - T_2^E/2 - T_2^M/2) + y^{groundless}(t) + y^{ther}(t), \end{align} (23) where $T_2^M$ is the round-trip time of the signal from the TDRS to the lander and then return back to the TDRS, the $y_4^{gw}$ is the contribution of the SBGWs to the Doppler variability, $y^{ldr}$ is the noise in the Doppler shift due to the transponder noise of the lander. The meanings of the other terms are the same as those in Eq. (21). From the noise analysis of Chang'e 3, we know that the main noises are the clock noise, the tropospheric noise and the antenna mechanical noise. It follows from Eq. (21) and Eq. (23) that to reduce or cancel out their influences, we construct a new observable $O_2(t)$ as $O_2(t) = \dot{\rho}^{4w}(t) - \dot{\rho}_E^{2w}(t)$. If we denote $y_{II}(t)$ as the residual in the Doppler shift $O_2(t)/c$, then it equals to the differential of $y_4$ and $y_I$. The residual $y_{II}(t)$ may be modelled from Eq. (21) and Eq. (23) as \begin{align} y_{II}(t) &= y_4^{gw}(t) - y_{2,E}^{gw}(t) - y^{trop}(t - T_2^E) + y^{trop}(t - T_2^E - T_2^M) \\ &- y^{iono}(t - T_2^E) + y^{iono}(t - T_2^E - T_2^M) - y^{ant}(t - T_2^E) \\ &+ y^{ant}(t - T_2^E - T_2^M) + y^{FTS}(t - T_2^E) - y^{FTS}(t - T_2^E - T_2^M) \\ &+ y^{TDRS}(t - T_2^E/2 - T_2^M) + y^{ldr}(t - T_2^E/2 - T_2^M/2). \end{align} (24) Obviously, the influence of the SBGWs to the Doppler shift is $y_4^{gw}(t) - y_{2,E}^{gw}(t)$, which is in fact equivalent to the influence of the SBGWs to the Doppler shift given from the two-way range rate between the lander and the TDRS, thus we may denote by $y_{2,M}^{gw}$ the $y_4^{gw}(t) - y_{2,E}^{gw}(t)$. In this scheme, the distance between the lander and the TDRS is about $6.5 \times 10^4$ km. So the round-trip time $T_2^M$ is about 0.43 s. The power spectrum $S_{y_{II}}$ of $y_{II}$ may be evaluated as \[ S_{y_{II}}(f) = S_{y_{2,M}}^{gw}(f) + 4 \sin^2(\pi T_2^M f) \left[ S_y^{trop}(f) + S_y^{iono}(f) + S_y^{ant}(f) \right] \] \[ +4 \sin^2(\pi T_2^M f) S_y^{FTS}(f) + S_y^{TDRS}(f) + S_y^{ldr}(f), \tag{25} \] where $ S_{y_{2,M}}^{gw}(f) $ is the power spectrum of $ y_{2,M}^{gw} $ and $ S_y^{ldr}(f) $ is the power spectrum of $ y^{ldr} $. Assume that the power spectrum $ S_{y_{II}}(f) $ of the residual $ y_{II}(t) $ is constant in the frequency band from 1 mHz to 0.1 Hz. It may be written as $ S_{y_{II}}(f) = \frac{\sigma_{II}^2}{2\pi} $, where $ \sigma_{II} $ is the root mean square of the residual $ y_{II} $. The requirements on the main noises are obtained from Eq. (25), which are listed in the Table 3. \| Noise \| Requirement on psd \| \|-------------\|---------------------\| \| Troposphere \| $ \leq \frac{\sigma_{II}}{8\pi \sin^2(\pi T_2^M f)} $ \| \| Ionosphere \| $ \leq \frac{\sigma_{II}}{8\pi \sin^2(\pi T_2^M f)} $ \| \| Antenna \| $ \leq \frac{\sigma_{II}}{8\pi \sin^2(\pi T_2^M f)} $ \| \| Clock \| $ \leq \frac{\sigma_{II}^2}{8\pi \sin^2(\pi T_2^M f)} $ \| \| TDRS \| $ \leq \frac{\sigma_{II}}{2\pi} $ \| \| Lander \| $ \leq \frac{\sigma_{II}}{2\pi} $ \| Table 3: Requirements on the power spectral density of the noises in the second scheme. ### 5.3. Comparisons of two schemes It follows from the Tables 2 and 3 that these two schemes have different noise requirements. In the first scheme, there is a common noise requirement on the tropospheric noise, the ionospheric noise and the antenna mechanical noise, namely, their power spectrums should be smaller than $ \frac{\sigma^2}{8\pi \cos^2(\pi T_2^E f)} $. The power spectrum of the clock should be smaller than $ \frac{\sigma^2}{8\pi \sin^2(\pi T_2^E f)} $. In the second scheme, the noise requirements on the tropospheric noise, the ionospheric noise, the antenna mechanical noise and the clock noise are identical. Their power spectrums should be smaller than $ \frac{\sigma_{II}^2}{8\pi \sin^2(\pi T_2^M f)} $. For comparison, we show in Fig. 13 the functions $ 1/(4 \cos^2(\pi T_2^E f)) $, $ 1/(4 \sin^2(\pi T_2^E f)) $ and $ 1/(4 \sin^2(\pi T_2^M f)) $. We find that when $ \sigma_I = \sigma_{II} $, the requirements on the tropospheric noise, the ionospheric noise and the antenna mechanical noise in the first scheme are about 1.5 orders in magnitude higher than those in the second scheme. Further the requirement on the clock noise in the first scheme is also much higher than that in the second scheme. For example, the requirement in the first scheme is about 3.5 orders in magnitude higher than that in the second scheme at 0.01 Hz. ![Graph](image) Figure 13: The plot for the functions $1/(4 \cos^2(\pi T_2^E f))$, $1/(4 \sin^2(\pi T_2^E f))$ and $1/(4 \sin^2(\pi T_2^M f))$. From the noise analysis of Chang’e 3, the main noises limiting the improvement of the measurement accuracy are the propagation noises and the antenna mechanical noise. Thus the second scheme is better than the first scheme. Further, in the second scheme, we do not have to consider the ground electronic noise and thermal noise. Thus, the second scheme is recommended for future Doppler tracking of Chang’e 4 to constrain the SBGWs. In the following, we will further elaborate on certain practical aspects of the main noises when we try to implement the measurement scheme. In the Chang’e 4 mission, the measurement accuracy of the range rate is expected to reach about 15 $\mu$m/s with the sampling time to be 1 s. Since we are interested in constraining the SBGWs in the frequency band from 1 mHz to 0.1 Hz, the original Doppler tracking can be smoothed to a new time series with the sampling time to be 5 s. Thus in principle the root mean squares $\sigma_I$ and $\sigma_{II}$ are about $2.3 \times 10^{-14}$. It then follows from the Table 3 that the explicitly requirements on the main noises are listed in the Table 4. For clarity, we plot the functions $2.1 \times 10^{-29} / \sin^2(\pi T_2^M f)$ and $8.5 \times 10^{-29}$ in the Fig. 14. \| Noise \| Requirement on psd \| \|-----------\|-------------------------------------\| \| Troposphere\| $\leq 2.1 \times 10^{-29} / \sin^2(\pi T_2^M f)$ \| \| Ionosphere \| $\leq 2.1 \times 10^{-29} / \sin^2(\pi T_2^M f)$ \| \| Antenna \| $\leq 2.1 \times 10^{-29} / \sin^2(\pi T_2^M f)$ \| \| Clock \| $\leq 2.1 \times 10^{-29} / \sin^2(\pi T_2^M f)$ \| \| TDRS \| $\leq 8.5 \times 10^{-29}$ \| \| Lander \| $\leq 8.5 \times 10^{-29}$ \| Table 4: Requirements on the power spectral density of the noises in the second scheme when $\sigma_{II} = 2.3 \times 10^{-14}$. ![Graph showing the plot for the functions $2.1 \times 10^{-29} / \sin^2(\pi T_2^M f)$ and $8.5 \times 10^{-29}$.](image) Figure 14: The plot for the functions $2.1 \times 10^{-29} / \sin^2(\pi T_2^M f)$ and $8.5 \times 10^{-29}$. For the tropospheric noise, its power spectral density is (see Linfield, 1998) \begin{align} S_y^{trop}(f) &= 1.4 \times 10^{-27} f^{-2/3} \text{Hz}^{-1}, \quad 10^{-5} \leq f \leq 10^{-2} \text{Hz}, \\ &= 2.2 \times 10^{-30} f^{-3} \text{Hz}^{-1}, \quad 10^{-2} \leq f \leq 1 \text{Hz}. \end{align} It is smaller than that requirement listed in the Table 4 when the frequency is smaller than 0.01 Hz. But it is about 0.5 to 1 order in magnitude larger than the requirement from 0.01 to 1 Hz. Since it is well known that the tropospheric noise depends on the elevation angle, the season, time of day, and weather conditions, it is likely we may lower the tropospheric noise to reach the requirement. For the ionospheric noise, for the X-band (≈ 8.47 GHz), its power spectrum $S_{y}^{ion}(f)$ is approximated by $7.79 \times 10^{-29} f^{-2/3} \text{Hz}^{-1}$ (Tinto, 2002). Thus it is smaller than that in the Table 4. For the ground master clock and the frequency and timing distribution, if we use a clock with the one-sided power spectral density given as (Tinto et al., 2009) $$S_{y}^{FTS}(f) = 6.2 \times [10^{-28} f + 10^{-33} f^{-1}] + 1.3 \times 10^{-28} f^2 \quad \text{Hz}^{-1}, \quad (28)$$ then the clock noise satisfies the requirement listed in the Table 4. As far as antenna mechanical noise is considered, if we convert from the required power spectrum of the antenna mechanical noise to the Allan deviation $\sigma_{ant}(\tau)$, we have that $\sigma_{ant} \approx 3.2 \times 10^{-13}$ when $\tau = 5s$. From the experience of Cassini, it may be reached if the observation is under some favorable conditions (Asmar et al., 2005), which we will study carefully in future. For the TDRS and the lander, the main noises are the transponder noise (Asmar et al., 2005). In the Cassini spacecraft, the one-sided power spectral density $S_{y}^{TR}(f)$ is (Riley et al., 1990) $$S_{y}^{TR}(f) = 1.6 \times 10^{-26} f \quad \text{Hz}^{-1}. \quad (29)$$ This power spectrum is $1.6 \times 10^{-29}$ at about 1 mHz and then increases linearly to $1.6 \times 10^{-27}$ at 0.1 Hz which is about 1.2 orders in magnitude higher than the required $8.5 \times 10^{-29}$. Thus it is possible to improve the transponder noise on the TDRS and the lander. Subject to the requirements on the noises in the second scheme, it is expected that the best measurement accuracy of the data is about 15 μm/s, then the upper bound on the energy density $\Omega_{gw}$ of SBGWs in the band from 1 mHz to 0.1 Hz is calculated and shown in Fig. 15. It indicates that the upper bound on $\Omega_{gw}$ will be improved nearly one order in a wider band when compared with that of Chang'e 3. Further, it will be improved by nearly 1.3 orders at about 0.1 Hz when compared with those from the Earth's seismic data. Figure 15: The expected upper bound on SBGWs from Chang’e 4 (green dash line). The other constraints are listed here for comparison. These constrains include the results obtained from the Cassini spacecraft (Armstrong et al., 2003), the ULYSSES spacecraft (Bertotti et al., 1995), the normal modes of the Earth (Coughlin et al., 2014a), the Apollo missions (Aoyama et al., 2014), the Earth’s seismic data (Coughlin et al., 2014b), the Lunar seismic data (Coughlin et al., 2014c), the torsion-bar antenna (Shoda et al., 2013), the LIGO mission (Aasi et al., 2014) (corresponds to four lines) and the Chang’e 3 mission (red line). 6. Conclusion A detailed analysis has been presented on the range rate data of the Chang’e 3 lunar mission. Apart from giving an improved upper bound on the SBGWs in the narrow frequency band of 0.02 to 0.05 Hz, the feasibility of improving on the upper bound in the upcoming Chang’e 4 mission is also discussed. By making use of the differential coherent Doppler measurement in Chang’e 4, the effects due to the interplanetary plasma, ionosphere, troposphere, and the effects due to the ground instruments and clock can be removed considerably. The upper bound on the SBGWs may then be improved by nearly one order in a wider band when compared with that of Chang’e 3. With the promise in science for future lunar as well as deep space programs in China, we hope our work constitutes a modest beginning on this front as far as experimental tests of general relativity are concerned. Acknowledgment The present research is supported by the Strategic Priority Research Program of the Chinese Academy of Sciences Grant No.XDB23030100, National Natural Science Foundation of China (project number 11173005, 11171329, 61304233 and 41590851), and also in part by the National Basic Research Program of China under Grant 2015CB857101. References [1] Aasi J., Abbott B. P., et al. Improved Upper Limits on the Stochastic Gravitational-Wave Background from 2009-2010 LIGO and VIRGO Data[J]. Physical Review Letters, 2014, 113(23): 231101 [2] Aoyama S, Tazai R, and Ichiki K. Upper limit on the amplitude of gravitational waves around 0.1 Hz from the Global Positioning System[J]. Phys.rev.d, 2014, 89(6): 196-204. [3] Armstrong J W, Iess L, Tortora P, et al. Stochastic Gravitational Wave Background: Upper Limits in the 10-6 to 10-3 Hz Band[J]. Astrophysical Journal, 2003, 599(2): 806-813. [4] Armstrong J W, Estabrook F B, Asmar S W, et al. Reducing antenna mechanical noise in precision spacecraft tracking[J]. Radio Science, 2006, 43(3): 304-312 [5] Asmar S W, Armstrong J W, Iess L, et al. Spacecraft Doppler tracking: Noise budget and accuracy achievable in precision radio science observations[J]. Radio Science, 2005, 40(2): 886-891. [6] Barnes J A, Chi A R, Cutler L S, et al. Characterization of Frequency Stability[J]. IEEE Transactions on Instrumentation & Measurement, 1971, IM-20(2): 105-120. [7] Bertotti B, Ambrosini R, Armstrong J W, et al. Search for gravitational wave trains with the spacecraft ULYSSES.[J]. Astronomy & Astrophysics, 1995, 296(1): 13-25. [8] Cao J, Songjie H, Zhang Y, et al. Analysis of the Accuracy of Statistical Positioning for Chang'e-3 Lunar Lander[J]. Journal of Spacecraft Tt & C Technology, 2014. [9] Chapront J, and Francou G. Lunar Laser Ranging: measurements, analysis, and contribution to the reference systems[J]. Iers Technical Note, 2006, 34: 97-116. [10] Coughlin M, and Harms J. Constraining the gravitational wave energy density of the Universe using Earth’s ring[J]. Physical Review D, 2014a, 90(4): 042005 [11] Coughlin M, and Harms J. Upper limit on a stochastic background of gravitational waves from seismic measurements in the range 0.05-1 Hz.[J]. Physical Review Letters, 2014b, 112(10): 291-297. [12] Coughlin M, and Harms J. Constraining the gravitational-wave energy density of the Universe in the range 0.1 Hz to 1 Hz using the Apollo Seismic Array[J]. Physical Review D, 2014c, 90(10): 102001 [13] Estabrook F B, and Wahlquist H D. Response of Doppler spacecraft tracking to gravitational radiation[J]. General Relativity & Gravitation, 1975, 6(5): 439-447. [14] Linfield R P. Effect of aperture averaging upon tropospheric phase fluctuations seen with a radio antenna[J]. Radio Science, 1998, 33(5): 1353-1359. [15] Maggiore M. Gravitational wave experiments and early universe cosmology[J]. Physics Reports, 1999, 331(6): 283-367. [16] Mendell W W. Effect of the Lunar Seismic Environment on a Moon-Based Optical Interferometer[J]. American Society of Civil Engineers, 1998(206): 451-461. [17] Michael Soffel, and Ralf Langhans. Space-Time Reference Systems (Springer-Verlag Berlin heidelberg, 2013) [18] Peter J. Brockwell, and Richard A. Davis. Time Series: Theory and Methods (Springer New York, 1991) [19] Petit G, and Luzum B. IERS Conventions (2010)[J]. Iers Technical Note, 2010, 36: 1-95. [20] Ping J. Chang’e 3 and Jade Rabbit’s: observations and the landing zone[C]. 40th COSPAR Scientific Assembly. Held 2-10 August 2014, in Moscow, Russia, Abstract B0.1-12-14. 2014. [21] Riley A L, Antsos D, Armstrong J W, et al. Cassini Ka-Band Precision Doppler and Enhanced Telecommunications System Study. Jet Propulsion Laboratory Report, Pasadena, California, January 22, 1990. [22] Sathyaprakash B S, and Schutz B F. Physics, Astrophysics and Cosmology with Gravitational Waves[J]. Living Reviews in Relativity, 2009, 12(1): 941-944. [23] Shoda A, Ando M, Ishidoshiro K, et al. Search for a stochastic gravitational-wave background using a pair of torsion-bar antennas[J]. Physics, 2013, 89(2): 1-3. [24] Theodore D. Moyer. Formulation for Observed and Computed Values of Deep Space Network Data Types for Navigation (Wiley-Interscience, 2003) [25] Tinto M. The Cassini Ka-band gravitational wave experiments[J]. Classical & Quantum Gravity, 2002, 19(7): 1767-1773. [26] Tinto M, Dick G J, Prestage J D, et al. Improved spacecraft radio science using an on-board atomic clock: Application to gravitational wave searches[J]. Physical Review D Particles & Fields, 2009, 79(10): 313-316. [27] Wagner R V, Robinson M S, Speyerer E J, and Plescia J B. Locations of Anthropogenic Sites on the Moon[C]. Lunar & Planetary Science Conference, 2014, 45: 2259 [28] Williams J G, Newhall X X, and Dickey J O. Lunar moments, tides, orientation, and coordinate frames[J]. Planetary & Space Science, 1996, 44(10): 1077-1080. [29] Williams J G, Turyshev S G, Boggs D H. LLR tests of the equivalence principle with the Earth and Moon, Int J Mod Phys D[J]. International Journal of Modern Physics D, 2009, 18(7): 1129-1175.
Health and Safety Consultants Ltd Inspecting E-safety - what Ofsted are looking for? The Ofsted briefing paper (rev. Jan 2013), 'Inspecting e-Safety: Briefing for Section 5 Inspection' provides an outline of the safeguarding arrangements inspectors will expect to see in relation to safe use of the internet. Ofsted will be on the lookout for how the school protects and educates both staff and pupils in the use of technology and what measures are in place to intervene and support should a safeguarding issue arise. The framework makes this issue a top priority for schools. Learning about e-safety is a vital life skill. Empowering children at an early age with the knowledge to safeguard themselves and their personal information is something that ought to be nurtured throughout school to see them into adult life. Equally, it is important to empower parents, with the right information so that they can identify risky behaviour, or mitigate the possibility of risk. The new Ofsted handbook and guidance have made the expectations that need to be met very clear. The following are sample questions that an inspector might ask when conducting an inspection: * How do you ensure that all staff receive appropriate online safety training that is relevant and regularly up to date? * Describe how your school educates children and young people to build knowledge, skills and capability when it comes to online safety? How do you assess its effectiveness? * What mechanisms does the school have in place to support pupils and staff facing online safety issues? * How does the school educate and support parents and whole school community with online safety? * Does the school have e-safety policies and acceptable use policies in place? How does the school know that they are clear and understood and respected by all? Facebook, twitter, Tumblr and other social network sites are here to stay along with other technology such as iPhones and Blackberry media. Whether we like it or not, there is no way of controlling the recommended age-limit on these systems. We must, therefore 'tool up' children from a young age with the skills to keep themselves safe on-line. Schools have an enormous responsibility and are continually fighting an uphill battle. There is a huge range of resources to call upon to prevent you from reinventing the wheel. Contact KAHSC for further information, training opportunities and support on this issue. This briefing and other Safeguarding related Ofsted briefings (January 2013) can be found on the KAHSC website or direct from Ofsted. No eating and drinking in labs or prep rooms - it's the law! Following an article published in the CLEAPSS newsletter last year, they have received a large number of queries from lab technicians frustrated that colleagues do not take the warning of no eating and drinking seriously. There are two pieces of legislation which cover this. The COSHH Regulations and The Management of Health and Safety at Work Regs which rules that it is vital to separate eating and drinking from 'dangerous areas' which include a school science laboratory and prep room. CLEAPSS have produced guidance (G113) and a poster which can be displayed in the prep room or lab which includes extracts from relevant legislation. Both can be found on the KAHSC website or direct from CLEAPSS. The KAHSC 'Making Sense of Safeguarding' conference - back by popular demand! Avoiding infection from farm animals – "e-Bug" learning resources After last year's enormously successful 'Making Sense of Safeguarding' conference, KAHSC are inviting you to join us and our associates again this year on 25 April 2013 at the North Lakes Hotel, Penrith. Responding to feedback from last year's conference we have kept the format the same so that all workshops can be attended by all delegates. Topics covered in this year's workshops are Child Protection - What's new? with Anne Sutherland, E-safety and Cyber Bullying with Jeff Haslam, Managing Conflict and Behaviour with Joanne Caffrey of Total Train and Wellbeing/Stress Management with our very own Penny Gosling. Each workshop is restricted to 25-30 participants so places for the day are limited. Book early to guarantee your place! Farm visits and visits from farm animals to your school or setting are an enjoyable and educational experience for children. It is important however, that when organising such 'visits', the risks of infection from farm animals is considered. Of course this issue is not just limited to school organised visits – here in Cumbria many schoolaged young people live on farms themselves so this website and educational resource are just as applicable to those young people. Many farm animals are carriers of microbes and parasites which are harmless to them but pose a risk of bacterial infections such as E. Coli and Salmonella in humans. At particular risk are under-fives who are more vulnerable and more likely to develop serious illness if infected. e-Bug.eu is an educational website from the Health Protection Agency (HPA) that helps to make learning about micro-organisms, their spread and prevention and treatment of infection, accessible to all students and includes an area specific to Farm Hygiene as well as many others. The free teaching resources include detailed lesson plans, student worksheets, PowerPoint presentations as well as online games and revision pages.Visit www.e-bug.eu 2 \| Safety Scene Call us today 01228 210152or visit us online at Safety Scene\| 2 www.kymallanhsc.co.uk Life is a Rollercoaster! A website developed to provide advice to 11-16 year olds The Cumbria Partnership NHS Foundation Trust have been working alongside Carlisle Young Carer groups, the Foundation Trust's Drug, Alcohol and Sexual Health service (DASH), a number of youth groups and young people to develop a website making information about mental health and wellbeing accessible for 11-16 year olds. The "Life is a Rollercoaster" website, www.cumbriapartnership.nhs.uk/rollercoaster.htm, is designed for young people in Cumbria, but can be used by anyone who would like to know more about how to deal with a range of physical and emotional issues they may be facing, from feeling stressed or angry, to being bullied, dealing with sexual health, drugs and alcohol, managing diabetes and asthma or having low self-esteem. The site is accessible to all and tells visitors who their local school nurse is and who they can get further help and advice from. In Court: Council charged after teenager engulfed in fireball on school camping trip A 15 year-old girl from a school in East Ham was caught in a flashover when methylated spirits were poured into a cooking stove. Her clothing and head scarf were engulfed by flames and she suffered severe burns to her body with permanent scarring. The incident took place on a 3 day D of E Silver Award camping trip led by a Council employed expedition leader along with two teachers and a school administrator. The court heard the group was enjoying the second night at the camp. One of the girls wanted to cook some more food but thought the stove was going out. She picked up a five-litre container of methylated spirits and poured some into the stove causing the instant flashover. The HSE Inspector said "The incident was avoidable and the failure to take simple safety measures has led to a young girl being unnecessarily scarred for life… Any fuel needed for the trip should have been taken in containers incorporating a safety cut-off valve and kept away from ignition sources. There also should have been a better procedure to follow when filling or refilling the stove." Newham Borough Council was found guilty of breaching the Health and Safety at Work Act 1974 and was fined £15,000 and £17,246 in costs. Local authority prosecuted after disabled child nearly drowns A 9 year old boy with severe learning and physical disabilities from Harlow Fields School had to be pulled from the water and resuscitated during a swimming session. He was taken to hospital where he had to stay for over 24 hours. Investigation into the incident found that Essex County Council had failed to provide schools with adequate guidance on how to safely run their swimming pools, also, that supervision of the boy and the rest of his class was inadequate. The council pleaded guilty to breaching the Health and Safety Act 1974 and was fined £20,000 and ordered to pay costs of £10,110. School fined after pupil hurt in design & technology lesson An 11 year-old pupil from Solihull suffered serious hand injuries whilst using a bench sanding machine during a D&T lesson. His hand became trapped between the rotating face of a sanding disc and the machine's table edge. Specialist surgery was needed to repair tendon damage to his fingers. HSE investigation found that although guarding was in place, it was inappropriate for use by a young person and the gap was big enough to trap a child's hand. An inspector added that "health and safety management for design and technology was not of the expected standard. Guidance was out of date, risk assessments were generic and concerns raised in a 2010 audit had not been addressed". The court heard that the school had carried out a generic risk assessment for the machine that highlighted entrapment as a potential hazard. However, it failed to seek advice and had made no attempt to adapt the machine for safe use by its students. The school had failed to ensure pupil's safety, and was fined £3,500, paying costs of £5,000. Scarlet Fever - Health Protection Agency advice Following an outbreak (two or more cases) of scarlet fever in a Cumbria School recently, the HPA issued the following advice: * Stop wet play in nursery / reception i.e. water, playdough (discard used), sand, until the outbreak is declared over. * Clean toys etc. as much as possible. * Ensure wash-hand basins have a supply of liquid soap (instead of bar soap) and disposable paper towels. * Encourage hand washing and good respiratory hygiene. * Ensure that drinking water fountains are properly cleaned and sanitised at the end of each day. * Ensure children or staff with symptoms of a sore throat, tonsillitis or scarlet fever stay off school and are advised to see a GP. Anyone excluded from work or school can return after completing 24 hours of an antibiotics course. Factsheets on this and the more common communicable diseases are available to download from the KAHSC website. Myth: Pupils at a Secondary School were asked not to push a fellow pupil's wheelchair as they had had no training. The pupil was in a wheelchair due to a sprained ankle. Busted: There is no Health and Safety law that prevents students from pushing wheelchairs. The school may have legitimate concerns for student welfare - if this is the case the School should address these concerns with the students so that they may be able to help their fellow students. Myth: School fete organisers were left looking for polystyrene packing pieces for their lucky dips as they were not allowed to use shredded paper or tissue paper due to Health and Safety laws. Busted: There are no Health and Safety laws which prevent the use of shredded paper in lucky dips. The Myth Buster Challenge panel found it difficult to imagine what 'risks' may be associated with this. Myth: A letter was sent to parents of children at a primary school stating that for Health and Safety reasons the children would no longer be allowed to play football on the infant playground at break and lunchtimes due to restricted space and children being hit in the face by the ball. Another school banned "dangerous footballs" only foam balls are allowed. Busted: There is no legislation which bans children from playing with footballs. The schools need to take a proportionate approach to manage these activities while the children are in the care of the school. The Myth Buster Challenge panel can be contacted at www. hse.gov.uk/contact/myth-busting.htm Are your window restrictors robust enough? Following the death of a patient who fell from a second floor hospital window, the Department of Health has issued an alert requesting that all who manage sites where vulnerable people may be present, inspect the window restrictors installed around their buildings to ensure that they are adequate to protect individuals from falling. The window restrictors installed may be inadequate to prevent a determined force to open a window beyond the 100mm restriction. KAHSC associate, Cardea Solutions works hand in hand with schools and nurseries providing award-winning safety products under four brand divisions including Window Security Solutions and Fingershield Safety (UK) Their website www.fingershield.co.uk shows the full range of products and services available. Model Policies & Safety Series Charging & Remissions Policy G35 - Fire Safety G38a - Control of Substances Hazardous to Health (COSHH) supported by model risk assessments G41 - Managing Performances in Schools G43 - Young People at Work G45 - Intimate Care & Toileting Health & Safety myths shouldn't stop school trips and activities The Royal Society for the Prevention of Accidents (RoSPA) is encouraging teachers to embrace outdoor activities after discovering that more accidents take place in schools than on trips. Injuries from leisure activities show that children are far more likely to get hurt playing football or rugby at school than going on a school hiking trip. Revealed in a new RoSPA guide: 'Planning and Leading Visits and Adventurous Activities - Guidance for Schools and Colleges', statistics show that accidental deaths are very rare on school trips - with one child dying each year, on average, in the UK. These figures are set against the 7-10million days of activity that the government estimates take place outside UK classrooms annually. The guide, which is targeted at head teachers, school staff, governors, trustees, parents and other interested groups, aims to put safety concerns into perspective and to offer no nonsense, practical advice to those who work with five to 18 year olds and who intend to oversee activities outside the school - whether they are sporting activities, cultural activities, field trips, or outdoor adventures. The publication includes sections on: the legal context; school policies; planning; outdoor and adventurous activities, and trips abroad. David Rushton, RoSPA's Head of Education and Leisure, said: "We believe that children and young people benefit so much from visiting new places and being challenged to try out new and exciting activities. It helps them to learn about safety and risk through experience. Yet there is a perception among some people that the risks and 'red tape' outweigh the benefits. This is simply not the case. The focus for schools and colleges should be on how real risks are to be managed – and not on trivial, hypothetical risks, or on burdensome paperwork." A copy of the guide is available to download from the KAHSC website or by visiting www.rospa.com/schoolandcollegesafety/teachingsafely/info/school-visits-guide.pdf Online Visits Module Live.. and Users Loving It! With Phase One of web development now over the hard work has begun on bringing our clients Phase Two, the visits staff management system. Phase One has been a huge success and a number of schools are now in full swing with inputting trip information and uploading supporting documents such as itineraries and risk assessments. User feedback has been fantastic with most finding the process very simple and straightforward. "Not having to copy everything in triplicate and distribute it saves me so much time" said one user. Within a month we had our first recovery issue. A school accidentally deleted a visit when they meant to print it. The information was fully recoverable from our secure back-up server. The day trip was saved! Coming soon in Phase Two is the development of staff profiles which schools and settings can use to demonstrate the competence of staff who lead or accompany visits. The system will have the facility to upload scanned qualification certificates and experience logbooks for that purpose. Any qualification expiry dates will link to a calendar which will fire off an email to the Educational Visits Coordinator 2 months before the qualification expires to notify them of that. The best thing about our system is that it is fully developed by KAHSC which means that we can continue to make changes to it very easily to meet the exact needs of the end usersomething which we couldn't have done if we had bought an off-the-shelf package. - supported by model school procedures The User Guide is available to download from the website now and every client able to use the system was invited by email to be 'switched on' back in Nov 2012. The system is very easy to use but training on its use is available free of charge by contacting firstname.lastname@example.org "Know It All" ..... Really?... Do you? In line with Ofsted's e-safety inspection criteria, one issue schools may wish to pay particular attention to is the increase in 'sexting'. Sexting or SGII (Self-generated indecent images) is the sending and receiving of personal sexual images or conversations to another party, usually via mobile phone messaging or instant messaging. In a survey, a shocking 40% of Key Stage 3 and 4 students did not consider topless images as inappropriate and said they knew friends who carried out sexting. On Childnet International's "Know It All" website, www.childnet.com/kia/secondary/toolkit-advanced/picture-this.aspx you can find a teaching resource when tackling this sensitive issue. 'Picture This' includes lesson plans and a 25 minute play script - using drama to enlighten pupils as to the consequences of creating and sending indecent images. What statutory documents must my school have in place? The Department of Education (DfE) has reviewed it's list of statutory policies and documents which governing bodies and proprietors of independent schools are required to hold (Oct 2012). While governing bodies are required to hold each of the listed documents, the drafting of school policies can be delegated to any member of school staff. The revised document also now allows for some statutory policies to be 'Approved' by others in the school e.g. Head teacher or Committee of the Governing Body. In fact, only 4 out of the 28 now require full Governing Body approval. Schools are also free to review many of the statutory policies in line with their own timetable. In the reviewed list there are 3 new pieces of documentation required: 1. Governors written statement of behaviour principles - (Model currently being prepared by KAHSC). 2. Complaints procedure statement - a statement setting out the procedures for dealing with complaints against the school 3. Statement of procedures for dealing with allegations of abuse against staff The previously named Performance Management policy has been renamed 'Teacher Appraisal Policy'. The full list of statutory policies and documents, along with model policies and procedures for the majority of the statutory documents are available to download from the KAHSC website. New Courses Available to book NOW. Check out the information below to find one that suits your training needs. Enquire or book a place by contacting Julie on 01228 210152 or email email@example.com NEW - Fire Safety Training for Schools and other settings – Trainer Bill Murray, Fire Safety Advisor Basic Staff Fire Safety Training (2 – 2 ½ hours) Coming Autumn 2013 Fire Warden Training (3 – 3 ½ hours) NEW - Conflict Management and Physical Intervention – Trainer Joanne Caffrey, Total Train Conflict Management/De Escalation Training – BTEC Approved Competence Course (6 hour) School Physical Intervention Training – BTEC Approved Competence Course (6 hour) Awareness course(3 hour) This will equip other staff in the school with skills to support the 'competent' person without interfering with or aggravating the strategies being employed. Further details of these and other courses are available from the KAHSC website, or alternatively you can call us on 01228 210152 or e mail us at firstname.lastname@example.org. PROFESSIONAL BUSINESS SUPPORT FOR YOUR SCHOOL Looking for the best products at the best prices in: l Procurement Services - Guaranteed Savings for your school l IT and Computer Hardware, Software, Maintenance and Support l Reprographics - find the right machine at the right price l Network and Data Cabling l Let our experienced staff provide you with advice, guidance and support Call Mike Thomson (Dip.D.I.) With over fifteen years experience in School Minibus Assessments and Training countywide, get yours from as little as £30 per assessment. Visit us at www.system-it.co.uk or call Adrienne Gibson on 07584 211 360 or 01228 516555 or email her at email@example.com to find out what we can do for you. Are you experiencing difficulty recruiting a clerk to your governing body? Cumbria Clerking Advisory Serice How effective is your governing body? Would an evaluative "health check" be beneficial? If the answer is "Yes" to any of these questions then Cumbria Clerking Advisory Service is the service for you. Contact: Mrs Sue Glendinning 01228 812424 07887426958 firstname.lastname@example.org www.cumbriaclerkingadvisoryservice.weebly.com Health and Safety Consultants Ltd Kym Allan Health & Safety Consultants Ltd 3-4 Citadel Row, Carlisle, Cumbria, CA3 8SQ Tel: 01228 210152 Fax: Email: 01228 210153 email@example.com Website: www.kymallanhsc.co.uk To discuss your needs please call 07876 136131 or email firstname.lastname@example.org Prevent Finger-Trapping Accidents Contact Fingershield for a Free Door Safety Risk Assessment Survey on Freephone: 0800 980 9444 or visit www.fingershield.co.uk for more information. E-mail: email@example.com Fingershield Safety (UK) is a trading division of Cardea Solutions Ltd
INSTRUCTION MANUAL SPECIFICATION - Power supply: 220-240V 50/60Hz - Heating power: 80W - Humidify power: 30W - Total power: 110W - Water tank capacity: 6L - Evaporation Rate: ≥300ml/H - Noise level: ≤35dB(A) ELEMENTS Pictures are for reference only 1. Nozzle 4. Base A. Filter 2. LCD display 5. Front panel B. Filler 3. Water tank 6. Aroma box PRODUCTS FEATURES - Large humidifying capacity - Plasma function - Cool and warm mist function - Microprocessor control - LCD display - Touch-sensitive buttons - Remote controller - Aromatherapy - Automatic humidity control - Wired humidity sensor and thermometer - 3 humidification levels - 12-hour timer - Night mode - Automatic power-off when empty - Softlight illumination - Ion exchange resin filter - Noiseless operation WORKING PRINCIPLE Ultrasonic Humidifier uses the ultrasonic high-frequency oscillator to break up water into tiny water particles with the diameter of about 1-5 µm.The ventilation system blows out this water into the dry air where they evaporate to give the required humidity. The clearly visible smooth and even fog can be seen out of the unit. SAFETY NOTES 1. Never disassemble the base unit without consulting qualified personnel. 2. If the supply cord is damaged, it must be replaced by the manufacture in order to avoid a hazard. 3. Do not add detergents or chemical solutions into the unit. 4. Unplug appliance during filling, cleaning and maintenance. 5. Keep detergents and chemical solutions away from children. 6. If any abnormal smell appears during normal operation, please switch off and disconnect power supply and have qualified personnel amend. 7. Never touch water in the water basin or components in the water when the unit is working. 8. Never switch on when there is no water in the water basin. 9. Never scrape transducer with sharp tools. 10. Never clean transducer with agressive detergents or chemical solutions. 11. Never let water splash into inner base unit to avoid components damage. 12. Care should be taken when using the appliance due to emission of hot water vapor. 13. Before cleaning and maintenance, the appliance must be disconnected from the power supply. 14. This appliance can be used by children aged from 8 years and above if they have been given supervision or instruction concerning use of the appliance in a safe way and if they understand the hazards involved. Cleaning and user maintenance shall not be made by children unless they are older than 8 and supervised. Keep the appliance and its cord out of reach of children aged less than 8 years. Cleaning and user maintenance shall not be made by children without supervision. 15. Children should be supervised to ensure that they do not play with the appliance. 16. Indoor use only. 17. Check the voltage carefully to ensure your home power voltage fits the product. 18. Take out the plug with hand instead of dragging the wire. 19. Do not use the product in wet environment, such as a bathhouse and a bathroom, as it can cause electric shock and fire. 20. Do not put any appliances on the product. 21. Do not clean your machine when it is on or just after swithing off as hot water or elements can hurt you. 22. Remove the water tank before moving the device. 23. Do not use the machine exposing to sunshine or close to the heater 24. Do not touch the plug or wire with wet hands to avoid electric shock. 25. Do not touch the warm mist, especially warm. 26. Keep the machine out of reach of children. SAVE THESE INSTRUCTIONS! IMPORTANT 1. The working environment for humidifier is when temperature is between 5 to 40 degrees Celsius, and relative humidity is lower than 80%RH. 2. Use clean water with temperature lower than 40°C (distilled water is recommended). 3. Clean water tank and water filter when using again after a long time. 4. Soak the water filter for 24 hours before first use. FUNCTION DESCRIPTION Relative Humidity 1. The percentage of water mist in a given space with a given air temperature is named as relative humidity, usually marked as %RH, i.e. 45%RH. The air contains water mist more or less. The proportion of water mist to the air varies according to different air temperatures. The higher the temperature, the more water mist inhaled in the air. 2. In the winter, the cold air outside enters the room and becomes warmer by the higher temperature in the room. As a result, the relative humidity decreases. If you want to keep the healthy environmental humidity, we need to increase the mist volume in the air. The humidifier can do that for us. 3. Relative humidity in different environments suitable for people: o Bedroom, living room: 45-64%RH o Patient's room: 40-55RH o Room with computer, experiment equipments: 45-60%RH o Room with piano: 40-60%RH o Museum, exhibition hall, and library: 40-50%RH Water filter: 1. Cation exchange resin filter soften the hard water. 2. Cation exchange resin filter demineralize the water. OPERATION PROCEDURE 1. Put the machine on a flat surface and take off the cover. 2. Lift the water tank, turn upside down and unscrew the water filter. 3. Fill the water into the water tank by the filler located on the bottom of the tank. 4. After pouring the water, screw the cap with the filter tightly and place tank on the base of the device. Part of the water overflows from the water tank into the water container in the device base. 5. Put the cover on water tank. 6. Check if the rated voltage meets the input voltage and plug into the socket. Display shows the symbol POWER . 7. Touch the symbol POWER on the machine; the background LED light will be on. The machine will begin to work in AUTO mode. Display shows AUTO symbol and shows current humidity and current temperature alternately in 30 seconds. After 15 seconds without any operation, the display will become dim, touch any key except power key to wake up the display. In Auto mode, the device determines the optimal humidity according to current temperature and starts to achieve it at maximum power. When the current humidity is lower than the humidity showed in the table, it is in high speed operation. When the humidity is reached, the machine will be in low speed operation. The device checks the accordance of the temperature level and the humidity level every 1 minute. 8. Timer setting: There are 12 timer settings. Touch the symbol TIME , the LED display will show the desired setting timer. Touch till "--:--" display on the LED, timer setting is cancelled. The timer shows the rest operation time and decreases by 1 minute, i.e., if the timer is set at 12 hours, LED display shows 11:30 after 30 minutes. To know what time have been set, just to touch any key except power key to wake up the display and then touch TIMER symbol. Touch again, to set timer again. There is a shortcut for timer setting. Touching the symbol TIMER is to increase timer, meanwhile touching symbol MAX/MIN can reduce timer. 9. Touch the symbol MAX / MIN , AUTO mode is cancelled and the mist output is in the first speed. You may select 3 desired levels of mist volume. The corresponding mist output symbol shows on the display with different running speed. In mist output level 1, the is running in low speed, level 2 is running in middle speed, level 3 is running in high speed. Touch the symbol again, to choose AUTO mode. 10. Constant humidity: Before you touch the symbol HUMIDITY , LED display shows the current humidity. You may set the humidity arranged from 40%RH to 75%RH. Touch once, it will increase by 5%RH. When it reaches 75%RH, touch again, it will show "Co" and flash for 3 seconds to exit humidity setting function and back to Auto mode. After you set the expected humidity, the display shows the symbol , the machine will keep the memory and confirm after 5 seconds. 5 seconds later, the symbol %RH will blink and LED display shows the current humidity. Touch again, it shows the expected humidity setting. If the expected humidity is less than the current humidity, the machine will be in sleeping state. But if the expected humidity is 3% higher than the current humidity, the humidify function will work. Mist output speed cannot be setting during the constant humidity model. There is a shortcut for humidity setting. Touching the symbol HUMIDITY is to increase humidity, meanwhile touching symbol MAX / MIN can reduce humidity. 11. First touch the symbol DEGERMING , the warm mist will come out after 10~15 minutes. On the LED display, it shows the Heating symbol . Second touch, the Plasma generator works as well. On the LED display, it shows both the Plasma symbol and Heating symbol . Third touch, Heating function will off. Fourth touch to stop both functions. 12. Touch the symbol LIGHT , the brightness of blue decoration light in the bottom and the water tank indication light dimmed. Touch again, become dimmer. Touch 3 rd time, will be turned off. 13. Long press the symbol for 2 seconds, it enters to night mode. Blue decoration light in the bottom and the water tank indication light are off, LED display turns off, leaving the symbol on the display only. After 5 seconds without any operation, the symbol will become dim, press any key except power key to wake up the display. Then long press symbol again to stop the function. 14. Auto Shut-Off: When the water tank is empty, the machine will automatically stop working. LED shows the shape of lack of water . Refill the water, and the machine will restart. If you don't refill water within 15 minutes, the machine will automatically power off. 15. On the remote controller, the related symbol controls the corresponding function. 16. Regardless of the working mode, if there is no operation in about 15 seconds, the display will turn dim. 17. Aroma function: a) Take out aroma box b) Use water-soluble aroma oil to drop into the sponge c) Put the aroma box back into the machine, the aroma function will be on automatically d) To stop the aroma function or when the machine is not in use for a long time, take out the sponge in the aroma box and clear it, then put it back to the machine. CLEANING Before cleaning, disconnect the plug! 1) Transducer - Add a little of cleaning agent or a vinegar on the transducer surface, then infuse water into the sink to soak the sink fully for 1015 min. - The water in some places is hard and the transducer surface will be covered by a limescale. You need to clean transducer with cleaning agent. - Clean with soft brush or cloth until limescale is gone. - Flush twice with clean water. Do not clean transducer by any sharp material or scrape it to avoid any damage 2) Water tank - Lift the water tank from the base of the device. - Remove the cover from the water tank. - Turn the tank upside down and unscrew the screw cap. - After pouring water, screw the cap tightly and shake the tank, holding it with both hands. - Pour water into the tank with a small amount of dishwashing liquid. - Unscrew the bottle cap and pour the water out of the container and then rinse it thoroughly. - Don't put acid, alkalescency, blencher scour into water tank to avoid damage 3) Water sink – limescale - Take out the water in sink, Clean the scale by brush, then wipe by a damp cloth. Flush it with water. 4) Water filter - Soak the water filter for 24 hours in a solution of water and vinegar. PROBLEM SOLUTION If the machine doses not work appropriately, please check as following before turn to maintenance service. If the machine is not working after checking the possible reasons above, it may have other faults. Contact with our service center. IMPORTANT INFORMATION FOR CORRECT DISPOSAL OF THE PRODUCT IN ACCORDANCE WITH EC DIRECTIVE 2002/96/EC. At the end of its working life, the product must not be disposed of as urban waste. It must be taken to a special local authority differentiated waste collection centre or to a dealer providing this service. Disposing of a household appliance separately avoids possible negative consequences for the environment and health deriving from inappropriate disposal and enables the constituent materials to be recovered to obtain significant savings in energy and resources. As a reminder of the need to dispose of household appliances separately, the product is marked with a crossed-out wheeled dustbin. INSTRUKCJA OBSŁUGI DANE TECHNICZNE - napięcie zasilania: 220-240V 50/60Hz - moc grzałki: 80W - moc nawilżacza: 30W - łączna moc: 110W - pojemność zbiornika na wodę: 6L - maksymalna wydajność nawilżania: ≥300ml/h - głośność: ≤35dB(A) ELEMENTY URZĄDZENIA Rysunki zamieszczone w instrukcji mają charakter poglądowy 1. Dysza 4. Podstawa A. Zakrętka filtra 2. Wyświetlacz LCD 5. Panel przedni B. Wlew wody 3. Zbiornik na wodę 6. Tacka na olejek OPIS URZĄDZENIA GNA-260 to zaawansowany technologicznie nawilżacz ultradźwiękowy. W niewielkiej, zgrabnej obudowie zamknęliśmy bogactwo funkcjonalności, takich jak automatyczne nawilżanie, ciepła i zimna mgiełka czy system jonizacji plazmowej. Nie zabrakło trójstopniowej regulacji wydatku pary czy specjalnie zaprojektowanej szufladki na olejki eteryczne do aromaterapii. Obsługa urządzenia odbywa się za pomocą intuicyjnie opisanych przycisków dotykowych lub pilota. Zbiornik o pojemności 6 l zapewnia co najmniej 20 godzin ciągłej pracy. Filtr z żywicą jonowymienną gwarantuje skuteczne oczyszczenie wody. Eleganckiego designu dopełnia subtelne, regulowane podświetlenie zbiornika i podstawy. - Duża zdolność nawilżania - System jonizacji plazmowej - Funkcja ciepłej i zimnej mgiełki - Sterowanie mikroprocesorowe - Wyświetlacz LED - Przyciski dotykowe typu soft-touch - Pilot w zestawie - Funkcja aromaterapii - Funkcja automatycznego nawilżania - Przewodowy czujnik wilgotności i termometr - 3 poziomy nawilżania - Timer do 12 godzin - Tryb nocny - Automatyczne wyłączenie w przypadku braku wody - Podświetlenie Softlight - Filtr wody z żywicą jonowymienną - Bezgłośna praca urządzenia ZASADA DZIAŁANIA Nawilżacz wykorzystuje ultradźwiękowy przetwornik wysokiej częstotliwości do rozbijania wody na drobne cząstki o średnicy około 1-5µm. System wentylacji wydmuchuje te cząsteczki do suchego powietrza, skutecznie zwiększając jego wilgotność. Z urządzenia wydostaje się równomierna i gładka mgiełka. BEZPIECZEŃSTWO UŻYTKOWANIA 1. Przed pierwszym użyciem należy uważnie zapoznać się z całością treści niniejszej instrukcji oraz podczas użytkowania przestrzegać zaleceń zawartych w instrukcji 2. Przewód przyłączeniowy należy podłączyć do gniazdka o parametrach zgodnych z podanymi w instrukcji 3. Urządzenie należy odłączyć od sieci zawsze poprzez pociągnięcie za wtyczkę a nie za przewód zasilający 4. Używać jedynie wody demineralizowanej lub destylowanej o niskiej zawartości składników mineralnych i temperaturze maksymalnej 40ºC 5. Nie włączać urządzenia, jeśli zbiornik na wodę jest pusty 6. Urządzenie należy ustawić na stabilnym, suchym i odpornym na wilgoć podłożu 7. Urządzenie to nie jest przeznaczone do użytku przez osoby (w tym dzieci) z ograniczonymi zdolnościami fizycznymi, sensorycznymi lub umysłowymi, chyba że będą one nadzorowane przez osobę odpowiedzialną za ich bezpieczeństwo 8. Należy zwracać uwagę, aby dzieci nie bawiły się urządzeniem 9. Urządzenie przeznaczone jest tylko do użytku domowego 10. Nie używać na wolnym powietrzu 11. Nie przenosić lub podnosić w czasie pracy. Uchwyt służy tylko i wyłącznie do przenoszenia samego zbiornika z wodąą 12. Należy upewnić się czy nakrętka filtra (A) wody jest dobrze dokręcona 13. Podczas pracy urządzenia nie wolno dotykać przetwornika ultradźwiękowego 14. Urządzenie należy ustawiać z dala od źródeł ciepła (grzejniki, piece, itp.) 15. Do zbiornika urządzenia nie wolno wlewać zapachowych dodatków do wody (olejków itp.) ani żadnych środków chemicznych – do tego celu służy specjalna szufladka 16. Nie wolno uruchamiać urządzenia, gdy nie jest w nim zamontowany zbiornik z wodąą 17. Nie należy umieszczać urządzenia w pobliżu otworów wentylacyjnych oraz urządzeń elektrycznych 18. Nie należy wkładać żadnych przedmiotów do dyszy nawilżacza 19. Nie zbliżać rąk, twarzy ani innych części ciała do dyszy przy włączonym urządzeniu 20. Nie przykrywać dyszy nawilżacza przy włączonym urządzeniu 21. Przed opróżnieniem zbiornika lub przesuwaniem nawilżacza należy odłączyć urządzenie od sieci 22. Nie pozostawiać uruchomionego urządzenia bez nadzoru 23. Po użyciu oraz przed czyszczeniem i konserwacją urządzenia należy wyjąć wtyczkę z gniazdka sieciowego 24. Nie zanurzać urządzenia w wodzie 25. Nie przechylać, nie próbować opróżniać lub napełniać zbiornika wodą podczas pracy urządzenia 26. Nie używać w przypadku uszkodzenia przewodu zasilającego, gdy urządzenie spadło lub zostało uszkodzone w inny sposób 27. Napraw sprzętu może dokonać jedynie autoryzowany punkt serwisowy. Wszelkie modyfikacje lub stosowanie innych niż oryginalne części zamiennych lub elementów urządzenia jest zabronione i zagraża bezpieczeństwu użytkowania 28. Producent nie ponosi odpowiedzialności za ewentualne szkody powstałe w wyniku niewłaściwego używania urządzenia PROSIMY ZACHOWAĆ INSTRUKCJĘ OBSŁUGI URZĄDZENIA WAŻNE INFORMACJE 1. Nawilżacz przystosowany jest do pracy w temperaturze od 5 do 40 stopni Celsjusza i przy wilgotności otoczenia nie wyższej niż 80%. 2. Użyj czystej wody o temperaturze nie wyższej, niż 40 stopni Celsjusza (zalecana woda destylowana). 3. Wyczyść zbiornik oraz filtr, jeśli używasz urządzenia po dłuższej przerwie. 4. Przed pierwszym użyciem należy moczyć filtr w wodzie przez 24h. FUNKCJE URZĄDZENIA Względna wilgotność: 1. Ilość mgiełki wodnej w danej przestrzeni o danej temperaturze powietrza nazywamy wilgotnością względną, zwykle oznaczaną za pomocą %. Powietrze może zawierać mniej lub więcej mgiełki wodnej. Udział mgły wodnej w powietrzu zmienia się w zależności od temperatury powietrza. 2. Zimą zimne powietrze z zewnątrz dostaje się do pomieszczeń i ogrzewa się dzięki wyższej temperaturze w pomieszczeniu. W rezultacie wilgotność względna maleje. Jeśli chcesz zachować odpowiedni dla zdrowia poziom wilgotności w otoczeniu, musisz zwiększyć objętość mgiełki wodnej w powietrzu. Do tego celu służy nawilżacz powietrza. 3. Względna wilgotność w różnych środowiskach odpowiednich dla ludzi: * Sypialnia, salon: 45-64% * Pokój z komputerem, sprzęt specjalistyczny: 45-60% * Pokój z fortepianem: 40-60% * Muzeum, sala wystawiennicza i biblioteka: 40-50% Filtr wodny: 1. Filtr z żywicy jonowymiennej zmiękcza twardą wodę i demineralizuje ją. Jeśli w okolicy nawilżacza zaobserwujesz dużą ilość białego osadu, oznacza to konieczność wymiany lub regeneracji filtra (namaczanie przez 24 h). UŻYTKOWANIE 1. Ustaw urządzenie na płaskiej powierzchni i zdejmij pokrywę. 2. Zdejmij zbiornik wody z podstawy, obróć dnem do góry i odkręć filtr wody. 3. Napełnij zbiornik wodą przez wlew znajdujący się na dnie zbiornika. 4. Po wlaniu wody mocno zakręć korek z filtrem i umieść zbiornik na podstawie urządzenia. Część wody przeleje się ze zbiornika wody do pojemnika w podstawie urządzenia. 5. Załóż pokrywę na zbiornik wody. 6. Sprawdź, czy napięcie znamionowe spełnia napięcie wejściowe i podłącz je do gniazda. Wyświetlacz pokazuje symbol POWER . 7. Dotknij symbolu POWER na urządzeniu. Podświetlenie LED zostanie włączone. Urządzenie zacznie pracować w trybie AUTO. Wyświetlacz pokazuje symbol AUTO oraz bieżącą wilgotność i temperaturę na przemian co 30 sekund. Po 15 sekundach bez żadnej czynności wyświetlacz się ściemni, dotknij dowolnego przycisku (oprócz przycisku zasilania), aby wznowić wyświetlanie. W trybie AUTO urządzenie określa optymalną wilgotność w zależności od aktualnej temperatury. Gdy aktualna wilgotność jest niższa niż wilgotność wskazana w tabeli, urządzenie działa w trybie wysokiej wydajności. Po osiągnięciu zadanej wilgotności urządzenie będzie działało z niską wydajnością. Urządzenie sprawdza poziom temperatury i wilgotności co 1 minutę. 8. Ustawienia timera: Jest 12 ustawień timera. Dotknij symbolu TIMER , a na wyświetlaczu LED pojawią się ustawienia timera. Aby anulować ustawienia timera, naciskaj przycisk, aż na wyświetlaczu pojawi się wskazanie "-: -". Zegar pokazuje pozostały czas działania i zmniejsza się co 1 minutę, np. jeżeli zegar jest ustawiony na 12 godzin, wyświetlacz LED pokazuje 11:30 po 30 minutach. Aby dowiedzieć się, jaki czas został ustawiony, wystarczy dotknąć dowolnego przycisku oprócz przycisku zasilania, aby obudzić wyświetlacz. Następnie należy dotknąć symbolu TIMER . Dotknij ponownie, aby na nowo ustawić czas. Istnieje skrót do ustawienia timera. Dotknięcie symbolu TIMER powoduje zwiększenie timera, podczas gdy dotknięcie symbolu MAX / MIN może zredukować timer. 9. Dotknij symbolu MAX / MIN , by anulować tryb AUTO. Nawilżacz przejdzie w tryb pracy z niską wydajnością. Możesz wybrać jeden z trzech poziomów wydajności. Animacja symbolu mgły ma inną prędkość w zależności od ustawionego poziomu wydajności. Na poziomie 1 wydajność jest niska, na 2 poziomie średnia, a na 3 poziomie najwyższa. Dotknij symbolu ponownie, aby wybrać tryb AUTO. 10. Stała wilgotność: przed dotknięciem symbolu WILGOTNOŚĆ , wyświetlacz LED pokazuje aktualną wilgotność. Możesz ustawić oczekiwaną wilgotność w zakresie od 40% do 75%. Jednokrotne dotknięcie zwiększy wartość o 5%. Aby wyjść z funkcji ustawiania wilgotności i powrócić do trybu automatycznego, po osiągnięciu 75% na wyświetlaczu dotknij ponownie (wyświetlony zostanie migający przez 3 sek. komunikat "Co"). Po ustawieniu oczekiwanej wilgotności na wyświetlaczu pojawi się symbol , urządzenie zachowa i potwierdzi ustawienie po 5 sekundach. 5 sekund później symbol % zacznie migać, a wyświetlacz LED pokaże aktualną wilgotność. Dotknij ponownie, a wyświetlacz pokaże ustawiony poziom wilgotności. Jeśli zadana wilgotność jest mniejsza niż aktualna, urządzenie pozostanie w stanie uśpienia. Jeśli oczekiwana wilgotność jest o 3% wyższa niż aktualna, funkcja nawilżania zacznie działać. W tym trybie nie można ręcznie ustawić wydajności mgiełki. Istnieje skrót do ustawienia wilgotności. Dotknięcie symbolu WILGOTNOŚĆ zwiększa wilgotność, podczas gdy dotknięcie symbolu MAX / MIN zmniejszyć wilgotność. 11. Pierwsze naciśnięcie symbolu DEGERMING spowoduje włączenie funkcji ciepłej mgiełki. Pełną moc funkcja ta osiąga po ok. 10-15 min. Na wyświetlaczu LED ukaże się symbol podgrzewania . Po drugim dotknięciu uruchomi się generator plazmowy. Na wyświetlaczu LED pokazuje zarówno symbol plazmy , jak i symbol ogrzewania . Po trzecim dotknięciu, funkcja ogrzewania zostanie wyłączona. Czwarte dotknięcie zatrzymuje obie funkcje. 12. Dotknij symbolu LIGHT , by zredukować jasność niebieskiego podświetlenia zbiornika. Ponowne naciśnięcie obniża intensywność podświetlenia jeszcze bardziej, zaś trzecie naciśnięcie wyłącza je. 13. Naciśnij i przytrzymaj ten symbol przez 2 sekundy, aby przejść do trybu nocnego. Podświetlenie urządzenia oraz wyświetlacz będą wyłączone, na wyświetlaczu ukaże się tylko symbol . Po 5 sekundach bez żadnego działania symbol przyciemni się. Naciśnij dowolny klawisz z wyjątkiem przycisku zasilania, aby wznowić wyświetlanie. Następnie naciśnij długo symbol , aby zatrzymać funkcję. 14. Auto wyłączanie: Gdy zbiornik na wodę jest pusty, urządzenie automatycznie przestanie działać. Na wyświetlaczu ukaże się symbol braku wody . Uzupełnij wodę, a urządzenie uruchomi się ponownie. Jeśli nie uzupełnisz wody w ciągu 15 minut, urządzenie wyłączy się automatycznie. 15. Ikony na pilocie odpowiadają symbolom na panelu sterowania. 16. Niezależnie od trybu pracy, jeśli w ciągu około 15 sekund nie zostanie wykonana żadna czynność, wyświetlacz zgaśnie. 17. Funkcja aromaterapii: a) Wyjmij przez przyciśnięcie tackę na olejek (6) b) Użyj rozpuszczalnego w wodzie oleju aromatycznego do nasączenia gąbki c) Włóż pojemnik z aromatem z powrotem do urządzenia, funkcja zostanie włączona automatycznie d) Aby zatrzymać funkcję aromaterapii lub gdy urządzenie nie jest używane przez dłuższy czas, należy wyjąć gąbkę z pojemnika z aromatem i wyczyścić, a następnie wsunąć z powrotem do urządzenia. CZYSZCZENIE I KONSERWACJA Przed przystąpieniem do czyszczenia wyłącz urządzenie i wyciągnij wtyczkę z zasilania. 1) Przetwornik * W niektórych rejonach woda jest tak twarda, że może powodować osadzanie się kamienia na płytce przetwornika. Użytkownik powinien czyścić przetwornik za pomocą odpowiedniego środka czyszczącego. * Zaaplikuj odrobinę środka czyszczącego na powierzchnię przetwornika, następnie zalej zbiornik wodą i pozostaw na 10-15 min * Czyść za pomocąą miękkiej szczoteczki, aż do zniknięcia osadu. * Dwukrotnie wypłucz za pomocą wody. Nie używaj do czyszczenia szczotek z metalowymi lub z twardymi końcówkami, aby nie uszkodzić przetwornika! 2) Wnętrze zbiornika na wodę * Podczas częstego użytkowania czyść zbiornik na wodę przynajmniej 2 razy w tygodniu. * Użyj miękkiej ściereczki, gdy w zbiorniku jest osad. * Jeżeli na ścianie zbiornika pojawi się brud, to można go czyścić miękką szczotką. Nie wolno wprowadzać do zbiornika wody kwasów ani alkalicznych środków czyszczących, aby uniknąć uszkodzenia! ROZWIĄZYWANIE PROBLEMÓW Poniższa tabelka pomaga w rozwiązaniu problemów, które mogą się pojawić podczas użytkowania urządzenia: Jeśli urządzenie nie działa po sprawdzeniu powyższych możliwych powodów, to może mieć ono inne usterki. Skontaktuj się z naszym centrum serwisowym. SZCZEGÓŁOWE WARUNKI GWARANCJI Gwarancja udzielana jest na okres 24 miesięcy od daty sprzedaży określonej w dowodzie zakupu i jest realizowana w standardzie DOOR-TODOOR. Ujawnione w tym czasie wady będą usuwane bezpłatnie w terminie 14 dni roboczych od daty dostarczenia produktu do serwisu producenta. Warunkiem udzielenia gwarancji jest zapoznanie się użytkownika z instrukcją obsługi i użytkowanie urządzenia zgodnie z tą instrukcją. Przez naprawę gwarancyjną rozumie się wykonanie przez zakład serwisowy czynności właściwych dla usunięcia wady objętej gwarancją. Naprawa gwarancyjna nie obejmuje czynności przewidzianych w instrukcji obsługi, do wykonania których zobowiązany jest użytkownik we własnym zakresie i na własny koszt a w tym zainstalowanie i czyszczenie urządzenia. Gwarancją nie są objęte: - elementy szklane, sznury połączeniowe i sieciowe, żarówki, baterie, akumulatory, noże tnące, sita i filtry oraz elementy eksploatacyjne. - uszkodzenia mechaniczne, chemiczne, termiczne i wszystkie inne spowodowane działaniem lub zaniechaniem działania użytkownika albo działaniem siły zewnętrznej (przepięcie w sieci elektrycznej, niezgodne z instrukcją obsługi złożenie urządzenia, korozja, pyły, przedmioty, które podczas eksploatacji dostały się do urządzenia). - uszkodzenia powstałe na skutek naturalnego, częściowego zużycia urządzenia lub jego części zgodnie z właściwościami i przeznaczeniem urządzenia (filtry, ślimaki, uszczelki itp.). - uszkodzenia wynikłe na skutek przeróbek i zmian konstrukcyjnych dokonywanych przez osoby trzecie oraz wynikłe z użytkowania niezgodnego z instrukcją. - celowe uszkodzenia sprzętu. - czynności konserwacyjne: wymiana filtrów, czyszczenie, wymiana części posiadających określoną żywotność. - uszkodzenia powstałe na skutek zastosowania innego niż używanie w gospodarstwie domowym (np. dla celów komercyjnych lub zarobkowych) Reklamującemu przysługuje prawo wymiany sprzętu na nowy, jeśli: - w okresie gwarancji serwis producenta dokona trzech napraw, a sprzęt będzie wykazywał nadal wady uniemożliwiające używanie go zgodnie z przeznaczeniem - naprawa nie zostanie wykonana w terminie określonym w pkt. 1 lub w innym terminie uzgodnionym z reklamującym w formie pisemnej - serwis producenta stwierdzi pisemnie, że usunięcie wady jest niemożliwe Dokonanie naprawy gwarancyjnej będzie poświadczone wpisem serwisu producenta na karcie gwarancyjnej. Uprawnienia z tytułu gwarancji będą realizowane jedynie po przedstawieniu przez użytkownika ważnej karty gwarancyjnej, opieczętowanej i wypisanej przez sprzedawcę wraz z dowodem zakupu potwierdzającym datę zakupu produktu. Samowolne zmiany wpisów w karcie gwarancyjnej lub dokonywanie napraw we własnym zakresie powoduję utratę świadczeń z tytułu gwarancji. Karta gwarancyjna bez załączonego dowodu zakupu oraz poprawnie wpisanej daty zakupu, pieczątki i podpisu sprzedawcy jest nieważna. Urządzenie przeznaczone jest tylko do użytku domowego. Gwarancja na sprzedany towar konsumpcyjny nie wyłącza, nie ogranicza ani nie zawiesza uprawnień kupującego wynikających z niezgodności towaru z umową. Zgłoszenia napraw gwarancyjnych należy dokonywać za pośrednictwem strony internetowej www.gotie.pl lub telefonicznie w Serwisie Centralnym producenta pod numerem +48 32 7202219 Usuwanie wyeksploatowanych urządzeń elektrycznych i elektronicznych (dotyczy krajów Unii Europejskiej i innych krajów europejskich z wydzielonymi systemami zbierania odpadów). Ten symbol na produkcie lub jego opakowaniu oznacza, że produkt nie powinien być zaliczany do odpadów domowych. Należy go przekazać do odpowiedniego punktu, który zajmuje się zbieraniem i recyklingiem urządzeń elektrycznych i elektronicznych. Prawidłowe usunięcie produktu zapobiegnie potencjalnym negatywnym konsekwencjom dla środowiska naturalnego i zdrowia ludzkiego, których przyczyną mogłoby być niewłaściwe usuwanie produktu. Recykling materiałów pomaga w zachowaniu surowców naturalnych. Aby uzyskać szczegółowe informacje o recyklingu tego produktu, należy się skontaktować z władzami lokalnymi, firmą świadczącąą usługi oczyszczania lub sklepem, w którym produkt został kupiony. KARTA GWARANCYJNA NAWILŻACZ POWIETRZA GNA-260 DATA SPRZEDAŻY …................................................... PIECZĘĆ/PODPIS ….................................................... Better Product Sp. z o.o. Tel.: +48 32 7202219 firstname.lastname@example.org
for details. and Episode – 1 22 nd – 27 th January 2021 Classics by Prasanna Seshadri Puzzle Ramayan rounds will also serve as qualifiers for Indian Puzzle Championship for year 2021. Please check http://logicmastersindia.com/PR/2021pr.asp Important Links Submission Page : Discussion Thread : Registration, if required : http://logicmastersindia.com/live?contest=PR202101 http://logicmastersindia.com/t/?tid=2783 http://logicmastersindia.com/t/?tid=2773 F. A. Q. : http://logicmastersindia.com/register.asp About this Episode This episode has 22 Puzzles from the following puzzle types: * Understand the rules of different puzzles that will appear in this episode. This Instruction Booklet has rules for each puzzle. * Download the password protected Puzzle booklet (will be uploaded before the test starts). The Puzzle booklet contains the actual Puzzles to be solved. It is password protected, so you won't be able to open it. * Any time on or after 22 nd January (but on or before 27 th January), login at the submission page using your LMI user-id and password. Please check the submission page for exact timing. * Click on "Start". At this time, password for pdf will be shown and timer will start. * The puzzle booklet can be downloaded, printed and solved on paper. * There will not be any interface / applet to solve the puzzles on web browser, but external Penpa links will be provided. The participant is still expected to come back and enter the answer key if solving using the links. * Most of the puzzles are designed to be solved faster on paper. * We advise you to have a printer accessible with enough paper. * Outside solving help of any kind is not permitted. This includes but is not limited to: assistance of any kind from any other person; prepared notes, books, calculators, computers, or tools other than items explicitly permitted. * You are allowed to use writing implements, eraser, blank paper (including commercial graph paper), ruler, scissors, and tape. If you are participating at LMI for first time, you must check the F.A.Q. at http://logicmastersindia.com/t/?tid=2773. * 3* Kakuro · 3* Yajilin · 3* Hitori · 3* Shikaku · 3* Four Winds · 3* Battleships · 2* Kakuro-Shikaku · 2* Yajilin-Battleships How to participate? About answer keys and Submission * Each puzzle has some answer keys, as described in the instructions. * After solving the puzzle, you need to submit the puzzle using the answer keys. * You may submit the answer keys anytime during the test duration. You may consider submitting a puzzle as soon as you solve it. * Answer keys are always to be entered from left to right or top to bottom * Don't enter any separator unless specified in the answer key * If one row and one column is marked, enter the row first and then the column * If multiple rows are marked, enter from top to bottom for marked rows * If multiple columns are marked, enter from left to right for marked columns * If horizontal and vertical keys are needed, first enter the horizontal and then the vertical * Uppercase or lower case of answer key does not matter * Characters other than the ones explicitly expected by the answer key will cause the red highlight to appear around the submission box. Points Table and Scoring \| Kakuro \| 5, 8, 10 \| \|---\|---\| \| Yajilin \| 2, 2, 4 \| \| Hitori \| 3, 4, 4 \| \| Shikaku \| 2, 4 ,4 \| \| Four Winds \| 2, 3, 4 \| \| Battleships \| 1, 2, 4 \| \| Kakuro-Shikaku \| 4, 20 \| \| Yajilin-Battleships \| 3, 5 \| This test uses instant grading where a solver can submit any individual Puzzle and receive confirmation that the solution is correct or not. Each incorrect submission reduces the puzzle's potential score. The first, second, third, and fourth incorrect submissions reduce the potential score to 90%, 70%, 40%, and 0% respectively. A demonstration for this is shown below. Bonus and Ranking If you submitted all Puzzles correctly, you can have bonus points 1 point per minute saved, computed up to seconds. Ranking will be based on following rules in order: 2. Earliest final submission time, up to seconds (ignoring incorrect submissions) This contest will also be solvable on the Penpa-Edit software. Below the rules of each puzzle will be a link to click to solve on the editor. The editor DOES NOT have a solution enabled so it will not check a solution. Participants must submit the answer key codes as they would with paper solving. It is therefore advisable to enter solution codes one at a time. To practice on the editor, we have given links for solving some of the example puzzles too. - Murat Can Tonta for test solving the puzzles and providing invaluable feedback. - The original creator opt-pan for penpa edit - https://opt-pan.github.io/penpa-edit/ - Swaroop Guggilam for his recent efforts in adding features to Penpa-edit https://swaroopg92.github.io/penpa-edit/ Points typically indicate difficulty of the Puzzles and time required to solve them. You will get full points if you enter the correct answer key. While the organizers have made best efforts to match them, your personal experience and preference may differ. 1. Most total points Penpa Usage Credits About the Puzzle Booklet The password protected Puzzle booklet will have X pages. We expect you to print and solve on paper, so you would need to have a printer accessible with enough paper. Solutions and keys to examples are at the end of the booklet. P a g e\| 1 5 + 8 + 10 points 2 + 2 + 4 points 3 + 4 + 4 points 1-3 Kakuro Fill in the white cells in the grid with digits from 1 to 9. The sum of digits in each horizontal / vertical group of cells is given on its left/top. Digits do not repeat within any set of consecutive white cells. [The puzzles in the contest will be of sizes 8x8, 9x9 and 10x10. This example is 6x6.] Penpa for example: https://git.io/JtJMS Answer Key: Enter the digits in the marked rows/columns. Ignore black cells. 4-6 Yajilin Shade some white cells and draw a closed loop passing through centres of all remaining white cells horizontally or vertically. Shaded cells cannot share an edge with each other. Some cells are outlined and in grey and cannot be part of the loop. Numbered arrows in such cells indicate the total number of blackened cells in the direction pointed at by the arrow. [The puzzles in the contest will be of sizes 7x7, 8x8 and 10x10. This example is 6x6.] Penpa for example: https://git.io/JtJDn Answer Key: For each marked row/column, enter the lengths of loop segments in that direction - from left to right / top to bottom. Enter 0 if there are no segments along the row/column. 7-9 Hitori Shade cells such that digits do not repeat in rows and columns. Shaded cells cannot be orthogonally adjacent to each other and all unshaded cells must be connected. [The puzzles in the contest will be of sizes 8x8, 9x9 and 10x10. This example is 6x6] Penpa for example: https://git.io/Jtkak Answer Key: Enter the length of continuous areas of shaded and unshaded cells in the marked rows/columns. orthogonally Classics 10-12 Shikaku Divide the grid into rectangular regions such that each region has exactly one circle. A number in a circle represents the area of the rectangle it is in. [The puzzles in the contest will be of sizes 8x8, 9x9 and 10x10. This example is 6x6.] Penpa for example: https://git.io/JtTV7 Answer Key: Enter the length of continuous cells of each separate region in the marked rectangle it is in. Penpa for example: rows/columns. 13-15 Four Winds Draw one or more horizontal or vertical lines from each numbered clue so that all blank cells are connected to exactly one of the numbers. Lines cannot enter other numbered squares or intersect with other lines. Each number represents the total number of blank cells occupied by the lines from that number. [The puzzles in the contest will be of sizes 7x7, 8x8 and 10x10. This example is 6x6.] Penpa for example: https://git.io/JtTVh Answer Key: Enter the unit's place of the number the cell is connected to for each cell along the marked rows/columns. 16-18 Battleships Place the given fleet (the fleet will be larger in the PB) of ships in the grid. Each segment of a ship occupies a single cell. Ships can be rotated. Ships cannot touch each other, not even diagonally. Some cells are known to be water, indicated by waves. segments may already be given. The numbers outside the grid indicate the number of cells occupied by ship segments in that row or column. [The puzzles in the contest will be of sizes 7x7, 8x8 and 9x9. This example is 6x6.] Penpa for example: https://git.io/JtTrI Answer Key: Enter the column number of the left most ship segment for each row from top to bottom, 0 if there is no ship segment. Some ship Pag e\| 2 2 + 4 + 4 points 2 + 3 + 4 points 1 + 2 + 4 points Classics 19-20 Kakuro-Shikaku Fill in the white cells in the grid with digits from 1 to 9. The sum of digits in each horizontal / vertical group of cells is given on its left/top. Digits do not repeat within any set of consecutive white cells. Additionally, divide the grid into rectangular regions such that each region has exactly one circle. A number in a circle represents the area of the rectangle it is in. [The puzzles in the contest will be of sizes 7x7 and 9x9. This example is 6x6.] Penpa for example: https://git.io/Jtka3 Answer Key: Enter the digits in the marked rows/columns. Ignore black cells. 21-22 Yajilin-Battleships Place the fleet of ships (the fleet will be larger in the PB) in the grid so that no ships touch each other, even diagonally. The grid contains internal clues (a number and an arrow) that show how many different ships are in the indicated direction. All remaining white cells that do not contain a ship segment must be able to form a single loop, as in a Yajilin puzzle. [The puzzles in the contest will be of sizes 7x7 and 9x9. This example is 6x6.] Penpa for example: https://git.io/JtTNu Answer Key: For each marked row/column, enter the lengths of loop segments in that direction - from left to right / top to bottom. Enter 0 if there are no segments along the row/column. Pag e\| 3 4 + 20 points 3 + 5 points Classics Kakuro Key: 61372, 29687 Hitori Key: 1311, 114, 213 Four Winds Key: 253333, 445353 Solutions Page Yajilin Key: 5, 2 Shikaku Key: 312, 222 Battleships Key: 260162 P a g e \| 4 Classics Yajilin Key: 5, 2 Shikaku Key: 312, 222 Battleships Key: 260162 Kakuro-Shikaku Key: 79358, 67589 Yajilin-Battleships P a g e Key: 2, 11 P a g e \| 5 Classics Yajilin-Battleships Key: 2, 11
[8] A. Yershova, L. Jaulin, T. Simeon, and S. LaValle, “Dynamic-domain RRTs: Efficient exploration by controlling the sampling domain,” in Proc. IEEE Int. Conf. Robot. Autom., 2005, pp. 2856–2861. [9] L. Zhang and D. Manocha, “An efficient retraction-based rrt planner,” in Proc. IEEE Int. Conf. Robot. Autom., 2008, pp. 3743–3750. [10] S. Rodriguez, X. Tang, J.-M. Lien, and N. M. Amato, “An obstacle-based rapidly-exploring random tree,” in Proc. IEEE Int. Conf. Robot. Autom., 2008, pp. 981–990. [11] D. Hsu, G. Sanchez-Ante, H. Iun Cheng, and J.-C. Latombe, “Multi-level free-space dilation for sampling narrow passages in pm planning,” in Proc. IEEE Int. Conf. Robot. Autom., 2006, pp. 1255–1260. [12] S. Redon and M. Lin, “Practical local planning in the contact space,” in Proc. IEEE Int. Conf. Robot. Autom., 2005, pp. 4200–4205. [13] M. Sabuncu and J. Canny, “Sampling narrow passages with probabilistic roadmaps: The small step retraction method,” in Proc. Int. Conf. Intell. Robots Syst., 2005, pp. 622–627. [14] J. Lee, O. Kwon, L. Zhang, and S. Yoon, “SR-RRT: Selective retraction-based RRT planner,” in Proc. IEEE Int. Conf. Robot. Autom., 2012, pp. 2357–2364. [15] S. M. LaValle, Planning Algorithms. Cambridge, U.K.: Cambridge Univ. Press, 2006. [16] D. Hsu, J. Latombe, and H. Kurniawati, “On the probabilistic foundations of probabilistic roadmap planning,” Int. J. Robot. Res., vol. 25, no. 7, pp. 627–643, 2006. [17] J. Borenstein and M. Veloso, “Real-time randomized path planning for robot navigation,” in Proc. Int. Conf. Intell. Robots Syst., 2002, pp. 2382–2388. [18] D. Ferguson, N. Kalra, and A. Stentz, “Replanning with RRTs,” in Proc. IEEE Int. Conf. Robot. Autom., 2006, pp. 1243–1248. [19] M. Brannicky, M. Cieslewicz, L. Levitt, and S. Morgan, “Sampling-based planning and control verification of robotic manipulators,” Proc. Inst. Electr. Control Theory Appl., vol. 153, pp. 575–590, 2006. [20] J. Cortes, L. Jauliet, and T. Simeon, “Mobile disassembly with RRT-like algorithms,” in Proc. IEEE Int. Conf. Robot. Autom., 2007, pp. 3301–3306. [21] B. Burns and O. Brock, “Single-query motion planning with utility-guided random trees,” in Proc. IEEE Int. Conf. Robot. Autom., 2007, pp. 3307–3312. [22] S. Lindenmam and S. LaValle, “Incrementally reducing dispersion by increasing voronoi bias in RRTs,” in Proc. IEEE Int. Conf. Robot. Autom., 2004, pp. 3251–3257. [23] J. Guillon, J.-L. Farges, and R. Chatila, “Cell-RRT: Decomposing the environment into a better plan,” in Proc. Int. Conf. Intell. Robots Syst., 2009, pp. 5776–5781. [24] S. Karaman and E. Frazzoli, “Sampling-based algorithms for optimal motion planning,” Int. J. Robot. Res., vol. 30, no. 7, pp. 846–894, 2011. [25] S. Rodriguez, T. Sorensen, P. Pearce, and N. Amato, “RESAMPLA: A region-based sampling-based motion planner,” in Proc. Int. Workshop Algorithm Found. Robot., 2006, pp. 4037–4044. [26] M. Morales, L. Tapia, P. Pearce, S. Rodriguez, and N. Amato, “A machine learning approach for feature-sensitive motion planning,” in Algorithm. Found. Robot. VI, vol. 17, Berlin, Germany: Springer, 2005, pp. 361–376. [27] J. Deeny and N. M. Amato, “Toggle PRM: Simultaneous mapping of C-free and C-obstacle—A study in 2D,” in Proc. IEEE Int. Conf. Robot. Autom., 2011, pp. 2632–2639. [28] S. Dalibard and J. Laumond, “Linear dimensionality reduction in random motion planning,” Int. J. Robot. Res., vol. 30, no. 12, pp. 1461–1476, 2011. [29] N. Amato, O. Bayazit, L. Dale, C. Jones, and D. Vallejo, “OBPRM: An obstacle-based PRM for 3D workspaces,” in Proc. Int. Worksh. Algorithm. Found. Robot., 1998, pp. 197–204. [30] V. Boor, M. Overmars, and A. van der Stappen, “The Gaussian sampling strategy for probabilistic roadmap planners,” in Proc. IEEE Int. Conf. Robot. Autom., 1999, pp. 1018–1023. [31] Z. Sun, D. Hsu, T. Jiang, H. Kurniawati, and J. Reif, “Narrow passage sampling for probabilistic roadmap planning,” IEEE Trans. Robot., vol. 21, no. 6, pp. 1103–1115, Dec. 2005. [32] H.-Y. Yeh, T. Thomas, D. Epstein, and N. M. Amato, “UOBPRM: A uniform, directed obstacle-based PRM,” in Proc. Int. Conf. Intell. Robots Syst., 2012, pp. 2653–2662. [33] A. Shkolnik and R. Tedrake, “Sample-based planning with volumes in configuration space,” CoRR, 2011. Available http://arxiv.org/abs/1109.3145. [34] E. Ferre and J.-P. Laumond, “An iterative diffusion algorithm for part disassembly,” in Proc. IEEE Int. Conf. Robot. Autom., 2004, pp. 3149–3154. [35] D. Hsu, G. Sanchez-Ante, and Z. Sun, “Hybrid PRM sampling with a cost-sensitive adaptive strategy,” in Proc. IEEE Int. Conf. Robot. Autom., 2005, pp. 3874–3880. [36] I. Jolliffe, Principle Component Analysis. New York, NY, USA: Springer-Verlag, 1986. [37] D. Erdogmus, Y. N. Rao, H. Peddabeni, A. Hegde, and J. C. Principe, “Recursive principal components analysis using eigenvector matrix perturbation,” EURASIP J. Appl. Signal Process., vol. 2004, pp. 2034–2041, 2004. [38] D. Kim, J. Lee, and S. Yoon, “Cloud RRT: Sampling cloud based RRT,” in Proc. IEEE Int. Conf. Robot. Autom., 2014. [39] T. L. Loi, J.-P. Heo, J. Lee, and S.-E. Yoon, “VLSH: Voronoi-based locality sensitive hashing,” in Proc. Int. Conf. Intell. Robots Syst., 2013, pp. 2543–2550. [40] J. Pan, L. Zhang, and D. Manocha, “Retraction-based RRT planner for articulated models,” in Proc. IEEE Int. Conf. Robot. Autom., 2010, pp. 2529–2536. Curvature-Bounded Traversability Analysis in Motion Planning for Mobile Robots Raghvendra V. Cowlagi and Panagiotis Tsiotras Abstract—We consider the geometric problem of deciding whether a narrow planar passage can be traversed by a curve that satisfies prespecified upper bounds on its curvature. This problem is of importance for path- and motion-planning of autonomous mobile robots, particularly when vehicle dynamical constraints are considered during planning. For a special case of narrow passages, namely rectangular channels, we present a numerical algorithm for determining if a given channel may be traversed via curvature-bounded paths. We demonstrate that the proposed algorithm can affirm traversability in cases where the most recent result in the literature fails. Index Terms—Mobile robots, motion planning, robot kinematics. I. INTRODUCTION Consider the following problem in planar geometry: Let $ \mathcal{P} $ be a polygon, with two of its edges designated as the entry and exit edges. Determine if there exists a continuously differentiable curve of finite length and with no cusps, such that this curve lies entirely within the polygon $ \mathcal{P} $, the endpoints of this curve lie on the entry and exit edges, and the curvature of this curve satisfies, pointwise, a prespecified upper bound. The bound on the curvature may vary over the region enclosed by $ \mathcal{P} $. Manuscript received November 15, 2013; revised January 30, 2014; accepted August 31, 2014. Date of publication August 31, 2014; date of current version August 4, 2014. The paper was recommended for publication by Associate Editor S. Carpin and Editor C. Torras upon evaluation of the reviewers’ comments. This work was supported in part by the Army Research Office Multidisciplinary University Research Initiative Award #W911NF-11-1-0046. R. V. Cowlagi is with the Department of Electrical Engineering Program, Worcester Polytechnic Institute, Worcester, MA 01609 (e-mail: firstname.lastname@example.org). P. Tsiotras is with the School of Aerospace Engineering, Georgia Institute of Technology, Atlanta, GA 30332 USA (e-mail: email@example.com). Color versions of one or more of the figures in this paper are available online at http://ieeexplore.ieee.org. Digital Object Identifier 10.1109/TRO.2014.2315711 Problems of this nature may be called traversability analysis problems to distinguish them from path- and motion-planning problems [1] and are frequently encountered in mobile robotics applications. Whereas the former class of problems emphasizes the existence of a curve with special geometric characteristics, the latter class of problems emphasizes the construction thereof. In this paper, we discuss the solution of a special case of a curvature-bounded traversability analysis (CBTA) problem, and we highlight the role of CBTA problems in motion planning for mobile robots. ### A. Related Work A fundamental result on CBTA is that the following problem is decidable [2]: Given a polygon, find a curve that connects two prespecified configurations (position and orientation), such that it lies entirely within the given polygon, and satisfies a unit curvature bound. A decision procedure provided in [2] solves a special CBTA problem; namely, the case of a uniform curvature bound and with prespecified initial and final configurations. Note that if the CBTA of interest does not include a specific initial or final configuration, then the decision procedure of [2] is not directly applicable. In this context, the analysis of the reachability of points within a polygon by curvature-bounded paths [3] is more relevant. In [4], CBTA of a polygon is discussed in the context of existence of curvature-bounded paths in a neighborhood of a prespecified path that traverses the polygon. This neighborhood is called a channel, and it is the union of the family of discs of a constant radius $w$, with centers along the prespecified path. The main result of [4] states that unit curvature-bounded traversal of a channel is guaranteed if $w \geq \tau$, where $\tau \approx 1.55$. This condition is sufficient for traversability, but it is not necessary: we provide an example where this condition is violated, yet curvature-bounded traversal is possible, and established by the proposed approach. The literature on curvature-bounded path planning is significantly wider than that on CBTA because the existence of such a path is assumed. In the absence of obstacles, the shortest curvature-bounded path between two prespecified configurations was shown to lie in a finite family of paths (henceforth referred to as Dubins paths), first via geometric arguments [5] and later via optimal control theory [6]. In the presence of polygonal obstacles, the problem of finding a shortest curvature-bounded path between two prespecified configurations was shown to be NP-hard [7]. Algorithms for approximating the shortest path in the presence of obstacles appear, for example, in [8]–[11]. Path planning under the additional restriction of continuity in the curvature of paths is discussed in [12]–[14]. ### B. Contributions In this paper, we precisely state and solve the following CBTA problem: Decide whether a rectangular channel can be traversed by a curve that satisfies pre-specified upper bounds on its curvature. A rectangular channel is a passage formed by a sequence of rectangles with disjoint interiors. The main contributions of this paper are as follows. First, we propose a computationally fast technique to solve the CBTA problem for the case of rectangular channels, which has been of great research interest in the field of computational geometry [4]. Moreover, a conservative solution to the CBTA of a general polygonal region can be found by internally approximating the polygon by a rectangular channel. The proposed technique does not require specific initial and final configurations, and hence, it is applicable in cases where the approach of [2] is not. Stated differently, the proposed techniques achieve, via discretization of one variable (namely, initial position), traversability results that the approach of [2] would achieve via discretization over four variables (namely, initial and final positions and initial and final orientations). Similarly, the proposed technique is capable of performing CBTA in cases where the most recent result in the literature [4] fails to provide any useful information. Furthermore, the proposed technique allows nonuniform channel width, which is not addressed in [4], and it also allows nonuniform curvature constraints, which are not addressed in any of the CETA-related papers [2]–[4], or in any of the path-planning-related papers [8]–[11]. Second, we discuss the fundamental role and application of CBTA to the problem of motion planning for autonomous mobile vehicles. Real-time motion planning in the presence of complex vehicle dynamical constraints is a problem of active research, and the use of geometric methods is considered critical for computational efficiency [15]. In this paper, we discuss how CBTA problems arise naturally in motion planning from the geometric traversal constraints imposed by the vehicle dynamic constraints. We demonstrate how a CBTA-based technique can be used to transform these constraints to convex constraints to enable real-time implementation. Finally, we discuss other robotics-related applications of CBTA (see Section I-C), thus contributing to the practical use of ideas and results from computational geometry for research and development in robotics and autonomous systems. Preliminary versions of the discussion and results presented in this paper were previously presented in [16]. This paper presents detailed algorithms for the solution of the CBTA problem, a complete proof of Theorem 1, and applications of the proposed technique, neither of which appeared in [16]. ### C. Applications of Curvature-Bounded Traversability Analysis For motion planning of autonomous mobile vehicles, CBTA is important because the curvatures of planar geometric paths that a vehicle can feasibly traverse are upper-bounded. The curvature of the path traversed by a vehicle is $\kappa = \|\theta / v\|$, where $v$ is the speed, and $\theta$ is the direction (heading) of the velocity vector of the vehicle. Bounds on this curvature stem from 1) nonholonomic kinematic constraints in conjunction with bounds on velocity variables and 2) acceleration constraints that result from limited force and torque inputs to the vehicle. An example of the former category is the Dubins car [6], which is a model of a vehicle that moves forward with constant speed and bounded turn rate. Examples of the latter category are the aircraft navigational model [17] with bounded load factor, and the half-car dynamical model [18] with bounded magnitude of ground-tire friction forces at each tire. These constraints on the tire friction forces are shown in [19] to be equivalent to a state-dependent curvature bound on the motion of a point, called the center of oscillation, associated with the half-car. Optimal path- and motion-planning for vehicles with such kinematic and dynamic constraints is difficult, yet crucial, for vehicle autonomy. Recently, we developed an optimal motion planner for such vehicles [15]. This motion planner is based upon two key ideas: 1) rectangular multiresolution cell decompositions that represent the environment map with a graph and allow the use of fast path optimization techniques for graphs and 2) history-dependent transition costs in the cell decomposition graph that allow the incorporation of vehicle kinematic and dynamic constraints. As discussed in detail in [15], a subproblem that is repeatedly encountered and solved in this motion planner is that of analyzing the feasibility of the traversal of a “channel” defined by a sequence of successively adjacent rectangular cells, and then of finding a specific motion that enables this traversal. Whereas real-world features are approximated by rectangular cell decompositions, path-planning algorithms based on such decompositions exhibit the property of resolution completeness [1]. This property implies that the path-planning algorithm is guaranteed to find a path, if it exists, in the limit as cell size approaches zero. Therefore, this property provides a sound basis for using rectangular cell decompositions in path planning and, consequently, reinforces the importance of the proposed CBTA of rectangular channels. Because of the aforesaid relation between bounds on the curvatures of feasible paths that arise due to the vehicle’s kinematical and dynamical constraints, the analysis of feasibility of traversal across such “channels” is a CBTA problem. In addition to establishing feasibility of traversal, the results of this CBTA can also be applied to simplify the search for a specific motion that enables this traversal [20]. In general, CBTA finds applications to problems in mobile robotics whenever it is convenient and/or necessary to identify a region of feasible traversal. In the context of curvature-bounded traversal of polygonal regions with polygonal obstacles, it is computationally efficient to find a path consisting of straight line segments with a guaranteed “clearance” distance from all obstacle boundaries [4]. Similarly, for semi-autonomous high-speed driving, the identification of a homotopic class of curvature-bounded paths is discussed in [21]. The main idea in [21] is to assist human drivers of ground vehicles by finding a region that is guaranteed to be both safe and feasible for traversal. The approach considered in [21] for finding this homotopic class is heuristic, and a rigorous approach for the same application may be developed using CBTA. Finally, CBTA may be applied to motion planning for highly flexible robotic manipulators such as flexible medical needles and catheters: Curvature-bounded path planning for such manipulators has been considered, for instance, in [22], where the need for computing paths with maximal clearance from obstacles—and, consequently, the problem of identifying safe passages for the manipulator—has been emphasized. The rest of this paper is organized as follows. In Section II, we define the CBTA problem of interest and outline the proposed numerical algorithm for its solution. In Section III, we provide examples that illustrate the benefits of the proposed technique over existing results in the literature and its applications to motion planning for mobile robots. We conclude the paper in Section IV with comments on future work. II. TRAVERSABILITY ANALYSIS To fix ideas, we first establish some terminology. A path between two points $P$ and $Q$ in the plane is a differentiable curve $\Gamma := \{s \mapsto [x(s), y(s)] \in \mathbb{R}^2 : 0 \leq s \leq 1\}$ such that $P = [x(0), y(0)]$ and $Q = [x(1), y(1)]$. We will denote by $\Gamma(s)$ the point $[x(s), y(s)] \in \mathbb{R}^2$ on the path $\Gamma$, and by $\Gamma'(W)$ the angle of the tangent to $\Gamma$ at the point $W = [x(s), y(s)]$ for all $s \in [0, 1]$. In addition, we will denote by $(W, \alpha)$ the configuration in $\mathbb{C}$ specified by the position $W \in \mathbb{R}^2$ and the orientation $\alpha \in [-\pi, \pi]$. A path between a configuration $(W, \alpha)$ and a point $X$ is a path $\Gamma$ between the points $W$ and $X$ satisfying $\Gamma'(W) = \alpha$. Similarly, a path between two configurations $(W, \alpha)$ and $(X, \beta)$ is a path $\Gamma$ between the points $W$ and $X$ satisfying $\Gamma'(W) = \alpha$ and $\Gamma'(X) = \beta$. Definition I: A rectangular channel $\mathcal{R}^C$ is a sequence of rectangles $\{R_n\}_{n=1}^{C}$, $C \in \mathbb{N}$, with disjoint interiors, such that we have the following. 1) Exactly one edge of $R_n$ has a nonempty intersection with exactly one edge of $R_{n+1}$ for each $n \in \{1, \ldots, C - 1\}$. 2) For all $m, n \in \{1, \ldots, C\}$, the edges of $R_n$ and $R_m$ do not intersect or overlap whenever $m \notin \{n - 1, n, n + 1\}$. Next, we precisely define the CBTA problem for a rectangular channel, which is a simplification of the general problem introduced in Section I. Rectangular channels [see Fig. 1(a)] naturally arise from rectangular cell decompositions. Furthermore, the polygon obtained by shrinking the boundaries of a rectangular channel [see Fig. 1(b)] is also a rectangular channel. Therefore, the proposed CBTA technique can be applied with no modifications to the new channel. The proposed CBTA technique may, thus, be used in motion-planning algorithms that also incorporate the shape of a mobile vehicle. Note that this approach of shrinking channels has limitations for oblong or other irregular shapes. CBTA-R Problem: Let $\mathcal{R}^C$ be a rectangular channel, and let $W$ be a point on any one of the three edges of $R_1$ that do not intersect $R_2$. Let $\alpha \in [-\pi, \pi]$ be a specified angle. For any set of positive real numbers $r_n > 0$, $n = 1, \ldots, C$, determine if there exists a path $\Gamma$ such that we have the following. 1) $\Gamma(0) = W$, and $\Gamma'(W) = \alpha$. 2) The point $X := \Gamma(1)$ lies on an edge of the rectangle $R_C$ (pre-specified from among the three edges of $R_C$ that do not overlap with any edge of $R_{C-1}$), and $\Gamma'(X)$ lies in a specified set of allowable terminal tangent angles. 3) The path $\Gamma$ does not leave $\mathcal{R}^C$, i.e., $(x(s), y(s)) \in \cup_{n=1}^{C} R_n$ for all $s \in [0, 1]$. 4) For each $n = 1, \ldots, C$, the curvature of $\Gamma$ at any point within the rectangle $R_n$ is at most $r_n^{-1}$. In what follows, we will refer to any path $\Gamma$ that satisfies the conditions of CBTA-R as an admissible path. We propose a numerical algorithm to solve CBTA-R that is based on a recursive CBTA of the individual rectangles within the rectangular channel. Specifically, the proposed algorithm is based on recursive backward propagation of so-called target configuration sets. Informally, these sets are intervals of allowable orientations associated with all points on the segments defined by $R_n \cap R_{n+1}$, $n \in \{1, \ldots, C - 1\}$. Next, we provide a precise description of these sets. Let $ABCD$ be a rectangle. We attach a Cartesian axes system as shown in Fig. 2. Let the dimensions of the rectangle be $d_1$ and $d_2$, and let $r > 0$ be fixed. Definition 2: Let $\beta(x), \bar{\beta}(x)$, $x \in [0, d_2]$ be functions such that $-\frac{\pi}{2} \leq \beta(x) \leq \bar{\beta}(x) \leq \frac{\pi}{2}$. Let $Y = (d_1, y)$, $Z = (d_1, z)$ be points on the segment $BC$ with $y \leq z$. A path $\Gamma$ whose endpoints lie on the segments $DA$ and $YZ$, respectively, is a Type 1 path if it satisfies the following. 1) (Curvature Boundedness): The curvature at any point on $\Gamma$ is at most $r^{-1}$. 2) (Containment): All points of $\Gamma$ lie in the closed interior of the rectangle $ABCD$. 3) (Terminal Orientation): $\Gamma'(X) \in [\beta(x), \overline{\beta}(x)]$. A Type 2 path is defined analogously for traversal across adjacent edges (see Fig. 2). Definition 3: Let $\beta(x), \overline{\beta}(x), x \in [0, d_1]$ be functions, such that $-\frac{\pi}{2} \leq \beta(x) \leq \overline{\beta}(x) \leq \frac{\pi}{2}$. Let $Y = (y, 0), Z = (z, 0)$ be points on the segment $DC$ with $y \leq z$. A path $\Gamma$ whose endpoints lie on the segments $DA$ and $YZ$, respectively, is a Type 2 path if it satisfies the following. 1) The curvature at any point on $\Gamma$ is at most $r^{-1}$. 2) All points of $\Gamma$ lie in the closed interior of the rectangle $ABCD$. 3) $\Gamma'(X) + \frac{\pi}{2} \in [\beta(x), \overline{\beta}(x)]$. Based on these definitions, we specify two CBTA problems for a rectangle that will be solved repeatedly for the CBTA of the overall rectangular channel. Let $\beta, \overline{\beta}, Y,$ and $Z$ be as in the preceding definitions. Let $W = (0, w)$ and $r > 0$ be fixed. CBTA-S1 Problem: Find $\underline{\alpha}, \overline{\alpha}$ such that for every $\alpha \in [\underline{\alpha}, \overline{\alpha}]$, there exists a Type 1 path $\Gamma$ with $\Gamma(0) = W$ and $\Gamma'(W) = \alpha$. CBTA-S2 Problem: Find $\underline{\alpha}, \overline{\alpha}$ such that for every $\alpha \in [\underline{\alpha}, \overline{\alpha}]$, there exists a Type 2 path $\Gamma$ with $\Gamma(0) = W$ and $\Gamma'(W) = \alpha$. We describe next a recursive procedure to solve CBTA-R. ### A. Recursive Constructions of Target Configuration Sets We attach a coordinate axes system to each rectangle of $\mathcal{R}^C$ in a manner consistent with the axes system used in the statement of CBTA-S1 and CBTA-S2 [see Fig. 1(a)]. Let the dimensions of each rectangle along the $x$ and $y$ axes be denoted, respectively, by $d_{n,1}$ and $d_{n,2}$. We may identify rigid geometric transformations (i.e., a sequence of rotations and reflections) that align the entry and exit segments of $R_n$ to the segments $AD$ and $BC$, respectively, for traversal across parallel edges, or to the segments $AD$ and $DC$, respectively, for traversal across adjacent edges. Let $\varrho_n$ denote the minimum number of reflections involved in the transformation associated with the rectangle $R_n$. For each rectangle $R_n, n = 2, 3, \ldots, C - 1$, we refer to the segments formed by the intersections $R_{n-1} \cap R_n$ and $R_n \cap R_{n+1}$, respectively, as the entry and exit segments, and we denote by $U_n$ and $V_n$ (respectively, $Y_n, Z_n$) the endpoints of the entry (respectively, exit) segment. Finally, we denote the coordinates of the points $U_n, V_n, Y_n, Z_n$, by the corresponding lower case letters, i.e., $V_n = (0, v_n)$, etc. As previously noted, the algorithm to solve CBTA-R involves the recursive backward propagation of target configuration sets. For every point $Q = (q, 0)$ [or $Q = (q_{n,1}, q)$, as applicable], on the segment $Y_n Z_n, n = 1, \ldots, C$, we denote by $\underline{\beta}_n(q)$ and $\overline{\beta}_n(q)$, respectively, the lower and upper bounds of the allowable terminal orientations for $q \in [y_n, z_n]$. Similarly, for every point $P = (0, p)$ on the segment $U_n V_n, n = 1, \ldots, C$, we denote by $\underline{\alpha}_n(p)$ and $\overline{\alpha}_n(p)$, respectively, the lower and upper bounds resulting from the solution of CBTA-S1 (or CBTA-S2, as applicable), for $p \in [u_n, v_n]$. Note that $[\underline{\alpha}_n(p), \overline{\alpha}_n(p)]$ is the interval of allowable orientations at point $P$ in the effective target configuration set of the rectangle $R_{n-1}$. The angles $\underline{\alpha}_n(\cdot), \overline{\alpha}_n(\cdot), \underline{\beta}_n(\cdot),$ and $\overline{\beta}_n(\cdot)$ are measured in the coordinate axes system attached to $R_{n-1}$. The recursive algorithm for constructing the effective target configuration sets is provided in Fig. 3. Next, we focus on the solutions of CBTA-S1 and CBTA-S2. ### Traversability Analysis of Rectangular Channels Input: $\mathcal{R}^C$, Output: $\underline{\alpha}_n, \overline{\alpha}_n$, for each $n \in \{1, \ldots, C\}$ 1: $\overline{\alpha}_{C+1}(q) \leftarrow \frac{\pi}{2}$ and $\underline{\alpha}_{C+1}(q) \leftarrow -\frac{\pi}{2}$, for all $q \in [0, d_{C,2}]$ if $R_C$ involves traversal across parallel edges, or otherwise, for all $q \in [0, d_{C,1}]$ if $R_C$ involves traversal across adjacent edges. 2: $q_{C+1} \leftarrow 0$ 3: for $n = C, C - 1, \ldots, 1$ do 4: if $\varrho_n + q_{n-1}$ is odd then 5: $\underline{\beta}_n(q) \leftarrow -\overline{\alpha}_{n+1}(y_n - (p - v_{n+1}))$, for $p \in [u_{n+1}, v_{n+1}], q \in [y_n, z_n]$ 6: $\overline{\beta}_n(q) \leftarrow -\underline{\alpha}_{n+1}(y_n - (p - v_{n+1}))$, for $p \in [u_{n+1}, v_{n+1}], q \in [y_n, z_n]$ 7: else 8: $\underline{\beta}_n(q) \leftarrow \underline{\alpha}_{n+1}(p)$, for $p \in [u_{n+1}, v_{n+1}], q \in [y_n, z_n]$ 9: $\overline{\beta}_n(q) \leftarrow \overline{\alpha}_{n+1}(p)$, for $p \in [u_{n+1}, v_{n+1}], q \in [y_n, z_n]$ 10: Find $\underline{\alpha}_n(q)$ and $\overline{\alpha}_n(q)$ for $q \in [u_n, v_n]$ by CBTA-S1 or CBTA-S2 for rectangle $R_{n-1}$. Fig. 3. Pseudocode of the recursive procedure to solve CBTA-R via computations of effective target configuration sets. ### B. Curvature-Bounded Traversability Analysis of a Single Rectangle CBTA-S1 (respectively, CBTA-S2) involves finding $\underline{\alpha}$ and $\overline{\alpha}$ such that, if $\alpha \in [\underline{\alpha}, \overline{\alpha}]$, then there exists a Type 1 (respectively, Type 2) path $\Gamma$ with $\Gamma(0) = W$ and $\Gamma'(W) = \alpha$. To solve CBTA-S1, we construct families of Type 1 paths $\Upsilon_x$ and $\Lambda_x$ between the points $W$ and $X$, for every point $X = (d_1, x)$ on the segment $YZ$, satisfying the following properties: P1) $\Lambda'_x(W) \leq \Upsilon'_x(W)$. P2) For every $\alpha \in [\Lambda'_x(W), \Upsilon'_x(W)]$, there exists a Type 1 path from $W$ to $X$ with tangent angle $\alpha$ at $W$. P3) The angles $\Upsilon'_x(W)$ and $\Lambda'_x(W)$ vary continuously with $x$. P4) There exists no other Type 1 path $\Gamma$ from $W$ to $X$ satisfying P1)–P3) such that $\Gamma'(W) > \Upsilon'_x(W)$. P5) There exists no other Type 1 path $\Gamma$ from $W$ to $X$ which satisfies P1)–P3) such that $\Gamma'(W) < \Lambda'_x(W)$. We may define analogous properties for Type 2 paths to solve CBTA-S2. The following result enables the solutions to CBTA-S1 and CBTA-S2 based on the paths $\Upsilon_x$ and $\Lambda_x$. The constructions of $\Upsilon_x$ and $\Lambda_x$ are implicit in the calculations of the angles $\underline{\alpha}$ and $\overline{\alpha}$. Properties P1)–P5) are not assumed a priori; rather, $\Upsilon_x$ and $\Lambda_x$ are constructed such that these properties can be proven. Examples of the constructions of $\Upsilon_x$ and $\Lambda_x$ are provided in the Appendix, whereas the (laborious and geometrically involved) proofs that these constructions satisfy the properties P1)–P5) are available in [17]. Theorem 1: Suppose there exists a closed interval $\mathcal{I} \subset [y, z]$ such that Type 1 (respectively, Type 2) paths $\Upsilon_x$ and $\Lambda_x$ satisfying P1)–P5) exist for each $x \in \mathcal{I}$. Then, $\underline{\alpha}$ and $\overline{\alpha}$ defined by $$\underline{\alpha} := \min_{x \in \mathcal{I}} \{\Lambda'_x(W)\}, \quad \overline{\alpha} := \max_{x \in \mathcal{I}} \{\Upsilon'_x(W)\},$$ solve CBTA-S1 (respectively, CBTA-S2). Proof: The numbers $\underline{\alpha}$ and $\overline{\alpha}$ are well defined by (1) because $\mathcal{I}$ is closed and bounded, and because $\Lambda'_x(W), \Upsilon'_x(W)$ are continuous in $x$ by (P3). We claim that for every $\alpha \in [\underline{\alpha}, \overline{\alpha}]$, there exists $x_\alpha \in \mathcal{I}$ such that $ \alpha \in [\Lambda'_x(W), \Upsilon'_x(W)] $. To see this, suppose, for the sake of contradiction, that no such $ x_\alpha $ exists. Then, by P1), for every $ x \in I $, exactly one of the following conditions must hold true: \[ \begin{align} \alpha &< \Lambda'_x(W) \leq \Upsilon'_x(W) \\ \alpha &> \Upsilon'_x(W) \geq \Lambda'_x(W). \end{align} \] (2a) (2b) Because $ \alpha \in [\underline{\alpha}, \overline{\alpha}] $, by (1), neither (2a) nor (2b) can exclusively hold true for all $ x \in I $. Consequently, there exists $ \tilde{x} \in I $ such that condition (2a) switches at $ \tilde{x} $ from being true to being false or vice versa. By continuity of $ \Lambda'_x(W) $ in $ x $, it follows that $ \alpha = \Lambda'_x(W) \leq \Upsilon'_x(W) $. Thus, for $ \tilde{x} $, condition (2a) does not hold true, which implies that (2b) must hold true, which in turn implies that $ \alpha > \Upsilon'_x(W) $. Thus, we reach a contradiction, which implies that there exists $ x_\alpha \in I $, as previously stated. It follows by P2) that there exists a Type 1 path (respectively, Type 2 path) $ \Gamma $ between $ W $ and $ X = (d_1, x_\alpha) $ such that $ \Gamma'(W) = \alpha $, and thus, $ \alpha $ and $ \alpha $ solve CBTA-S1 (respectively, CBTA-S2). By Theorem 1, the solutions to CBTA-S1 and CBTA-S2 may be found by 1) constructing the families of paths $ \Upsilon_x $ and $ \Lambda_x $ that satisfy the properties P1)-P5) and 2) computing the angles $ \Upsilon'_x(W) $ and $ \Lambda'_x(W) $ and their maximum and minimum values, respectively, for $ x \in I $. We will postpone the description of the geometric details of the constructions of the paths $ \Upsilon_x $ and $ \Lambda_x $ to the Appendix, and instead, we will focus here on the computations of the tangent angles $ \Upsilon'_x(W) $ and $ \Lambda'_x(W) $. For the sake of clarity of exposition, we will assume in the rest of this paper that $ r > d := d_1 $ and that $ d_1 = d_2 $. Note that the overall approach, as hitherto described, remains the same when these assumptions are removed. The complete details of the constructions of $ \Upsilon_x $ and $ \Lambda_x $ and the computations of $ \Upsilon'_x(W) $ and $ \Lambda'_x(W) $ without these assumptions are available in [17, ch. 5 and App.C]. Fig. 4 shows the procedure for computing $ \Upsilon'_x(W) $ for the problem of traversal across parallel edges (CBTA-S1). Fig. 5 shows the procedure for $ \Upsilon'_x(W) $ for traversal across adjacent edges (CBTA-S2), and Fig. 6 shows the procedure for computing $ \Lambda'_x(W) $ for (CBTA-S2). Note that the computation of $ \Lambda'_x(W) $ for CBTA-S1 may be performed using the procedure shown in Fig. 4 by replacing $ w $ with $ d - w $, $ \beta(x) $ with $ -\overline{\beta}(d - x) $, $ \overline{\beta}(x) $ with $ -\beta(d - x) $, and by reversing the sign of the result. The following notation is used in Figs. 4-6: \[ \begin{align} \sigma_1 : &= r \cos \beta(x) + (x - w), \\ \sigma_4 : &= r \sin \beta(x) - w \\ \sigma_2 : &= r \sin \beta(x) - d, \\ \sigma_3 : &= -r \cos \beta(x) - x \\ \sigma_5 : &= (d^2 + (x - w)^2)/2r, \\ \sigma_6 : &= (w^2 + x^2)/2r. \end{align} \] To summarize, we solve CBTA-R by recursively solving two simpler CBTA problems, denoted by CBTA-S1 and CBTA-S2, which are defined over a single rectangle. Next, we solve CBTA-S1 and CBTA-S2 by constructing families of special geometric paths that satisfy properties P1)-P5), followed by the application of Theorem 1. C. Illustrative Example To illustrate the solution of CBTA-S1 given by the procedure in Fig. 4, we consider a square of size $ d = 10 $ and $ r = 45 $. We assume that the exit segment $ YZ $ is such that the point $ Y $ coincides with the point $ C $ (i.e., $ y = 0 $) and that the point $ Z $ coincides with the midpoint of the segment $ BC $ (i.e., $ z = 5 $), as shown in Fig. 7. For simplicity, we assume that the terminal orientation constraints, i.e., the maps $ \beta $ and $ \overline{\beta} $ have the constant values of $ \beta(x) = -40^\circ $ and $ \overline{\beta}(x) = 10^\circ $ for all $ x \in [y, z] $. These constraints are indicated by the red and blue arrows on segment $ YZ $ in Fig. 7. Next, we execute the procedure in Fig. 4 repeatedly, for several values of $ w \in [0, d] $. These values may be chosen, for example, by uniform discretization of the interval $[0, d]$. In the numerical calculations for this example and for Example 1 in Section III, we used a uniform discretization with 20 points. Note that a discretization with Computation of $\Lambda'_x(W)$ for CBTA-S2 1: $n_1 \leftarrow r - \sqrt{r^2 - w^2}$ 2: For all $x \in [n_1, z]$, find $\gamma^(x) \in [-\frac{\pi}{2}, \frac{\pi}{2}]$ by solving \[-x \cos(\gamma^(x)) + w \sin(\gamma^(x)) = \sigma_6.\] 3: if* $\overline{\beta}(x) < \gamma^(x)$ then* 4: Find $\Lambda'_x(W) \in [-\frac{\pi}{2}, \frac{\pi}{2}]$ by solving \[\sigma_7 \cos(\Lambda'_x(W)) + \sigma_8 \sin(\Lambda'_x(W)) + x \cos(\overline{\beta}(x)) - w \sin(\overline{\beta}(x)) + \sigma_6 = 1.\] 5: if $\beta(x) \leq \gamma^(x) < \overline{\beta}(x)$ then* 6: Find $\Lambda'_x(W) \in [-\frac{\pi}{2}, \frac{\pi}{2}]$ by solving \[-w \cos(\gamma^(x)) - x \sin(\gamma^(x)) = \sigma_6.\] 7: if $\gamma^(x) < \beta(x)$ then* 8: $\Lambda_x$ does not exist Fig. 6. Computation of $\Lambda'_x(W)$ for CBTA-S2. ![Diagram](image) Fig. 7. Example of the solution of CBTA-S1. ![Diagram](image) Fig. 8. Intermediate calculations in the procedure shown in Fig. 4. Sufficiently high resolution is required for the correct determination of traversability of a given channel. For illustrative purposes, suppose $w = 5$. By line 1 in Fig. 4, we compute $\alpha'(w) = 27.26^\circ$. Next, by line 2, we observe that $2r(d - w) < d^2 + (d - w)^2$, and hence, $n_2 = d = 10$. Next, by line 6, we solve (3) for several values of $x \in [0, 5]$. In the numerical calculations for this example and for Example 1 in Section III, we used a uniform discretization with 20 points. The values taken by $\gamma^(x)$ for $w = 5$ are indicated by the blue-colored curve in Fig. 8(b). In Fig. 8(b), the red-colored curves indicate, respectively, the (constant) values taken by $\overline{\beta}(x)$ and $\overline{\beta}(x)$. We observe that $\overline{\beta}(x) < \gamma^(x) < \overline{\beta}(x)$ for every $x \in [y, z]$. Hence, by lines 9 and 10, we compute $\Upsilon'_x(W)$ by solving (5), which is indicated by the black-colored curve in Fig. 8(b). The values taken by $\gamma^(x)$ and $\Upsilon'_x(W)$ for $w = 1.25$ and $w = 8.75$ are indicated in Figs. 8(a) and (c), respectively. As previously noted, this procedure may be used to compute $\Lambda'_x(w)$ by replacing $w$ with $d - w$, $\overline{\beta}(x)$ with $-\overline{\beta}(d - x)$, $\overline{\beta}(x)$ with $-\overline{\beta}(d - x)$, and by reversing the sign of the result. The values of $\underline{\alpha}$ and $\overline{\alpha}$ for all values of $w \in [0, d]$, computed using (1), are indicated, respectively, in Fig. 8(d) by the red- and blue-colored curves. The trigonometric equations (3)–(5) can be easily transformed to quadratic equations in a new variable. Consequently, the solutions of these equations are computationally fast: For example, the MATLAB-based computation of $\underline{\alpha}$ and $\overline{\alpha}$ for 100 different values of $w \in [0, d]$ was performed in 60 ms on a computer with an Intel Core i7-2640M processor, operating at 2.80 GHz with 8 GB of memory. These computations will be significantly quicker when computations are performed using a lower-level programming language such as C or C++. ### III. Curvature-Bounded Traversability Analysis Applications In this section, we demonstrate the benefits of the proposed CBTA technique with 1) an example that demonstrates the benefits of the proposed technique over existing results in the literature and 2) an example of the application of CBTA to robot motion planning via model predictive control (MPC). Example 1:* To illustrate the benefits of the proposed technique over existing results in the literature, we consider the CBTA of the rectangular channel shown in Fig. 9. The dimensions of each of the rectangles and the specified minimum radii of turn $r^{-1}$ in general units (inverse of maximum curvature) within each rectangle are provided in Table I. We apply the CBTA procedure given in Fig. 3. In this recursive procedure, \| Size \| $r$ \| Size \| $r$ \| Size \| $r$ \| \|------\|-----\|------\|-----\|------\|-----\| \| $R_1$ \| $42 \times 18$ \| 15 \| $R_2$ \| $20 \times 40$ \| 15 \| $R_3$ \| $25 \times 52$ \| 12 \| \| $R_4$ \| $18 \times 30$ \| 12 \| $R_5$ \| $27 \times 28$ \| 14 \| $R_6$ \| $19 \times 40$ \| 14 \| \| $R_7$ \| $12 \times 27$ \| 16 \| $R_8$ \| $26 \times 25$ \| 25 \| $R_9$ \| $20 \times 50$ \| 22 \| \| $R_{10}$ \| $14 \times 29$ \| 16 \| $R_{11}$ \| $43 \times 17$ \| 13 \| $R_{12}$ \| $37 \times 37$ \| 16 \| \| $R_{13}$ \| $42 \times 24$ \| 18 \| $R_{14}$ \| $47 \times 15$ \| 20 \| $R_{15}$ \| $14 \times 29$ \| 20 \| \| $R_{16}$ \| $14 \times 26$ \| 19 \| $R_{17}$ \| $28 \times 14$ \| 15 \| $R_{18}$ \| $45 \times 20$ \| 18 \| Fig. 9. Example of a rectangular channel for which the result of [4] fails. we solve CBTA-S1 and CBTA-S2, as applicable, for each rectangle using general versions of the procedures given in Figs. 4–6 (see [17], App. C] for details). The values taken by $\alpha_{\text{in}}$ and $\bar{\alpha}_{\text{in}}$, for some values of $w \in \{1, \ldots, 18\}$, are indicated, respectively, by the red- and blue-colored curves in Fig. 10. The areas between these curves represent the target configuration sets for each rectangle. Following the discussion in Section II, the result of CBTA of the rectangular channel shown in Fig. 9 is the pair of maps $\alpha_1$ and $\bar{\alpha}_1$ shown in Fig. 10(a). For every point $W = (0, w)$ on the entry segment of $R_1$, and every angle $\alpha \in [\alpha_1(w), \bar{\alpha}_1(w)]$, there exists a curvature-bounded path that traverses the entire rectangular channel. Note that these coordinates are in the axes system attached to $R_1$, as shown in Fig. 2. In contrast, the state-of-the-art result on narrow-channel traversals [4] provides no useful information about the traversability of the channel shown in Fig. 9. Specifically, the result in [4] states that the curvature-bounded traversal of a channel (for a uniform curvature bound $r^{-1}$) is guaranteed if the width $w$ of the channel satisfies $w \geq \tau r$, where $\tau \approx 1.55$, but provides no information about traversal if the width of the channel violates the aforesaid condition. For the example in Fig. 9, this condition is indeed violated. As previously stated, not only does the proposed technique determine the traversability of the channel, but it also considers nonuniform channel width, and nonuniform curvature constraints, neither of which are addressed in [4]. Example 2: To illustrate the practical significance of CBTA for robot motion planning, we briefly discuss its application in simplifying motion planning for vehicles with dynamical constraints. As discussed in Section I-C, motion-planning algorithms based on square or rectangular cell decompositions (cf., [15]) repeatedly invoke a lower level trajectory generation algorithm that finds control inputs to enable the vehicle’s traversal through a finite sequence of rectangles (namely, through rectangular channels). MPC [23] is often used for trajectory generation. For example, the motion-planning technique discussed in [15] requires the solutions of trajectory generation problems defined over sequences of length $H + 2$ of square cells, with each square of possibly different dimension, where $H = 1, 2, \ldots$ To illustrate the application of CBTA in simplifying this trajectory generation problem, we consider the model of a point-mass vehicle subject to acceleration constraints. The dynamical model is described by the differential equations $$\dot{x}(t) = v(t) \cos \theta(t), \quad \dot{y}(t) = v(t) \sin \theta(t)$$ $$\dot{\theta}(t) = u_2(t), \quad \dot{v}(t) = u_1(t)$$ where $x, y$ denote the inertial position coordinates of the particle, $\theta$ is the heading, $v > 0$ is the forward speed, $u_1$ is the acceleration input, and $u_2$ is the steering input. The speed $v$ is constrained to lie within prespecified bounds $v_{\min}$ and $v_{\max}$. The set of admissible control inputs is defined by $U := \left\{ (a, \omega) : \left( \frac{v_{\min}}{f^{\text{max}}} \right)^2 + \left( \frac{a}{f^{\text{max}}} \right)^2 \leq 1 \right\}$, where $f^{\text{max}}$ and $f^{\text{max}}$ are prespecified. The input constraint is an example of a “friction ellipse” constraint that models the limited tire frictional forces available for acceleration and steering of the vehicle. In what follows, we denote by $x = (x, y)$ the position vector of the particle and by $\xi = (x, y, \theta, v)$ the state vector. Let $\{c_0, \ldots, c_{H+1}\}$ denote a sequence of geometrically adjacent square cells, i.e., $c_k$ defines a square region for $k = 0, \ldots, H + 1$, and this sequence of cells is a rectangular channel, as illustrated in Fig. 11. Let $d_k$ denote the size of the cell $c_k$, and let $x'_k$ denote the coordinates of the center of the cell $c_k$, for $k = 0, \ldots, H + 1$. Consider the problem of finding inputs $u_1$ and $u_2$, and a time $t_1$, if these exist, such that $$(u_1(t), u_2(t)) \in U \quad \text{for all } t \in [0, t_1]$$ $$x(t) \in \bigcup_{k=1}^{H} c_k \quad \text{for all } t \in [0, t_1]$$ $$x(t_1) \in c_H \cap c_{H+1}$$ with $x(0) \in c_0 \cap c_1$. The objective of this problem, called the tile motion-planning problem [15], is to find control inputs that enable traversal of the particle through the cell $c_1$, i.e., to determine the control inputs $u_1, u_2 : [0, t_1] \to U$, where $t_1$ is a time instant such that $x(t_1) \in c_1 \cap c_2$. The tile motion-planning problem is a low-level trajectory generation problem that can enable a higher level search algorithm, such as the algorithm described in [15], to find dynamically feasible motion plans. In Fig. 11, the trajectory to be generated is indicated by the solid black curve within cell $c_1$, whereas the dotted curve indicates the requirement of satisfying constraint (6). Note that it suffices to guarantee that the trajectory indicated by the dotted curve exists, whereas the trajectory indicated by the solid curve must be determined. MPC is one approach to the solution of constrained trajectory generation problems, such as the tile motion-planning problem. The main difficulty in the implementation of MPC to solve the preceding trajectory generation problem is that constraint (6) involves, in general, a nonconvex region in the workspace (namely, the interior of the rectangular channel defined by the cells $\{c_1, \ldots, c_H\}$. This difficulty with the implementation of MPC can be mitigated using the proposed CBTA as follows. MPC algorithms can easily incorporate terminal set constraints, i.e., constraints that require the terminal state to lie within a prespecified set. Consider the following reformulation of the tile motion-planning problem: Find inputs $\hat{u}_1, \hat{u}_2$, and a TABLE II SAMPLES OF TILE MOTION-PLANNING EXECUTION TIMES USING MPC \| $H$ \| Time w/o CBTA (s) \| Time with CBTA (s) \| Speed-up due to CBTA (ratio) \| \|-----\|------------------\|--------------------\|-----------------------------\| \| 5 \| 1.672 \| 0.1688 \| 9.909 \| \| 6 \| 1.782 \| 0.2432 \| 7.327 \| \| 7 \| 3.621 \| 0.2718 \| 16.33 \| \| 8 \| 2.022 \| 0.2030 \| 9.939 \| \| 9 \| 3.283 \| 0.2206 \| 14.88 \| time $t_1$ such that $$\begin{align} (\tilde{u}_1(t), \tilde{u}_2(t)) &\in U \quad \text{for all } t \in [0, t_1] \\ x(t) &\in c_1 \quad \text{for all } t \in [0, t_1] \\ \xi(t_1) &\in X_1 \end{align}$$ (8) (9) (10) where $X_1 \subset c_1 \cap c_2$ is a so-called effective target set defined such that for every state $\xi \in X_1$, there exist control inputs $u_1, u_2 : [t_1, t_2] \to U$ such that constraints (5)–(7) are satisfied. The advantage of this reformulation of the tile motion-planning problem is that (9) is a convex constraint. However, this advantage is achieved at the expense of introducing constraint (10), which in turn introduces the problem of computing the effective target set $X_1$. Here, the proposed CBTA technique is beneficial, because it efficiently computes the set $X_1 \cap (\mathbb{R}^2 \times S^1)$. Notice that the set $X_1 \cap (\mathbb{R}^2 \times S^1)$ is, by definition, a target configuration set that was previously discussed in Section II-A. Constraint (10) can be convexified by replacing $X_1$ by an interior convex set $\hat{X}_1 \subseteq X_1$. Furthermore, mathematical details of an MPC implementation for this tile motion-planning algorithm based on such a CBTA-based simplification, are available in [20]. To further illustrate the computational benefits enabled by CBTA in the MPC implementation of the tile motion-planning problem, we performed numerical simulations of the tile motion-planning problem on several channels of the form shown in Fig. 11 with different values of $H$. Sample results of computational time required for the solution of the tile-motion planning problem, with and without the previously mentioned convexification enabled by CBTA, are shown in Table II. All simulations were performed in MATLAB on a computer with an Intel Core i7-860 processor, operating at 2.80 GHz with 16 GB of memory. Whereas we did not find a clear trend of reduction in computation time with increasing values of $H$, we consistently observed reductions by an order of magnitude. IV. CONCLUSION In this paper, we have discussed the geometric problem of CBTA of a polygonal region, namely, rectangular channels, formed by a sequence of rectangles with disjoint interiors. More precisely, we proposed the CBTA for establishing the existence of a differentiable curve lying within a given rectangular channel, such that it satisfies an upper bound on its curvature. We proposed a recursive numerical solution of this CBTA problem based on the traversability analysis of a single rectangle. We demonstrated via illustrative examples the significant benefits of the proposed technique over comparable state-of-the-art results from the literature. We also discussed the application of CBTA for motion planning of autonomous mobile vehicles. Specifically, we discussed the crucial role of CBTA in the transformation of difficult trajectory generation problems subject to dynamical constraints into easier geometric path-planning problems. The proposed CBTA is suitable for online real-time implementations because it involves simple algebraic calculations. Future extensions of this study include CBTA with asymmetric constraints on the curvature for left and right turns. APPENDIX As discussed in Section II-B, the proposed solutions to CBTA-S1 and CBTA-S2 are based on constructions of the paths $\Lambda_x$ and $\Upsilon_x$ that satisfy properties P1)–P5). These constructions are based on concatenations of circular arcs and straight line segments, based on the following result. Lemma A.1 (Boissonnat et al. [10]): If there exists an admissible$^2$ path of curvature at most $r^{-1}$, then there exists an admissible path consisting of a concatenation of straight line segments and arcs of circles of radius $r$. In what follows, we will denote by $C^+$ a clockwise circular arc, by $C^-$ a counterclockwise circular arc, and by $S$ a straight line segment. When necessary, we will denote by $C^+_u$, $C^-_w$, or $S_u$ an arc of length $u$. To construct the family of paths $\Upsilon_x$ underlying the procedure described in Fig. 4, we use of the following preliminary technical results. Lemma A.2: If $2r(d - w) \leq d^2 + (d - w)^2$, then the maximum possible tangent angle at $W = (0, w)$ for any Type I path is given by $\alpha^+(w)$, which is defined by $$\alpha^+(w) := \cos^{-1}(1 - (d - w)/r).$$ (A.1) Proof: See [17, pp. 146–147]. ■ Lemma A.3: Let $X$ be a point on the segment $YZ$. If there exists a Type I $C^+$ path $\Gamma_{1,0}$ between $W$ and $X$, then the tangent angle at $W$ of any Type I path between $W$ and $X$ is no greater than $\Gamma_{1,0}(W)$. Proof: See [17, p. 152]. ■ Corollary A.1: If there exists a Type I $C^+$ path $\Gamma_{1,0}$ between $W$ and $X$, then the tangent angle at $X$ of any Type I path between $W$ and $X$ is no less than $\Gamma_{1,0}(X)$. Suppose that $2r(d - w) \leq d^2 + (d - w)^2$, and consider the $C^+$ arc $\Gamma_{1,0}$ that passes through $W$ with $\Gamma_{1,0}(W) = \alpha^+(w)$. Let $N_2 = (d, n_2)$ be the point of intersection of $\Gamma_{1,0}$ with line $BC$ [see Fig. 12(a)]. It can be shown that $n_2$ is given by line 3 of the procedure in Fig. 4. It follows that for any point $X$ on the segment $N_2Z$, there exists no Type I admissible path from $W$ to $X$. It can also be shown that if --- $^2$In [10], the term “admissible” defines a curvature-bounded continuously differentiable path that satisfies specified initial and terminal conditions and is contained within a specified polygon. $2r(d - w) > d^2 + (d - w)^2$, the point of tangency of $\Gamma_{1,0}$ to the line passing through segment $AB$ lies outside the segment $AB$, and hence, there exists a $C^1$ arc from $W$ to every point on the segment $BC$. These observations underlie lines 2–5 of the procedure in Fig. 4. Next, let $X = \{d_1, x\}$ be a point such that $x \in [y, n_2] \cap [y, z]$, and let $\Pi_x$ be the $C^+$ path between $W$ and $X$. The existence of this path is guaranteed by the choice of the point $N_2$ and by the earlier assumption of $r > d$. Let $\gamma^+(x) := \Pi_x(X)$. It can be shown using elementary geometric arguments that $\gamma^+(x)$ satisfies (3). We consider the following cases of relations between $\gamma^+(x)$ and the angles $\beta(x)$ and $\beta(x)$: 1) $\gamma^+(x) < \beta(x)$: $\Pi_x$ is not a Type I path. Define $\Upsilon_x$ as the $C^+ C^-$-path from $W$ to $X$ that satisfies $\Upsilon_x(X) = \beta(x)$ [see Fig. 12(b)]. It can be shown that $\Upsilon_x$ is a Type I path and that $\Upsilon_x(W)$ satisfies (4). 2) $\beta(x) \leq \gamma^+(x) < \beta(x)$: $\Pi_x$ is a Type I path [see Fig. 12(c)], and we identify $\Upsilon_x = \Pi_x$. It can be shown that $\Upsilon_x(W)$ satisfies (5). 3) $\beta(x) < \gamma^+(x)$: $\Pi_x$ is not a Type I path, and furthermore, by Corollary A.1, there exists no Type I path between $W$ and $X$ [see Fig. 12(d)]. The preceding constructions of $\Upsilon_x$ underlie the calculations in lines 6–12 of the procedure described in Fig. 4. The proofs that these constructions of $\Upsilon_x$ indeed satisfy the properties P1)–P5) described in Section II are based on purely geometric arguments, and the details are available in [17, App. C]. REFERENCES [1] H. Choset, K. Lynch, S. Hutchinson, G. Kantor, W. Burgard, L. Kavraki, and S. Thrun, Principles of Robot Motion: Theory, Algorithms, and Implementations. Cambridge, MA, USA: MIT Press, 2005. [2] S. Fortune and G. Wilfong, “Planning constrained motion,” Ann. Math. Artif. Intell., vol. 3, pp. 21–82, 1991. [3] H.-K. Ahn, O. Cheung, J. Matoušek, and A. Vigneron, “Reachability by paths of bounded curvature in convex polygons,” in Proc. 16th Annu. Symp. Comput. Geom., Clear Water Bay, Kowloon, Hong Kong, Jun. 12–14 2000, pp. 251–259. [4] S. Bereg and D. Kirkpatrick, “Curvature-bounded traversals of narrow corridors,” in Proc. 21st Annu. Symp. Comput. Geom., Pisa, Italy, 2005, pp. 278–287. [5] L. E. Dubins, “On curves of minimal length with a constraint on average curvature, and with prescribed initial and terminal positions and tangents,” Amer. J. Math., vol. 79, no. 3, pp. 497–516, Jul. 1957. [6] X.-N. Bui, J.-D. Boissonnat, P. Souères, and J.-P. Laumond, “Shortest path synthesis for dubins nonholonomic robots,” in Proc. IEEE Int. Conf. Robot. Autom., San Diego, CA, USA, May 1996, pp. 5–7. [7] J. Reif and H. Wang, “The complexity of the two dimensional curvature-constrained shortest-path problem,” in Proc. Third Workshop Algorithmic Found. Robot., 1998, pp. 49–58. [8] P. Jacobs and J. Canmy, “Nonholonomic Motion Planning,” in Planning Smooth Paths for Mobile Robots. Norwell, MA, USA: Kluwer, 1992, pp. 271–342. [9] P. K. Agarwal and H. Wang, “Approximation algorithms for curvature-constrained shortest paths,” SIAM J. Comput., vol. 30, no. 6, pp. 1739–1772, 2000. [10] J.-D. Boissonnat, S. K. Ghosh, T. Kavitha, and S. Lazard, “An algorithm for computing a convex and simple path of bounded curvature in a simple polygon,” Algorithmica, vol. 34, pp. 109–156, 2002. [11] J. Backer and D. Kirkpatrick, “Finding curvature-constrained paths that avoid polygonal obstacles,” in Proc. 23rd Annu. Symp. Comput. Geom., Gyengju, Korea, 2007, pp. 66–75. [12] T. Fraichard and M. Schaefer, “From Reeds and Shepp’s to continuous curvature paths,” IEEE Trans. Robot., vol. 20, no. 6, pp. 1025–1035, Dec. 2004. [13] K. Yang and S. Sukkarieh, “Real-time continuous curvature path planning of UAVs in cluttered environments,” in Proc. Fifth Int. Symp. Mechatron. Appl., May 2008, pp. 1–6. [14] E. Bakolas and P. Tsiotras, “On the generation of nearly optimal, planar paths of bounded curvature and bounded curvature gradient,” in Proc. Amer. Control Conf., St. Louis, MO, USA, Jun. 2009, pp. 385–390. [15] R. V. Cowligati and P. Tsiotras, “Hierarchical motion planning with dynamical feasibility guarantees for mobile robotic vehicles,” IEEE Trans. Robot., vol. 28, no. 2, pp. 379–395, Apr. 2012. [16] R. V. Cowligati and P. Tsiotras, “On the existence and synthesis of curvature-bounded paths inside nonuniform rectangular channels,” in Proc. Amer. Control Conf., Baltimore, MD, USA, Jun. 30–Jul. 2, 2010, pp. 5382–5387. [17] R. V. Cowligati, Hierarchical motion planning for autonomous aerial and terrestrial vehicles, Ph.D. dissertation, Dept. Aerosp. Eng., Georgia Inst. Technol., Atlanta, GA, USA, 2011. [18] E. Bakolas, P. Tsiotras, and Y. Lu, “Optimality properties and driver input parametrization for trail-braking cornering,” Eur. J. Control, vol. 4, pp. 308–320, 2008. [19] J.-H. Jeon, R. V. Cowligati, S. C. Peters, S. Karaman, E. Frazzoli, P. Tsiotras, and K. Iagnemma, “Optimal motion planning with the half-car dynamical model for autonomous high-speed driving,” presented at the Amer. Control Conf., Washington, DC, USA, 2013. [20] R. V. Cowligati and P. Tsiotras, “Hierarchical motion planning with kinodynamic feasibility guarantees: Local trajectory planning via model predictive control,” Proc. IEEE Int. Conf. Robot. Autom., St. Paul, MN, USA, May 14–18, 2013, pp. 4003–4008. [21] S. I. Almohammadi, B. K. Kumar, and K. Iagnemma, “Constraint-based planning and control for safe, semi-autonomous operation of vehicles,” in Proc. Intell. Veh. Syst., Alcala de Henares, Spain, Jun. 3–7, 2012, pp. 383–388. [22] R. Alterovitz, M. Branicky, and K. Goldberg, “Motion planning under uncertainty using image-guided medical needle steering,” Int. J. Robot. Res., vol. 27, no. 11–12, pp. 1361–1374, 2008. [23] J. M. Maciejowski, Predictive Control With Constraints. Englewood Cliffs, NJ, USA: Prentice-Hall, 2002. On Intensity-Based Nonmetric Visual Servoing Geraldo Silveira Abstract—This paper considers the problem of vision-based robot stabilization where the equilibrium state is defined via a reference image. Differently from most solutions, this study directly exploits the pixel intensities with no feature extraction or matching and uses only nonmetric information of the observed scene. Intensity-based techniques provide higher accuracy, whereas not requiring metric information increases their versatility. In this context, this paper further exploits the epipolar geometry and its associated constraints to show that the proposed approach that stabilization is sufficiently close to the equilibrium, regardless of the object shape. This remarkable fact allows the development of new vision-based control strategies with varying degrees of computational complexity and of prior knowledge. Importantly, they are arranged hierarchically from the simplest to the state-of-the-art ones, all in a unified framework. Three new loop-closure tests are then presented, showing that closed-loop problems are experimentally assessable using both planar and nonplanar objects, under small and large displacements, simulating and employing a six-degree-of-freedom robotic arm. Manuscript received June 13, 2013; revised December 31, 2013; accepted April 1, 2014. Date of publication May 7, 2014; date of current version August 4, 2014. This paper was recommended for publication by Associate Editor R. Eustice and Editor B. J. Nelson upon evaluation of the reviewers’ comments. The author is with the Center for Information Technology Renato Archer (CTI), Division of Robotics and Computer Vision (DRVC), CEP 13669-901 Campinas, Brazil, e-mail: firstname.lastname@example.org. This paper has supplementary downloadable material available at http://ieeexplore.ieee.org. Color versions of one or more of the figures in this paper are available online at http://ieeexplore.ieee.org. Digital Object Identifier 10.1109/TRO.2014.2315712
World's Largest Olympic Collectors Club PO Box 777 - Guilderland, NY - 12084 Phone: (518) 355 - 9445 Established 1982 – Our 33 rd Year – Issue No 129 – June 2014 2014 is already shaping up to be a banner year for Olympic collectors. So far, this year has seen the establishment of a new global organization that will work hard to grow the hobby on all fronts, a hugely successful Olympic World Collectors Fair in Lausanne, and the upcoming annual show in Los Angeles. View Sochi NOC Pins Online In this issue of the Olympin newsletter, there are articles about the Lausanne show, our upcoming Los Angeles show, an article on the formation of an exciting new international collectors organization, and a lot more! Peter Wade has posted all known NOC Pins used in Sochi this winter. They can be found onolympicnocpins.com. All of us in the hobby owe Peter a great deal of gratitude for this newest addition to his site which he has been developing over many years. As always, Peter requests that additions or corrections be passed on to him. From all of us, thank you Pete! Please remember to vote in the Olympin Club Board elections, and we look forward to seeing everyone in Los Angeles at the end of July! CLUB BUSINESS 2014 Board Member Elections Time to Vote! The Club will be electing three Board Members for the term starting in January 2015. The three seats that are up for election are those currently held by Don Bigsby, Sid Marantz and Craig Perlow. Included in this edition of the Club Newsletter is the official ballot and biographies of the three candidates. Please vote either by mailing the completed ballot to the address printed on the form, or emailing your votes to: firstname.lastname@example.org All three are running for re-‐election. Results will be announced at the Annual Club Meeting in Los Angeles. Visit our Website! www.olympinclub.com Another Sad Loss Suzanne (Papazian) Bravender by Richard Murray It is with great sadness that we inform everyone about the death of Suzanne (Papazian) Bravender. Suzanne was the wife of long time Olympin member Bob Bravender. As you may be aware, Suzanne passed away on May 19, 2014 at 66 years of age. The services were held in May at Forest Lawn Mortuary in Glendloale and attended by many members of the Screen Actor's Guild, members of the Los Angeles Community Redevelopment Agency, members of the Olympin Pin Club, neighbors, family and dear friends. It was wonderful to see so many family, friends and former coworkers gather to celebrate her life. Suzanne and Bob have attended 15 Olympic Games. She thoroughly enjoyed traveling to the Games and visiting with athletes and friends from around the world. Suzanne always shared memories about past Olympics, especially the 1998 Nagano and the 2012 London Games. They also attended past Olympin Collector Club Shows and volunteered to help plan the Los Angeles Olympin Collector's Show in 2004. Suzanne had a great sense of humor and a ready smile for everyone. May she rest in peace. The Official 2014 Olympin Show is Almost Here! To kick things off with a warm L. A. welcome, Sid and Joan Marantz are hosting a"Venice Beach Bash" at their beach house by the water the night before the show begins. The date is Thursday, July 24, from 5:30 to 9:00 p.m. and the address is 15 Ketch Street, Marina Del Rey. Complimentary food and beverages will be provided along with the Southern California vibe. Anyone planning to attend the show in any capacity is welcome to attend the party. For those without transportation, club members will provide limited shuttle service from the show hotel. Sid asks that those planning to attend please RSVP to him at email@example.com or at 323-‐588-‐6800 so he can plan accordingly. Sunsets at the beach are fantastic! We hope you can be there to enjoy it all with us. On Friday night Olympin'sannual banquetwill lead off with a silent auction at 5:30 p.m. Dinner will be served at 7:00 p.m. with a guest speaker to follow. The dinner entrée is a choice of either Chicken Marsala or Atlantic Salmon. For the most part, those who reserved tables early have not yet signed up for the banquet. We know you'll want to attend, so please sign up now. To pay for the banquet, either send a check for $55 per dinner payable to Olympin Collectors Club to Don Bigsby, P.O. Box 777, Guilderland, NY 12084, or pay by PayPal to Olympin firstname.lastname@example.org. Please indicate your choice of entrée when you make your payment.The deadline for dinner reservations is Wednesday, July 16. The next day, Friday, July 25, set-‐up for theshow will be from 8:00-‐-‐10:00 a.m. in the Studio Ballroom of theCourtyard by Marriott Los Angeles Westside (about 5 minutes north of LAX). The doors will be open to the public from10:00—5:00 p.m., Friday, July 25 through Sunday, July 27. Admission is free. It should be an exciting show as Honav, the official licensee of pins for Beijing, London, and Rio, will be represented there, and Olympians from former Games are being invited to attend and to speak. Thesilent auction, which always offers interesting items, is an important part of raising money for the club and of helping to defray the costs of the show. Once again Scott Reed is heading up the auction and has solicited some great items so far, but we would love to have more. If you have an item to donate, please contact Scott at email@example.com to let him know the details. The item may be brought with you to the show on Friday and given to Scott, or, if you are not attending, contact Scott, and he'll give you the address where the item may be sent. The Olympinannual meeting will be held Saturday morning, July 26, 9:00-‐-‐10:00 a.m. at the hotel. All are invited and encouraged to attend. All show table holders and also each non-‐table holder who attends the banquet will receive a Thank you for helping your club with your donation! limited-‐edition pin, which was created for the 2014 IOC Olympic Collectors Fair in Lausanne and generously donated to our show by fair organizer and Olympin member David Maiden. As of now, there are still a handful of eight-‐foot and six-‐foot tables available to reservefor $150 and $125 respectively. If you would like one of these, please respond quickly and send a check made payable to Olympin Collectors Club to Don Bigsby, P.O. Box 777, Guilderland, NY 12084, or pay by PayPal to Olympin at firstname.lastname@example.org Olympin has to pay processing fees to accept payments via PayPal, we would greatly prefer if you simply send Don your check. A limited number of rooms have been made available to Club members at discounted rates. For room reservations, please use the contact information below and be sure to mention that you're a Club member attending the show: Courtyard by Marriott Los Angeles Westside 6333 Bristol Parkway Culver City, CA 90230 310.484.7000 www.courtyardlawestside.com New International Collectors Association Formed By Scott Reed Olympin was well represented at the inaugural meeting of the International Association of Olympic Collectors (AICO), held May 22 in Lausanne. AICO was formed under the direction and guidance of the IOC in an effort to help coordinate communication and the sharing of information between Olympic collecting clubs throughout the world. Its mission is to foster quality Olympic collecting to preserve and educate about the history and culture of the Games. IOC adviser and Olympin member David Maiden coordinated the meeting and the formation of the group. In addition, two IOC members, Samih Moudallal of Syria and Syed Shahid Ali of Pakistan, attended the meeting and will serve as IOC representatives to AICO. Nineteen clubs from throughout the world sent delegates, with Philatelic (stamps), Numismatics (coins) and Memorabilia (pins and other memorabilia) all represented. Olympin, as the largest Olympic collecting club in the world, was allowed to send the maximum number of three voting delegates. Representing Olympin at the meeting were Board members Jon Becker and Scott Reed, and former Board member Jim Greensfelder. Several other Olympin members were also in attendance as voting delegates for other clubs. We are pleased that two Olympin members, Mark Maestrone and Branislav Delej, were elected to the 5 person Executive Board. The formation of AICO is a tremendous step forward for our hobby, as it shows the commitment of the IOC to the continued success of collecting. We will keep you updated as AICO becomes more active. 20 th IOC Collectors Fair Recap By Pete Wade The 2014 IOC Collectors Fair was held in Lausanne May 23 – 25 on three days of beautiful weather in a huge tent along the shore of Lake Leman. The Fair saw 52 tables occupied with dealers and collectors from 19 countries, mostly Europeans with many members of Olympin among them. Highlights of the Fair included a cocktail party, a tour of the newly remodeled Olympic Museum and a fine banquet with about 180 attendees. Fair Director David Maiden, consultant to the IOC, and Olympin member was "very pleased" with the Show, the attendance, the steady flow of the local public who may have gotten their first taste of Olympic collecting and, of course, the delightful weather. He indicated that he felt the result of the Fair would likely enhance the likelihood of another similar Fair "in 2 – 3 years". Club Members Jim Greensfelder and Halvor Kleppen were key contributors to the Fair. Table holders were surveyed and the overwhelming response was very favorable. The "New" Olympic Museum By Pete Wade As most Club Members know, the Olympic Museum in Lausanne was closed for over two years and the newly-‐remodeled Museum was reopened in December. Collectors Fair attendees got a private showing of the new edifice on the evening of May 23 and generally came away impressed. Personally, I found the new Museum to be considerably more interesting to the general public, especially to young visitors, and much easier to navigate. The graphics and visual presentation were really impressive. I visited the Museum twice during the week and, having been to the "old" Museum a dozen times in the past, I found that today's Museum was far busier with visitors than I had ever seen before. Overall, my impression is that today's Museum is much more of an entertainment attraction and less of a repository of Olympic history and artifacts than the previous version. Either way, it is a very worthwhile experience to collectors and the general public. Samsung Sochi pins are all dolled up Introduction by Sid Marantz Unlike prior Olympics where there was a good supply of retail pins for the general attendees to purchase to encourage pin trading, retail pins were scarce at best in Sochi. Luckily sponsors, both at the IOC level and Games level, helped fill the gap. Within the Costal Cluster these sponsors had exhibition buildings that awarded pins for people participating in various activities. Also Coca Cola and the USA Store in the USOC House had pins for sale. This at least was helpful and, towards the end of the Games, pin trading was brisk enough for a large ³unofficial pin trading center sprung up close to the Russian Fan house which housed the Official Coke pin trading center. By far the most pins, and in the estimation of many, the most desirable were produced by Samsung. Long time Olympin member Nicholas Wolaver has done us all a favor by providing a detailed explanation of how this all happened. By Nicholas Wolaver Longtime collectors and new pin enthusiasts in Sochi found a bonanza of free Samsung Olympic pins on a scale similar to London. Building on the company¹s popular ³British icons² pin series in 2012, officials for Samsung spent months planning their Sochi pin program as a key component of the Samsung GALAXY Studio pavilions in Olympic Park, downtown Sochi and near the mountain venues. While visiting the downtown Sochi venue, I spoke with a pavilion director who explained the 2014 pin initiative. He said for the Winter Games, Samsung¹s priority was to find a way to engage the public and get them using and talking about the new GALAXY Note 3 and other mobile devices unveiled in time for the Games. The pins, he said, provided the incentive for Samsung visitors to engage with the brand and spend more time with a GALAXY in their hands. Upon arriving at the Samsung pavilions, guests could choose from one of 10 activity stations such as a photo-‐in-‐bobsleigh area, downloading Games-‐ time apps, sharing a social media post or playing a variation of BINGO (a game that was new and interesting for most Russians). With completion of brief tasks, guests qualified to receive one of 15 sports pins shaped like a matryoshka doll (a.k.a. nesting doll). Each sports pin features one winter discipline, with curling and freestyle aerial skiing as the hardest to acquire designs (collectors learned these two designs were only awarded for the most time consuming or challenging pavilion games, or for signing up to borrow and use a GALAXY device free for a day in Olympic Park). As the pavilion opened each morning, and at varying times during the afternoon or evening, visitors were also surprised with short-‐term giveaways of three GALAXY mobile device pins featuring a black frame with Olympic icons, a white frame with nesting dolls or a pink frame with Russian dancers. A limited number of these giveaways took place daily. Once visitors earned three or more pins, they also qualified to receive a fancy presentation board, also shaped like a nesting doll, with black leatherette and felt in a plastic ready-‐to-‐hang frame. If a pin board filled up with all 18 designs, this qualified guests to take home a beautiful GALAXY nesting doll charger as a splendid and rare Sochi keepsake (Samsung gloves or mittens were an alternate gift). All of the pavilion pins by Samsung are high quality cloisonné with many colors, but only the three larger GALAXY pins feature the Sochi.ru logo and Olympic rings. The Samsung executive explained other Samsung pins, such as enamel matryoshka doll designs or cloisonné pin-‐on-‐pin designs with the Sochi mascots, were created as gifts for VIPs or trading by company executives. The pavilion manager I spoke with said the Sochi pavilion and pin program far exceeded the company¹s expectations in terms of attendance and buzz, and they are already considering pin options for Rio 2016 and beyond. Will collectors see a Cristo Retentor (Christ the Redeemer) Art Deco statue pin series in Brazil? Except for a handful of Samsung executives, God only knows. More information will be posted on the Olympic blog, http://OlympicRingsAndOtherThings.blogspot.com when available. IOC Commission on Olympic Philately, Numismatic and Memorabilia by Sid Marantz AICO, as discussed elsewhere in this newsletter, is a newly formedINDEPENDENT organization that communicates with the IOC through the Director of the Culture and Heritage Department because the IOC believes one of the primary goals of AICO is to promote the Olympic ideals and philosophy through these activities as they are a rich source of a connection to Olympic history. The IOC feels that it should not control outside organizations. It is however a stakeholder in these activities and as such has its own Commission on Olympic Philately, Numismatic and Memorabilia. The Commission has 7 IOC Members and is supported by 11 experts drawn from the 3 collecting fields worldwide. Of the 11 experts, 5 are members of Olympin. Some of them also belong to other Clubs. We believe the 11 will be a great source of information and council to the 7 Commission members and should strengthen our hobby. The future looks bright! Authenticity Project Survey Results Steve Robie - Chair, Olympin committee on unauthorized NOC pins Survey respondents trust the information shown on the Authenticity website and overwhelmingly favor continuing the Authenticity Project during the 2016 Olympic Games in Rio de Janeiro, Brazil. Those are the two main takeaways from the survey in the last Olympin newsletter as well as online through the help of Olympin web guru Mark Maestrone. Some conclusions are very clear. Nearly everyone wants this project to continue for the Rio Olympics. In addition, nearly all of the respondents trust the information given on the website. This is gratifying as there were times during the Sochi Olympics when our committee members were not sure that they trusted the information on our website. This is what happens when trying to provide information in real-‐time. It is likely that this project will continue in Rio, but we expect to have major difficulties providing real-‐time information because nearly all of our members plan to go to Rio leaving no one to get the images onto the website. If anyone knows that they will not be going to Rio and would like to help get information to the site, please let us know. respondents used the website as a source for seeing what NOC pins are available rather than as a source to help them avoid unauthorized pins. Survey Results to date (116 entries): As a final question, we asked what changes respondents would like us to make going forward. Four requests rose to the top: 1) Add additional sort options so you don't have to navigate through all of those screens to see what new pins have been added, 2) Add an option to allow the images to be printed out, 3) Add additional pin collecting areas (like media or sponsor pins) and 4) Go back and add previous Olympic Games. It is difficult to authenticate older NOC pins and adding additional collecting areas will require volunteers who are knowledgeable in the areas added, but it is likely that the other two requests can be honored in time for the Rio Olympics. Q1 – When did you visit the Authenticity Program Q2 – If you visited the website during the Games, how often did you visit? 1-‐5 times 35.7%, 5-‐10 times 8.0%, More than 10 times 5.4%, Did not visit during Games 50.9% Website? Before the Sochi Olympics 49.6%, During the Sochi Olympics 18.6%, After the Sochi Olympics 29.2%, Never visited the website 27.4% Q3 – Did the information on the website influence any of the trades or purchases you made? Yes 32.1%, No 67.9% Q4 – Did you tell any other collectors about the Authenticity Program website? Yes 31.5%, No 68.5% Other conclusions from the survey are not so clear. The initial goal of this project was to try to reduce the number of unauthorized NOC pins being produced or in circulation. However, only 18.6% of respondents used the Authenticity Project website during the Olympics and only 32.1% of respondents used the information on the website to influence trades or purchases. This might suggest that most Q6 – Do you want this project to continue for the Rio Summer Olympic Games?Yes 97.3%, No 2.8% Q5 – Do you trust the information on the Authenticity Program website? Yes 94.5%, No 5.5% Q7 – Would you be willing to help with this project for the Rio Summer Olympic Games? Yes 19.3%, No 49.5%, Maybe 31.2% 35th National Sports Collectors Convention Update -‐ Cleveland, OH -‐ 7/30/14 -‐ 8/3/14 For those of you interested in attending the largest sports collectibles show in the world, the 35th National Sports Collectors Convention with its 600+ dealers and 50,000+ visitors will be held in Cleveland, OH, this year at the International Exposition (I-‐X) Center from Wednesday, July 30th, thru Sunday, August 3rd. Three Olympin members will have a total of 6 tables at this year's event -‐-‐ Craig Perlow with 3 tables, Michael Bowlby with 2 tables, and Tom Lippert with 1 table. Daily General Admission tickets cost $18 online or $22 on site, but if you know you'll be coming, feel free to contact Craig, Michael, or Tom, and they will be happy to leave a Visitor's Pass for you at the Registration booth -‐-‐ if they have any available -‐-‐ which will entitle you to Free Admission! The results of the survey are shown at the bottom of this report. Percentages are based on the 116 people who responded to the survey. While most responses came from Olympin members, there were also a few people who managed to reply by finding the survey online. PO Box 777-Guilderland, NY -12084 World's Largest Olympic Collectors Phone: Established 1982 – Our 33 rd Year – Issue No 129 – June 2014 L.A. 2014 Olympin Show Schedule Thursday. July24 17:30 to 21 :00 "VeniceBeachBash" Hosted by Sid and Joan Marantz 15 Ketch Street, Marina Del Rey Food and beverages will be provided. Limited All show attendees are welcome. shuttle service from the hotel by local club members. RSVP to Sid at email@example.com or at 323-588-6800. Club L.A. 2014 Olympin Show Order Form for Tables and Banquet Meals Please fill out the form completely and send it in with your payment. Mail to: Olympin Collectors Club, Don Bigsby, P.O. Box 777, Guilderland, NY 12084 If you want to pay with PayPal, please remit to Olympin at firstname.lastname@example.org. Payment must accompany registration form. Name (Print)__________________________________________________________________ Address (Street No. & Name)_____________________________________________________ City_______________ State______ Zip (Postal Code)___________ Country_______________ Phone________________________ E-mail (Print)____________________________________ Tables (8 ft.) wanted @ $150 each ( ) x $150 = ____________ Tables (6 ft.) wanted @ $125 each ( ) x $125 = ____________ Banquet meals wanted @ $55 each ( ) x $ 55 = ____________ Choice of dinner entrée: Chicken Marsala ___________ Atlantic Salmon ___________ TOTAL: (Please include payment with form.) = _____________ Final deadline to register and make payment is July 15, 2014 if tables have not already sold out, so please act now! , Your registration will not be complete without your payment. Office Use Only: Date Received: ______________________ Time: ____________________ OLYMPIN CLUB OFFICIAL BALLOT ELECTION TO THE BOARD OF DIRECTORS 2014 Please vote for up to three ______ Don Bigsby ______Sid Marantz _____Craig Perlow Candidate Statements are on the reverse. Please read them before voting. Important Notes: 1. Ballots Can be returned by REGULAR MAIL, or emailed to: email@example.com. 2. Ballots MUST be received by Olympin no later than July 15, 2014. Mail your ballot to: Olympin Collectors Club C/O Jonathan Becker 800 Village Walk #258 Guilford, CT 06437 USA 3. Results will be announced at the Club’s annual meeting during the Olympin Show in Los Angeles and published in the next newsletter. Candidate Biographies Don Bigsby I founded Olympin in June 1982, starting with 7 members in Upstate New York, and have been the President since the Club's inception. The first 20 years, Ed Beaupre and I did all the Club work as a team. The last 13 years, I have done the detail work myself, as Ed retired at age 80. Now that I am 73, my slower pace requires me to spend hundreds of hours each year keeping the Club operating as I first envisioned it. Although I never get paid, I want to keep running the Club due to the pride I have for what has become a force in the Olympic collector world. With the help of our Board of Directors and some others who work voluntarily to support our Club, I want to continue my work for at least the next three years. I hope you believe the Club has been worthwhile to you, and that you want me to continue. Thank you. Craig Perlow After being asked to serve on the Board of our Club during the 17th IOC World Olympic Collector's Fair in Chicago in 2011, I was assigned with the task of overseeing the Club's rebuilding of its website from what had become an outdated, static, and rather uninspiring online presence to what I now believe is a state-‐of-‐the-‐art, dynamic, and very useful online resource. Thanks to the great work of our Club's webmaster and fellow member, Mark Maestrone, and in consultation with the other Board Members, I am very proud of the Club's new website which has now truly moved us into the 21st century as an organization. However, there is much more work that needs to be done in the area of technology -‐-‐ both with regard to updating the Club's business model in general and expanding the website's functionality in particular. So, I am running for a second term as a Board Member of our Club because I would like the opportunity to continue to oversee the work in these areas. It has been a real pleasure to work with the other Board Members -‐-‐ and Mark -‐-‐ on these and other projects and I believe we've made a great team and accomplished a great deal. So, I am asking for your vote for a second term on the Board so that I can continue working with our great team and have the privilege of representing your interests once again as we move our Club forward and maintain its prominence in the international Olympic collecting community. Thanks in advance for your support. Sid Marantz I have been a fan of the Olympic Games since I was a teenager and got interested in Olympic pins and memorabilia when I attended the 1976 Montreal Olympics. I was an "Old Timer" by the time I got involved with the LAOOC in 1982 prior to the LA 84 Games. I, and members of my family, have worked at 10 Olympic Games. I have been a member of Olympin since 1983 and a member of the Board since 2004. I love the Club and the hobby and would be honored if you would allow me to continue to serve as a member of our Board.
DAFTAR ISI Pedoman Penulisan PENGANTAR REDAKSI Di penghujung tahun 2019 ini Jurnal Ilmiah Negara Hukum kembali hadir bagi pemerhati hukum dan pembaca sekalian. Berbagai masalah hukum dan peraturan perundang-undangan menjadi inspirasi bagi penulis untuk menuangkan ide dan gagasannya dalam bentuk tulisan dengan tujuan memperkaya khasanah ilmu pengetahuan di bidang hukum. Sebagai jurnal di lingkungan Parlemen, selain sebagai wujud pengembangan ilmu di bidang hukum, Jurnal Negara Hukum juga menghadirkan artikel-artikel yang merupakan hasil penelitian dan kajian untuk menjembatani kebutuhan lembaga perwakilan dalam pelaksanaan fungsinya, baik fungsi legislasi maupun pengawasan terhadap pelaksanaan undang-undang. Penerbitan Jurnal Negara Hukum Edisi November 2019 ini memuat hasil kajian dan penelitian, meliputi hukum ekonomi, hukum tata negara, hukum pidana, dan hukum internasional. Publikasi artikel yang dimuat dalam Jurnal Negara Hukum dilakukan setelah melalui proses seleksi, review, dan koreksi dari Mitra Bestari dan Dewan Redaksi, serta diputuskan dalam Rapat Dewan Redaksi. Pada terbitan kali ini Jurnal Negara Hukum memuat 7 (tujuh) artikel, yang substansinya akan diuraikan secara singkat. Artikel pertama ditulis oleh Luthvi Febryka Nola, berjudul "Implementasi Putusan Mahkamah Konstitusi Nomor 67/PUU-XI/2013 Terkait Kedudukan Upah Pekerja dalam Kepailitan". Permasalahan yang dikaji adalah berkaitan dengan Putusan Mahkamah Konstitusi (MK) Nomor 67/PUU-XI/2013 dari perspektif kekuatan mengikat putusan dan implementasinya terhadap stakeholders terkait. Permasalahan ini muncul karena Putusan MK tersebut telah mengubah dan meletakkan posisi upah buruh di atas kreditor lainnya. Putusan ini juga memposisikan hak pekerja lain pada posisi utama dibandingkan kreditor preferen lainnya. Sementara itu, sebelum adanya Putusan MK, kedudukan kreditor adalah kreditor separatis, preferen dan konkuren. Upah pekerja termasuk dalam kreditor preferen. Dari hasil pembahasan, dapat diketahui bahwa Putusan MK memiliki kekuatan mengikat begitu diputuskan, hanya saja karena Putusan MK berpengaruh terhadap sejumlah undang-undang (UU), sehingga UU terkait tersebut perlu disesuaikan. Berikutnya, artikel berjudul "Pendaftaran Badan Usaha Secara Elektronik Pasca Diterbitkannya Peraturan Pemerintah Nomor 24 Tahun 2018" ditulis oleh Irna Nurhayati, Karina Dwi Nugrahati Putri, Veri Antoni, Sulistiowati, dan Nindyo Pramono. Artikel ini mengkaji tepat atau tidaknya pendaftaran badan usaha diintegrasikan pada Kementerian Hukum dan HAM (Kemenkumham) untuk mendukung kemudahan berusaha di Indonesia; dan legalitas Peraturan Pemerintah No. 24 Tahun 2018 tentang Pelayanan Perizinan Berusaha Terintegrasi Secara Elektronik/Online Single Submission (PP OSS). Dari hasil pembahasan disimpulkan bahwa, pendaftaran badan usaha yang diintegrasikan pada Kemenkumham untuk mendukung kemudahan berusaha di Indonesia sudah tepat mengingat bahwa Kemenkumham merupakan lembaga eksekutif, dan proses pendaftaran merupakan proses administrasi pemerintahan yang seyogyanya dilakukan oleh eksekutif. Dari perspektif Undang-Undang Nomor 12 Tahun 2011, khususnya terkait hierarki peraturan perundang-undangan, PP OSS yang juga mengatur pendaftaran badan usaha merupakan materi muatan yang bertentangan dengan ketentuan pendaftaran perusahaan berdasarkan Kitab UndangUndang Hukum Dagang dan Undang-Undang tentang Wajib Daftar Perusahaan. Namun, pengaturan melalui PP merupakan alasan logis atas dasar asas kemanfaatan, mengingat PP OSS ini digunakan sebagai langkah strategis untuk mempercepat perolehan data badan usaha dan percepatan peningkatan kemudahan berusaha. Pada artikel yang berjudul "Aspek Hukum Pelaksanaan Pengadaan Tanah untuk Pembangunan pada Kawasan Ekonomi Khusus Pariwisata", yang ditulis oleh Harris Y. P. Sibuea, dikemukakan bahwa Negara menghadapi sejumlah permasalahan dalam pembangunan Kawasan Ekonomi Khusus (KEK) Pariwisata. Permasalahan tersebut menyangkut pelaksanaan proses pengadaan tanah dan belum adanya solusi untuk meredam konflik. Fokus permasalahan dari artikel ini adalah bagaimanakah aspek hukum pelaksanaan pengadaan tanah pada KEK Pariwisata. Artikel ini merupakan hasil penelitian yuridis normatif pada KEK Mandalika dan KEK Tanjung Kelayang. Hasil penelitian menemukan bahwa KEK Pariwisata atas dasar Peraturan Presiden termasuk proyek strategis nasional yang disesuaikan secara legislasi menjadi objek kepentingan umum sesuai dengan UU No. 2 Tahun 2012 tentang Pengadaan Tanah bagi Pembangunan untuk Kepentingan Umum. Dari hasil penelitian diketahui pula bahwa proses dan mekanisme pelaksanaan pengadaan tanah di KEK Mandalika dan KEK Tanjung Kelayang mengakibatkan timbulnya konflik pertanahan. Pemerintah berupaya untuk tetap melaksanakan pembangunan KEK Pariwisata meskipun penyelesaian konflik pertanahan memakan waktu panjang dan harus melewati proses negosisasi ganti rugi dengan masyarakat. Novianto M. Hantoro dalam artikel "Peran Mahkamah Konstitusi terhadap Pemenuhan Hak Warga Negara atas Perumahan yang Layak" mengemukakan bahwa hak atas rumah layak merupakan bagian dari hak ekonomi, sosial, dan budaya. Uji materi undang-undang di bidang perumahan menunjukkan adanya permasalahan atas hak tersebut dan Mahkamah Konstitusi (MK) memiliki peran dalam penanganan persoalan pemenuhannya. Selanjutnya, artikel ini membahas peran MK melalui pertimbangan hukum dalam putusannya terhadap uji materi undang-undang di bidang perumahan dan kesesuaiannya dengan instrumen hukum internasional. Pertimbangan hukum MK telah memerhatikan kepentingan pemerintah, pengusaha, dan masyarakat, serta telah sesuai dengan salah satu aspek dalam hak atas perumahan, yaitu keterjangkauan biaya. Keterjangkauan biaya tidak seharusnya mengabaikan aspek kelayakan. Persoalan perumahan sebagai hak asasi perlu lebih diutamakan dibandingkan perumahan sebagai komoditas. Kewajiban untuk memenuhi hak tersebut berada di tangan negara dan dilaksanakan oleh pemerintah. Terdapat disharmoni antara UU Perumahan dan UU Pemda. Dalam pembagian urusan, penyediaan rumah untuk Masyarakat Berpenghasilan Rendah (MBR) di UU Pemda hanya menjadi kewenangan Pemerintah Pusat. Urusan penyediaan rumah untuk MBR seharusnya menjadi tanggung jawab Pemerintah Pusat dan pemerintah daerah. Artikel kelima berjudul "Pidana Tutupan dalam RUU KUHP: dari Perspektif Tujuan Pemidanaan, Dapatkah Tercapai?", ditulis oleh Lidya Suryani Widayati. Artikel ini menyebutkan bahwa Wetboek van Strafrecht (WvS) tahun 1915 tidak mengatur sanksi pidana tutupan. Sanksi pidana ini dimuat dalam Kitab Undang-Undang Hukum Pidana (KUHP) melalui pembentukan Undang-Undang Nomor 20 Tahun 1946 tentang Hukuman Tutupan. Pembentuk UndangUndang (DPR dan Pemerintah) kembali mengatur sanksi pidana ini dalam Rancangan UndangUndang tentang Kitab Undang-Undang Hukum Pidana (RUU KUHP) sebagai salah satu pidana pokok. Artikel ini mengkaji kebijakan penentuan pidana tutupan dari perspektif pemidanaan terutama dari tujuan pemidanaan. Berdasarkan pada tujuan pemidanaan yang dirumuskan dalam RUU KUHP maka tujuan pemidanaan tidak akan tercapai dengan menggunakan sarana pidana tutupan. Pidana tutupan juga berpotensi menimbulkan diskriminasi karena tidak ada ukuran bagi hakim untuk menjatuhkan sanksi pidana ini. Untuk memberikan kepastian hukum maka pembentuk undang-undang seharusnya merumuskan dengan jelas kriteria bagi hakim untuk menjatuhkan sanksi pidana tutupan. Selanjutnya, pada artikel yang berjudul "Urgensi Mempertahankan Pengaturan Tindak Pidana Menunjukkan Alat Mencegah Kehamilan dalam RUU KUHP" yang ditulis oleh Prianter Jaya Hairi, dikatakan bahwa pengaturan perbuatan pidana mempertunjukkan suatu alat untuk mencegah kehamilan atau alat kontrasepsi merupakan salah satu norma yang disorot oleh masyarakat. Norma ini sesungguhnya merupakan pengaturan kembali, karena secara substansi perbuatan ini sudah diatur dalam Pasal 534 KUHP yang saat ini masih berlaku. Kedua ketentuan tersebut jika dibandingkan konstruksi pasalnya sudah sangat berbeda satu sama lainnya. Pencantuman kembali norma tersebut, saat ini mendapat penolakan dari berbagai elemen masyarakat, diantaranya lembaga-lembaga swadaya dan advokasi masyarakat yang bergerak dalam bidang penyuluhan pencegahan penyakit menular seksual. Kajian ini menyimpulkan bahwa kebijakan pengaturan kembali perbuatan tersebut sebenarnya bukan ditujukan untuk menjerat mereka yang bekerja di bidang keluarga berencana dan penyuluhan kesehatan, melainkan karena pertimbangan nilai dan moral keagamaan yang menjadikan pasal terkait alat pencegah kehamilan itu menjadi penting untuk tetap diatur kembali. Konstruksi pasal juga menunjukkan semangat perumus RUU KUHP dalam rangka pelindungan Anak. Artikel terakhir berjudul "Implementasi Perpres Nomor 125 Tahun 2016 tentang Penanganan Pengungsi dari Luar Negeri" ditulis oleh Novianti. Dalam artikel ini disebutkan bahwa keberadaan pencari suaka dan pengungsi dari luar negeri menjadi persoalan di Indonesia. Indonesia belum meratifikasi Konvensi 1951 dan Protokol 1967, namun Pemerintah telah menerbitkan Perpres No. 125 Tahun 2016 tentang Penanganan Pengungsi dari Luar Negeri sebagai amanat dari Pasal 27 UU No. 37 Tahun 1999 tentang Hubungan Luar Negeri. Sehubungan dengan itu, permasalahan dalam artikel ini adalah bagaimana pengaturan penanganan pengungsi luar negeri dan implementasi Perpres No. 125 Tahun 2016. Hasil penelitian menunjukkan bahwa pengaturan penanganan pengungsi dari luar negeri tidak sesuai dengan ketentuan hukum internasional dan hukum nasional yaitu UU No. 6 Tahun 2011 tentang Keimigrasian. Berdasarkan Perpres tersebut, proses pemulangan pengungsi dilakukan pilihan secara sukarela atau deportasi. Hal ini tidak bertentangan dengan kewajiban Indonesia untuk menjunjung tinggi standar pelindungan pengungsi dan prinsip non-refoulement. Oleh karena itu, perlu harmonisasi antara Perpres tersebut dan UU Keimigrasian. Hasil pemikiran dan penelitian yang dimuat dalam Jurnal Negara Hukum ini diharapkan dapat memperluas wawasan dan pengetahuan pembaca serta menjadi referensi, baik sebagai bahan penelitian lanjutan atau membuat kajian yang lebih mendalam, maupun perumusan kebijakan atau norma hukum. Hukum selalu berkembang mengikuti perkembangan kehidupan masyarakat yang dinamis, sehingga terbuka kemungkinan timbulnya permasalahan hukum baru yang perlu diselesaikan, dengan melakukan pengkajian dan penelitian, yang hasilnya dituangkan dalam bentuk artikel ilmiah. Jakarta, November 2019 Redaksi Jurnal Negara Hukum Implementasi Putusan Mahkamah Konstitusi Nomor 67/PUU-XI/2013 Terkait Kedudukan Upah Pekerja dalam Kepailitan Luthvi Febryka Nola Abstrak Kedudukan kreditor memegang peranan penting dalam kepailitan. Kedudukan akan membuat kreditor mendapatkan pembayaran terlebih dahulu namun juga dapat membuat kreditor tidak mendapatkan perlunasan hutang. Sebelum adanya Putusan Mahkamah Konstitusi (MK) Nomor 67/PUU-XI/2013, kedudukan kreditor adalah kreditor separatis, preferen dan konkuren. Upah pekerja termasuk dalam kreditor preferen. Putusan MK Nomor 67/PUU-XI/2013 telah mengubah posisi tersebut dan meletakkan posisi upah buruh di atas kreditor lainnya. Putusan ini juga memposisikan hak pekerja lain pada posisi utama dibandingkan kreditor preferen lainnya. Oleh karena itu tulisan ini membahas Putusan MK Nomor 67/PUU-XI/2013 dari perspektif kekuatan mengikat putusan dan implementasinya terhadap stakeholders terkait. Adapun dari hasil pembahasan dapat diketahui putusan MK memiliki kekuatan mengikat begitu diputuskan hanya saja karena Putusan MK Nomor 67/PUU-XI/2013 berpengaruh terhadap sejumlah undang-undang (UU) membuat UU terkait tersebut perlu disesuaikan. Saat ini penyesuaian belum dilakukan dan akibatnya dalam implementasi putusan terjadi ketidakpastian, ketidakadilan, ketidakefektifan, ketidakmanfaatan, dan penyelundupan hukum. Kata kunci: implementasi; putusan MK; kepailitan; kedudukan kreditur; upah pekerja Pendaftaran Badan Usaha Secara Elektronik Pasca Diterbitkannya Peraturan Pemerintah Nomor 24 Tahun 2018 Irna Nurhayati, Karina Dwi Nugrahati Putri, Veri Antoni, Sulistiowati, Nindyo Pramono Abstrak Peraturan Pemerintah (PP) Nomor 24 Tahun 2018 tentang Pelayanan Perizinan Berusaha Terintegrasi Secara Elektronik/Online Single Submission (PP OSS) menandai babak baru kemudahan berusaha di Indonesia. Artikel ini mengkaji, tepat atau tidaknya pendaftaran badan usaha diintegrasikan pada Kemenkumham untuk mendukung kemudahan berusaha di Indonesia; dan legalitas PP OSS. Dari hasil pembahasan disimpulkan bahwa, pendaftaran badan usaha yang diintegrasikan pada Kemenkumham untuk mendukung kemudahan berusaha di Indonesia sudah tepat mengingat bahwa Kemenkumham merupakan lembaga eksekutif, dan proses pendaftaran merupakan proses administrasi pemerintahan yang seyogianya dilakukan oleh eksekutif. Dari perspektif Undang-Undang Nomor 12 Tahun 2011, khususnya terkait hierarki peraturan perundang-undangan, PP OSS yang juga mengatur pendaftaran badan usaha merupakan materi muatan yang bertentangan dengan ketentuan pendaftaran perusahaan berdasarkan Kitab Undang-Undang Hukum Dagang dan Undang-Undang tentang Wajib Daftar Perusahaan. Namun, pengaturan melalui PP merupakan alasan logis atas dasar asas kemanfaatan, mengingat PP OSS ini digunakan sebagai langkah strategis untuk mempercepat perolehan data badan usaha dan percepatan peningkatan kemudahan berusaha. Kata kunci: pendaftaran badan usaha; PP No. 24 Tahun 2018; Online Single Submission; OSS Aspek Hukum Pelaksanaan Pengadaan Tanah untuk Pembangunan pada Kawasan Ekonomi Khusus Pariwisata Harris Y. P. Sibuea Abstrak Negara menghadapi sejumlah permasalahan dalam pembangunan Kawasan Ekonomi Khusus (KEK) Pariwisata. Permasalahan tersebut menyangkut pelaksanaan proses pengadaan tanah dan belum adanya solusi untuk meredam konflik. Fokus permasalahan dari tulisan ini adalah bagaimanakah aspek hukum pelaksanaan pengadaan tanah pada KEK pariwisata. Tulisan ini merupakan hasil penelitian yuridis normatif pada KEK Mandalika dan KEK Tanjung Kelayang. Hasil penelitian menemukan bahwa KEK Pariwisata atas dasar Peraturan Presiden termasuk proyek strategis nasional yang disesuaikan secara legislasi menjadi objek kepentingan umum sesuai dengan UU No. 2 Tahun 2012 tentang Pengadaan Tanah bagi Pembangunan untuk Kepentingan Umum. Dari hasil penelitian diketahui pula bahwa proses dan mekanisme pelaksanaan pengadaan tanah di KEK Mandalika dan KEK Tanjung Kelayang mengakibatkan timbulnya konflik pertanahan. Pemerintah berupaya untuk tetap melaksanakan pembangunan KEK pariwisata meskipun penyelesaian konflik pertanahan memakan waktu panjang dan harus melewati proses negosisasi ganti rugi dengan masyarakat. Kata kunci: pengadaan tanah; kawasan ekonomi khusus pariwisata; kepentingan umum; penyelesaian konflik pertanahan Peran Mahkamah Konstitusi terhadap Pemenuhan Hak Warga Negara atas Perumahan yang Layak Novianto M. Hantoro Abstrak Hak atas rumah layak merupakan bagian dari hak ekonomi, sosial, dan budaya. Uji materi undang-undang di bidang perumahan menunjukkan adanya permasalahan atas hak tersebut dan MK memiliki peran dalam penanganan persoalan pemenuhannya. Tulisan ini bertujuan untuk membahas peran MK melalui pertimbangan hukum dalam putusannya terhadap uji materi undang-undang di bidang perumahan dan kesesuaiannya dengan instrumen hukum internasional. Pertimbangan hukum MK telah memerhatikan kepentingan pemerintah, pengusaha, dan masyarakat, serta telah sesuai dengan salah satu aspek dalam hak atas perumahan, yaitu keterjangkauan biaya. Keterjangkauan biaya tidak seharusnya mengabaikan aspek kelayakan. Persoalan perumahan sebagai hak asasi perlu lebih diutamakan dibandingkan perumahan sebagai komoditas. Kewajiban untuk memenuhi hak tersebut berada di tangan negara dan dilaksanakan oleh pemerintah. Terdapat disharmoni antara UU Perumahan dan UU Pemda. Dalam pembagian urusan, penyediaan rumah untuk MBR di UU Pemda hanya menjadi kewenangan Pemerintah Pusat. Urusan penyediaan rumah untuk MBR seharusnya menjadi tanggung jawab Pemerintah Pusat dan pemerintah daerah. Kata kunci: Mahkamah Konstitusi; hak ekonomi; perumahan; Putusan MK Pidana Tutupan dalam RUU KUHP: dari Perspektif Tujuan Pemidanaan, Dapatkah Tercapai? Lidya Suryani Widayati Abstrak Wetboek van Strafrecht (WvS) tahun 1915 tidak mengatur sanksi pidana tutupan. Sanksi pidana ini dimuat dalam Kitab Undang-Undang Hukum Pidana (KUHP) melalui pembentukan Undang-Undang Nomor 20 Tahun 1946 tentang Hukuman Tutupan. Pembentuk Undang-Undang (DPR dan Pemerintah) kembali mengatur sanksi pidana ini dalam Rancangan Undang-Undang tentang Kitab Undang-Undang Hukum Pidana (RUU KUHP) sebagai salah satu pidana pokok. Tulisan ini mengkaji kebijakan penentuan pidana tutupan dari perspektif pemidanaan terutama dari tujuan pemidanaan. Berdasarkan pada tujuan pemidanaan yang dirumuskan dalam RUU KUHP maka tujuan pemidanaan tidak akan tercapai dengan menggunakan sarana pidana tutupan. Pidana tutupan juga berpotensi menimbulkan diskriminasi karena tidak ada ukuran bagi hakim untuk menjatuhkan sanksi pidana ini. Untuk memberikan kepastian hukum maka pembentuk undang-undang seharusnya merumuskan dengan jelas kriteria bagi hakim untuk menjatuhkan sanksi pidana tutupan. Kata kunci: pidana tutupan; tujuan pemidanaan; RUU KUHP Urgensi Mempertahankan Pengaturan Tindak Pidana Menunjukkan Alat Mencegah Kehamilan dalam RUU KUHP Prianter Jaya Hairi Abstrak Salah satu norma dalam RUU KUHP yang mendapat perhatian publik adalah pengaturan perbuatan pidana mempertunjukkan suatu alat untuk mencegah kehamilan atau alat kontrasepsi. Norma ini sesungguhnya merupakan pengaturan kembali, karena secara substansi perbuatan ini sudah diatur dalam Pasal 534 KUHP yang saat ini masih berlaku. Kedua ketentuan tersebut jika dibandingkan konstruksi pasalnya sudah sangat berbeda satu sama lainnya. Pencantuman kembali norma tersebut, saat ini mendapat penolakan dari berbagai elemen masyarakat, diantaranya lembaga-lembaga swadaya dan advokasi masyarakat yang bergerak dalam bidang penyuluhan pencegahan penyakit menular seksual. Kajian ini menyimpulkan bahwa kebijakan pengaturan kembali perbuatan tersebut sebenarnya bukan ditujukan untuk menjerat mereka yang bekerja di bidang keluarga berencana dan penyuluhan kesehatan, melainkan karena pertimbangan nilai dan moral keagamaan yang menjadikan pasal terkait alat pencegah kehamilan itu menjadi penting untuk tetap diatur kembali. Konstruksi pasal juga menunjukkan semangat perumus RUU KUHP dalam rangka perlindungan anak. Kata kunci: kebijakan kriminal; KUHP; kontrasepsi Implementasi Perpres No. 125 Tahun 2016 tentang Penanganan Pengungsi dari Luar Negeri Novianti Abstrak Keberadaan pencari suaka dan pengungsi dari luar negeri menjadi persoalan di Indonesia. Sampai saat ini, Indonesia belum meratifikasi Konvensi 1951 dan Protokol 1967. Meskipun belum meratifikasi kedua ketentuan internasional tersebut, Pemerintah telah menerbitkan Perpres No. 125 Tahun 2016 tentang Penanganan Pengungsi dari Luar Negeri sebagai amanat dari Pasal 27 UU No. 37 Tahun 1999 tentang Hubungan Luar Negeri. Sehubungan dengan itu, permasalahan dalam tulisan ini adalah bagaimana pengaturan penanganan pengungsi luar negeri dan bagaimana implementasi Perpres No. 125 Tahun 2016. Hasil penelitian menunjukkan bahwa pengaturan terkait penanganan pengungsi dari luar negeri tidak sesuai dengan ketentuan hukum internasional dan hukum nasional yaitu UU No. 6 Tahun 2011 tentang Keimigrasian. Berdasarkan Perpres tersebut, proses pemulangan pengungsi dilakukan pilihan secara sukarela atau deportasi. Hal ini tidak bertentangan dengan kewajiban Indonesia untuk menjunjung tinggi standar pelindungan pengungsi dan prinsip non-refoulement. Oleh karena itu, perlu harmonisasi antara Perpres tersebut dan UU Keimigrasian. Kata kunci: pengungsi dari luar negeri; pencari suaka; penanganan pengungsi; Perpres No. 125 Tahun 2016 The Keywords noted here are the words which represent the concept applied in a writing. These abstracts are allowed to copy without permission from the publisher and free of charger Implementation of Constitutional Court Decision Number 67/PUU-XI/2013 Related to the Position of Workers' Wages in Bankruptcy Luthvi Febryka Nola Abstract The position of creditors plays an important role in bankruptcy. The position would fortunate the creditors in receiving immediate payment, but unfortunately would also burden the creditors with unpaid debt settlement. Prior to the Constitutional Court Decision Number 67/ PUU-XI/2013, the positions of creditors were separatist, preferred and concurrent creditors. Workers' wages are included in preferred creditors. However, the Constitutional Court Decision Number 67/PUU-XI/2013 has changed the position of creditors and put workers' wages higher than other creditors. The decision also positioned other workers' rights in a dominant compared to other preferred creditors. Therefore, this paper discusses Constitutional Court Decision Number 67/PUU-XI/2013 from the perspective of the strength of binding decisions and their implementation to relevant stakeholders. As for the results of the discussion, it can be seen that the Constitutional Court Decision has binding force once it was decided. However, because the Constitutional Court Decision Number 67/PUU-XI/2013 brings consequences for several laws, related laws need to be adjusted. At present, adjustments have not yet been made, and as a result, the implementation of the Decision is challenged with uncertainty, injustice, ineffectiveness, uselessness, and law smuggling. Key words: implementation; Constitutional Court Decision; bankruptcy; creditors' position; worker's wages The Keywords noted here are the words which represent the concept applied in a writing. These abstracts are allowed to copy without permission from the publisher and free of charger Electronic Registration of Business Post-Issuance of the Government Regulation Number 24 of 2018 Irna Nurhayati, Karina Dwi Nugrahati Putri, Veri Antoni, Sulistiowati, Nindyo Pramono Abstract Government Regulation Number 24 of 2018 on Electronically Integrated Business Licensing Services/Online Single Submission (GR OSS) marks a new chapter on the effort to improve the ease of doing business (EoDB) in Indonesia. This paper analyses whether or not it is expedient to integrate business registration into the Ministry of Law and Human Rights (MoLHR) to support Indonesia’s EoDB; and examines the legality of the GR OSS from the perspective of the hierarchy of laws. The paper concludes that the integration of business registration into the MoLHR to support Indonesia’s EoDB has already been positive, considering that MoLHR is a part of the executive branch, and the registration process is a part of the government administration that should be exercised by the executive. From the perspective of Law Number 12 of 2011, especially ones related to the hierarchy of laws, the GR OSS that also regulates the registration of business is, in fact, contradict with provisions of business registration based on the Commercial Code and Law on Mandatory Company Registration. However, provisions through GR OSS is with logical reasoning based on the principle of expediency, that GR OSS is considered a strategic move to accelerate business data gathering and to improve Indonesia’s EoDB. Key words: business registration; Government Regulation Number 24 of 2018; Online Single Submission; OSS The Keywords noted here are the words which represent the concept applied in a writing. These abstracts are allowed to copy without permission from the publisher and free of charger Legal Aspect of the Implementation of Land Acquisition for Development on Tourism Special Economic Zone Harris Y. P. Sibuea Abstract The Government faces a number of challenges in the development of the Tourism Special Economic Zone (SEZ). That challenges to include deliverance of the land acquisition process and the absence of genuine solutions to reduce conflicts. The focus of the problem on this paper is on the legal aspects of the deliverance of land acquisition in the Tourism SEZ. This paper is based on normative juridical research on Mandalika SEZ and Tanjung Kelayang SEZ. The results of this research found that the Tourism SEZ based on Presidential Regulation is a part of national strategic projects that were legally adjusted as objects of public interest in accordance with Law Number 2 of 2012 on Land Acquisition for Development for Public Interest. The research also shows that the process and mechanism of land acquisition deliverance in Mandalika SEZ and Tanjung Kelayang SEZ have caused land conflicts. The government still tries to continue the development of Tourism SEZ even though land conflicts would take a long time to solve and have to go through compensation negotiations' process with the community. Key words: land acquisition; Tourism Special Economic Zones; public interest; land conflict resolution The Keywords noted here are the words which represent the concept applied in a writing. These abstracts are allowed to copy without permission from the publisher and free of charger The Role of the Constitutional Court on the Fulfilment of Citizens' Right to Adequate Housing Novianto M. Hantoro Abstract The right to adequate housing is a part of economic, social and cultural rights. The judicial review of the law in housing sector shows that there are problems with this right and at the same time shows that the Constitutional Court has a role in handling its fulfilment issues. This paper aims to discuss the role of the Constitutional Court through legal considerations in its decision on review of the law in housing sector as well as its suitability with international legal instruments. The legal considerations of the Constitutional Court have paid attention to the interests of the government, private sector, and the citizen, and have been concerned with one aspect of the right to housing, namely affordability. Affordability should not neglect the aspect of adequate housing. The issue of adequate housing as a human right should come first before the issue of housing as a commodity. The obligation to fulfil this right rests with the state and is carried out by the government. There is also a disharmony between the Law on Housing and the Law on Regional Government. According to the Law on Regional Government, the Central Government has the responsibility to provide housing for low-income households. When in fact it should be a shared-responsibility of the central and regional governments. Key words: Constitutional Court; economic rights; housing; Constitutional Court Decision The Keywords noted here are the words which represent the concept applied in a writing. These abstracts are allowed to copy without permission from the publisher and free of charger Undisclosed Penitentier in Criminal Code Bill: From the Purpose of Punishment's Perspective, Can It Be Achieved? Lidya Suryani Widayati Abstract Wetboek van Strafrecht (WvS) of 1915 did not regulate undisclosed penitentier. This criminal sanction is included in the Criminal Code (KUHP) through the establishment of Law Number 20 of 1946 on Undisclosed Penitentier. The legislators (the House of Representatives and the Government) re-arranged this criminal sanction in the Criminal Code Bill (RUU KUHP) as one of the main sanctions. This paper examines the policy of determining undisclosed penitentier from punishment perspective, especially from the purpose of punishment. Based on the purpose of punishment that is formulated in the Criminal Code Bill, the purpose of the punishment would not be achieved by using undisclosed penitentier. Undisclosed penitentier also has the potential to cause discrimination because there is no standard for judges to impose these criminal sanctions. To provide legal certainty, the legislators should clearly formulate the criteria for judges to impose undisclosed penitentier. Key words: undisclosed penitentier; the purpose of punishment; the Criminal Code Bill The Keywords noted here are the words which represent the concept applied in a writing. These abstracts are allowed to copy without permission from the publisher and free of charger The Urgency of Rearranging Regulations on Criminal Act of Presenting Prevention of Pregnancy's Device in the Criminal Code Bill Prianter Jaya Hairi Abstract One of the norms in the Criminal Code Bill that receives public attention is the matter of regulating criminal act of presenting a device to prevent pregnancy or contraception. This norm is actually a rearrangement, because this act substantially has been regulated in Article 534 of the Criminal Code that is currently still valid. However, if the provisions were compared, each has a very different construction. The problem is that the rearrangement of these norms is currently being rejected by various elements of the society, including nongovernment organizations and community advocacy groups, especially those working in the field of counselling to prevent sexually transmitted diseases. This study concludes that the decision to rearrange the norm is not intended to ensnare those working in the field of family planning and health education. Religious values and moral considerations are the reasons behind the need to rearrange the article related to prevention of pregnancy's device. The construction of the article also shows the spirit of the drafter of the Criminal Code Bill in the context of child protection. Key words: criminal policy; Criminal Code; contraception The Keywords noted here are the words which represent the concept applied in a writing. These abstracts are allowed to copy without permission from the publisher and free of charger The Implementation of Presidential Regulation Number 125 of 2016 on the Handling of International Refugees Novianti Abstract The existence of asylum seekers and international refugees is a problem in Indonesia and until now Indonesia has not ratified the 1951 Convention and the 1967 Protocol on the Status of Refugees. Although the two has not yet ratified, the Government has issued Presidential Regulation Number 125 of 2016 on the Handling of International Refugees as mandated by Article 27 of the Law on Foreign Relations. For that reason, the problem discussed in this paper is on how to regulate the handling of refugees and how to implement Presidential Regulation on the Handling of International Refugees. The result of the study indicates that the regulations related to the handling of international refugees is not in accordance with international law and the Law Number 6 of 2011 on Immigration. According to the Presidential Regulation the process of returning the refugees is either voluntary return or deportation. The choices are not in conflict with Indonesia's obligation to uphold refugee protection standards and the principle of non-refoulement. Therefore, it is necessary to harmonize the Presidential Regulation and the Law on Immigration. Key words: international refugees; asylum seekers; UNHCR; President Regulations 125/2016
DISPLAY DPY351 Monitor and Control Panel for ADELBus Network Instruction Manual Instruction Manual DPY351_Rev7_A24.AAA.020A2 Table of Contents 1 Product Description The DPY351 is a robust and versatile multifunction display that allows monitoring, configuring and managing of ADELSystem connected devices in an ADELBus network. It is equipped with a high-brightness and wide viewing-angle 3.5'' TFT screen which guarantees an optimum visibility in any operating condition. The user interface is clear, intuitive and allows configuring and managing ADELBus network through its Ethernet interface by remotely monitoring connected devices, using the SNMP and Modbus TCP protocols. The configuration of the Ethernet connection is very straightforward and can be done by means of the embedded webserver or the intuitive user interface. The device IP addressing can be static or dynamic using the DHCP protocol. This makes the connection of a DPY351 to a LAN very easy. It is possible to connect several devices in chain together, up to 50. 1.1 Features ADELBus network manages all ADELsystem connected devices. 1.2 Monitoring It is possible the monitoring of input and output data, peak current, peak voltage, all battery parameters such as temperature, State of Charge, etc.… 1.3 Configuration With the DPY351, it is possible to modify the parameters of any ADELsystem device connected: DC-Ups, Power Supply and Battery Charger. 1.4 Alarms management All the alarms present on the single device are immediately reported. 1.5 History The history parameters are recorded inside each device. The DPY351 allows inspecting all the historical parameters of each single device. 1.6 Event Actions that are coordinated among the devices connected can be programmed, thus automating the system. 2 How to Install 2.1 Mains Technical Data \| Weight \| 0,25 kg. 0.55 lbs. \| \|---\|---\| \| Dimension \| 112 x 116 x 53 mm 4,41 x 4,57 x 2,09 inches \| \| Dimension Display \| 90 mm; 3,5 inches \| \| Languages \| EN \| \| IP Degree \| Front: IP65 Back: IP20 \| \| Power Supply \| PowerBus/ 12/24/48 Vdc input \| 2.2 Dimensions 2.3 Panel Mounting It is possible to mount DPY351 through a 90mm hole on the Panel and fix them by 4 2.9 x 16. No limit for the Panel thickness. You can use the Mounting Template at the end of this instruction manual. 2.4 How to Supply DPY351 The DPY351 can be powered from the ADELBus network. There must be ADELBus (AUX3) powering devices available to provide sufficient power to the network. If there is no ADELBus powering device or the available power is not sufficient, the DPY351 must be connected to a 12/24/48 V battery or Output Load via the supplied connector (AUX5). 2.5 Connection Layout (Fig.1) Reference Description \| 1 \| Temperature Probe (AUX1) \| \|---\|---\| \| 2 \| Ethernet (AUX2) \| \| 3 \| ADELBus: Canbus, ModBus (AUX3) \| \| 4 \| USB (AUX4) \| \| 5 \| Auxiliary Power, I/O port (AUX5) \| 2.5.1 Auxiliary temperature sensor (AUX1) Auxiliary temperature sensor connection (RJtemp accessory probe) to measure the temperature environment in custom situations. 2.5.2 Ethernet Connection (AUX2) "HUB" Collector function of the connected devices to the ADELBus network, to transport via Ethernet. The available protocols are the Modbus TCP / IP, the SNMP protocol and the MQTT. 2.5.3 PowerBus Connection (AUX3) Automated RJ45 cable connection for Modbus and Canbus protocols. The Display must be powered via the Aux5 connector If the power is not enough. 2.5.4 USB Connection (AUX4) USB Connection for Software Updates via PC. 2.5.5 Auxiliary Input Power (AUX5) Connect the positive wire to terminal 1, the negative wire to terminal 2 of the connector. Use a 3mm flat blade screw driver to push in the Spring Connector. Note: To Supply CBI Size3, it is necessary to connect the Output Load + and – to Aux 5. 2.5.6 Wire size (AUX5) Use appropriate wire size to connect the AUX power supply to the battery. - Wire diameter Ø 1 mm (18AWG) 2.5 mm (13AWG) - Fuse: Insert a 1A fuse in the positive battery line. 2.5.7 Automatic Power On Display (Ref.6) The device power ON in manual Condition from Push Button power On, otherwise can start up in Automatic Power On. For this function set Switch 4 in position On 2.5.8 Input/Output State Terminal 3,4,7,8 (AUX5) The device is equipped with N°2 digital Input (terminal 3,4) suitable to reading conditions. They can be used for the most various checks. For example: the control of opening doors, presence of Earth, verification of presence Light, gas, pressure, etc... The Output relay (terminal 7,8) could be derived in dependency of input state by "Event" function. - Output Relay Free Switch Contact (NO) Max. current can be switched (EN60947.4.1): Max. DC1: 30 Vdc 1 A; AC1: 60 Vac 1A Min.1mA at 5 Vdc (Min Resistive load) 2.6 Hot to connect Shunt in CBI Size 3 To display current on CBI "SIZE 3" it is necessary to add Shunt device, as explained in fig.6. Consequently, it is possible to add this parameter on the Dashboard. 2.7 Keyboard 3 ADELBus Connections ADELBus is the ADELSystem network to interconnect devices via Modbus and Canbus protocols. ADELBus is used as power management system for all connected equipment, such as the DC-Ups, Battery Charger, Power Supply.Every compatible device with ADELBus is equipped with one or two data ports. The devices are simply chained together, forming a local data network. Monitoring panels such as the DPY351 can be used for monitoring and control all connected ADELBus equipment. CAUTION: Never connect a non ADELBus device to the ADELBus network directly! This will void warranty of all ADELBus devices connected. 3.1 Event based commands With ADELBus, a device can be programmed to initiate an action at another connected device. This is done by means of event-based commands. 3.2 How to set up an ADELBus network Connections between the devices are made by standard straight ADELBus cables. ADELSystem can supply these cables. These (CAT5) cables are also commonly available at computer supply stores. For the Can Connection in some devices it is usual use twisted pair cable with shield. Up to 50 ADELBus devices can be connected together. The electric power for the network comes from the connected devices. Otherwise, if it is not enough, it is necessary to connect the device by + and – connector AUX5. ADELBus needs a terminating impedance on both ends of the network, for that it is present a switch termination on the Device. 3.3 How to set an ADELBus network with more than one DPY351 (View Mode) In a Modbus network there is only one master. Normally the DPY351 is the master, it polls the network and it receives information from other AdelSystem devices, which are the slaves. If it is necessary to connect N DPY351 in the same ADELBus network, then N-1 displays shall be configured in View Mode. In this case only one DPY351 is a master and it polls the devices, the other DPY351s receive the data from the Bus and they consider the information only if these parameters go from a device in their list, in other case they ignore the information. View Mode is useful also when the master of the network is an external device as a PC. To configure the DPY351 in View Mode it is necessary to go in: Menu>Menu Config>Other Settings>Modbus View Mode. 3.4 Ethernet Configuration Configuration of the Ethernet interface by HTTP server via Web browser: 3.4.1 Connect HTTP server for the first time To connect DPY351 to a network a standard CAT5e or higher LAN cable must be connected to the AUX2 connector (RJ45, shielded) on the back of the unit, as shown in Fig.1. The DPY351 is configured to obtain an IP address from a DHCP server and to reply at the standard HTTP port (number 80) by default. The first access to the DPY351 internal webserver must be done by means of a browser at the IP address allocated to the DPY351. Said address can be read on the display at the page: Menu>Display Configuration>Information. Type the IP address of the DPY351 into any browser's address bar (as an example "192.168.1.100"). If a DHCP server is not available or if static addressing is preferred, the DPY351 can be configured to operate with a static IP address from the pages at Menu>Display Configuration>Network. Configure IP mode to Static and select the desired IP address from the Static IP address page. Reboot the device after any modification to the IP configuration. At the login page, the following details must be used: Username: Password: admin admin 3.4.2 Customizing the ethernet interface and services In the setup page, the following groups of parameters are displayed: * TCP/IP Configuration * Account * SNMP v2c * Modbus TCP * MQTT Account: The Account group (Fig. 2) allows the customization of the data for the HTTP server login page. TCP/IP Configuration Fig. 3 shows the TCP/IP Configuration group of parameter default values. They allow unique identification of the unit in the network. If "Dynamic (DHCP)" is selected, the IP address is automatically assigned by a DHCP server, that must be active on the network, and the System IP, Subnet Mask and Gateway textboxes are not available. HTTP Port allows redirecting the HTTP traffic to a port different than the TCP port 80, which is the one devoted to HTTP. In the case "HTTP Port" checkbox is not selected, the HTTP protocol will be run on port 80 and the "HTTP Port" textbox will be hidden. If "HTTP Port" checkbox is selected, then the "HTTP Port" textbox should be populated with the TCP port number the HTTP traffic must be redirected to. In such a case, access to the HTTP server from a browser must be made according to the following syntax: http://ipaddress:portnumber. As an example, if the IP address is 192.168.1.100 and the selected HTTP port is 5678 then the following IP string should be entered in the browser http://192.168.1.100:5678 The DPY351 supports access using the Virtual LAN protocol. In the case "VLAN ID" checkbox is not selected the "VLAN ID" textbox will be hidden and DPY351 will not operate in the VLAN. If "VLAN ID" checkbox is selected then the "VLAN ID" textbox should be populated with the ID. The VLAN ID can be set in the range 1 thru 4094 and it must match that of the VLAN the unit is operating in. SNMP v2c The DPY351 can act as a gateway between an ADELsystem power device (such as the CBI Size 3 and 4) and a SNMP manager. An ADELsystem MIB table is provided which consists of a list of parameters of the connected power device that can be remotely read, or read-written through the SNMP. Each parameter, (OID), is mapped one-to-one to a Modbus RTU holding register. Refer to the document CBIxxxW_Modbus_SNMP_MAP_Revx_y.pdf for the description of each RTU holding re gister and the corresponding OID. All the fields in the SNMP group of settings allow a maximum of 32 characters, except "System Description" and "System Location", which allow 255 characters maximum. The "Read-only community" and "Readwrite community" values must match those of the SNMP environment the unit operates in. 3.4.3 Enabling / disabling the MQTT MQTT communication allows the DPY351 to connect to the ADELView System Cloud for the remote monitoring of the power devices connected to the DPY using Modbus or CAN bus. It can be enabled or disabled by respectively checking or unchecking the MQTT radio button. Communication using the MQTT protocol is enabled by default. 3.4.4 Saving / resetting the customized ethernet parameters To save the changes into the DPY351 non volatile memory press the "Apply" button at the top or at the bottom of the page. Changes will take effect at the following DPY351 power up. To clear all the ethernet parameters press the "Reset" button, then reenter the data. Modbus TCP DPY351 parameters can be remotely controlled via Modbus TCP on Modbus address 247. DPY351 works as a gateway for the other devices connected to ADELBus. Refer to the Parameters table of every device for more information. 4 Functional Use 4.1 Video Link: https://www.youtube.com/watch?v=hy4V7s5XCQg 5 Welcome Page 5.1 Notification / Alarm (Link to Video Explanation) (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=10s 5.2 ) Display Configuration "Homepage" (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=193s 5.3 ) Customize Dashboard (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=207s 5.4 ) Customize "Six Values" (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=245s 5.5 ) Customize "Two Values" (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=296s 5.6 ) Customize "Single Value" (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=323s 6 Selection Page 6.1 Monitoring (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=35s 6.2 ) History (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=57s 6.3 ) Alarms (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=85s 6.4 ) Device "Advanced config – Pin insertion (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=100s 6.5 ) Devices "Add new devices" (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=136s 6.6 ) Display Configuration "Network menu" (https://www.youtube.com/watch?v=hy4V7s5XCQg&t=169s) ) 7 Mounting 7.1 Mounting template: 7 Mounting 7.1 Mounting template:
BLUE RIDGE REEL for adaptable string ensemble Brian Balmages Instrumentation Usage Guidelines Full Score Adaptable Parts (includes part 1, 2, 3, and 4 for each instrument) Violin Viola Violoncello Double Bass Accompaniment Piano / Guitar Percussion (optional, but preferred) Vibraphone Percussion 1 Snare Drum Percussion 2 Spoons / Castanets Tambourine Washboard / Guiro Master Set: $45.00 Extra Score: $6.00 FJH is now using a high-speed sorting system for parts. As a result, all single page parts are collated before multiple page parts. THE F·J·H MUSIC COMPANY INC. Frank J. Hackinson 2525 Davie Road, Suite 360 Fort Lauderdale, Florida 33317-7424 www.fjhmusic.com About the Series Originally designed to address the needs of small ensembles with exceptional instrumentation challenges, The Reimagine Initiative has grown into a series that not only offers great, functional music for ensembles of all sizes and instrumentation, but also includes a wealth of additional teaching opportunities that extend beyond performance. The following are just some examples of how this series can be used to deepen the musical understanding of students regardless of ability level. Adaptable Parts The primary goal of this series is to make sure every single musician has access to all the parts of a composition. Thus, if a piece is reimagined in 3 parts, a bass player is able to practice all 3 parts just like a violist can. This becomes particularly valuable if students are in sectionals but still want to be able to hear all the elements of a piece. If an ensemble does not have a bass clef voice, directors can assign this part to another player with ease. So even if a director only has a group of violists, they can still perform the music without issue. Accompaniment An easy piano part is included to provide additional support. Further, chords are written above the part where appropriate, allowing for a guitar player to play along as well. This part is also available as an mp3 download for students to practice with at home. Percussion Optional percussion parts are included but are not necessary. Students have the option of playing along with background tracks (including piano and percussion) or just perform with piano / guitar accompaniment alone. Teaching Opportunities Far Beyond Performance This series offers many opportunities to dive deeper into the musical decisions that are made in bringing each piece to life — from composition to orchestration and more. For example, students themselves can make decisions about orchestration during rehearsal. What happens if the basses play part 1 and cellos play part 3? Does it sound good? This will undoubtedly lead to wonderful discussions about orchestration and arranging, with students participating in the orchestration of a piece and discovering new, exciting combinations of instruments that give a piece an entirely new sound. Teachers may also choose to flip their orchestra and have all low voices play part 1 while all high voices play the bass line. These situations make students increasingly aware of the various parts in a piece of music other than their own. Sight reading is yet another benefit, as ensembles can sight read a piece multiple times with members switching parts each time. Reimagining Opportunities for Musicians Born out of the need to address small ensembles with exceptional instrumentation challenges, The Reimagine Initiative also unlocks a wealth of opportunities for teaching music in both familiar and new ways. We hope you share the excitement for what this series has to offer, and how it can help you reimagine your rehearsals and your curriculum! Recommended Part Assignments While there are many options for students to participate in “orchestrating” these works (see above), the following are recommended “standard” part assignments and may be adapted as needed. Three-Part Works: - Part 1: Violin, Viola, Cello - Part 2: Violin, Viola, Cello - Part 3: Cello, Double Bass Four-Part Works: - Part 1: Violin, Viola - Part 2: Violin, Viola, Cello - Part 3: Violin, Viola, Cello - Part 4: Cello, Double Bass The Composer Brian Balmages (b. 1975) is an award-winning composer, conductor, producer, and performer. The music he has written for winds, brass, and orchestra has been performed throughout the world with commissions ranging from elementary schools to professional orchestras. World premieres include prestigious venues such as Carnegie Hall, the Kennedy Center, and Meyerhoff Symphony Hall. His music was also performed as part of the 2013 Presidential Inaugural Prayer Service, which was attended by both President Obama and Vice President Biden. He received his bachelor's degree in music from James Madison University and his master's degree from the University of Miami in Florida. He is a recipient of the prestigious A. Austin Harding Award from the American School Band Directors Association and in 2016 was awarded the James Madison University Distinguished Alumni Award from the School of Visual and Performing Arts (the first year the award was given). In the same year, he was commissioned by his other alma mater, the University of Miami, to compose music for the inauguration of the institution’s 6th president, Dr. Julio Frenk. As a conductor, Mr. Balmages enjoys regular engagements with all-state and region bands and orchestras, as well as university and professional ensembles throughout the world. Notable guest conducting appearances have included the Midwest Clinic, Western International Band Clinic, College Band Directors Conference, American School Band Directors Association National Conference and others. Additional conducting appearances have included the Kennedy Center and Meyerhoff Symphony Hall as well as engagements in Australia, Canada and Italy. Currently, he is Director of Instrumental Publications for The FJH Music Company and Assistant Director of Bands and Orchestras at Towson University. About the Music Blue Ridge Reel was inspired by a visit to Asheville for the National Convention of the American Band Directors Association. I was extremely taken with the fun vibe of the town, located in the mountains of North Carolina. During the trip, I had an opportunity to hear several bluegrass bands, including a great performance during a dinner and special tour of the Biltmore Estate. I love the rich heritage of the music in the mountains of the Eastern United States. Many influences in the region come from the rich cultures of England, Ireland, Scotland and Wales. This fiddle music eventually played a major role in the development of country and bluegrass music. The title, Blue Ridge Reel, pays homage to the Blue Ridge Mountains. While influenced by the form and style of a traditional Irish reel, the music certainly heads in some contemporary directions as it seeks to mix the modern feel of a city like Asheville with its deeply engrained musical roots. It is also deeply influenced by the untimely passing of Davidson College mathematics professor, Robert Whitton, a music lover and major supporter of local musicians. Shortly after his passing, over 100 friends and family gathered in downtown Davidson to participate in a New Orleans-style march through the city. Thus, this piece ties together the spirit of that New Orleans march with my own personal bluegrass experiences in Asheville. A number of traditional instruments are called for, especially in the percussion section. A washboard really adds to the authenticity of the piece, though a guiro is a suitable alternative. The piece also calls for spoons. Many instrument stores now sell "musical spoons" that are easy for students to pick up and play quickly (castanets are a suitable replacement if necessary). - Brian Balmages BLUE RIDGE REEL for adaptable string ensemble BRIAN BALMAGES (ASCAP) With a spirited groove! $ j = 108 $ Parts Piano (Guitar) Vibraphone Percussion 1 (Snare Drum) Percussion 2 (Spoons / Castanets, Tambourine, Washboard / Guiro) Copyright © 2013 The FJH Music Company Inc. (ASCAP). This arrangement © 2020 The FJH Music Company Inc. (ASCAP). International Copyright Secured. Made in U.S.A. All Rights Reserved. WARNING! The music, text, design, and graphics in this publication are protected by copyright law. Any duplication is an infringement of U.S. copyright law. \| 25 \| Basses lower note only \| \|----\|------------------------\| \| \| \| Pno. (Gtr.) Vib. Perc. 1 Perc. 2 S.D. w/ brushes G(no3) 24 25 26 27 28 \| 33 \| Basses lower note only \| \|----\|------------------------\| \| \| \| Pno. (Gtr.) Vib. Perc. 1 Perc. 2 mf Tamb. 29 30 31 32 33 \| 1 \| 2 \| 3 \| 4 \| \|---\|---\|---\|---\| \| G \| C \| G \| C \| \| G \| C \| G \| C \| Pno. (Gtr.) Vib. Perc. 1 Perc. 2 Reproduction Prohibited \| 1 \| 2 \| 3 \| 4 \| \|---\|---\|---\|---\| \| C G \| C G \| C G C G \| C G C G \| Pno. (Gtr.) Vib. Perc. 1 Perc. 2 Wshbd. f \| 57 \| \|---\| \| C G C G \| C G C G \| C G as written \| Pno. (Gtr.) Vib. Perc. 1 Perc. 2 f \| 1 \| - \| - \| - \| - \| \|---\|---\|---\|---\|---\| \| 2 \| - \| - \| - \| - \| \| 3 \| - \| - \| - \| - \| \| 4 \| - \| - \| - \| - \| Pno. (Gtr.) Vib. Perc. 1 Perc. 2 58 \| 59 \| 60 \| 61 \| 62 \| 63 \| 1 \| - \| - \| - \| - \| - \| \|---\|---\|---\|---\|---\|---\| \| 2 \| - \| - \| - \| - \| - \| \| 3 \| - \| - \| - \| - \| - \| \| 4 \| - \| - \| - \| - \| - \| Pno. (Gtr.) Vib. Perc. 1 Perc. 2 64 \| 65 \| 66 \| 67 \| 68 \| 69 \| 1 \| - \| - \| - \| - \| - \| \|---\|---\|---\|---\|---\|---\| \| 2 \| - \| - \| - \| - \| - \| \| 3 \| - \| - \| - \| - \| - \| \| 4 \| - \| - \| - \| - \| - \| Pno. (Gtr.) Vib. Perc. 1 Perc. 2 ST6517 \| 1 \| 2 \| 3 \| 4 \| \|---\|---\|---\|---\| \| $ \text{Pno. (Gtr.)} $ \| $ \text{Vib.} $ \| $ \text{Perc. 1} $ \| $ \text{Perc. 2} $ \| \| $ \text{Tamb.} $ \| 70 71 72 73 74 \| 1 \| 2 \| 3 \| 4 \| \|---\|---\|---\|---\| \| $ \text{Pno. (Gtr.)} $ \| $ \text{Vib.} $ \| $ \text{Perc. 1} $ \| $ \text{Perc. 2} $ \| \| $ \text{Tamb.} $ \| 75 76 77 78 79 \| 81 \| mf \| mf \| mf \| \|----\|----\|----\|----\| \| G \| \| \| \| \| 80 \| mf \| 82 \| 83 \| 84 \| \|----\|----\|----\|----\|----\| \| 85 \| 86 \| 87 \| 88 \| 89 \| 90 \| \|----\|----\|----\|----\|----\|----\| Reproduction Prohibited \| 91 \| 92 \| 93 \| 94 \| 95 \| 96 \| \|----\|----\|----\|----\|----\|----\| \| D/F# \| D \| G \| D \| G \| C \| G \| D \| G \| \| Pno. (Gtr.) \| \| \| \| \| \| \| \| \| \| Vib. \| \| \| \| \| \| \| \| \| \| Perc. 1 \| w/ sticks \| \| \| \| \| \| \| \| \| Perc. 2 \| f \| \| \| \| \| \| \| \| \| 97 \| 98 \| 99 \| 100 \| 101 \| 102 \| \|----\|----\|----\|-----\|-----\|-----\| \| mf \| \| \| \| \| \| \| mf \| \| \| \| \| \| \| mf \| \| \| \| \| \| \| mf \| \| \| \| \| \| \| G(no3) \| \| \| \| \| \| \| Pno. (Gtr.) \| \| \| \| \| \| \| Vib. \| \| \| \| \| \| \| Perc. 1 \| Wahbd. mf \| \| \| \| \| \| \| Perc. 2 \| \| \| \| \| \| \| 105 Pno. (Gtr.) Vib. Perc. 1 Perc. 2 103 104 105 106 107 108 109 110 111 Reproduction Prohibited 113 A (no3) Pno. (Gtr.) Vib. Perc. 1 Perc. 2 113 f 114 115 116 117 121 Vlns. non-div. other instruments lower note only vocalize as written ch ch k ch ch k ch ch k ch ch k A (no3) vocalize as written ch ch k ch k ch ch k ch ch k Vlns. non-div. other instruments lower note only A(no3) 137 Pno. (Gtr.) Vib. Perc. 1 Perc. 2 134 135 136 137 138 139 D/G A D/G as written 140 141 142 143 144
\| Ticket type \| Where to buy tickets \| \| \| \| \|---\|---\|---\|---\|---\| \| \| Selected card agents and go on the TransLink website \| TransLink bus operators ^ \| Queensland Rail selected stations \| TransLink fare machines \| \| TransLink go card A smart card that stores value for travel on TransLink services. \| ✔ \| * \| ✔ \| ~ \| \| TransLink single # One-way ticket to reach your destination (not return). Final transfers must be made within two hours of ticket issue. \| \| ✔ \| ✔ \| ✔ \| St Lucia South and University of Queensland to City (BUZ) servicing St Lucia South, University of Queensland, Toowong, Milton and City Monday to Friday map ref Route number A B 412 412 412 412 412 412 412 412 412 412 412 412 412 412 412 412 412 412 412 412 St Lucia South C Uni of Qld Chancellors Pl D D E map ref A B C D E map ref A B C D E map ref A B C D E map ref A B C D E map ref A B C D E map ref A B C D E map ref A B C D E Please note am 5.57 am 6.12 am 6.27 am 6.37 am 6.47 am am 6.57 7.07 Please visit am am am 7.17 7.27 7.37 translink.com.au am 7.47 or call am 7.57 13 12 30 am am am am am am am 8.07 8.17 8.27 8.37 8.47 8.57 9.07 for confirmation of public holiday timetables. am 9.17 5.55 6.10 6.25 6.35 6.45 6.55 7.05 7.15 7.25 7.35 7.45 7.55 8.05 8.15 8.25 8.35 8.45 8.55 9.05 9.15 412 am 9.27 9.25 9.34 9.50 9.37 412 3.15 pm 3.17 3.28 3.25 3.45 412 pm 412 7.25 pm 7.27 7.37 7.34 7.52 412 1.33 pm 1.35 1.45 1.43 1.58 412 6.48 pm 6.50 6.59 6.57 7.12 City to University of Queensland and St Lucia South (BUZ) servicing City, Milton, Toowong, University of Queensland and St Lucia South Monday to Friday map ref Route number E D City, Roma St stop 138 app Ann St 412 am 412 412 412 412 412 412 412 412 412 412 412 412 412 412 412 412 412 412 412 6.24 6.39 6.54 7.04 7.14A7.19 7.24A7.29 7.34A7.39 7.44A7.49 7.54A7.59 8.04A8.09 8.14A8.19 8.24A8.29 C am am am am am am am am am am am am am am am am am am am Wesley Hospital, Coronation Dr B Toowong, Benson St A map ref E D C B A map ref E D C B A map ref E D C B A map ref E D C B A map ref E D C B A map ref E D C B A map ref E D C B A Please note 6.32 6.47 7.02 7.12 7.23A7.28 7.33A7.38 7.43A7.48 7.53A7.57 8.02A8.07 8.12A8.17 8.22A8.27 8.32A8.37 8.39 412 am 8.42 8.34 8.44 8.54 8.52 412 am 412 5.04 pm 5.12 5.23 5.14 5.26 412 9.14 pm 9.22 9.32 9.24 9.34 412 2.02 pm 2.08 2.19 2.09 2.22 412 7.17 pm 7.23 7.34 7.24 7.37 University of Queensland to Toowong (loop) servicing University of Queensland, St Lucia, Toowong and back to University of Queensland map ref B C B map ref B C B map ref B C B map ref B C B Please note All Route 402 journeys operate during university semesters only. 402 am 402 pm 402 pm Fortitude Valley to St Lucia and University of Queensland (NightLink loop) servicing Fortitude Valley, City, Milton, Toowong, St Lucia, University of Queensland, St Lucia South and back to Fortitude Valley \| \| Saturday & Sunday only \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| map ref \| Route number \| N413 \| N413 \| N413 \| N413 \| N413 \| Fortitude Valley to St Lucia and University of Queensland (NightLink loop) servicing Fortitude Valley, City, Toowong, St Lucia, University of Queensland and back to Fortitude Valley Please note Route N413 is a NightLink service that drops passengers anywhere along the route where it is safe to do so. Service does not operate on public holidays. 412, N413, 402 Key N route 412 route N413 Zone 1 Zone 1 To southern & eastern suburbs Roma St station Roma St station Milton station Milton station Auchenﬂower station Auchenﬂower station Toowong station Toowong station Central station Central station Fortitude Valley station Fortitude Valley station To northern suburbs To Springﬁeld, Ipswich & Rosewood To northern suburbs N413 412 402 402 412 B A C D F H E G The Wesley Hospital The Wesley Hospital Queen St Mall Queen St Mall Toowong Village Shopping Centre Toowong Village Shopping Centre University of Queensland University of Queensland Guyatt Park ferry terminal Roma St Roma St Boundary St Boundary St Boomerang St Boomerang St Park Rd Park Rd North Quay North Quay Riverside Exp Riverside Exp Chasely St Chasely St Glen Rd Glen Rd Benson St Benson St Brisbane St Brisbane St Coldridge St Coldridge St Sylvan Rd Sylvan Rd Boomerang Rd Boomerang Rd Sir Fred Schonell Dr Sir Fred Schonell Dr Carmody Rd Carmody Rd George St George St Albert St Albert St William St William St Ann St Ann St Ann St Ann St Gipps St Gipps St Adelaide St Adelaide St Skew St Skew St Countess St Countess St N Busway N Busway Eagle St Eagle St Edward St Edward St Creek St Creek St Herschel St Herschel St Coronation Dr Coronation Dr Coronation Dr Coronation Dr Gailey Rd Gailey Rd Indooroopilly Rd Indooroopilly Rd Swann Rd Swann Rd Hawken Dr Hawken Dr Hawken Dr Hawken Dr High St High St Lang Pde Lang Pde Land St Land St Elizabeth St Elizabeth St Queen St Queen St Mary St Mary St Wic k ham St Wic k ham St Barry Pde Barry Pde Brisbane City Fortitude Valley Milton Auchenﬂower Toowong St Lucia route 402 zone boundary timing points train line & station ferry terminal school university/TAFE hospital shops park ‘n’ ride A Diagrammatic map - not to scale Route 402 Servicing University of Queensland St Lucia Toowong St Lucia University of Queensland Route 412 Servicing St Lucia South University of Queensland Toowong Milton City Route N413 Servicing Fortitude Valley City Milton Toowong St Lucia University of Queensland St Lucia South Toowong Milton City Fortitude Valley
International Journal of Engineering and Innovative Technology (IJEIT) Volume 5, Issue 5, November 2015 Cramer-Gonzalez: A New Algorithm to Solve Linear System of Equations using cuBLAS on GPU González, H.E, Carmona L, J.J. 1 Information Technology Department, ININ, Carretera México-Toluca s/n, C.P. 52750, La Marquesa, Ocoyoacac, México. Abstract—In this paper a parallel code for solving simultaneous linear equations with real coefficients are used. We postulate a new linear transformation in matrix product form and we apply this linear transformation to a matrix (A) and next we apply again this linear transformation to a vector (b) and so we obtain Cramer Rule solution of the linear system of equations in efficient way. We use subroutines of cuBLAS 2 nd and 3 rd levels in double precision and we obtain correct numeric results. A is square, dense and non-structured; the GT is the best in most practical cases. We take this notation for explain the proposed new linear transformation and from the decomposition of gauss derive the new transformation [10]. Assume: x R with 0 x If x i and x 1 ,..., 1 n k i i n k k The matrix k M is said to be a GT and has the numeric interesting property following: The inverse matrix is obtained easily by changing the sign: Page 16 Index Terms—Cramer-Gonzalez Method, Linear System of Equations, Cramer´s Rule, Adjugate Matrix Method, Non-Structure Dense Matrix, cuBLAS on GPUs. I. INTRODUCTION A Linear System of Equations (LSE) can be defined as a set of m equations with n unknowns represented by a matrix A, a vector b and an unknown vector x, namely, b Ax .Many methods have been proposed to solve such linear equations. A famous one is Cramer's rule, where each component of the solution is determined as the ratio of two determinants. When trying to solve a system of n equations using Cramer's rule, one needs to compute n+ 1 determinant, each of order n. If these are computed in a straightforward way, using the Laplace Expansion, the solution to the linear system takes 1 ! 1 n n n multiplications, plus a similar number of additions. Although Cramer´s rule possesses a fundamental theoretical importance, it may result impractical in computations. It is for that reason that this method is seldom recommended [1]-[6]. Cramer´s rule has at least one attractive property: it computes every element of the solutions independently. For this reason, it can be a practical method for some special linear systems on parallel computers [7]. Another approach, with a certain mathematical appeal but considerable computational pitfalls, finds the solution to a linear system of equations using the inverse matrix 1 A . However, in virtually every application, it is unnecessary and inadvisable to compute the inverse matrix explicit. The inverse requires more arithmetic and produces a less accurate answer. Therefore, neither of the above methods are recommended [8]. II. GAUSS TRANSFORMATION (GT) There are several ways to make the process of elimination of elements in an array for triangulation [9], when the matrix DOI:10.17605/OSF.IO/XV5YR International Journal of Engineering and Innovative Technology (IJEIT) Volume 5, Issue 5, November 2015 So if: Follows that M is a lower triangular matrix (nxn) that is usually expressed as a factor that completely, that is, for k <n: . The matrix M represented in this way has the advantage that is equivalent to storing the first k columns 1 1 1 1 k M M M , such that if the numerical property applies reverse holds, we have: III. MATRIX LU DECOMPOSITION Assume: A R mxn and for some k<min{m,n}, GT is determined as follows: M M R k mxm 1 1 ,..., so that: 15 0 ) 1 ( k kk a , then the multipliers: Now we define: have: Where A k 11 ( ) is an upper triangular matrix. The above process illustrates the k-th step of matrix decomposition. Recalling that: It has the following final expression for matrix decomposition process: IV. LU DECOMPOSITION THEOREM 13 Using the above final expression, one can establish the following theorem: ()1 ()1 k n k Where: A k 11 1 ( ) is an upper triangular matrix. DOI:10.17605/OSF.IO/XV5YR "Whether A k denote the leader or principal sub-matrix (kxk) of A R mxn . If A k is not singular matrix for k = 1, ..., s; where ISO 9001:2008 Certified International Journal of Engineering and Innovative Technology (IJEIT) Volume 5, Issue 5, November 2015 s = min {m-1, n}, then there is a lower triangular matrix L R mxm and an upper triangular matrix U R mxn such that A = LU. Furthermore, A u u k min m n k kk 11 1 ... ,..., { , }." Proof. In the final expression for the decomposition of A, performing operations for the block (1,1) concludes that: The amounts a kk k ( ) 1 are called pivots. Thus, if the conditions of this theorem are satisfied, nonzero pivots are guaranteed during triangular decomposition. V. NEW LINEAR TRANSFORM IN n R (GLEZT) If we suppose that: For the n-th case, there is possibility of taking the elements of the original U: . We define: And from the GT, we obtained GlezT. VI. RE-EXPRESION OF (GLEZT) USING ELEMENTARY MATRICES The final expression for the linear transformation is [11]: Now, if the k-th iteration of k Adj k k e A A , , representing the k-th column of I A A Adj , , , respectively, where Adj A it is Adjugate Matrix, then: and: From the last equation, we re-expressing the New Linear Transformation: So if: 1); ,..., 1 ( a n k. Then the transformation equations between methods could be expressed as: Note how the element D kk of the matrix D can provide a criterion for whether the matrix is positive definite, negative definite or indefinite until that iteration. DOI:10.17605/OSF.IO/XV5YR Applying this result on: We obtain: Simplifying: ) 1 ( 00 ISSN: 2277-3754 ISO 9001:2008 Certified International Journal of Engineering and Innovative Technology (IJEIT) Volume 5, Issue 5, November 2015 Where is cleared: This method is better than the exposed by G. W. Stewart [12] because it is numerically stable and works when the matrix is singular. Although in this work the double-precision arithmetic is illustrated, also be used in integer arithmetic, so that its stability is guaranteed and only would have to care for the growing numbers [13]. VII. NUMERICAL RESULTS AND MATHEMATICAL EFFICIENCY As an illustration we use the matrix [14]: ; The value of the determinant and the Adjugate Matrix are known The program we used was written in the style of CUDA-C using some intrinsic subroutines of this language. We use subroutines of cuBLAS Dgemv 2 nd level and Dgemm 3 rd levels in double precision. The code was tested on a TESLA K20c at high performance computing area of the ININ. We choose 1 ,1 y x and we conducted experiments for eight numbers N of equations, namely: N=200,400,600,800,1000,2000,3000,4000 and we used 2496 cores with 4.8 Gb in RAM Memory. The following table and graphic have shown the execution time in Double Precision Arithmetic: Fig. 1. This results are in Double Precision Arithmetic The following table and graphic shown the difference in flops for the new algorithm because of its mathematical efficiency Table 2. Dimension of Matrices, Flops and Mathematical Methods Table 1. Dimension of Matrices and Time in Seconds. Fig. 2. The difference in Flops is remarkable for the New Algorithm, because it has a Minor Numerical Complexity DOI:10.17605/OSF.IO/XV5YR International Journal of Engineering and Innovative Technology (IJEIT) Volume 5, Issue 5, November 2015 VIII. CONCLUSIONS The computation of the Adjugate Matrix from its definition involves the computation of 2 n determinants of order (n-1) – a prohibitively expensive 4 n O process. On the other hand, the computation from the formula 1 A A A Adj break down when A is singular and is potentially unstable when A is ill-conditioned with respect to inversion. In this paper we first show that the Adjugate can be calculated in polynomial time 3 n O and that its numerical stability is unbeatable when running in integer arithmetic. In double precision arithmetic, the numerical results give the correct results for matrices of the order of 4000 or more in efficient way. The new algorithm Cramer-Gonzalez enables the Rule of Cramer becomes a new efficient method for solving systems of linear equations and even if the matrix is singular anyway makes it possible to obtain the Adjugate Matrix. REFERENCES [1] Curtis F. Gerald, Wheatley, Patrick O. Applied Numerical Analysis. Addison Wesley Publishing Co.,( 1994), Page: 140 [2] Lay, David C., Linear Algebra And Its Applications, Addison Wesley Publishing Co., (1994) Page: 177 [3] Terrence J. Akai, Applied Numerical Methods For Engineers, John Wiley and Sons, Inc., (1994), Page: 56 [4] Valenza, Robert J., Linear Algebra: An Introduction to Abstract , Mathematics, Springer-Verlag, N.Y. (1993) Page: 163 [5] Kolman, Bernard, Introductory Linear Algebra With Applications, Macmillan Publishing Company, (1998) Page: 98 [6] Eaves, Edgar D., Carruth, J. Harvey, Introductory Mathematical Analysis, Wm. C. Brown Publishers (1993) Page: 524 [7] Kahaner, D., Moler, C., Nash, S., Numerical Methods and Software, Prentice Hall, Englewood Cliffs, N.J., (1989) 41-53 [8] Wilkinson, J. H., The algebraic eigenvalue problem, Oxford University Press, Oxford, (1965) 189-264 [9] Golub, G.H., Van Loan Ch. F. Matrix Computations. Jhon Hopkins University Press (1985) [10] González, H.E., Carmona L., J.J., "A new LU decomposition on hybrid GPU-accelerated multicore systems".Computación y Sistemas. vol. 17 no. 3, (2013) 413-422 [11] González, H.E., "Método Cramer–LU aplicado al Algoritmo Simplex". Tesis Doctoral. DEPFI-UNAM. (2005) 22-25 [12] Stewart. G.W., On the adjugate matrix, Linear Algebra and its Applications 283 (1998) 151-164 [13] González, H.E., Carmona L., J.J., Solving Simultaneous Linear Equations using Finite Fields On Hybrid GPU-Accelerated Multi-core Systems, International Journal of Engineering and Innovative Technology (IJEIT), Volume 4, Issue 6, December (2014) DOI:10.17605/OSF.IO/XV5YR [14] Young, David M.; Gregory, Robert Todd. A Survey of Numerical Mathematics. Volume II. Dover Publications, Inc., (1972) AUTHOR BIOGRAPHY H. E. González. He received the PhD in Operations Research at the National Autonomous University of Mexico (UNAM) in 2005. He has been working in research activities for more than twenty years. He has published a book and more than ten scientific papers. Presently, he is a full-time researcher at the National Institute of Nuclear Research (ININ) at the Department of Systems. J.J. Carmona L., He received his B.S. in Electronic Engineering from UAM. Presently, he is a full-time researcher at the National Institute of Nuclear Research (ININ) at the Department of Systems.
DESERT HEALTHCARE DISTRICT SPECIAL BOARD MEETING Board of Directors Wednesday, March 15, 2017 9:30 a.m. – 10:30 a.m. Jerry Stergios Building, 2 nd floor Arthur H. "Red" Motley Boardroom 1140 N. Indian Canyon Drive, Palm Springs, California 92262 This meeting is handicapped-accessible Teleconference Location: 11175 Campus Avenue, Room 11006, Loma Linda, CA 92354 – Director Wortham Loma Linda Medical Center - Page(s) AGENDA Item Type Any item on the agenda may result in Board Action A. CALL TO ORDER – President Rogers Roll Call ____Director Zendle _____Director Wortham ____Director Matthews ____Vice-President Hazen _____President Rogers 1 B. APPROVAL OF AGENDA Action C. PUBLIC COMMENT At this time, comments from the audience may be made on items not listed on the agenda that are of public interest and within the subject-matter jurisdiction of the District. The Board has a policy of limiting speakers to no more than three minutes. The Board cannot take action on items not listed on the agenda. Public input may be offered on agenda items when they come up for discussion and/or action. D. NEW BUSINESS 2-11 12 1. Consideration to approve the polling instrument by Probolsky Research for the East Valley Voter Survey. 2. Consideration to approve a service agreement with Probolsky Research to perform polling of East Valley residents. Action Action E. ADJOURNMENT Desert Healthcare District - East Valley Voter Survey Interview Schedule DRAFT Field Dates: TBD Universe: Voters within the Proposed Desert Healthcare District annexation area Language: English and Spanish N = 300 Margin of Error = +/- 5.8% Hello, may I speak with __________? [IF NOT AVAILABLE—SCHEDULE CALLBACK] This is __________ with the Research Associates West a regional opinion research organization. We are conducting a survey about issues facing your community. Your opinion is important. 1. What is the most important issue facing your community today? [PROBE HEAVILY, CAPTURE AND CODE]: ____________________ 2. How would you rate the overall quality of medical care that is available in your community? Would you say that it is excellent, good, fair, poor or very poor? Good (NET) Excellent Good Fair Poor (NET) Very poor Poor Unsure [DO NOT READ] Refused [DO NOT READ] 3. Please tell me which of the following best describes your health insurance? [RANDOMIZE] Provided through my employer I purchase private insurance Government sponsored insurance (Medicare, Medical, Veterans Administration) I am insured through a family member Covered California Something else [PROBE, CAPTURE AND CODE]: ____________________ Not insured [DO NOT READ] Unsure[DO NOT READ] Refused [DO NOT READ] 4. The Desert Healthcare District was created in 1948 to build and operate Desert Hospital, now Desert Regional Medical Center. In 1997, the District Board of Directors leased the hospital to Tenet Health Systems, allowing Tenet to operate the hospital for 30 years. The community continues to own the hospital and the District oversees it. The District also invests $3 million each year to fund a variety of services and organizations, including: Desert AIDS Project, Find Food Bank of the Desert, Mizell Senior Center, Desert Hot Springs Health and Wellness Center, Desert Cancer Foundation, Stroke Recovery Center, Arthritis Foundation, and the University California Riverside School of Medicine, among others. The current District service area encompasses the cities of Palm Springs, Desert Hot Springs, Cathedral City, Rancho Mirage, part of Palm Desert, and unincorporated areas of Western Coachella Valley. The District has five publicly elected board members. Knowing what you do now, do you approve or disapprove of the job the Desert Healthcare District is doing? Approve Disapprove Unsure [DO NOT READ] Refused [DO NOT READ] 5. State legislation signed into law in 2016 required the Desert Healthcare District to file an application to expand its current boundaries and service area to include Eastern Coachella Valley. The expansion would cover the remainder of Palm Desert, Indian Wells, La Quinta, Indio, Coachella, Bermuda Dunes, Mecca, Thermal, Oasis, North Shore and Vista Santa Rosa, as well as unincorporated areas of Riverside County. Knowing what you do now, if you had to vote on whether to expand the Desert Healthcare District boundaries into these new communities in Eastern Coachella Valley, would you vote YES to approve or No to oppose the expansion? [RECORD] [IF SUPPORT OR OPPOSE>>>] And would you say that you would definitely or probably (vote YES to approve/vote NO to oppose)? Vote YES (NET) Definitely vote YES Probably vote YES Vote NO (NET) Definitely vote NO Probably vote NO Unsure [DO NOT READ] Refused [DO NOT READ] [RANDOMIZE Q6 – Q9] 6. Expanding the boundaries of the Desert Healthcare District would address significant barriers preventing access to healthcare providers and services for 240,000 residents in the Eastern Coachella Valley. Does knowing this make you more likely or less likely to vote yes, in favor of expanding the Desert Healthcare District boundaries? [RECORD] [IF MORE LIKELY OR LESS LIKELY>>>] And would you say that you are much (more/less) likely or somewhat (more/less) likely? More likely to vote yes [NET] Much more likely Somewhat more likely Makes no difference to me [DO NOT READ] Less likely to vote yes [NET] Much less likely Somewhat less likely Unsure [DO NOT READ] Refused [DO NOT READ] 7. A few examples of future programs and services to be provided to the Eastern Coachella Valley communities should the District boundaries be expanded, include, but are not limited to: Strategic plan for health and wellness initiatives, Free and low-cost medical and dental clinics, Mental health counseling and related services, Drug and alcohol treatment, Food distribution programs, Financial support and case management for families with special needs children, Free rehabilitation for stroke patients, Health assessment surveys that inform future programs and services, New and expanded inpatient and outpatient facilities. Does knowing this make you more likely or less likely to vote yes, in favor of expanding the Desert Healthcare District boundaries? [RECORD] [IF MORE LIKELY OR LESS LIKELY>>>] And would you say that you are much (more/less) likely or somewhat (more/less) likely? More likely to vote yes [NET] Much more likely Somewhat more likely Makes no difference to me [DO NOT READ] Less likely to vote yes [NET] Much less likely Somewhat less likely Unsure [DO NOT READ] Refused [DO NOT READ] 8. If the expansion were to happen, the elected Desert Healthcare District board of directors would increase from five members to seven members to include representatives of the new expanded boundaries. Does knowing this make you more likely or less likely to vote yes, in favor of expanding the Desert Healthcare District boundaries? [RECORD] [IF MORE LIKELY OR LESS LIKELY>>>] And would you say that you are much (more/less) likely or somewhat (more/less) likely? More likely to vote yes [NET] Much more likely Somewhat more likely Makes no difference to me [DO NOT READ] Less likely to vote yes [NET] Much less likely Somewhat less likely Unsure [DO NOT READ] Refused [DO NOT READ] 9. The Desert Healthcare District is currently funded by an allocation of property tax collected by Riverside County, rental income from medical facilities, and investments. The District would need approximately $6 million dollars a year to fully serve the communities in the expanded boundaries. Does knowing this make you more likely or less likely to vote yes, in favor of expanding the Desert Healthcare District boundaries? [RECORD] [IF MORE LIKELY OR LESS LIKELY>>>] And would you say that you are much (more/less) likely or somewhat (more/less) likely? More likely to vote yes [NET] Much more likely Somewhat more likely Makes no difference to me [DO NOT READ] Less likely to vote yes [NET] Much less likely Somewhat less likely Unsure [DO NOT READ] Refused [DO NOT READ] 10. One option for funding healthcare services in the expanded boundaries would be to voluntarily shift a portion of property tax dollars already collected by cities and the county in the expanded area, and dedicate them to the Desert Healthcare District instead? Do you support this way of funding the healthcare services in the expanded District service area? Yes, support No, oppose Unsure [DO NOT READ] Refused [DO NOT READ] 11. One option for funding healthcare services in the expanded boundaries would be to add a parcel tax on property owners. The average homeowner would pay about $65 per year? Do you support this way of funding the healthcare services in the expanded District service area? Yes, support No, oppose Unsure [DO NOT READ] Refused [DO NOT READ] 12. Knowing what you know now, if you had to vote on whether to expand the Desert Healthcare District boundaries and service area to include Eastern Coachella Valley, would you vote YES to approve or No to oppose the expansion? [RECORD] [IF SUPPORT OR OPPOSE>>>] And would you say that you would definitely or probably (vote YES to approve/vote NO to oppose)? Vote YES (NET) Definitely vote YES Probably vote YES Vote NO (NET) Definitely vote NO Probably vote NO Unsure [DO NOT READ] Refused [DO NOT READ] [ASK ONLY OF THOSE WHO ANSWERED "VOTE YES"] 13. Thinking specifically, why would you vote YES to expand the Desert Healthcare District? [PROBE HEAVILY, CAPTURE AND CODE]: ____________________ [ASK ONLY OF THOSE WHO ANSWERED "VOTE NO"] 14. Thinking specifically, why would you vote NO, opposing expanding the Desert Healthcare District? [PROBE HEAVILY, CAPTURE AND CODE]: ____________________ 15. Do you have children under the age of 18 living in your household? Yes No Refused [DO NOT READ] 16. Do you rent or do you own your home, condo or mobile home? Own Rent Other [DO NOT READ] Refused [DO NOT READ] 17. And finally, for demographic purposes only, which of the following best describes your ethnic background? Latino/Hispanic White/Caucasian Black/African American Asian Other Refused [DO NOT READ] Thank you for your time. Have a great (day/evening). CROSS TABULATIONS: Gender (from sample) Male Female Party (from sample) Republican Democratic DTS Household Party (from sample) Pure Republican household Pure Democratic household Mixed party household Born in US (from sample) US born Foreign born Birthplace unknown Age group (from sample) 18-34 35-54 55-64 65 and older Gender/Age (from sample) Men 18-54 Men 55+ Women 18-54 Women 55+ Party/Gender (from sample) GOP Men GOP Women DTS Men DTS Women Dem Men Dem Women Party/Age (from sample) CONFIDENTIAL DISTRIBUTION RESTRICTED GOP 18-54 GOP 55+ DTS 18-54 DTS 55+ Dem 18-54 Dem 55+ Vote propensity (from sample) 5 out of 5 4 out of 5 3 out of 5 2 out of 5 1 out of 5 100% not having had the chance New Registrant Type of voter (from sample) Permanent vote-by-mail voter Previous vote-by-mail voter Election Day voter Registration date? (from sample) Less than one year Up to 5 years Up to 10 years Up to 20 years More than 20 years Geographic Palm Desert Indian Wells Indio La Quinta Unincorporated CONFIDENTIAL DISTRIBUTION RESTRICTED Ethnicity Latino/Hispanic White/Caucasian Black/African American Asian Other Language English Spanish Phone type Land Mobile Children in household Yes No Home type Own Rent Other CONFIDENTIAL DISTRIBUTION RESTRICTED Proposal Memorandum TO: Herb Schultz Desert Healthcare District FROM: Adam D. Probolsky Probolsky Research SUBJECT: East Valley polling DATE: March 14, 2017 We are pleased to offer our services to design, conduct, analyze and present the results of a public opinion survey of voters within the proposed annexation area of East Coachella Valley. Our proposal is inclusive. Our services include: * Calling on both landlines and mobile phones * Stratified random sampling that is accurately representative of voters * English and Spanish interviewing and Spanish translation * Comprehensive reporting and dataset delivery focusing on actionable results * Post survey calls, in-person meetings and report customization 15 QUESTION TELEPHONE SURVEY MARGIN We can accommodate a tight time schedule for presenting results if the District approves a questionnaire quickly.
Indiana University Department of Department of French and Italian Spring 2018 – M250 (Intermediate Italian II) Instructor: Lisa Dolasinski Office: GA 3150 Telephone: Email: email@example.com Office Hours: M 2:30-3:30; T 12:00-1:00 Required Text: Paese che vai... Sara Dallavalle, Lisa Dolasinski, Lucia Gemmani, Isabella Magni, Carlotta Paltrinieri, Karolina Serafin. Free Online Texbook FINAL WRITTEN EXAM: 5:00-7:00 p.m., Wed., May 2 10:15 a.m-12:15 p.m., Mon., April 30 ON BEHALF OF THE DEPARTMENT OF FRENCH AND ITALIAN WE ASK THAT YOU BE AWARE THAT NO SPECIAL ARRANGEMENTS CAN BE MADE TO ACCOMMODATE EARLY DEPARTURE. IT IS STUDENT'S RESPONSIBILITY TO CHECK ON REGISTRAR'S WEBSITE WHEN AND WHERE YOUR EXAM IS GOING TO TAKE PLACE. Learning Goals and Objectives: This course builds upon your first three semesters of beginning and intermediate Italian (or equivalent). In M250 you will deepen your understanding and continue your practice of fundamental structures in Italian language and concepts in Italian culture. As always, you will be involved in a broad variety of assignments and activities that further develop your intermediatelevel proficiency in listening, speaking, reading and writing, and that further develop your ability to understand, evaluate, compare, and appreciate many aspects of Italian culture. If you study and participate regularly, by the end of this course you will be able to: (1) demonstrate your understanding (main ideas, details, tone, purpose, etc.) of intermediate-level audio and video texts, including short films (2) speak at short paragraph-length about present and future plans and past experiences, debate the pros and cons of certain situations, and to offer advice and express opinions on a variety of familiar subjects. (3) demonstrate your understanding (main ideas, details, tone, purpose, etc.) of intermediate-level written texts in Italian from a variety of sources (which may include newspapers, literary excerpts, poetry, music etc.) (4) write intermediate-level essays and other short texts with accuracy, creativity, appropriate transition points, and logical coherence on a range of familiar subjects or topics treated in class (5) demonstrate a basic understanding of select Italian cultural subjects and of how they relate to certain aspects of Italian history and geography, and how they compare to the reality of your own culture. Our hope is that your enthusiasm and confidence to communicate in Italian will grow steadily and we look forward to helping you reach these goals. Welcome to M250 (Intermediate Italian II). This syllabus gives precise day-by-day instructions. Homework and practice from your textbook are assigned every day of the week in order to guarantee daily interaction with the language. Week 1: Ripasso, 8-12 gennaio \| \| Giorno della \| In classe \| \|---\|---\|---\| \| \| settimana \| \| \| Lunedì \| \| Benvenuti: Conosciamoci + overview of the syllabus \| \| Martedì \| \| \| \| Mercoledì \| \| Ripasso passato prossimo + imperfetto \| \| Giovedì \| \| \| \| Venerdì \| \| Ripasso passato prossimo + imperfetto Capitolo 1: Machiavelli, la politica e la Guerra (Canvas) \| Week 2: Chapter 1, 15-19 gennaio \| \| Giorno della \| In classe \| \| A casa \| \| \|---\|---\|---\|---\|---\|---\| \| \| settimana \| \| \| \| \| \| \| Lunedì \| NO CLASS: MLK Jr. Day \| \| \| \| \| \| Martedì \| \| \| \| \| \| Mercoledì \| Mercoledì \| Ripasso passato prossimo + imperfetto Capitolo 1: Macchiavelli, la politica e la Guerra (Canvas) \| Ripasso passato prossimo + \| \| Watch lecture: Trapassato prossimo \| \| \| \| \| imperfetto \| \| + Canvas quiz (Trapassato \| \| \| \| \| Capitolo 1: Macchiavelli, la \| \| Prossimo- part 1) \| \| \| \| \| politica e la Guerra (Canvas) \| \| \| \| \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| \| \| \| \| Capitolo 1: 1861 – Garibaldi, i \| \| \| \| \| \| \| Mille, l’Unità \| \| \| \| \| \| \| Trapassato prossimo \| \| \| \| \| \| \| Garibaldi 4; Garibaldi 5 (Canvas) \| \| \| \| \| \| \| #Tweet 3- Garibaldi \| \| Giovedì \| \| \| \| \| \| \| Venerdì \| \| Trapassato prossimo Capitolo 1: 1861 – Garibaldi, i Mille, l’Unità Trapassato prossimo Reading: Garibaldi 3 (Canvas) \| \| Study chapter vocab. (Canvas) Capitolo 1: 1861 – Garibaldi, i Mille, l’Unità Trapassato prossimo Garibaldi 6; Garibaldi 7 (mini recording) (Canvas) \| \| Week 3: Chapter 1, 22-26 gennaio \| \| Giorno della \| In classe \| \| A casa \| \|---\|---\|---\|---\|---\| \| \| settimana \| \| \| \| \| Lunedì \| \| Trapassato prossimo Capitolo 1: 1861 – Garibaldi, i Mille, l’Unità \| Trapassato prossimo + Canvas quiz (Trapassato Prossimo- part 2) Study chapter vocab. (Canvas) \| \| \| \| Martedì \| \| \| \| \| Mercoledì \| \| Capitolo 1: Mussolini e la Seconda Guerra Mondiale Trapassato prossimo \| Capitolo 1: Mussolini e la Seconda Guerra Mondiale Trapassato prossimo + Canvas quiz (Trapassato Prossimo- part 3) Study chapter vocab. (Canvas) Mussolini 1; Mussolini 3 (Canvas) \| \| \| Giovedì \| \| \| \| \| Week 4: Chapter 1, 29 gennaio- 2 febbraio \| \| Giorno della \| In classe \| \| \|---\|---\|---\|---\| \| \| settimana \| \| \| \| Lunedì \| Lunedì \| Capitolo 1: Mussolini e la Seconda Guerra Mondiale Trapassato prossimo Mussolini 5 (Canvas) \| Capitolo 1: Mussolini e la Seconda \| \| \| \| \| Guerra Mondiale \| \| \| \| \| Trapassato prossimo \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| \| \| #Tweet 4- Mussolini \| \| \| Martedì \| \| \| Week 5: Chapter 2, 5-9 febbraio \| \| Giorno della \| \| In classe \| \| \|---\|---\|---\|---\|---\| \| \| settimana \| \| \| \| \| Lunedì \| Lunedì \| Capitolo 2: Dante: Paolo e Francesca: una storia d’amore e tradimenti Passato remoto Pre-lettura \| Capitolo 2: Dante: Paolo e \| Capitolo 2: Dante: Paolo e Francesca: \| \| \| \| \| Francesca: una storia d’amore e \| una storia d’amore e tradimenti \| \| \| \| \| tradimenti \| \| \| \| \| \| Passato remoto \| Dante 3; Dante 6 (Canvas) \| \| \| \| \| Pre-lettura \| Study chapter vocab. (Canvas) \| \| \| Martedì \| \| \| \| \| Mercoledì \| \| Capitolo 2: Dante: Paolo e Francesca: una storia d’amore e tradimenti Passato remoto Lettura: Dante 5 (Canvas) \| \| \| \| Giovedì \| \| \| \| \| Week 6 : Chapter 2, 12-16 febbraio \| \| Giorno della \| \| In classe \| \| \|---\|---\|---\|---\|---\| \| \| settimana \| \| \| \| \| Lunedì \| Lunedì \| Capitolo 2: Petrarca: innamoramento e poesia Passato remoto Lettura: Petrarca 5&6 (Canvas) \| Capitolo 2: Petrarca: \| Capitolo 2: Petrarca: innamoramento \| \| \| \| \| innamoramento e poesia \| e poesia \| \| \| \| \| Passato remoto \| Passato remoto \| \| \| \| \| Lettura: Petrarca 5&6 (Canvas) \| Petrarca 2; Petrarca 8 (Canvas) \| \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| \| \| \| Canvas quiz (Passato Remoto - \| \| \| \| \| \| part 2) \| \| Martedì \| \| \| \| \| \| Mercoledì \| \| Capitolo 2: Petrarca: innamoramento e poesia Passato remoto Discusione Petrarca (Canvas) \| \| Capitolo 2: Petrarca: innamoramento \| \| \| \| \| \| e poesia \| \| \| \| \| \| Passato remoto \| \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| \| \| \| Petrarca 3; Petrarca 7 \| \| \| \| \| \| Canvas quiz (Passato Remoto & \| \| \| \| \| \| Passato Prossimo) \| \| \| Giovedì \| \| \| \| \| Venerdì \| Venerdì \| Capitolo 2: Elena Ferrante: l’amica geniale: amicizia e mistero Passato remoto \| \| Capitolo 2: Elena Ferrante: l’amica \| \| \| \| \| \| geniale: amicizia e mistero \| \| \| \| \| \| Passato remoto \| \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| \| \| \| Mini componimento 2 \| Week 7: Chapter 2, 19-23 febbraio \| Lunedi \| Capitolo 2: Elena Ferrante: l’amica geniale: amicizia e mistero Passato remoto \| Capitolo 2: Elena Ferrante: Tra \| \|---\|---\|---\| \| \| \| gossip, letteratura e social media \| \| \| \| Passato remoto \| \| \| \| Elena Ferrante 2; Elena Ferrante 2.2; \| \| \| \| Elena Ferrante 4 (Canvas) \| \| \| \| Study chapter vocab. (Canvas) \| 6 \| \| \| \| \| Canvas quiz (Passato Remoto - \| \|---\|---\|---\|---\|---\| \| \| \| \| \| part 3) \| \| \| Martedì \| \| \| \| \| Mercoledì \| Mercoledì \| Capitolo 2: Elena Ferrante: Tra gossip, letteratura e social media Passato remoto Lettura: Elena Ferrante 5 (Canvas) Ascolto : Elena Ferrante (Canvas) \| Capitolo 2: Elena Ferrante: Tra \| Ripasso \| \| \| \| \| gossip, letteratura e social media \| \| \| \| \| \| Passato remoto \| Study chapter vocab. (Canvas) \| \| \| \| \| Lettura: Elena Ferrante 5 (Canvas) \| Elena Ferrante 7; Elena Ferrante 8 \| \| \| \| \| \| (Canvas) \| \| \| \| \| Ascolto : Elena Ferrante (Canvas) \| \| \| \| \| \| \| Tweet 6- Elena Ferrante \| \| \| \| \| \| Canvas quiz (Passato Remoto - \| \| \| \| \| \| part 4) \| \| \| Giovedì \| \| \| \| \| Venerdì \| Venerdì \| \| Ripasso : Capitolo 2 \| Elena Ferrante 2.5 (Canvas) \| \| \| \| \| Warm-up : Elena Ferrante 2.5 \| Presentazione orale (Canvas \| \| \| \| \| (Canvas) ; Tweet 6 \| recording) \| \| \| \| \| Discussione Elena Ferrante \| \| \| \| \| \| (Canvas) \| \| Week 8 : Chapter 3, 26 febbraio-2 marzo \| \| Giorno della \| In classe \| \| \| \|---\|---\|---\|---\|---\| \| \| settimana \| \| \| \| \| Lunedì \| Lunedì \| Esame 2: Capitolo 2 + passato remoto \| \| Capitolo 3: Arte Rinascimentale: \| \| \| \| \| \| Firenze \| \| \| \| \| \| Congiuntivo presente e passato: \| \| \| \| \| \| guardare la lecture e fare i quiz \| \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| \| \| \| Tweet 7- Firenze \| \| \| Martedì \| \| \| \| \| Mercoledì \| Mercoledì \| \| Capitolo 3: Arte Rinascimentale: \| Capitolo 3: Arte Rinascimentale: \| \| \| \| \| Firenze \| Firenze \| \| \| \| \| Congiuntivo presente e passato \| Congiuntivo presente e passato \| \| \| \| Firenze 2 (in-class) \| \| \|---\|---\|---\|---\| \| \| \| \| Canvas quiz (Congiuntivo \| \| \| \| \| presente & passato 1) \| \| \| \| \| Arte Rinascimentale: Congiuntivo \| \| \| \| \| Presente e Passato; Famiglia \| \| \| \| \| Medici 1 (Canvas) \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| Giovedì \| \| \| \| Venerdì \| Venerdì \| Capitolo 3: Arte Rinascimentale: Famiglia Medici Congiuntivo presente e passato Warm-up: Famiglia Medici 2 (Canvas) Lettura: Famiglia Medici 3 (Canvas) \| Capitolo 3: Arte Rinascimentale: \| \| \| \| \| Famiglia Medici \| \| \| \| \| Congiuntivo presente e passato \| \| \| \| \| Famiglia Medici: Congiuntivo \| \| \| \| \| Presente e Passato: Forme; Firenze \| \| \| \| \| 1 (Canvas) \| \| \| \| \| Canvas quiz (Congiuntivo \| \| \| \| \| presente & passato 2) \| \| \| \| \| Study chapter vocab. (Canvas) \| Week 9 : Chapter 3, 5-9 marzo \| \| Giorno della \| In classe \| A casa \| \| \|---\|---\|---\|---\|---\| \| \| settimana \| \| \| \| \| Lunedì \| Lunedì \| Capitolo 3: Arte Rinascimentale: Arte Rinascimentale Congiuntivo presente e passato Lettura: Arte Rinascimentale (Canvas) \| \| Capitolo 3: Arte Rinascimentale: \| \| \| \| \| \| Arte Rinascimentale \| \| \| \| \| \| Congiuntivo presente e passato \| \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| \| \| \| Famiglia Medici: Congiuntivo \| \| \| \| \| \| Presente o Passato?; Famiglia \| \| \| \| \| \| Medici: Congiuntivo, Indicativo o \| \| \| \| \| \| Infinito? (Canvas) \| \| \| \| \| \| #Tweet 8- Arte Rinascimentale \| \| \| Martedì \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| Mercoledì \| Mercoledì \| \| Capitolo 3: Arte Rinascimentale: \| Capitolo 3: Arte Rinascimentale: Arte Rinascimentale Congiuntivo presente e passato Study chapter vocab. (Canvas) Canvas quiz (Congiuntivo presente & passato 3) \| \| \| \| \| \| Arte Rinascimentale \| \| \| \| \| \| \| Congiuntivo presente e passato \| \| \| \| \| \| \| Warm up: Review Canvas exercises \| \| \| \| \| \| \| from Monday \| \| \| \| \| \| \| Arte Rinascimentale: Presentazione \| \| \| \| \| \| \| Orale (Canvas) \| \| \| \| \| Giovedì \| \| \| \| \| \| Venerdì \| Venerdì \| Giornata di cultura \| \| \| Ripasso \| \| \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| \| \| \| \| Mini componimento 3 \| Week 10 : Chapter 4, 19-23 marzo \| Lunedì \| \| Esame 3: Capitolo 3 + congiuntivo presente e passato \| Capitolo 4: Avventure \| \|---\|---\|---\|---\| \| \| \| \| straordinarie e avventure \| \| \| \| \| quotidiane attraverso il fumetto: il \| \| \| \| \| Corto Maltese & Hugo Pratt \| \| \| \| \| Congiuntivo imperfetto e \| \| \| \| \| trapassato \| \| \| \| \| Canvas quiz (Congiuntivo \| \| \| \| \| imperfetto 1) \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| Martedì \| \| \| \| \| Mercoledì \| \| \| \| \| Giovedì \| \| \| \|---\|---\|---\|---\| \| Venerdì \| Venerdì \| Capitolo 4: Avventure straordinarie e avventure quotidiane attraverso il fumetto: il Corto Maltese & Hugo Pratt Pre-lettura: Corto Martese 1 (Canvas) Lettura: Corto Martese 3 (Canvas) Corto Martese 4 (Canvas) \| Capitolo 4: Avventure quotidiane: \| \| \| \| \| Silvia Ziche \| \| \| \| \| Congiuntivo imperfetto e \| \| \| \| \| trapassato \| \| \| \| \| Corto Martese 5; Hugo Pratt 2 \| \| \| \| \| (Canvas); \| \| \| \| \| Canvas quiz (Congiuntivo \| \| \| \| \| trapassato 1) \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| \| \| Teletandems 1-5 must be \| \| \| \| \| completed by Sunday (25 \| \| \| \| \| March) at midnight \| Week 11 : Chapter 4, 26-30 marzo \| \| Giorno della \| In classe \| A casa \| \| \|---\|---\|---\|---\|---\| \| \| settimana \| \| \| \| \| Lunedì \| Lunedì \| Capitolo 4: Avventure quotidiane: Hugo Pratt Congiuntivo imperfetto e trapassato Warm-up Hugo Pratt 2 (from Friday) Hugo Pratt 5 (Canvas) \| \| Capitolo 4: Avventure quotidiane: \| \| \| \| \| \| Hugo Pratt \| \| \| \| \| \| Congiuntivo imperfetto e \| \| \| \| \| \| trapassato \| \| \| \| \| \| Hugo Pratt 3; Hugo Pratt 4 \| \| \| \| \| \| (Canvas) \| \| \| \| \| \| Canvas quiz (Congiuntivo \| \| \| \| \| \| trapassato 2) \| \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| Martedì \| \| \| \| \| Mercoledì \| \| Capitolo 4: Avventure quotidiane: Silvia Ziche Congiuntivo imperfetto e trapassato Silvia Ziche 1 (Canvas) Silvia Ziche 2 (Canvas) \| Capitolo 4: Avventure quotidiane: \| Capitolo 4: Avventure quotidiane: \| \|---\|---\|---\|---\|---\| \| \| \| \| Silvia Ziche \| Silvia Ziche \| \| \| \| \| Congiuntivo imperfetto e trapassato \| Congiuntivo imperfetto e \| \| \| \| \| \| trapassato \| \| \| \| \| Silvia Ziche 1 (Canvas) \| \| \| \| \| \| Silvia Ziche 2 (Canvas) \| Silvia Ziche 3; Silvia Ziche 4 \| \| \| \| \| \| (Canvas) \| \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| \| \| \| Canvas quiz (Congiuntivo \| \| \| \| \| \| imperfetto & trapassato 1) \| \| \| \| \| \| #Tweet 10- Disney Italia \| \| \| Giovedì \| \| \| \| \| \| Venerdì \| \| \| \| Week 12 : Chapter 5 : 2-6 aprile \| \| Giorno della \| In classe \| \| A casa \| \| \|---\|---\|---\|---\|---\|---\| \| \| settimana \| \| \| \| \| \| \| Lunedì \| Ripasso \| \| Study for exam 4 \| \| \| \| Martedì \| \| \| \| \| \| Mercoledì \| Mercoledì \| Esame 4 : Capitolo 4 & congiuntivo imperfetto e trapassato \| Esame 4 : Capitolo 4 & congiuntivo \| \| Capitolo 5: Cinema e Migrazione \| \| \| \| \| imperfetto e trapassato \| \| & periodo ipotetico \| \| \| \| \| \| \| Study chapter vocab. (Canvas) \| \| \| \| \| \| \| #Tweet 11- Cinema e Migrazione \| \| \| Giovedì \| \| \| \| \| \| \| Venerdì \| \| \| \| \| Week 13 : Chapter 5, 9-13 aprile Week 14 : Chapter 5, 16-20 aprile \| Giorno della \| In classe \| \| \| \|---\|---\|---\|---\| \| settimana \| \| \| \| \| Lunedì \| \| Capitolo 5: Cinema e Migrazione \| Capitolo 5: Cinema e Migrazione \| Marted ì Mercoled ì ì Gioved Venerd ì Interviste orali & periodo ipotetico Prepare for oral interviews Teletandems 6-10 must be at midnight completed by Sunday (22 April) Week 15 : Chapter 5, 23-27 aprile \| \| Giorno della \| In classe \| \| \|---\|---\|---\|---\| \| \| settimana \| \| \| \| Lunedì \| Lunedì \| \| Capitolo 5: Cinema e Migrazione \| \| \| \| \| & periodo ipotetico \| \| \| \| \| “Non è un film”- scrivere una \| \| \| \| \| canzone \| \| Martedì \| \| \| \| \| \| Mercoledì \| \| Ripasso \| \| \| Giovedì \| \| \| \| \| Venerdì \| Ripasso \| \| & periodo ipotetico Lettura: Cinema e Migrazione 6; Cinema e Migrazione 7 (Canvas) Interviste orali \| 70 \| \|---\| \| 100 \| \| 115 \| \| 200 \| \| 100 \| \| 100 \| \| 120 \| \| 120 \| \| 45 \| \| 30 \| \| 1000 \| \| Final Numeric Grade Average \| \| \|---\|---\| \| 100-97 \| A+ \| \| 96-93 \| A \| \| 92-90 \| A- \| \| 89-87 \| B+ \| \| 86-83 \| B \| \| 82-80 \| B- \| \| 79-77 \| C+ \| \| 76-73 \| C \| \| 72-70 \| C- \| \| 69-67 \| D+ \| \| 66-63 \| D \| \| 62-60 \| D- \| \| 59 & below \| F \| Important Policies and Information: 1. Attendance Students are allowed 3* absences, BUT we would prefer that you had none. Daily upkeep and contributions count for a lot in this class. Each additional absence after 3, unless excused (e.g., illness when accompanied by a medical note or family emergency.), will lower your final grade by 2%. It is your responsibility to provide the medical note to your instructor within a week of your absence. The note must state that you were unable to attend class due to illness. We will not accept long term medical certificates unless they were processed by the Office of Disability Services for Students and delivered within two weeks from the beginning of the semester. In evening sections the absences allowed are 2. *If you miss a class it is your responsibility to obtain homework assignments and notes from classmates. Lates. Of course, we prefer you come late than not at all (meglio tardi che mai), but three lates equal one absence. 2. Final exam policy: A student who: b) a) has NO MORE THAN ONE absence, and will have the option to be excused from taking the final exam. Students who earn and choose this earns an average grade of 90% or higher on four unit exams option will be awarded a grade equal to the average of his/her four unit exam grades on the final If you decide to take the final exam you will get the grade that you earn on it no matter if it is exam, they must attend the class until the last day of the semester and do the final review. higher or lower from the average of four unit exams. 3. Make-up Assessments Make-up exams, quizzes, or other assessments. There will be no make-up exams or quizzes, except in extraordinary cases (e.g., illness accompanied by a medical note, family emergency, etc.). 4. Cutting and Pasting & Google Translator Cutting and pasting from any website without proper bibliographical citation—even a two- or three-word phrase—is considered plagiarism. Please do not even attempt this; it too will be considered an infraction of the University Honesty Policy. See your teacher right away if you have difficulty expressing in Italian what you would like to say in your componimenti or presentazioni. Google Translator or any similar translation tools (human or electronic source) are NOT PERMITTED for any aspect of our courses and any evidence that they have been used will be considered an infraction of the University Honesty Policy (resulting in a "0" for the assignment and formal university consequences). Please do not even attempt this. It's just not worth it. 5. Class participation and participation Class preparation and participation are VERY IMPORTANT components of this class and will help you to maximize your ability to communicate in Italian. Class participation is going to help you to be successful during your final oral interview. If you are not prepared you are unable to participate in classroom activities. Do your homework and get ready for class, we might have some pop quizzes too! \| Grading of class participation \| \| \|---\|---\| \| “A” student (90- 100%) \| Initiates interaction, volunteers and participates actively in discussions and group activities. Uses only Italian for asking/answering questions, in class discussions and group activities. Is always prepared, answers readily when called upon. \| \| “B” student (80- 89%) \| Participates actively in group activities, but passively in discussions. Occasionally resorts to English, but only uses Italian for asking/answering questions, in group activities and class discussions. Is almost always prepared, usually answers when called upon. \| \| “C” student (70- 79%) \| Participates more passively then actively in group activities and discussions. Often resorts to English and is often not prepared for class, sometimes unable to answer. \| \| “D” student (60- 69%) \| Rarely participates in group activities and class discussions, and is generally unprepared for class. Speaks mostly English and is mostly unable to answer. \| 6. Final Oral Exam Your final oral exam is an interview with your instructor and another student. Your instructor will announce and explain all relevant information at the appropriate time. You must practice speaking in class every day in order to be successful during your final oral interview which is worth 12% of your final grade. To prepare for this exam, see the Potential Questions/Prompts handout on Canvas. 7. Writing Assignments You will have four mini componimenti in this class. There are no re-writes, the first version is the final one. You CANNOT use Google translator, neither copy or paste any online resources. If you attempt it, your instructor WILL have to report it. Specific prompts for each componimento are posted on Canvas. 8. Canvas lectures and quizzes Canvas lectures and quizzes must be done in timely fashion since they constitute an essential part of your daily preparation. This is why you will get 20% less on your quiz for each day you are late submitting it. After five days you will get 0%. 9. Teletandem This year you are really lucky! You will have a pleasure to work with a conversational partner from Italy. You will be helping each other to become better speakers of Italian and English. You will have to meet 10 times during this semester for 60 minutes (30 minutes you will be practicing Italian and 30 English). You will use ZOOM. For further instructions, see the Teletandem Spring 2018 handout on Canvas. 10. Co-Curricular Activities / Cultural Events in Italian at IU We have a lot of activities every semester that promote Italian Culture. You have to attend at least one of them. Your instructor will inform you about all of them when the time comes. You can also learn about our program and Italian culture by liking our Facebook page: or follow us on Twitter @IU_Italian https://www.facebook.com/italianprogramIU?ref_type=bookmark If you attend five events of Circolo Italiano and post five paragraphs in Italian about your experience, you will receive 50 extra points. 11. Italian Culture Night This fall we will celebrate Italian culture with a cultural event. The attendance is mandatory unless you have documented academic or work conflict. 12. Accessibility and Accommodations Indiana University is committed to creating a learning environment and academic community that promotes educational opportunities for all individuals, including those with disabilities. Students requesting disability-related accommodations and/or services should contact Office of Disability Services for Students at (812)855-7578 or visit the website for Disability Services for Students (www.indiana.edu/~iubdss). Course directors are asked to make reasonable accommodations, upon request by the student or the university, for such disabilities. It is the responsibility of students with documented physical or learning disabilities seeking accommodation to notify their course directors and the relevant campus office that deals with such cases in a timely manner concerning the need for such accommodation. Indiana University will make reasonable accommodations for access to programs, services, and facilities as outlined by applicable state and federal laws.
2023/24 ANNUAL TEACHING PLANS: ENGLISH FIRST ADDITIONAL LANGUAGE: GRADE 6 (TERM 1) 1 \|---\|---\|---\| \| \| Novel/ reader to be read daily for at least 30 minutes \| \| \| Discusses novelette/ novella/ novel/ reader Introductory activities Makes predictions, skims and scans Listens to teacher read an extract from novelette/ novella/ novel/ reader • Predicts what is going to happen • Explains author and reader’s point of view • Stays on topic • Explains logically • Discusses main ideas and specific details • Asks relevant questions and responds appropriately Participates in a group discussion • Takes turns • Stays on topic • Asks relevant questions • Maintains discussion • Responds to others’ ideas with empathy and respect \| Reads a novel Reading for meaning • Pre-reading: Predicts from title • Discusses related themes/ content Reading strategies - Infers meaning of unfamiliar words and images - Reviews to promote understanding Comprehension strategies - Makes predictions about the text - Asks questions about the text Literature study • Identifies and explains the central idea • Discusses the characters • Identifies and discusses feelings expressed • Discusses suspense and twist • Relates events and characters to own life • Discusses the structure, language use, purpose and audience • Uses a dictionary for vocabulary development • Reflects on texts read independently Post reading • Retells story or main ideas in 5-10 sentences (summary) • Expresses emotional response to texts read • Relates to own life • Compares books/ texts read Reading methodologies \| Writes an essay on characters/ themes of novelette/ novella/ novel/ reader • Pre-writing: Listens to extracts from a novel • Selects content appropriate for the purpose • Uses appropriate language and text structure • Uses the correct format • Organises content logically – uses chronology • Uses appropriate grammar, spelling and punctuation, including subject-verb concord • Uses a dictionary for spelling and vocabulary development Uses the writing process • Planning/ pre-writing • Drafting • Revising • Editing • Proofreading • Presenting Records words and their meanings in a personal dictionary or word wall. Uses a dictionary for spelling and vocabulary development. Uses reading log/ card to manage reading progress. \| 2 2 \|---\|---\|---\| \| \| Read aloud/ Drop all and read/ group guided/ shared/ paired/ independent reading of novelette Assessment for Learning – in preparation for Read Aloud Reading for enjoyment Novel/ reader to be read daily for at least 30 minutes. \| \| FORMAL ASSESSMENT TASK 1: ORAL * Read Aloud (20 marks) Commence with this task in Term 1 and conclude in Term 2 when the mark will be recorded. FORMAL ASSESSMENT TASK 2: WRITING * Essay (20 marks) Narrative or Descriptive 4-6 paragraphs During the term Listens to a persuasive text, e.g., radio advertisement Introductory activities * Asks thought-provoking questions using appropriate language * Makes predictions * Identifies opinions which differ from own * Interacts positively during group discussions * Contrasts opposing perspectives and gives reasons * Shares ideas and offers opinions on challenging topics in a logical, coherent and structured way * Develops factual and reasonable arguments to justify opinions * Focuses on description 5-6 Reads a persuasive text Reading for meaning * Pre-reading activities, e.g., prediction based on title and or graphics Reading strategies * Skims for main ideas * Makes predictions using visual cues/ words * Scans for supporting details * Determines the impact of visual techniques Reading comprehension * Pre-read: Discusses the pictures * Summarises the text * Evaluates the text * Reads and understands graphic media texts, e.g., advertisements and posters Writes a persuasive text, e.g., a speech with visuals/ advertisement * Evokes emotional responses * Stirs the audience * Makes promises * Brainstorms ideas for a topic and develops ideas * Reflects on and evaluates writing and creative work * Expresses ideas clearly and logically * Presents work with attention to neatness and enhanced presentation * Shows understanding of style and register * Conveys meaning clearly and appropriately Uses the writing process Word level work Conjunctions, articles Sentence level work Direct and indirect speech Word meaning Idioms and proverbs 3 \|---\|---\|---\| \| \| • Interprets the information • Discusses the purpose of the text • Discusses the language used • Identifies and discusses design features such as colour and font • Discusses the layout • Compares different visual texts, e.g., posters and advertisements Reading methodologies Read aloud/ Drop all and read/ group guided/ shared/ paired/ independent reading of novelette Assessment for Learning – in preparation for Read Aloud Reading for enjoyment Novel/ reader to be read daily for at least 30 minutes. \| • Planning/ pre-writing • Drafting • Revising • Editing • Proofreading • Presenting Records words and their meanings in a personal dictionary or word wall. Uses a dictionary for spelling and vocabulary development. Uses reading log/ card to manage reading progress. \| \| Listens to a short story • Introductory activities: Makes predictions • Recalls events in the correct sequence and using the correct tense • Interacts positively during group discussions • Identifies how stereotypes are created and their effects on the listener • Discusses characters • Discusses the plot, conflict and setting • Discusses messages in the text \| Reads a short story Reading for meaning • Pre-reading: Makes predictions based on title and/or graphics Reading strategies - Skims for main ideas - Scans for supporting details Comprehension strategies - Makes inferences about the text - Asks questions about the text Literature study • Examines the text for hidden messages • Summarises the main and supporting ideas • Explains how the writer manipulates the reader’s perceptions, e.g., the techniques used and characterisation \| Writes a friendly letter/ diary entry related to the short story • Uses the correct layout • Shows awareness of audience and style • Uses appropriate tone • Focuses on improving language, spelling, tenses and linking sentences into cohesive paragraphs • Uses connecting words, e.g., However to link sentences into cohesive paragraphs • Uses correct spelling and punctuation Uses the writing process • Planning/ pre-writing • Drafting • Revising • Editing \| 4 4 \|---\|---\|---\| \| \| • Critically discusses cultural and social values in text • Discusses plot, theme, setting and characterisation • Uses a dictionary for vocabulary development Reading methodologies Read aloud/ Drop all and read/ group guided/ shared/ paired/ independent reading of novelette Assessment for Learning – in preparation for Read Aloud Reading for enjoyment Novel/ reader to be read daily for at least 30 minutes \| • Proofreading • Presenting Records words and their meanings in a personal dictionary or word wall. Uses a dictionary for spelling and vocabulary development. Uses reading log/ card to manage reading progress. \| FORMAL ASSESSMENT TASK 3: RESPONSE TO TEXTS (50 marks) * Literary/ non-literary text (20 marks) * Visual text (10 marks) * Language structures and conventions (20 marks) Listens to and discusses a dialogue * Introductory activities: Makes predictions * Listens for information in a variety of oral texts with a dialogue * Summarises main ideas and notes specific details * Interacts positively during group discussions * Identifies and discusses key features * Discusses context, speakers' body language, content, register and choice of words * Discusses format of the text 9-10 Reads a simple play or drama Reading for meaning * Pre-reading activities: Makes predictions based on title and/or graphics Reading strategies - Infers meaning of unfamiliar words and images - Reviews to promote understanding Comprehension strategies - Synthesises text - Uses a dictionary for vocabulary development - Summarises text Writes a dialogue * Reveals characters and motivation * Creates or adds to existing conflict * Establishes tone or mood * Produces a first draft with awareness of the central idea * Shows understanding of style and register * Reflects on and evaluates writing and creative work * Uses a variety compound and complex sentences Uses the writing process * Planning / pre-writing, Drafting, * Revising, Word level work: * Adverbs (manner, time) * Compound and complex sentences * Spelling and punctuation: Quotation marks, Sentence level work: * Sentence types (Statements, Questions, Commands) * Reported speech * Word meaning: Synonyms, Antonyms 5 6 6 2023/24 ANNUAL TEACHING PLANS: ENGLISH FIRST ADDITIONAL LANGUAGE: GRADE 6 (TERM 2) \| LISTENING AND SPEAKING \| READING AND VIEWING \| WRITING AND PRESENTING \| \|---\|---\|---\| \| Listens to and discusses an instructional text, e.g., a recipe/ directions • Introductory activities: Makes predictions • Identifies the features of an instructional text • Notes key headings • Gives clear instructions, e.g., on how to make a cup of tea • Makes notes and applies instructions read • Asks questions to clarify • Comments on clarity of instructions • Recalls procedure \| Reads a recipe or another instructional texts Reading for meaning • Analyses the characteristics of instructional texts, e.g., organisation and conventions • Orders any jumbled instructions Reading strategies - Skims for main ideas. - Scans for supporting details Comprehension strategies - Asks questions about the text - Synthesises the text • Shows understanding of the text and how it functions, e.g., literal reading • Recognises and explains the different structures, language use and purposes • Identifies and evaluates the register of a text • Understands and uses instructional texts appropriately • Compares two different recipes or sets of instructions Reading methodologies Read aloud/ Drop all and read/ group guided/ shared/ paired/ independent reading of novelette Assessment for Learning – in preparation for Read Aloud Reading for enjoyment Novel/ reader to be read daily for at least 30 minutes. \| Writes an instructional text, e.g., on how to make a cup of tea • Sequences instructions logically • Lists materials and ingredients • Uses a dictionary • Uses imperatives • Develops a frame for writing • Uses linking phrases and organisational methods • Defines procedures • Organises words and sentences appropriately Uses the writing process • Planning/ pre-writing • Drafting • Revising • Editing • Proofreading • Presenting Records words and their meanings in a personal dictionary or word wall. Uses a dictionary for spelling and vocabulary development. Uses drawings or sentences using the words or explanations to show the meaning, etc. Uses reading log/ card to manage reading progress. \| 7 8 8 9 9 2023/24 ANNUAL TEACHING PLANS: ENGLISH FIRST ADDITIONAL LANGUAGE: GRADE 6 \| LISTENING AND SPEAKING \| READING AND VIEWING \| WRITING AND PRESENTING \| \|---\|---\|---\| \| • Links information to own life • Discusses possible effects on people • Compares conditions in different places • Indicates preferred destinations with reasons • Participates in discussions, justifying own opinion • Identifies features of weather reports, register and the nature of language used • Uses interaction strategies to communicate effectively in group situations • Interprets and discusses more complex visual texts \| - Skims for main ideas - Scans for supporting details Reading comprehension strategies - Summarises text - Asks questions about text • Reads an information text with visuals, e.g., a map • Identifies the way the text is organised • Compares differences and similarities in the weather in different places • Interprets visuals • Uses a dictionary for vocabulary development Reading methodologies Read aloud/ Drop all and read/ group guided/ shared/ paired/ independent reading of novelette Assessment of Read Aloud Reading for enjoyment Novel/ reader to be read daily for at least 30 minutes. \| Uses the writing process • Planning/ pre-writing • Drafting • Revising • Editing • Proofreading • Presenting Records words and their meanings in a personal dictionary or word wall. Uses a dictionary for spelling and vocabulary development. Uses reading log/ card to manage reading progress. \| 2023/24 ANNUAL TEACHING PLANS: ENGLISH FIRST ADDITIONAL LANGUAGE: GRADE 6 2023/24 ANNUAL TEACHING PLANS: ENGLISH FIRST ADDITIONAL LANGUAGE: GRADE 6 (TERM 3) \| LISTENING AND SPEAKING \| READING AND VIEWING \| WRITING AND PRESENTING \| \|---\|---\|---\| \| Listens to and discusses a folklore, e.g., a myth, legend or fable • Introductory activities: Makes predictions • Recalls events in the correct sequence and using the correct tense • Interacts positively during group discussions Listening • Identifies how stereotypes are created and their effects on the listener • Discusses characters • Discusses plot, conflict and setting • Discusses messages in the text • Reflects on cultural customs, values and beliefs • Reflects on the struggle between good and evil \| Reads a folklore, e.g., a myth, legend or fable • Pre-reading activities, e.g., prediction based on the title and/or graphics Reading for meaning Reading strategies - Skims for main ideas - Scans for supporting details Comprehension strategies - Visualises parts of the text - Makes connection to own life Literature Study • Discusses elements, characters and messages of the folklore chosen • Explains interpretation and overall response to text • Invents and describes preferred results or endings Reading methodologies Read aloud/ Drop all and read/ group guided/ shared/ paired/ independent reading of novelette Reading for enjoyment • Novel/ reader to be read daily for a minimum of 30 minutes • Reflects on texts read independently • Relates to own context \| Writes a character sketch • Thinks about characterisation • Uses descriptive words to compare characters • Plans, drafts and refines writing, focusing on improving spelling, tenses and linking sentences into cohesive paragraphs • Shows understanding of setting, plot, conflict and theme • Uses correct tenses Uses the writing process • Planning/ pre-writing • Drafting • Revising • Editing • Proofreading • Presenting Personal dictionary • Records words and their meanings in a personal dictionary • Uses drawings or sentences using the words or explanations to show the meaning, etc. • Places new vocabulary on a word wall \| \| Listens to and participates in a short conversation on the creative writing project (CWP) based on the selected \| Reads for information based on the genre selected, e.g., poetry/ folklore/ drama/ short story Teacher is to: \| Uses different types of graphic organisers to collate research findings of the CWP Teacher is to: \| \|---\|---\|---\| \| genre, e.g., poetry/ folklore/ drama/ short story Teacher is to: • Discuss the research process and timeline • Discuss the development of a driving question/ topic • Talk about the use of research sources and resources • Focus on note-taking • Explain referencing and the importance of a bibliography • Explain the assessment criteria and descriptors in the rubric/ checklist Learners are to: • Divide into groups or work individually • Gather information for research • Share ideas and opinions, and participate in the discussion • Compile a bibliography • Keep a record of the research process (Portfolio of Evidence) \| • Provide research material • Encourage learners to add to research material provided • Review the text to promote understanding • Discuss the effects of the features/ elements of poetry/ drama/ short story/ folklore • Discuss the impact of visual techniques evident in literature (poetry/ drama/ short story/ folklore) Learners are to use comprehension and reading strategies • Skim for main ideas • Scan for supporting details • Make predictions • Infer the meaning of unfamiliar words and images • Synthesise selected information into a graphic organiser, e.g. mind map, sequence chart, Venn diagram, etc. • Take notes in preparation for Stage 2: Writing \| • Demonstrate appropriate frames/ tools to support the type of product to be produced, e.g., mind map, sequence chart, Venn diagram, etc. • Reiterate referencing and the importance of a bibliography • Reiterate the assessment criteria and descriptors in the rubric/ checklist • Remind learners to pay attention to respond to the driving question/ topic Learners are to focus on the research process • Respond to the driving question/ topic of research by selecting relevant information from the sources used • Do note-taking in own words and in preparation for Stage 2: Writing • Follow a writing frame (if provided) • Use suitable language conventions related to literary analysis \| NOTE TO THE TEACHER [x] The research process continues over the two-week cycle [x] Evidence of activities and the process to be kept in learner workbook/ file/ portfolio of evidence [x] Demonstrate how to do research – "I do, We do, You do" [x] Findings in the research should respond to the driving question/ topic [x] Pay special attention to referencing and the format of the bibliography [x] Assess Stage 1: Research, using a rubric/ checklist and providing feedback to learners [x] All activities must be done in class with the guidance of the teacher [x] Assessment for Learning should be ongoing \|---\|---\|---\| \| Focuses on the relevant literature genre, e.g., poetry/ drama/ short story/ folklore Teacher is to: • Iterate the driving question/ topic focused on during research • Discuss literary features and elements relevant to the genre researched • Ensure that all learners are prepared to commence with Stage 2: Writing • Discuss with learners how to plan their writing, using their research findings • Discuss the writing process • Give instructions based on the writing activity • Discuss the format of the writing activity to be produced (essay/ report/ poster, etc.) Learners are to: • Contribute to the discussion • Understand expectations related to the driving question/ topic \| Guides learners to follow the writing process Teacher is to: • Provide clarity regarding timelines • Guide learners to read and use the research notes • Read and discuss the rubric • Unpack the criteria and descriptors in the rubric Learners are to: • Read the selected genre • Read and understand the rubric • Read and understand the writing frame • Identify the conventions specific to the genre being researched \| Writes / draws / creates the written aspect of the selected topic Teacher is to: • Give the learners a frame to use when writing • Guide the learners on how to complete the writing frame • Discuss the writing process: ✓ Planning/ pre-writing ✓ Drafting ✓ Revising ✓ Editing ✓ Proofreading ✓ Presenting • Discuss the literary elements/ features specific to the selected genre Learners are to: • Use a writing fame (if required) • Edit the first draft • Proofread after editing the first draft • Write and present the final draft \| NOTE TO THE TEACHER [x] Evidence of writing process to be kept in learner workbook/ file/ portfolio of evidence [x] The writing process continues over the two-week cycle [x] Manage the writing process [x] Findings in the research should respond to the driving question/ topicPay special attention to referencing and the format of the bibliography [x] All activities must be done in class with the guidance of the teacher [x] Assess Stage 2: Writing, using a rubric and provide feedback to learners [x] Each learner to write his/ her own work that will be marked individually, using a rubric NOTES * All activities must be done in class with the guidance of the teacher. * The oral presentation may be done in the following ways: Independent, pairs or groups but marked individually with a separate rubric. * It should be relevant to the genre chosen (poetry/ folklore/ drama/ short story) * For example: Drama can do role-play, Poetry: Slam Poetry, etc. * Preparation for the oral presentation should commence in Term 3 and be executed during Term 4 for recording and reporting purposes. * Assessment for Learning should be ongoing. FORMAL ASSESSMENT TASK 6: CREATIVE WRITING PROJECT (40 marks) Week 3-4 Stage 1: Research (Learners do research on their project) (10 marks) Week 5-6 Stage 2: Writing (Learners engage in the write-up of their project) (30 marks) * Planning/ pre-writing of the creative writing project * Revising * Drafting * Editing * Presenting * Proofreading Listens to and discusses a drama Teacher reads drama to learners, using shared reading activities Introductory activities Makes predictions Listening * Discusses key feature of the text * Identifies how stereotypes are created and how this affects the listener * Identifies themes * Identifies and discusses values in the text * Asks questions * Links content and messages in the text to own life FORMAL ASSESSMENT TASK 7: CREATIVE WRITING PROJECT (20 marks) Stage 3: Oral presentation (Learners do the oral presentation of their project) (20 marks) Oral presentation * Uses appropriate structure: Introduction, body and conclusion * Shows evidence of research/ investigation * Presents central idea and supporting details * Uses appropriate body language and presentation skills, e.g., makes eye contact, volume * Gives constructive feedback * Participates in a discussion * Maintains discussion * Shows sensitivity to the rights and feelings of others Commence with the oral task in term 3 and conclude in term 4 when the mark will be recorded. Reads reviews of play/ drama Reading for meaning * Pre-read: Makes predictions based on title and/or graphics Reading strategies - Uses different reading strategies, e.g., skimming and scanning to identify main and supporting ideas Comprehension strategies - Makes connection to own life - Makes inferences Literature study * Critically discusses cultural and social values in text Writes a dialogue/ a short play script Word level work * Uses characterisation * Establishes tone or mood * Uses correct layout * Shows an understanding of style and register Uses the writing process * Planning/ pre-writing * Revising * Drafting * Editing * Presenting * Proofreading Personal dictionary Stems, prefixes, suffixes Sentence level work Active and passive voice, interrogative form, direct and indirect speech Spelling and punctuation Colon, semi-colon 7-8 \|---\|---\|---\| \| • Gives critical comment on messages in the text \| • Identifies different perspectives and gives own perspective based on evidence in the text Reading methodologies Read aloud/ Drop all and read/ group guided/ shared/ paired/ independent reading of novelette Reading for enjoyment o Poetry/ novelette to be read daily for a minimum of 30 minutes • Reflect on texts read independently • Relates to own context \| • Records words and their meanings in a personal dictionary • Uses drawings or sentences using the words or explanations to show the meaning, etc. • Places new vocabulary on a word wall \| \| Listens to cartoon/ comic strips Teacher reads text to learners using shared reading methodologies • Introductory activities: Makes predictions Listening • Views and discusses content and messages of the text • Discusses appropriateness of the graphics to the text • Discusses the effectiveness of the graphics and music • Shares ideas on the title and the text • Discusses any new words vital to the understanding of the programme • Discusses the main characters and underlying message • Identifies and discusses how perceptions are influenced by the content, choice of words and the speaker’s body language NOTE Ongoing Assessment for Learning \| Reads a cartoon/ comic strip Reading for meaning Reading strategies - Understands the effect of figurative and rhetorical devices - Determines the impact of visual techniques Comprehension strategies - Makes inferences about the text - Asks questions about the text - Synthesises the text • Follows short, printed instructions and interprets them • Explains a simple comic strip • Examines the text for hidden messages • Summarises the main and supporting ideas • Explains how the writer manipulates the reader’s perceptions by the techniques and characterisation used • Critically discusses cultural and social values in text \| Writes a cartoon/ comic script • Uses a writing frame • Defines the concept • Outlines the script • Uses the correct format • Uses interesting main and supporting characters • Uses an effective plot and conflict • Writes and designs a comic strip using language, pictures and sound effects creatively Uses the writing process • Planning/ pre-writing • Drafting • Revising • Editing • Proofreading • Presenting Personal dictionary • Records words and their meanings in a personal dictionary \| 16 2023/24 ANNUAL TEACHING PLANS: ENGLISH FIRST ADDITIONAL LANGUAGE: GRADE 6 \| Reading and Viewing activities \| Writing and Presenting activities \| \|---\|---\| \| • Reading process \| • Writing process \| \| • Read Aloud activities \| • Paragraphing \| \| • Reading comprehension activities \| • Transactional texts \| \| • Literature activities based on the three \| • Essay \| \| prescribed genres for the semester \| • Creative writing \| INFORMAL OR FORMATIVE ASSESSMENT * Informal assessments should be used to guide instruction and opportunities for remediation and strengthening * Through the use of questioning, discussions and observation, informal assessments may provide a teacher with quick feedback * Assessment for Learning should be ongoing * Ongoing Assessment for Learning to prepare for the oral presentation in Term 4 CAPS: FORMAL ASSESSMENT TASKS: FIRST ADDITIONAL LANGUAGES (FAL): GRADE 6 TERM 3 FORMAL ASSESSMENT TASK 6 * Creative Writing (10+30=40 marks) FORMAL ASSESSMENT TASK 7: ORAL * Project based on any ONE of the literature genres studied: Poetry/ folklore/ short stories/ drama/ novel * Oral presentation of creative writing project (20 marks) * Commence with the oral task in Term 3 and conclude in Term 4 when the mark will be recorded. * There must be a variation of genres across the grades 2023/24 ANNUAL TEACHING PLANS: ENGLISH FIRST ADDITIONAL LANGUAGE: GRADE 6 (TERM 4) \| LISTENING AND SPEAKING \| READING AND VIEWING \| WRITING AND PRESENTING \| \|---\|---\|---\| \| Listens to and discusses a folklore, e.g., a myth or a legend Introductory activities • Makes predictions Teacher uses shared reading to read text • Discusses characters • Discusses plot, conflict and setting • Discusses messages in the text • Reflects on cultural customs, values and beliefs • Reflects on the struggle between good and evil • Recalls events in the correct sequence, using the correct tense • Interacts positively during group discussions • Identifies how stereotypes are created and their effects on the listener Role-play an interview in class • Makes an oral presentation facing the audience • Shows awareness of different audiences • Varies the volume, tone and tempo of voice • Reflects sensitively on own and others’ presentations and skills • Gives balanced and constructive feedback Assessment for Learning – in preparation for Oral Presentation \| Reads a folklore, e.g., a myth or a legend Reading for meaning Pre-reading activities • Skims, scans and predicts using visual cues Reading strategies - Skims for main ideas - Scans for supporting details Comprehension strategies - Visualises parts of the text - Makes connection to own life Literature study • Discusses elements of folklore, e.g., characters, characterisation, plot, conflict, background, setting, narrator, theme and messages • Discusses alternate endings, specific events etc. • Understands the text • Uses a dictionary for vocabulary development • Summarises the text in 5-10 sentences Reading methodologies Read aloud/ Drop all and read/ group guided/ shared/ paired/ independent reading of novelette Reading for enjoyment Novel/ reader to be read daily for at least 30 minutes. \| Writes a folklore, e.g., a myth or legend • Writes for personal, exploratory, playful, imaginative and creative purposes • Includes a moral lesson • Uses superhuman characters • Uses appropriate vocabulary • Brainstorms ideas for a topic and develops ideas • Expresses ideas clearly and logically • Reflects on and evaluates writing and creative work • Produces a text with awareness of the central idea and appropriate language and conventions for the specific purpose and audience Uses the writing process • Planning/ pre-writing • Drafting • Revising • Editing • Proofreading • Presenting Records words and their meanings in a personal dictionary or word wall. Uses a dictionary for spelling and vocabulary development. Uses reading log/ card to manage reading progress. \| \|---\|---\|---\| \| Listens to and discusses an instructional text, e.g., instructions to make a paper boat/ gift or toy using recycled materials etc. Introductory activities • Makes predictions Teacher reads instructions, using shared reading • Identifies the features of instructional text • Notes key headings • Show understanding of instruction by asking clarifying questions • Recalls procedure • Gives a summary of instructions • Makes notes and applies instructions read • Comments on clarity of instructions Assessment for Learning – in preparation for oral presentation Assessment for Learning – in preparation for oral presentation \| Reads an instructional text e.g., recipe/ directions Reading for meaning Reading strategies - Makes predictions using visual cues/ words - Infers meaning of unfamiliar words and images Comprehension strategies - Makes predictions about the text - Makes inferences about the text • Analyses the characteristics of the text, e.g., organisation and conventions of instructional texts • Sequences jumbled instructions • Shows understanding of the text and how it functions: Literal reading • Recognises and explains the different structures, language use and purposes • Identifies and evaluates the register of a text • Understands and uses instructional texts appropriately • Compares two different sets of instructions Reading methodologies Read aloud/ Drop all and read/ group guided/ shared/ paired/ independent reading of novelette Reading for enjoyment Novel/ reader to be read daily for at least 30 minutes. \| Writes a summary of an instructional text • Uses dictionaries • Summarises the instructions of the text in point form/ paragraph form • Uses conventions like first, then • Uses a frame for writing • Uses linking phrases • Organise words and sentences appropriately Uses the writing process • Planning/ pre-writing • Drafting • Revising • Editing • Proofreading • Presenting Records words and their meanings in a personal dictionary or word wall. Uses a dictionary for spelling and vocabulary development. Uses reading log/ card to manage reading progress. \| 20 21 22 2023/24 ANNUAL TEACHING PLANS: ENGLISH FIRST ADDITIONAL LANGUAGE: GRADE 6 \| DURING THE YEAR \| \|---\| \| SCHOOL-BASED ASSESSMENT (SBA) \| \| Six (6) formal assessment tasks \| \| 1 oral task (Read Aloud across Semester 1) \| \| 3 writing tasks \| \| 1 response to texts \| \| 1 June controlled test \|
Chairman's report It has been my privilege to chair the California Leafy Greens Marketing Agreement board for the last two years. Working with our industry on this important food safety program has been gratifying and exciting, and we have made signiﬁcant progress. Handler audit performance, as you will see in the statistics that follow, continues at very high levels. The LGMA Metrics will soon be updated to include FSMA Produce Safety Rule requirements. The LGMA Tech Training Program is now in its ﬁrst full year of roll-out. In April of this year, I was pleased to hand over the gavel to my colleague Steve Church of Church Brothers. Like me, Steve was an original member of the LGMA Advisory Board. We both lived through those turbulent days ten years ago when, in the aftermath of a tragic E. Coli outbreak tied to California-grown spinach, the LGMA was created. The decade that followed has seen all those involved with leafy greens production and handling undertake a lot of hard work and achieve many successes. Our goal – to ensure that only the safest of leafy greens are shipped to consumers – remains the same. As an industry, we have improved ourselves measurably. Perhaps our greatest accomplishment is helping to change the overall culture in our farm operations to one where food safety is always the number one priority. During the coming year, we will focus some attention on commemorating this decade of food safety commitment and LGMA's oversight in the leafy greens industry. But please take a moment to look back at a few numerical benchmarks. In ten years, the LGMA has: * Conducted more than 5,000 government audits on leafy greens farms * Veriﬁed compliance with 841,597 checkpoints on those audits * Educated over 1,000 workers through the LGMA Tech training program In that time, over 500 billion servings of leafy greens grown under the auspices of this program have been shipped. As we look to our second decade, we will rededicate ourselves to our goals and do everything we can to be the standard for safe leafy greens! Sincerely, Ron Ratto LGMA Chairman, April 2015 – March 2017 05.2016 \| Expert Panel Finds Metrics Scientifically Sound A scientiﬁc review panel examined the LGMA Metrics and issued a report summarizing its ﬁndings. The panel came to the consensus that the LGMA Metrics represent the most current microbial food safety practices for the production and harvest of leafy greens. The panel also concluded that the LGMA Metrics provide the same level of public health protection as requirements in the FDA's Produce Safety Rule. 06.2016 \| Our Friends in advocacy: Stop foodborne Illness STOP Foodborne Illness was presented with the LGMA's Golden Checkmark Award in recognition of its tireless advocacy on behalf of victims of foodborne illness and itssupport of mandatory government oversight of food safety systems. Accepting the award were Deirdre Schlunegger, STOP CEO, and Rylee Gustafson, a young woman whose life was forever changed by the 2006 E. coli outbreak associated with spinach. 09.2016 \| food safety doesn't end on the farm The LGMA unveiled a new website designed to show what California farmers are doing every day to make sure leafy greens are grown safely: www.safeleafygreens.org. The new site provides simple information on how consumers can safely buy, store, and prepare leafy greens. It also provides information on the nutritional content of your favorite leafy greens varieties. 10.2016 \| Collaborating with regulators FDA's new Deputy Commissioner for Food, Dr. Stephen Ostroff, came on a farm tour to look at the food safety program implemented by the leafy greens industry ten years ago to protect public health and ensure safe leafy greens. The LGMA has continued to work closely with Dr. Ostroff on the implementation of the Food Safety Modernization Act. 12.2016 \| Record rainfall in California California experienced its second wettest rain season to date in 2016/2017. While the rainfall was welcome, it did generate questions about the potential for ﬂooding on the farm. The LGMA food safety practices provide guidance on what to do if ﬂooding affects a leafy green crop; the LGMA's staff worked with its members and their growers to ensure that they know what to do to keep food safe after a ﬂood. 01.2017 \| A New Strategic Plan The LGMA adopted its fourth Strategic Plan in 2017. Since it began, one of the LGMA's core principles is the drive for continuous improvement. This is important not just when it comes to improving on food safety practices on leafy greens farms, but also in how the organization's programs are implemented and managed. Audit report LGMA certiﬁcation requires a constant commitment to food safety. In fact, many LGMA members say that the LGMA requirements prepare them to succeed at other required food safety audits. LGMA members are shippers of leafy green products in California; they can also be growers, but they must be shippers. They voluntarily join the LGMA, but once they sign on they are responsible for ensuring that the LGMA Metrics (or Food Safety Practices) are used in all of their growing and harvesting operations. The LGMA veriﬁes that members are using the Metrics through frequent government audits. On average, each LGMA member is audited ﬁve times a year. Members have scheuled audits once every two months to verify that they are growing and harvesting leafy greens according to the Metrics. Each member also has one unannounced audit each year. During the last ﬁscal year, which began on April 1, 2016, the California LGMA conducted 440 member audits. Here's how that compares with previous years: In the last ﬁscal year, LGMA auditors veriﬁed 70,825 checkpoints through a total of 440 audits. Each scheduled audit consists of 187 checkpoints, and each unannounced audit has 42 checkpoints. The LGMA uses auditors from the California Department of Food and Agriculture to conduct its audits. These auditors are paid by the LGMA, not the company undergoing the audit. LGMA Audits are not scored, and each non-conformity cited by the LGMA must be corrected. These corrective actions are veriﬁed by government inspectors. Each audit is reviewed by the LGMA Compliance Officer and the United States Department of Agriculture. The LGMA Compliance Officer assigns each non-conformity identiﬁed in the audit one of following four citation levels: Minor Infractions Minor Deviations These violations do not necessarily increase the risk of unsafe product. Corrective action can be taken before the auditor leaves the premises. Multiple citations at this level will be elevated to the next level. 126 citations in 2016/17 Major Deviations These violations do not necessarily result in unsafe product. Corrective action must be provided in 5 days. Verified by an on-site inspection within 3 additional days. This level citation can be elevated if it is not corrected 5 citations in 2016/17 These violations do not necessarily result in unsafe product. Corrective action must be provided within 5 days and is verified during the next scheduled audit. Multiple citations of the same type within a year maybe raised to a Major Deviation. 255 citations in 2016/17 Flagrant Violations These violations significantly increase the risk of delivering unsafe product into commerce. Penalties can range from temporary to permanent decertification. If this, or any citation, could result in unsafe product going to market the California Department of Public Health is notified. No citations in 2016/17 In 2016/17, the LGMA cited its member companies for 386 non-conformities with the LGMA Metrics, up slightly from the previous year. Overall, compliance on LGMA audits is very strong. In the past three years each audit has averaged less than one citation. One beneﬁt of the LGMA program is its ability to look at the California leafy greens industry as a whole. Of over 70,000 audit checkpoints, only 386 citations were issued for non-compliance. 100% of those were corrected. The chart to the right breaks down the citations issued by level. This ﬁscal year, 99% of citations were either Minor Infractions or Minor Deviations – the two least serious categories. Only ﬁve citations were Major Deviations: these are serious food safety issues, but do not necessarily make food unsafe. Details on Major Deviations The 2016/17 season saw a signiﬁcant reduction in the number of Major Deviations cited for LGMA members – only ﬁve, compared to 13 the prior year. This represents a 62% reduction from the prior year. Here are details on the ﬁve Major Deviations cited during the year: #1 Animal tracks were discovered in the ﬁeld, and a loose dog from adjacent private residence was in a ﬁeld under active harvest. These were not noted during the daily harvest assessment. The area where tracks were found had not been harvested and was ﬂagged as a no-harvest area. The harvest crew foreman was re-trained on the need to fully investigate any evidence of animal activity in and around a ﬁeld under active harvest. #2 No pH test strips were available during the audit. The crew foreman and food safety representative were re-trained, with an emphasis on the importance of strict adherence to the food safety program and communicating when supplies necessary to test pH and chlorine concentrations have run out. Subsequent follow-up by the auditors demonstrated that personnel were in full compliance with the Metrics. #3 A company was unable to provide personnel to accompany the auditor, despite the requirement that somebody be available 24/7. The food safety supervisors for the handler and grower came together and established a system to improve communications. This was veriﬁed during a follow-up visit from the auditor. #4 On another occasion, one company did not have pH test strips available during the audit. When test strips were provided, the recorded free chlorine and pH levels fell outside the limits prescribed in the company's SOP. The crew foreman was retrained, and this was veriﬁed by an auditor during a follow-up visit. #5 At tthe time of audit, the auditor was unable to verify the company's traceback program. The handler instituted a new program to improve communication and ensure that any product sold to another entity and beyond their control is tagged to reﬂect the sale. This was veriﬁed by the auditor at the follow-up inspection. The LGMA Metrics and audit look at seven different categories of risks in the farming and harvest of leafy greens. As we have seen in years past, "Field Observations" is the audit area with the most citations, while "Soil Amendments" and "Field Sanitation" are the audit areas where we see the fewest citations. Following is some detail on each area and the 2016/17 results: General Requirements These metrics are related to an individual company's food safety management program. They include having a written compliance plan, a current list of growers, a traceability program, and at least two designated individuals who are available 24 hours a day to oversee their food safety program. There were 29 General Requirement citations in this ﬁscal year, accounting for 8% of all citations. Major Deviations 2 Major Deviations 0 Environmental Assessments Minor Deviations 37 Minor Deviations 41 Minor Infractions 17 Minor Infractions 2 Compliance Rate Compliance Rate Major Deviations 2 Minor Deviations 37 Minor Infractions 17 Compliance Rate Major Deviations 0 Minor Deviations 17 Minor Infractions 1 Compliance Rate Major Deviations 0 Minor Deviations 41 Minor Infractions 14 99.6% Compliance Rate These metrics are a vital part of farm food safety and apply to every ranch on which LGMA members grow leafy greens. There are three required Environmental Assessments: a pre-planting assessment, a pre-harvest assessment (within 7 days of beginning harvest), and a daily harvest assessment. The goal of these assessments is to thoroughly assess each ﬁeld for any signs of animal intrusion or other environmental concern. This year there were 43 citations in this category, accounting for 9% of all audit citations. Water Use These metrics apply to all water used for growing and harvesting leafy green crops. They include speciﬁc sampling and testing requirements for pre-harvest and post-harvest water. The goal is to ensure that contaminants are not introduced to the crop from any water source. This year there were 56 citations in this category, accounting for 14% of all audit citations. Soil Amendments These metrics outline how soils amendments used in the production of leafy greens must be composted, treated, and tested to ensure that they area pathogen free and will not contaminate the crop. Raw or partially-composted animal manure cannot be used. There were 18 citations in this category - 5% of all audit citations. Worker Practices Metrics in this area relate to worker practices in the ﬁeld and a company's Standard Operating Procedures. These include having a sanitary facility program, a worker health practices program, and visitor policies. The goal of these metrics is to ensure that people who work on the farm and in harvest operations do not introduce pathogens to the product. This category accounted for 55 citations 14% of all audit citations. Audit citations Major Deviations 2 Major Deviations 0 Field Sanitation Minor Deviations 37 Minor Deviations 13 Minor Infractions 17 Minor Infractions 8 Compliance Rate 99.4% 99.8% Rate Major Deviations 2 Minor Deviations 94 Minor Infractions 78 Compliance Rate Metrics in this area address the cleaning and sanitization of farm equipment. They include having a written SOPs for sanitation and conducting a daily harvest assessment for food safety. The goal is to ensure that farm and harvest equipment do not introduce pathogens to the leafy greens crops. This category accounted for 21 citations, accounting for 5% of all citations issued. Field Observations Metrics in this category are veriﬁed through a ﬁeld inspection. During this portion of the inspection, the auditor visually veriﬁes proper water and soil amendment use, employee hygiene, and hand-washing, to name a few. Interviews with harvest crew members and foremen are another important part of this portion of the audit. These help ensure that they know and follow the company's SOPs and food safety policies. This year there were 174 citations in this category, accounting for 45% of all citations issued. 98.4% financials Coming Soon Board & Staff Serving 2016/2017 Advisory Board Members & Alternates Technical Committee Executive Committee Megan Chedwick -Church Brothers Bardin Bengard, Bengard Ranch Jim Brennan, Alliance of Tech. Profs Michael Brautovich, Earthbound Farms Juanita Ceja, Dole Fresh Vegetables Jennifer Clarke, Steinbeck Produce John Jackson, Beachside Produce Sharan Lanini, Paciﬁc International Mktg Bob Martin, Rio Farms Bob Mills, RSM Food Safety Service Gurmail Mudahar, Tanimura & Antle Geremy Olson, Deardorff Family Farms Cosme Pina, Taylor Farms Jeff Saleen, Bonipak Produce Ken Stearns, D'Arrigo Bros of California Ralph Treadway, Coastline Family Farms Chato Valdez, Sabor Farms Scott Horsfall, CEO April Ward, Communications Director Jonathan Field, Compliance Officer Steve Church, Church Brothers Jan Berk, San Miguel Produce Joe Pezzini, Ocean Mist Farms Ron Ratto, Ratto Bros., Inc. Dan Sutton, Pismo Oceano Vegetable Exch. Ryan Talley, Talley Farms Communications Committee Dan Sutton, Pismo Oceano Vegetable Exch. Caitlin Antle Wilson, Tanimura & Antle Matt Seeley, The Nunes Company Vivian Sotello, Coastline Family Farms Marissa Ritter, Grower Shipper Assn Kori Tuggle, Church Brothers Farms Staff Mike Villaneva, Technical Director Amarachi Okemiri, Member Services Coordinator
We can't go on together with suspicious minds Andrew Bruun (1998) Introduction "These kids have got either no one in their lives or a cast of thousands". Since beginning work in the human services field in the mid-‐eighties, I've heard that line about as many times as I've listened to the Elvis song that provides the title for this article (which is a lot -‐ believe me). The words "these kids" refer to young people, most often from extremely disadvantaged backgrounds, who end up in the protection and care of the state. A majority of these young people use drugs. Of course the majority of people in Australia use drugs. For the young people I refer to, their drug use often puts their safety and well being at risk and they are far beyond caring whether what they do is legal or illegal. Most of the hundreds of young people that I have worked with over the years have experienced unwanted consequences as a result of their drug use but for each of them, there were understandable reasons for continuing to use. Their drug use served a purpose. Understanding a young person's reasons for using drugs and the function it serves is crucial if the following question is to be answered: "How can we respond in the most effective way possible?" It is my intention in this article to go some of the way to answering that question. In the end, it's whatever works best for that young person and their family. I am focusing on is on how best to structure the working relationships in a young person's life so as to: * Increase their sense of security * Reduce the risk of harm * Maximise the potential for them to gain the information guidance and support to negotiate the sometimes tricky path towards adulthood What kind of relationships are necessary for the young person who has "no-‐one"? Also, how is the "cast of thousands" going to find a cohesive structure and an effective way of working together so that the young persons developmental needs are adequately catered for? Building protective relational structures with adolescents The 'Limit-‐setter / Enabler model (represented in Diagram 1) relates to how the developmental needs of the young people are responded to by others in their life. Enabler% Diagram 1 For the model to make sense it is necessary to make some relevant points about adolescent development. As adolescents are in something of a transitional state, competing interests are at play. On one hand the young person will expect or yearn for the structure, support and nurturing that was available to them as a child (even though they will almost always be loathe to admit it). On the other, they want to bust out of the childhood role and demand to be treated as adults. Therefore, they question the order of things and are seen as rebellious and disdainful of authority. They thirst for experience. They take risks that many of us who are adults wouldn't take, but possibly once would have. They have an intense desire to be seen as mature, so they often send out a message that they have everything under control even they don't. This throws up a dilemma for parents and guardians with responsibility safety and well-‐ being of the young person in their care. A natural tension often exists between teenagers and their guardians with differing perspectives over what is safe and acceptable. Dissonance also develops where the young person's values and goals clash with those that their parents or guardians would like them to hold. Young people want to make decisions for themselves and be the masters of their own destiny, whereas parents or guardians often doubt their capacity to do so and usually take a "not till I'm sure your good and ready" approach. It may hurt a young person's pride to be "underestimated" but in most cases he or she will share at least some of the same doubts about their ability to manage as their caregivers. The fact that there is someone who is acting to moderate their exposure to the big bad world, regardless of how attractive it may be, engenders a sense of security. Protective workers and 'Drug and Alcohol' workers don't have to look too far to see what happens for kids when this role is not being fulfilled. In the ideal sense a teenager will have a relationship or set of relationships where responsibility is taken for defining the parameters or "setting the limits" within which the young person is free to move and experience life. It is a young person's job (in developmental terms) to push against and outgrow those limits. This means that they will be constantly testing the response of those that set limits for them. It's an age-‐old story dripping with tension and can be a tough time for all concerned. Very few parents or guardians would disagree. Even with the palpable excitement and the fond memories that thinking of being 14 stirs up, I wouldn't want to go back. Andrew, the gawky, naive, sometimes brave, self conscious, would-‐be Casanova with his jeans tucked into his uggboots. An expert waster of time, I loved mooning around the family home eating biscuits before sneaking off with mates to parental no-‐go zones – desperately trying to impress local girls with feats of daring because I was too shy to talk with them. Without a fleeting thought as to my own mortality I would skate down the middle of steep and normally busy neighborhood streets and jump into murky waterholes. It's a world away now. You can put me down as the never-‐was Casanova and maybe now I just deal better with being gawky and sex starved. As for the skateboard, bitumen is a hard teacher. Too much information? I think so. Back to the paper. The key themes come through loud and clear: 1. The need for each young person to have experiences from which they can learn and develop 2. The need to ensure that in the process of experiencing life and making decisions for themselves the young person does not get so out of their depth that their safety, health and future prospects are jeopardized It is very important to own the fact that change and transition involves risk. Without risk constructive learning and self-‐discovery will not occur. The focus must then be on how the extreme and unnecessary risks might be removed and on how other risks are best managed. What we do know is that it would be unnatural for a person to spend all their adolescent years living happily within the limits that are set for them. I can assure you that my reckless, late night, skateboarding descents of main roads in Brisbane were not sanctioned by my parents. Believe me I wasn't raising it at the dinner table as a topic of discussion to check out how my parents might have felt about it. I was flying under the radar and that's the way I wanted to keep it. The same applies with drug use. It will almost always be subject to of some kind of regulation and so young people will almost always try to keep it (or at least the most risky parts of it) under the radar. When the details of a young person's drug use are unknown, accurate assessment particularly in the area of risk to self or others is not possible. This renders limit-‐setters, with the health and well being of the young person at heart, powerless to address drug related issues in any meaningful way. A tragic example The true story comes to mind of a 15 year old Sydney girl who died in 1996 after taking 'ecstasy'. It is widely believed that she was killed by ecstasy but the coroner found that her death was due to water intoxication (internal drowning). An ambulance was called at 10.11am the morning after her and her friends had attended a dance party, unbeknown to their parents, and had taken ecstasy. None of the three girls were experienced users and to do so was against the rules. When the girl who died started to have a 'bad experience' after taking the ecstasy, her friends had her drink water. This is recommended for people at dance parties who dance vigorously for hours on end to prevent dehydration. When she didn't improve and began to feel sick, her friends kept giving her water. Without going into detail, too much water is particularly dangerous for people on ecstasy as it limits the functioning of the renal system, meaning that water is not passed through the body as efficiently. As the problem worsened, the girl kept drinking water. She could definitely have been saved if medical help had been sought in time. Because her friends didn't want their parents or others to find out that they had been out and had taken ecstasy, they waited all night to call for assistance. By then the situation was beyond critical and it was too late. This is in no way a comment on the parents of the girl who died, who most certainly would have acted immediately to engage medical assistance. What could they do when they didn't know? What if the girls felt that they could turn to another more experienced and competent person who not involved in setting the rules that had been broken; person that they trusted. Perhaps, that young girl might have made it to hospital in time. Complimentary relationships The example of young girl who unfortunately died after going to a dance party and taking ecstasy without the knowledge of her parents, illustrates how young people often end up outside the protective influence of their parents and guardians. Those involved in setting the limits around behaviours and experiences are fulfilling an important role through applying direct or coercive power to regulate a young person's exposure to risk. The logical consequence is that young people are then very unlikely to share details of their experiences outside of these limits. Other relationships involve enabling a young person to express and develop their own identity and pursue their interests. These relationships are an important source of information, support and guidance for the young person. They not only open up opportunities for new experiences but also help the young person to understand what these experiences mean. They facilitate learning. These people can be friends, siblings, members of their extended family, the parents of other kids they know, local youth workers, teachers, sports coaches, etc. I refer to them as "Enablers"(as in diagram 1). People in the enabling role can have a strong protective influence in the young person's life, just as limit-‐setters do, but in a different way. With Enablers, young people can feel at ease to discuss their thoughts and experiences without expecting limits to apply or consequences to ensue. Information that might be 'under the radar' of a Limit-‐setter is then more likely to be 'on the radar' of an Enabler who has no coercive power. Young people choose the amount of influence that an Enabler can have in their lives. In this way the Enabler must be empowered by a young person. In diagram 1, Enabling relationships are represented on the horizontal axis and Limit-‐setting relationships are represented on the vertical. You will also notice that I have used the terms "Have to" and "How to" to define the different functions the different relationships serve. A point of clarification is required here. Those with the crucial "have to" role will also deliver "how tos" for young people in a wide range of areas but not those that the young person keeps hidden or "under the radar". This highlights the importance of caring and responsible enablers in the lives of young people -‐ complimentary in the sense that these people share a common interest with the limit setter in the young person's safety, health and future prospects. Unfortunately, not all "Enabling" or "how to" relationships are complementary in this way. A young person may learn how to steal car and go for a joy ride or be encouraged to have a go at train surfing. At times they might receive very unreliable information, like masturbation makes you go blind. That's fairly benign but it is much more concerning when information such as the following is being passed on and taken as fact: * "Once you've got Hepatitis C it doesn't matter if you share with others who have it." or * "When someone has a heroin overdose, shoot them up with saltwater, it will revive them". Harmful misinformation can be unwittingly shared by others who care deeply for the young person but don't know any better themselves, as in the case of the Sydney girl who died from drinking too much water. Other times it may be someone who preys on the young person's inexperience and gullibility. At the extreme end of the continuum of exploitative "how to" or enabling relationships are those formed with adults who are sexual predators. They are often expert at "grooming' the young people that they target and make the relationships they offer very attractive. They often meet young people's needs on a number of levels, whether it's accommodation, money for activities and new clothes or affection and commitment from an adult. As a community we need to face the fact that our response to the needs of many young people is vastly inadequate and we create the conditions that pederast take advantage of to exploit young people. An adult seeking to ensure that a young person isn't being exploited might find obvious relationships that are potentially detrimental and destructive. Even so, a young person's perspective might be different and the determining which relationships are deemed acceptable or unacceptable is often a source of disagreement and conflict. Limits are often set that prevent a young person from entering or continuing enabling relationships that are deemed likely to have a negative influence. Like with drugs, this increases the likelihood that a young person will choose to keep these relationships "under the radar" or construct the people that they are hanging out with as virtual angels. It is therefore preferable for the young person to be connected with an Enabler who can explore what these relationships mean and offer another perspective. The guidance they receive may be virtually the same as what would come from the Limit-‐setter but is more easily accepted from an Enabler. This means that Enablers are often privy to different and more detailed information than limit setters. Enablers in complimentary roles with limit-‐Setters will need to answer the following questions: * What information would be passed on? * How are decisions made regarding what information is to be passed on? * What is done with the information when it is passed on? In determining the answers to these questions, there are two major issues must be considered. They are: * The health and safety of the young person and others involved -‐ Sometimes guidance, encouragement, information provision and support will not be enough to protect a young person. There are times when limits will need to be imposed and a young person contained. In circumstances where a young person is clearly in danger or is putting someone else at serious risk, information clearly needs to be passed on to someone who has the responsibility and capacity to act. * That lines of communication with the young person are kept as open as possible -‐ The protective benefit of Enablers being connected with young people will be reduced or cease if communication is shut down or constrained due to information continually being passed on to the limit-‐setter. Certain subjects, probably those involving the most risk, will no longer be "on the radar" and neither the Enabler or the Limit-‐setter will have any constructive influence. Professional Limit-‐setters and enablers I would expect that Limit-‐setters and Enablers in professional roles to have the capacity to form complimentary relationships in the interests of the young people that they work with. This requires workers being clear on their intentions or goals and being accountable for their practice. I will now investigate further the complimentary relationship of a statutory worker with a Limit-‐setting role and a youth AOD worker in an Enabling role. Statutory workers become involved in protecting and caring for young people when: * No-‐one is performing the Limit-‐setting role * The limit-‐setting role isn't being performed adequately * Whoever has responsibility for the limit setting is exploiting or harming the young person or unable to protect them from the same Statutory responsibility for the "Guardianship" of a young person involves setting limits around behaviours and experiences that are aimed at reducing risk and promoting healthy development. Statutory workers routinely assist young people without having to set or maintain limits but with drug use the setting of limits is crucial. This means that there are instances where young people in care are more likely to keep details of the drug use hidden. A young person might seek to keep details of their drug use secret when: * They either plan to or are 'breaking the rules' * They feel uncertain and feeling out of control but are invested in seeing themselves and being seen as 'in control' * He or she is highly dependent on substance use as a way of managing his or her life circumstances and believes that there are no other effective options * A young person is, or at least seems to be, not interested in changing their drug using behaviour and doesn't want to be forced to do so These are the very times that some kind of protective influence is required. From a risk management perspective, young people require accurate, reliable and relevant information and education relating to drug use (not scare tactics) as well as the motivation and skills to put this knowledge into practice into practice. If, because of the Limit-‐setting role, young people will not discuss their drug use in an open and honest way with a statutory worker, most of the relevant information concerning risk will not be on the "on the radar". In such circumstances, a youth AOD worker could form a relationship as an enabler with a young person and be in position to recognise, understand and help them manage the risks associated with their drug use. Statutory workers and youth AOD workers clearly share a common goal to reduce the potential harm that drug use can cause in the lives of clients. Statutory workers set limits and adopt behavioural strategies as incentives for clients to adhere to them (see notes on effective limit setting below). Where the limits are not holding and the young person continues to engage in harmful drug use, statutory workers often refer the young person for AOD treatment. Sometimes young people are ready to accept help and the link is made without protest. It is easier to facilitate this connection when the local youth AOD worker is known and trusted by the client or possibly the client's friends. Some youth AOD workers are proactive in forming Enabling relationships with young people in care (an 'at risk' group) before drug use is identified as a problem. This can be done through either participating in activity based and/or health focused programs with statutory clients. At other times, due to the level of risk or through the insistence of the Criminal Justice system, statutory workers use their coercive power to force a young person to see a youth AOD worker. While use AOD services are voluntary, this kind of referral is welcomed as youth AOD workers are mandated to provide services to young people with drug related problems regardless of their readiness to change. It is always better when it is made as part of a plan where expectations, roles and processes are clear and commonly understood (see below: Getting the balance right). The focus of the statutory worker and the measure of success in these cases should be the engagement of the youth AOD worker and the client. To give this engagement the best chance of occurring statutory workers should prearrange with a youth AOD service or worker a certain number of sessions that the client is expected to attend. The youth AOD worker's task is to create the conditions under which a genuine Enabling relationship has the potential to form. Of course there will always be things a young person won't discuss but youth AOD workers work hard to increase the likelihood that drug related issues are raised, discussed and worked through. For this to occur, trust and open communication is essential. Where statutory workers are focused only on the drug problem being "fixed" the temptation is pressure youth AOD workers to hand sensitive information about the young person's drug use. This of course will close down communication between the client and the youth AOD worker. It is more likely to occur when the statutory worker has not developed trust with youth AOD worker and doesn't realise the importance of complimentary Enabling relationships. There might also be times that the AOD worker disagrees with the how the statutory worker is performing their limit-‐setting role and managing the case. Exacerbating conflict between a protective worker and a young person will put the young person more at risk in almost every case. The same goes for complaining to a young person about the worker. Providing high quality care and support for young people experiencing drug related problems requires statutory workers and youth AOD workers to be coordinated and intentional in their practice. Where young people are considered at risk to themselves or others, the decision on what and how information held by the youth AOD service/worker either is or isn't passed on to the statutory worker is often the source of disagreement. Remember that people have different perceptions of what is risky and dangerous. I recommend that professional limit-‐setters like statutory workers and professional enablers such as an youth AOD workers) have established processes and consultative forums in place for determining the level of danger/risk presenting and how it might be acted upon. The issues faced have to be worked through and all factors considered. The alternative is to rely on rigid, prescribed responses regardless of circumstance or context. Where this approach is applied the potential for harm can be increased inadvertently. How and when this information would be shared and acted upon needs to be pre-‐ determined and clearly communicated to all concerned. An underlying concern for most in the youth AOD workers in an Enabling role is that the relationship with the young person will end if such information is shared without the consent of the young person. In my experience this is rarely the case. What usually transpires is that the young person and the worker have some issues to work through. This process can be developmentally very beneficial for the young person. The worker needs to explain why the decision to pass the information on was made and invite the young person to discuss how they feel about it. Sometimes the young person is unable to do this. Sometimes it will take time. Other times, the penny drops pretty much straight away and young people realise that the people were acting in their best interest. This realisation will be easier for the young person to make if they have moved beyond the high risk or crisis period that they may well have been in and are in a position of relative stability. Even so, whenever information is transferred without client consent on the grounds of 'keeping them safe", the accompanying rationale and the effectiveness of doing so should be reviewed. A real world example: The story of Mark Mark was just turning 16 when I first met him. He was in protective care, living in what was then a short-‐term unit. He was also on a Youth Attendance Order with Juvenile Justice. He had been forced to come and see me for "drug counselling" against his will. So our relationship started with him giving me the silent treatment. I was expecting Mark to react this way as I had been involved in a case planning meeting prior to his referral. I was invited there to give my perspective and see what I might be able to offer. At the meeting I heard that Mark's placement at the short term unit he lived in was close to breaking down. The staff were frustrated. They said that he was constantly aggressive, he'd damaged property on several occasions, he'd spray painted the fence and the side of the building and he often disappeared for days on end. Mark wasn't involved in any constructive activities like school or sport. The big concern at the meeting was that he was smoking marijuana intensively, although they had few details. Of course he was keeping it "off the radar". My big concern was that all the professional relationships in his life at that stage had been "tarred with the limit setting brush". Consequently, his relationships with workers were conflictual although he did get on better with some more than others. His Juvenile Justice worker was one that he could tolerate. When I asked about other relationships of significance I was told about his older brother who was 19 and dependent on heroin. He was the only known Enabler and was thought to have a negative influence. Mark was definitely at risk in the immediate sense and in the longer term. I suggested that I could see Mark but the focus wouldn't be on drugs, it would be on engaging him and building rapport. I wanted to position myself as someone he could trust and would turn to when he needed information or to sort something out. I explained that I needed to set myself up as a worker discrete from those with the limit setting role. In my opinion, taking drugs off the agenda was the only way to get them on it. Of course, clear arrangements had to be established around confidentiality and in what circumstances would I deem the risk to Mark or others to be enough to pass information. It was useful to be working in an organisation separate to the government services and providing services under our own clinical governance framework. The plan was for his Juvenile Justice worker to enact a court order and use her powers to make him see a "drug counsellor" for at least 6 sessions. My agency was some distance away and she pretty much dragged him over, kicking and screaming. Actually kicking and screaming may have been better for her than the loud, hard core, death metal that she had agreed to let him play on the way over. When he arrived I tried to make him feel welcome. I offered him tea, coffee or hot chocolate but he refused. I knew that he would think that I was going to try to "get him off drugs" and give him the "drugs are bad" line. I also knew that he thought that I would be the hired hand of his Juvenile justice worker or Protective services. For this reason I asked Mark and his Juvenile Justice worker into my office to inform them both at the same time where I was coming from. This included: * That I wasn't here to get him off drugs but that I would be available to discuss any subject relating to drugs with him * The Juvenile Justice worker confirmed that she was the one requiring Mark to show up for the 6 sessions. * Explaining that talking to me about drugs was his choice * That I could give him a hand with a whole range of issues and gave examples like housing, health issues, legal problems or questions, personal stuff, etc * That during our 6 sessions together he could choose how we spent the time (within the bounds of the organisational policies in place). * Explained that our conversations would be confidential and that I would not run back to Juvenile Justice or Protective Services with the details of what we discussed. There was the obvious proviso that if I thought he was at risk to himself or others I would pass information on but only that relating to the particular risk situation. Neither Mark nor his worker had any questions. His worker then left the room. I asked him what he thought of all that to which he barely grunted. The next thing I asked was how he felt about being forced to see me. To which I received another non-‐committal grunt. I explained that being forced to attend would piss me off too but that I understood the concern of the Juvenile Justice worker and her responsibilities. I then asked him what he wanted to do. He shrugged his shoulder and I made a few suggestions: the pool hall for a game, playing basketball, etc. Nothing registered until I mentioned the local amusement parlor and the prospect of free video games for an hour was too much to pass up. The rest of that session involved me being hopelessly out driven on the Daytona car racing video game. He was the expert and I the novice. He loved beating me and I was a dramatic loser. I try hard and I would say that I'm fun to beat. By the end of the session his resentment had turned to pity for me. We finished up and I knew that even though in one way he hated having to come back next week, he was kind of looking forward to it. If the Juvenile Justice worker and the case management team wasn't aware of the plan, the notion that drug counseling could involve video game playing would seem very strange. In the following three weeks the sessions were almost exactly the same, a chat in my office to start and then off to play Daytona. Mark and I were getting on well and I was getting better at Daytona (I would say in fact that I am one of the best over 30's exponent of Daytona in the world). I kept letting Mark know that I was there for him if he wanted to talk about anything but the offer was always declined. Week five was different. The talk started in my room and didn't finish until the end of the session. The first thing I noticed that day was that he had a copy of "For Whom the Bell Tolls" by Hemmingway. It turned out that Mark was a voracious reader and in his own way, very articulate. This had nothing to do with his "problems" and he felt confident about discussing books with me. He was actually quite passionate about it. I suggested to him that he explore the option of going back to school and, while he had his doubts, he told me he would like me to give him a hand to do just that. Then the conversation moved to drugs and other issues. I don't need to go into detail but it is important to say that he had a lot of questions about marijuana, which was his drug of choice, and heroin. He had already used heroin 4 times in the past 6 months. Of course no-‐one in a guardianship role had any knowledge of this. His brother had injected him each time and at that stage it still made him feel sick when he used. He could talk about what using heroin had done to his brother. He believed it had changed him and he didn't like how desperate he was and how unhealthy he looked. His brother had also just been received a custodial sentence for trafficking heroin. The big concern was the risk that he put himself in, unwittingly. He had found out most of his information about drugs from friends and his brother. Most of it was inaccurate or more to the point downright dangerous. So, I was in a position to fill him in. I also found that he had real doubts about where he was heading in general and in relation to the drugs. He mentioned his hurt and frustration at not being able to live with or even see his parents in an unsupervised visit. I won't go into it but there were very good reasons why these limits were in place. The discussion that I had with him about his relationships, in particular those he had with Limit-‐setters, was most interesting. He actually had some capacity to see it from their perspective on some issues but struggled to manage his feelings of anger when he felt they were being unfair or when he didn't understand why they were doing what they were doing. It raises an area in which a professional enabler can be very helpful. A professional enabler like an AOD worker can assist the young person to: * Work through how they feel about the limits being imposed * Work out how they will manage with those limits in place * Understand the rationale of the limit setter for working to contain or limit behaviors that are risky or harmful. * Assist the young person in defining for himself or herself where they believe the line should be drawn around particular behaviors. In other words enabling a young person to develop ideas around what they believe to be fair and reasonable. Remember his Juvenile Justice worker was picking him up and taking him to see me. The process of doing this week in, week out meant that Mark bonded with her and actually had a lot of respect for her. To him now, she was a human being not just a faceless limit setter from the "department". He came to realise that she was setting limits because she cared about him not because she was a tyrant out to push him around. She was reliable and caring and through spending time together outside that of the Limit-‐setting role, she came to know Mark in a different way. One day we all had a big bowling date. It was great fun and very good for Mark's relationship with her. This was the profound shift for Mark and he went on to make a lot of constructive moves, which included going back to school and finally maintaining a place of his own. He was still using marijuana but cut right back on it because he didn't want it to interfere with school. He was didn't use heroin again. He chose to continue seeing me and the Juvenile Justice worker well after his order finished. When Limit setters and enablers don't work together There are times when Limits-‐setters and Enablers become conflicted and end up working at cross-‐purposes. It usually occurs when the Limit-‐setter and the Enabler have: * Different intentions or goals * A lack of respect for and belief in the importance each other's role * Are unaware of each other's shared intentions or goals * Different interpretations of how these intentions or goals should be enacted * Differing perspectives of risk and danger and how it should be acted on * Differing assessments and understanding of the drug related issues and how they are best dealt with * Undertaken inadequate preparation and case planning * Not established review and ongoing communication processes If the divisions that can exist mean that responses for young people are rendered dysfunctional, careful evaluation is required, so the issues can be identified and resolved. It all sounds a bit too simple. I understand that it requires a commitment of time, resources and will and that these commodities aren't always readily available. Still, it is a worthwhile investment to make. If practitioners and agencies continually work at cross-‐purposes, it is the young people who need assistance that miss out. Table 1: Unhelpful accusations The accusations that Limit-‐setters and Enablers sometimes level at each other (see table 1) are almost always unhelpful. Even so, there is always the possibility that some accusations hold a kernel of truth. For example, some limit-‐setters do act in their own interest or are being unnecessarily rigid and unfair. Even if this is the case, accusations will not result in the limit-‐setter operating more effectively or the young person to handle these circumstances. As mentioned above the objective of a professional Enabler is to make the limit setting more functional and beneficial for the young person. Of course some of the accusations that Limit-‐ setters make about Enablers that may also hold water but are equally problematic. It is a very big problem if professional enablers complain to a young person about the person setting limits. In one sense it may strengthen ties with a young person but to what end. It is unhelpful and harmful to undermine the important limit-‐setting role for young people. At times a lack of communication and dysfunction in a relationship between the Limit-‐setter and the Enabler is projected on to the young person. I've been invited to case conferences where there the frustration and pessimism coming from workers is obvious and the young person is framed as the common foe. When this occurs, young people can be labeled as manipulative or worse, unofficially and most often incorrectly diagnosed with a psychological disorder. These tend to be the very cases when workers loathed bringing their own practice or motives into question. Imperatives for striking a healthy balance in complimentary professional relationships 1. Relationship development Effective and efficient collaboration requires preparation and occurs between workers at the coalface when it is well supported at the organizational and managerial level. This broader information sharing about each service's mission, program objectives and relevant policies builds understanding at and is a foundation for more detailed case-‐specific processes or protocols to be established. It is also beneficial for workers from different agencies who routinely work together have the opportunity to get to know each other and trust each other on a professional basis. The key to effective working relationships is in determining realistic and well understood expectations. For this to occur it is necessary for agencies and workers to overt the assumptions they make about each other and the clients with whom they both work. 2. Common assumptions and realistic expectations Expectations must focus on what can realistically be achieved. The assumption that a young person can be changed or fixed, particularly in terms of drug use are sure to result in disappointment. How can one worker or another be held to account for the fact that a client did not change? As workers, regardless of our particular role, we can create the conditions that support the safety and development of clients but it cannot be guaranteed. In working together to create these conditions it is reasonable to expect workers or organisations stick to processes and work practices that have been agreed upon. 3. Identification of Shared Agendas/Goals: Statutory workers and AOD workers have several shared interests: * The young persons health, safety and well-‐being * Reducing high risk behaviors that threaten the safety of others involved young person's orbit and the in the community in general * The young person's ongoing development and future prospects * Opening up as many life opportunities as possible * Enabling the young person to make the most of those opportunities In the ideal world a process for sharing this information would have occurred prior specific casework. It is effective for statutory workers and youth AOD workers to meet to share their concerns and interests in a "case" and develop a common intention. Processes and agreements for working together around a particular case can also be made as they are required. 4. A clearly defined and detailed referral and case planning process With common intentions established, joined up work can proceed. Strategic planning from this point can determine: * How the requirements of the particular statutory order can be met in a way that focuses on the young person's health and well being * Particular strengths and attributes of the young person and other protective factors in their lives that can be utilised and developed * What is going well for the young person * The particular risk behaviors around drug use that will need to be effectively managed * Indicators that the risk to the young person and others has become so extreme that information needs to be shared and acted upon * Information sharing processes and arrangements according to the particular roles each worker will adopt and their organizational requirements * A clear understanding of processes that will be enacted if a young person's high risk behaviors need to be contained. 5. Strategies for Managing Potential Disagreement Conflict resolution or grievance procedures should be agreed to. Measures that can be used to manage potential or actual disagreements before they impact on the young person involved or their families are essential. It is preferable that the young person isn't involved in this process or that if they are involved, that it is planned and carefully monitored. 6. Competent, realistic, optimistic staff Finally, high quality, collaborating workers are vital in making partnerships work in the best interests of young people. Conclusion Parents, statutory workers, youth AOD workers and most responsible members of the community all want young people to have the best chance to live a safe and satisfying life. Focusing on the common goals of protecting young people and building their capacity to better manage their circumstances makes provides motivation for collaboration. Making collaboration work in pursuit of these goals requires recognition that young people have different needs and therefore the caring adults in their lives have different roles to play. Building well-‐balanced relational structures in young people's that have the capacity to contain and empower take work and commitment. It is worth it. Thanks for your patience and I hope this article has been thought provoking and is of practical use.
Domain walls and bubble-droplets in immiscible binary Bose gases G. Filatrella$^1$, Boris A. Malomed$^2$, and Mario Salerno$^3$ $^1$ Dipartimento di Scienze e Tecnologie dell’Università del Sannio, I-82100 Benevento, Italy $^2$ Department of Physical Electronics, School of Electrical Engineering, Faculty of Engineering, Tel Aviv University, Tel Aviv 69978, Israel and $^3$ Dipartimento di Fisica "E. R. Caianiello", CNISM and INFN Gruppo Collegato di Salerno, Università di Salerno, via Giovanni Paolo II Stecca 8-9, I-84084, Fisciano (SA), Italy. (Dated: October 13, 2018) The existence and stability of domain walls (DWs) and bubble-droplet (BD) states in binary mixtures of quasi-one-dimensional ultracold Bose gases with inter- and intra-species repulsive interactions is considered. Previously, DWs were studied by means of coupled systems of Gross-Pitaevskii equations (GPEs) with cubic terms, which model immiscible binary Bose-Einstein condensates (BECs). We address immiscible BECs with two- and three-body repulsive interactions, as well as binary Tonks-Girardeau (TG) gases, using systems of GPEs with cubic and quintic nonlinearities for the binary BEC, and coupled nonlinear Schrödinger equations with quintic terms for the TG gases. Exact DW solutions are found for the symmetric BEC mixture, with equal intra-species scattering lengths. Stable asymmetric DWs in the BEC mixtures with dissimilar interactions in the two components, as well as of symmetric and asymmetric DWs in the binary TG gas, are found by means of numerical and approximate analytical methods. In the BEC system, DWs can be easily put in motion by phase imprinting. Combining a DW and anti-DW on a ring, we construct BD states for both the BEC and TG models. These consist of a dark soliton in one component (the “bubble”), and a bright soliton (the “droplet”) in the other. In the BEC system, these composite states are mobile too. PACS numbers: 03.75.Nt, 03.75.Mn, 05.30.Jp I. INTRODUCTION Domain walls (DWs) represent the most fundamental type of robust structures which are supported by immiscibility in a variety of binary physical systems. Commonly known are DWs in magnetics\textsuperscript{1}, ferroelectrics\textsuperscript{2}, and liquid crystals\textsuperscript{3}. In those media, the immiscible species are emulated by different orientations of a vectorial order parameter. Similarly organized are DWs separating temporal-domain regions occupied by light waves with orthogonal circular polarizations in bimodal optical fibers\textsuperscript{4,5}. Binary Bose-Einstein condensates (BEC) formed by immiscible atomic species, or immiscible hyperfine states of the same atom, make it possible to study the formation of DW structures in superfluids. These structures were studied theoretically in a number of different settings\textsuperscript{6}, including the extension to BEC with linear interconversion between the immiscible components\textsuperscript{7}, condensates with long-range dipole-dipole interactions\textsuperscript{8}, three-component spinor BEC\textsuperscript{9}, and the BEC effectively discretized by trapping in a deep optical-lattice potential\textsuperscript{10}. In addition to the condensates, degenerate Bose gases have been also experimentally realized in the Tonks-Girardeau (TG) state\textsuperscript{11}, using tight quasi-one-dimensional traps\textsuperscript{12} (for a review of the TG model see Ref.\textsuperscript{13}). In this context, a macroscopic (mean-field-like) description of the TG gas was proposed in terms of the quintic nonlinear Schrödinger equations NLSE\textsuperscript{14} and adopted for various settings\textsuperscript{14–18}. In this framework, it was demonstrated that oscillation frequencies derived from the fermionic hydrodynamic equations, which emulate the hard-core TG gas, are very close to their counterparts predicted by the quintic NLSE\textsuperscript{16,19}. The NLSE approach was employed to investigate particular nonlinear features of TG states, including dark solitons\textsuperscript{14,17,20}, bright solitons formed by the long-range dipole-dipole interactions\textsuperscript{21}, etc. Exact solutions for the ground state in mixtures of TG and Fermi gases have been found too\textsuperscript{22}. On the other hand, the mean-field approach does not apply beyond the framework of the hydrodynamic regime – in particular, to problems such as merger of two gas clouds into one\textsuperscript{23}. Recently, however, the ground state of the binary TG mixture trapped in the harmonic-oscillator potential was constructed, using the density-functional theory with the local-density approximation\textsuperscript{24,25}. Coupled quintic NLSEs emerge in this case too (although only for particular parameter settings), where they were used to investigate mainly miscible ground states. One expects that DWs, both in BEC and in TG gases, can exist only in the case of immiscibility. DWs were indeed observed experimentally in immiscible binary BECs\textsuperscript{26}. DWs have been also investigated in other physical systems described by systems of continuous or discrete NLSEs, both conservative and dissipative. In particular, DWs were found in one-dimensional (1D) Heisenberg ferromagnets as front patterns, both at the classical\textsuperscript{27} and quantum\textsuperscript{28} level. Similar structures were also found in a dissipative discrete NLSE\textsuperscript{29} and in coupled Ginzburg-Landau equations modeling convection patterns in 2D\textsuperscript{30}. To the best of our knowledge, however, DWs of immiscible binary gases with quintic interactions, of both BEC and TG types, have not been investigated yet. The aim of the present paper is to address the existence and stability of DWs and bubble-droplet (BD) states in binary mixtures of immiscible BEC and TG gases. To this end, we introduce a system of nonlinearly-coupled cubic-quintic (CQ) NLSEs, which describes, in proper situations, both BEC mixtures and binary TG gases. As concerns the BEC, the quintic nonlinearities model three-particle collisions in the limit when the related losses may be neglected\textsuperscript{31}. In this case, we derive a class of exact DW solutions, with equal background amplitudes and equal intra-species and inter-species interactions (symmetric DWs). The existence and stability of asymmetric DWs in the BEC mixtures with dissimilar background amplitudes and interactions in the two components, as well as of symmetric and asymmetric DWs in the binary TG gas, is demonstrated by means of numerical and approximate analytical methods. It is shown too that DWs can be easily put in motion by phase imprinting. We also show that, by combining a DW with an anti-DW on a ring, it is possible to construct, for both BEC and TG gases, BD excitations, consisting of a dark (gray) soliton in one component (the “bubble”), and a bright soliton (the “droplet”) in the other. In the BEC system, such composite excitations are found to be mobile as well. Finally, our estimates suggest that, using the Feshbach-resonance technique to control the strengths of the inter- and intra-species repulsion in a binary Bose gas loaded into a quasi-1D trap, the observation of DWs and BDs should be possible in experiments. The paper is organized as follows. In Sec. II we introduce the model equations, for which exact symmetric DWs and the immiscibility condition are explicitly derived. Section III is focused on symmetric and asymmetric DWs and BD complexes in the BEC mixture. The existence of asymmetric DWs and stability of DWs and BDs is numerically investigated, and their mobility is demonstrated. In Section IV we consider DWs and BDs in binary TG gases for the symmetric case of equal masses and equal interactions, as well as for the asymmetric setting. In Section V we summarize the paper and briefly discuss possible experimental settings. II. MODEL EQUATIONS AND EXACT DW SOLUTIONS We start with the general system of coupled scaled NLSEs with the CQ nonlinearity and equal atomic masses of both components: \begin{align} i \frac{\partial \psi_j}{\partial t} &= -\frac{1}{2} \frac{\partial^2 \psi_j}{\partial x^2} + [\gamma_j \|\psi_j\|^2 + \gamma_{12} \|\psi_{3-j}\|^2] \psi_j + \\ &[\alpha_j \|\psi_j\|^4 + \chi(\|\psi_{3-j}\|^4 + 2\|\psi_j\|^2\|\psi_{3-j}\|^2)] \psi_j, \quad j = 1, 2, \end{align} where positive real parameters $\gamma_j$, $\gamma_{12}$, $\alpha_j$, $\chi$ represent the repulsive interactions. We will focus on two physically relevant cases: (i) $\chi = 0$, and (ii) the quintic-only interactions, $\gamma_{1,2} = \gamma_{12} = 0$. The former case corresponds to the binary BEC with coefficients $\gamma_{1,2}$ and $\gamma_{12}$ accounting for the intra-species and inter-species two-body repulsive interactions, respectively, while $\alpha_{1,2}$ add the repulsive three-body interactions in each component\textsuperscript{31}. On the other hand, the quintic-only version of Eq. (1) may be used as the model for the binary TG gases. Obviously, Eq. (1) admits the Hamiltonian representation, in the form of $i \partial \psi_j / \partial t = \delta H / \delta \psi_j^$, with \begin{align} H &= \int_{-\infty}^{+\infty} \sum_{j=1}^{2} \left\{ \frac{1}{2} \left\| \frac{\partial \psi_j}{\partial x} \right\|^2 + \frac{\gamma_j}{2} \|\psi_j\|^4 + \frac{\alpha_j}{3} \|\psi_j\|^6 + \right. \\ &\left. \frac{\gamma_{12}}{2} \|\psi_j\|^2 \|\psi_{3-j}\|^2 + \chi \|\psi_j\|^4 \|\psi_{3-j}\|^2 \right\} dx. \end{align} In particular, this representation explains ratio 1 : 2 of coefficients in front of the terms multiplied by $\chi$ in Eq. (1), which are derived from terms $\chi \left( \|\psi_1\|^4 \|\psi_2\|^2 + \|\psi_2\|^4 \|\psi_1\|^2 \right)$ in the Hamiltonian density of Eq. (2). In addition to $H$, the system preserves the norm (scaled number of the atoms) of each component, \begin{equation} N_j = \int_{-\infty}^{+\infty} \|\psi_j\|^2 dx, \end{equation} and the total momentum, \begin{equation} P = i \int_{-\infty}^{+\infty} \sum_{j=1}^{2} \psi_j \left( \frac{\partial \psi_j^}{\partial x} \right) dx. \end{equation} Due to the repulsive nature of the nonlinearity, one may expect that, with the increase of the constants accounting for the interactions between the components, $\gamma_{12}$ and/or $\chi$, the binary system becomes immiscible, building DWs as interfaces between domains filled by different components. To address this point, we are first looking for particular \textit{exact} DW solutions to Eq. (1). In the case of the coupled stationary NLSEs with the cubic nonlinearity, which corresponds to Eq. (1) with $\alpha_{1,2} = \chi = 0$, an exact DW solution was found in Ref.\textsuperscript{30}, imposing a special restriction on the cubic coefficients, $\gamma_1 = \gamma_2 = \gamma_{12}/3$. For the single-component NLSE with the CQ nonlinearity, an exact solution, describing a transient layer between zero and constant-amplitude states (a variety of DW), was found in Ref.\textsuperscript{32}. In the present context, we are looking for exact DW solutions employing an ansatz suggested by the latter solution: \begin{equation} \psi_1(x, t) = \frac{A_1 e^{-i \mu_1 t}}{\sqrt{1 + e^{\lambda x}}}, \quad \psi_2(x, t) = \frac{A_2 e^{-i \mu_2 t}}{\sqrt{1 + e^{-\lambda x}}}, \end{equation} with background amplitudes $A_{1,2}$, chemical potentials $\mu_{1,2}$, and parameter $\lambda$ defining the DW width, $W \sim 1/\lambda$. Substituting this ansatz into Eq. (1), one arrives at a system of algebraic equations: \begin{align} 4(A_j^2 \gamma_j + A_{3-j}^2 \gamma_{12} + 2\chi A_j^2 A_{3-j}^2) - 8\mu_j + \lambda^2 &= 0, \\ 8A_j^2 (\gamma_{12} + \chi A_j^2) - 8\mu_j - \lambda^2 &= 0, \\ A_j^2 (\gamma_j + \alpha_j A_j^2) - \mu_j &= 0, \quad j = 1, 2. \end{align} One can readily check that for symmetric intra-species interactions, i.e., \[ \gamma_1 = \gamma_2 \equiv \gamma, \alpha_1 = \alpha_2 \equiv \alpha, \] (6) and equal amplitudes (the symmetric DW), Eq. (5) admits a nontrivial solution with $ \mu_1 = \mu_2 \equiv \mu $, $ A_1 = A_2 \equiv A $, and \[ A^2 = \frac{3}{4} \frac{\gamma_{12} - \gamma}{\alpha - \chi}, \] \[ \lambda = \pm (\gamma_{12} - \gamma) \sqrt{\frac{3}{2(\alpha - \chi)}}, \] \[ \mu = \frac{3}{16} \frac{\gamma_{12} - \gamma}{(\alpha - \chi)^2} (\alpha \gamma + 3\alpha \gamma_{12} - 4\gamma \chi). \] (7) From this we conclude that symmetric DWs are generic solutions, provided that conditions $ \alpha > \chi $ and $ \gamma_{12} > \gamma $ are satisfied. Note that in the decoupling limit, $ \gamma_{12} \to 0, \chi \to 0 $, and for the symmetric interactions, Eq. (1) reduces to a single-component CQ NLSE. In this case, the exact DW reproduces the one found in Ref. [32] for the particular case of $ \gamma = -2, \alpha = 1 $. ### A. The immiscibility condition and asymptotic relations It is interesting to relate the existence of generic DW solutions to the immiscibility in the two-component NLSE system (1). Due to the repulsive nature of all the interactions and the absence of any trapping potential, the ground state must be obviously spatially uniform in the miscible case, hence the DW cannot exist in the miscible system. In the case of immiscibility, generic stable DW can exist if its free energy is lower than the one of the corresponding uniformly mixed state. Then, the immiscibility condition is written in terms of the free energy, \[ F = H[\psi_1, \psi_2] - \sum_j \mu_j N_j, \] as \[ F_{\text{DW}} - F_{\text{UB}} \leq 0, \] (8) where $ F_{\text{DW}} - F_{\text{UB}} $ is the difference in the free energies between the DW and of the corresponding uniform background (each free energy diverges in the infinite system, but the difference is finite). Defining background amplitudes $ A_j, \ j = 1, 2 $, of the two DW components as in ansatz (4), \[ \left\{ \begin{array}{l} \|\psi_1(x = -\infty)\|^2 = A_1^2 \\ \|\psi_2(x = -\infty)\|^2 = 0 \end{array} \right\}, \quad \left\{ \begin{array}{l} \|\psi_1(x = +\infty)\|^2 = 0 \\ \|\psi_2(x = +\infty)\|^2 = A_2^2 \end{array} \right\} \] (9) (the corresponding densities in the uniformly mixed state obviously being $ \|\psi_j\|^2 = A_j^2/2 $), one can readily write the immiscibility condition (8), with the aid of Eq. (2), in the explicit form: \[ \sum_{j=1,2} (\gamma_j A_j^4 + \alpha_j A_j^6) \leq \left[2\gamma_{12} + \chi(A_1^2 + A_2^2)\right] A_1^2 A_2^2, \] (10) which is exact for the infinite domain, and approximated for a finite domain of length $ L $, the error coming from the gradient-energy terms being estimated as $ \sim 1/L $. For the exact symmetric DW solution given by Eq. (7), condition (8) is always satisfied. Indeed, from Eq. (7) we obtain \[ A^2 = \frac{3}{4} \frac{\gamma_{12} - \gamma}{\alpha - \chi} < \frac{\gamma_{12} - \gamma}{\alpha - \chi}, \] this being in agreement with Eq. (10), taking Eq. (6) into regard. It is also relevant to note that the equality of the free-energy densities at $ x = \pm \infty $ implies the following relation between the chemical potentials and asymptotic densities of the numbers of atoms, fixed as per Eq.(9): \[ \sum_{j=1,2} (-1)^j \left[ \mu_j - \frac{1}{2} \gamma_j A_j^2 - \frac{\alpha_j}{3} A_j^4 \right] A_j^2 = 0. \] (11) For $ \chi = \alpha $ and $ \gamma = \gamma_{12} = 0 $, which corresponds to the two-component TG gas described by the coupled quintic equations, exact solution (7) degenerates into a uniform one. Different solutions for this case are given below. ### III. REPULSIVE BEC MIXTURES WITH CUBIC AND QUINTIC INTERACTIONS For the binary BEC mixture, we consider a reduced form of the NLSE system (1), in which the inter-species repulsion is accounted for by the cubic terms, while the quintic ones contribute solely to the self-repulsion $ (\chi = 0) $: \[ i \frac{\partial \psi_1}{\partial t} = -\frac{1}{2} \frac{\partial^2 \psi_1}{\partial x^2} + (\gamma_1 \|\psi_1\|^2 + \gamma_{12} \|\psi_2\|^2 + \alpha_1 \|\psi_1\|^4) \psi_1, \] \[ i \frac{\partial \psi_2}{\partial t} = -\frac{1}{2} \frac{\partial^2 \psi_2}{\partial x^2} + (\gamma_2 \|\psi_2\|^2 + \gamma_{12} \|\psi_1\|^2 + \alpha_2 \|\psi_2\|^4) \psi_2, \] (12) that the DW remains stable also when it is put in motion by means of the standard phase-imprinting method, i.e., multiplying the quiescent DW by $\exp(i\omega x)$, as shown in Fig. 3. The symmetry restrictions, $\gamma_1 = \gamma_2$, $\alpha_1 = \alpha_2$, adopted above for obtaining the exact DW solution, is not a limitation for the existence of DWs in real condensates. Indeed, it is possible to demonstrate that DWs are generic states in immiscible two-component BECs with repulsive interactions, including asymmetric settings with unequal background densities in the two components at $x = \pm \infty$. A numerically found example of such a stable asymmetric DW is depicted in the left panel of Fig. 4, see also Section V. A. Symmetric and asymmetric DWs in the infinite domain For the symmetric system, as defined in Eq. (6), parameters of the exact DW solutions given by Eqs. (4) and (7) with $\chi = 0$ are $$\mu = \frac{\gamma + 3\gamma_{12}}{4}A^2, \quad \lambda = \sqrt{\frac{8\alpha}{3}}A^2, \quad A^2 = \frac{3}{4}\frac{\gamma_{12} - \gamma}{\alpha}. \quad (13)$$ In Fig. 1 we show the existence region of this solution in the plane of $(A, \lambda)$ (the amplitude and inverse width of the DW), as the three-body coefficient, $\alpha$, varies in the interval of [0.01, 1]. Typical profiles of the corresponding stationary domain walls for different values of the three-body interaction parameter $\alpha$ and the background amplitude fixed to be $A = 1$, i.e., $$\gamma_{12} = \gamma + (4/3)\alpha, \quad (14)$$ as it follows from Eqs. (4) and (5), are depicted in Fig. 2. In this case, as seen from Eq. (13), the inverse width of the DW is determined solely by the quintic parameter, $\lambda = \sqrt{8\alpha/3}$. As said above, for the exact DW solutions the immiscibility condition (10) always holds, hence the stability of these solution is expected. This has been checked by simulations of Eq. (12), with small noise added to the initial DW profile (not shown here in detail). We have found Another relevant physical situation, in which strongly asymmetric DW solutions naturally appear, is the one with the two-body and three-body intra-species interactions acting only in the first and second components, respectively, the coupling being accounted for by two-body interactions. This corresponds to $\gamma_2 = 0, \alpha_1 = 0$ in Eq. (12), which can be experimentally implemented by enhancing the three-body interaction in one component via Efimov states\textsuperscript{33}, simultaneously tuning the two-body scattering length in the same component to zero by means of the Feshbach resonances. For this case, typical asymmetric DWs are displayed in the right panel of Fig. 4. One can check, using parameter values given in the caption to the figure, that the respective immiscibility condition [setting $\chi = 0, \alpha_1 = 0, \gamma_2 = 0$ in Eqs. (10)] for these solutions, $$\gamma_1 A_1^4 + \alpha_2 A_2^6 - 2\gamma_{12} A_1^2 A_2^2 \leq 0, \quad (15)$$ is satisfied; hence, despite the large mismatch between the backgrounds, one can expect this asymmetric DW to be stable. This was confirmed by direct simulations of Eq. (12) (not shown here). The respective relation between asymptotic amplitudes $A_j$ and chemical potentials [setting $\chi = 0$, $\alpha_1 = 0$, $\gamma_2 = 0$ in Eq. (11)], $$\mu_1 A_1^2 - \frac{\gamma_1}{2} a_1^4 = \mu_2 A_2^2 - \frac{\alpha_2}{3} a_1^6,$$ was also confirmed numerically. Note that, while Eq. (16) does not contain $\gamma_{12}$, the immiscibility condition (15) explicitly depends on it. From the experimental point of view, this suggests to control the immiscibility condition by keeping parameters $\gamma_j, \alpha_j, j = 1, 2$, fixed and changing the inter-species two-body scattering length by means of the Feshbach resonance. The variation of $\gamma_{12}$ mainly affects the shape of the DW interface, while the asymptotic values $A_j$ remain unaltered. It is easy to find, from Eq. (15), the critical value at which the mixture becomes miscible in this case: $$\tilde{\gamma}_{12} = \frac{\gamma_1 A_1^4 + \alpha_2 A_2^6}{2 A_1^2 A_2^2}.$$ This prediction will be numerically checked in the next subsection (see Fig. 7 below for DWs in finite-length rings). ![Fig. 5](image) FIG. 5: (Color online) The DW-anti-DW state in Eq.(18) of the repulsive binary BEC with $\alpha = 0.1, A = 1, \lambda = 2\sqrt{2a/3}$ and separation $x_0 = 30$ (blue lines) or $x_0 = 8$ (red lines). Thin and thick lines refer to the first and second components, respectively. Filled blue and red regions depict, severally, the bubble and droplet parts of the patterns with $x_0 = 30$ and $x_0 = 8$ (they are shown for different values of $x_0$ to avoid confusing overlap between them). ### B. BEC mixtures on a ring: BD states The DW solutions considered above refer to infinite domains. DWs in finite-length ring regions, subject to periodic boundary conditions (b.c.), are relevant for the realization of the BEC in toroidal traps\textsuperscript{34}, including binary condensates\textsuperscript{35}. Such patterns can be constructed by combining a DW and the respective anti-DW on the ring, to satisfy the b.c. More precisely, we consider trial solutions of the type $$\psi_1(x, t) = \begin{cases} \frac{A e^{-i\mu t}}{\sqrt{1+e^{\lambda(x+x_0)}}} & \text{at } x \leq 0 \\ \frac{A e^{-i\mu t}}{\sqrt{1+e^{-\lambda(x-x_0)}}} & \text{at } x > 0 \end{cases},$$ $$\psi_2(x, t) = \begin{cases} \frac{A e^{-i\mu t}}{\sqrt{1+e^{-\lambda(x+x_0)}}} & \text{at } x \leq 0 \\ \frac{A e^{-i\mu t}}{\sqrt{1+e^{\lambda(x-x_0)}}} & \text{at } x > 0 \end{cases},$$ where $4x_0$ is the perimeter of the underlying ring, and $2x_0$ is separation between the DW and anti-DW placed at diametrically opposite positions. ![Fig. 6](image) FIG. 6: A moving bubble-droplet solution obtained by the phase imprinting, with initial velocity $v = 1.2$ velocity, onto the stationary profiles shown in Fig. 5 for $x_0 = 8$. Typical profiles of such numerically found DW-anti-DWs patterns are displayed in Fig. 5 for two different values of $x_0$. One can expect that ansatz (18) is a virtually exact solution when DW and anti-DW are well separated, e.g. $x_0 \gg \lambda^{-1}$. This is indeed what one observes from the numerical solutions. More remarkable is the fact that the ansatz provides an almost exact solution even when the DW and anti-DW are relatively close to each other, as one can see in Fig. 5. In this case, the complex composed of the DW and anti-DW profiles may be considered as a \textit{bubble} (sort of a dark soliton\textsuperscript{36}) in field $\psi_2$ coupled to a localized bright profile (\textit{droplet}) of field $\psi_1$, which we refer to as BDs. The stability of these complexes was verified by direct simulations of their perturbed simulations in the framework of Eq. (12) (not shown here in detail). The possibility to set a DW in motion by phase-imprinting a velocity onto it is relevant to the BD states too. This is shown in Fig. 6, where simulations of Eq. (12) for moving DBs are reported. This figure makes it clear that the BD structures are very robust ones not only in the stationary form, but also when they are set in motion, thanks to the repulsive character of all the interactions. BD solutions can be constructed as well by combining an asymmetric DW with the corresponding anti-DW on the ring (not shown here, as their shape is quite obvious). The asymmetric complexes are stable too. It is also interesting to check, in terms of the BD solutions, the miscibility condition discussed above. For the parameter values given in the caption of Fig. 4 (the left panel), the miscibility threshold is predicted by Eq. (17) to occur at $\gamma_{12} \approx 0.344$. In Fig. 7 we display the evolution of the density profiles produced by the simulations of Eq. (12) for $\gamma_{12}$ taken just above and below the threshold, i.e., in the regions of weak immiscibility and miscibility respectively, taking, as initial conditions, a BD profile constructed from the asymmetric DW corresponding to the continuous curves in the left panel of Fig. 4. It is seen that, for $\gamma_{12} = 0.4$, the BD solution (and its DW and anti-DW constituents) quickly adapt, by emitting small-amplitude matter-waves, to the new value of the inter-species interaction, keeping the immiscibility, while for $\gamma_{12} = 0.3$ the mixing of the two components sets in, generating strong density waves in the two components. IV. DOMAIN WALLS AND BUBBLE-DROP COMPLEXES IN BINARY TONKS-GIRARDEAU GASES As said in the Introduction, the NLSE with the quintic nonlinearity emerges in connection to the ground-state properties of TG gases, both for the single-component ones\cite{14-18} and binary mixtures\cite{24,25}. In this Section we investigate the existence of DW states at the interface of two interacting TG gases by means of the NLSE system (1) with only quintic terms included. The respective equations for stationary states follow from Eqs. (1), substituting $\psi_{1,2}(x,t) = \exp(-i\mu_{1,2}t)\phi_{1,2}(x)$: $$-\frac{\hbar^2}{2m_j}\frac{d^2}{dx^2} + \alpha_j\|\phi_j\|^4 + \chi(\|\phi_{3-j}\|^4 + 2\|\phi_j\|^2\|\phi_{3-j}\|^2)\right]\phi_j = \mu_j\phi_j,$$ with $m_{1,2}$ being the atomic masses of the two bosonic species. For equal masses $m_1 = m_2 = m$ and fully symmetric interactions, $\alpha_1 = \alpha_2 = \chi$, this model for the TG mixture can be justified in terms of the density-functional theory, as discussed in Ref.\cite{25}. In this respect, we recall that the 1D quantum model of two boson species interacting via the hard-core repulsion is exactly solvable by means of the Bethe-ansatz method\cite{37}. From that solution, one obtains the ground-state energy density (in physical units), $$\varepsilon(\rho_T) = \frac{\pi^2\hbar^2}{6m}\rho_T^2,$$ with $\rho_T = \sum_{j=1,2}\|\phi_j\|^2$ being the total density of the mixture. In terms of the density-functional theory with the local-density approximation, this amounts to the consideration of the following energy functional: $$E[\rho_T] = \int_{-\infty}^{+\infty} dx \left\{ \sum_{j=1}^{2} \phi_j^* \left[ -\frac{\hbar^2}{2m} \frac{d^2}{dx^2} \right] \phi_j + \rho_T\varepsilon(\rho_T) \right\},$$ where chemical potentials $\mu_j$ are introduced as Lagrangian multipliers to guarantee the conservation of the numbers of atoms in the two species. In the case of equal masses and fully symmetric interactions, $$\alpha_1 = \alpha_2 = \chi = \frac{\pi^2}{(2m)},$$ Eq. (19), i.e., in this case, $$\tilde{\mu}_j\phi_j = -\frac{d^2\phi_j}{dx^2} + \pi^2(\|\phi_j\|^4 + \|\phi_{3-j}\|^4 + 2\|\phi_j\|^2\|\phi_{3-j}\|^2)\phi_j, \quad j = 1,2,$$ coincide with the equations which provide for the minimization of energy functional (20). In the following we investigate DW and BD solutions of Eqs. (1), both for the fully symmetric interaction strengths and relatively small deviations from this special case. A. The variational approach DWs of Eq. (19) with $m_1 = m_2 \equiv m, \alpha_1 = \alpha_2 \equiv \alpha, \chi_1 = \chi_2 \equiv \chi$, but $\alpha \neq \chi$, can be studied by means of a variational approximation (VA) based on the correcorresponding Lagrangian, \[ L = \frac{1}{2} \int_{-\infty}^{+\infty} \left\{ \left[ \frac{1}{2} \left( \frac{d\phi_1}{dx} \right)^2 + \left( \frac{d\phi_2}{dx} \right)^2 \right] - \mu \left( \phi_1^2 + \phi_2^2 \right) + \frac{\alpha}{3} \left( \phi_1^6 + \phi_2^6 \right) + \chi \left( \phi_1^4 \phi_2^2 + \phi_1^2 \phi_2^4 \right) + \frac{2}{3} \mu^{3/2} \right\} dx, \] (23) where constant $(2/3) \mu^{3/2}$ is the counter-term, which is added to cancel the divergence of the integral at $\|x\| \to \infty$. The DW solution may be approximated by an ansatz similar to the one adopted for the BEC mixture in Eq. (4), i.e., \[ \phi_1(x) = \sqrt{\frac{\sqrt{\mu}}{1 + e^{\lambda x}}}, \quad \phi_2(x) = \sqrt{\frac{\sqrt{\mu}}{1 + e^{-\lambda x}}}, \] (24) with $\lambda$ considered as a free variational parameter. The substitution of Eq. (24) into Lagrangian (23) yields the corresponding effective Lagrangian, \[ L_{\text{eff}} = \frac{\sqrt{\mu}}{2} \left[ \frac{\lambda}{8} + (\chi - \alpha) \frac{\mu}{\lambda} \right]. \] (25) Finally, the variational equation, $\partial L_{\text{eff}}/\partial \lambda = 0$, produces the main result of the VA, \[ \lambda^2 = 8\mu (\chi - \alpha). \] (26) This analysis suggests that, in the TG mixtures with equal masses and fully symmetric interactions ($\chi = \alpha$), DW states cannot exist, i.e., they should degenerate into a mixed uniform background, as one can see from Eq. (26). This prediction correlates with the fact that the immiscibility threshold in Eq. (10), in the absence of cubic interactions and for equal asymptotic densities, reduces to $\alpha = \chi$, hence the TG mixture with the fully symmetric interactions sits precisely at the miscibility threshold. The numerical analysis of the model based on Eq. (22) with the full interaction symmetry show that DW and BD patterns indeed decay into uniformly mixed backgrounds. An example of this is shown in Fig. 8, where a stationary numerical BD solution and its perturbed evolution are depicted, respectively, in the top and bottom panels. As seen, such a stationary state exists at the miscibility threshold, but it turns out to be unstable. In this connection, it is relevant to mention that, although for the TG mixture the time evolution governed by the quintic NLSE may have no direct physical meaning, it can be used as a mathematical tool to verify if a stationary DW or BD state is well defined, and also to check if the mixture indeed sits at the miscibility threshold. This can be done, as usual, by adding a small random perturbation to the initial stationary profiles and letting the state evolve according to the time-dependent quintic NLSEs associated with stationary equations (22). The bottom panel of Fig. 8 shows that, although the BD remains stationary for a relatively long time ($t \approx 400$), still later the profiles slowly decay into the uniform mixed background state. This behavior is consistent with the fact that the TG-TG mixture finds itself precisely at the miscibility threshold, as predicted by the above analysis. However, the simulations demonstrate that, as soon as one deviates from the fully-symmetric-interaction limit defined by Eq. (21), the DW and BD states become well-defined ground states, depending on the b.c. This point is further investigated in the next section. B. The asymmetric setting The results of the previous section can be extended for the binary TG gas with asymmetric inter-species and intra-species interaction strengths and/or unequal masses, provided that the deviation from the fully symmetric setting is not too large. As the corresponding quantum problem is not exactly solvable in the absence of the full symmetry, such a model is substantiated less rigorously than the full-symmetry limit. In the following, we assume an asymmetric system with different coefficients of the quintic self-interaction in Eq. (1), $\alpha_1 \neq \alpha_2$. The accordingly modified system obviously keeps Lagrangian (23), making it possible to perform a similar VA as in the previous section. Due to the asymmetry, however, the DW solution should be looked for with unequal chemical potentials, $\mu_1 \neq \mu_2$. Then, the DW solution is defined by the following b.c.: \[ \phi_1^2(x = -\infty) = \sqrt{\mu_1/\alpha_1}, \quad \phi_2^2(x = -\infty) = 0, \] \[ \phi_1^2(x = +\infty) = 0, \quad \phi_2^2(x = +\infty) = \sqrt{\mu_2/\alpha_2}. \] (27) It is worth to mention here that direct substitution demonstrates that the simplest ansatz based on Eq. (4) does not produce any exact DW solution of Eq. (1). Nevertheless, it is possible to find an exact relation between $\mu_1$ and $\mu_2$ which is necessary for the existence of the DW solution. Indeed, Eqs. (1) may be formally considered as equations of motion for a mechanical system with two degrees of freedom, $\phi_1(x)$ and $\phi_2(x)$, where $x$ play the role of formal time. The Hamiltonian of this mechanical system is \[ H_{\text{mech}} = \sum_{n=1,2} \left[ \frac{1}{4m_n} \left( \frac{d\phi_n}{dx} \right)^2 + \frac{1}{2}\mu_n\phi_n^2 - \frac{\alpha_n}{6}\phi_n^6 - \frac{\chi}{2}\phi_n^2\phi_{3-n}^4 \right]. \] (28) Because $H_{\text{mech}}$ must take identical values at $x = \pm \infty$, b.c. (27) demonstrate that $\mu_1$ and $\mu_2$ are related by \[ \alpha_2\mu_1^3 = \alpha_1\mu_2^3. \] (29) By means of obvious rescalings, we can eventually set \[ \alpha_2 = m_2 = \mu_2 \equiv 1, \] (30) and Eq. (29) then yields, for the DW solution, the single admissible value of the chemical potential of species $\phi_1$: \[ \mu_1 = \alpha_1^{1/3}. \] (31) Thus there remain three free parameters: coefficient $\chi$ of the inter-species quintic interaction, along with $m_1$ and $\alpha_1$. We have checked by means of numerical methods that DW solutions exist for a wide range of values of parameters $\chi, \alpha_{1,2}$ away from the fully-symmetric-interaction limit considered in the previous section. Two typical examples of such numerically found DWs are depicted in Fig. 9 for $\chi \neq \alpha_1 = \alpha_2 \equiv \alpha$ (the left panel) and $\chi = \alpha_1 \neq \alpha_2$ (the right panel). Note that in the former (resp. latter) case the DW components have equal (resp. unequal) backgrounds, as a consequence of the equality (resp. inequality) of the intra-species interaction strengths. In the same figure are also depicted, by dashed lines, the predictions of the VA for the two cases, which demonstrate reasonable agreement with the numerical findings. In addition to the DW, a physically relevant state may be the BD complex similar to those studied above for the BEC mixture. In the general case, the BD is a spatially even solution, with $\phi_{1,2}(-x) = \phi_{1,2}(x)$, which obeys the following b.c.: \[ \phi_1^2(x = +\infty) = 0, \quad \phi_2^2(x = +\infty) = \sqrt{\mu_2/\alpha_2}, \] (32) \[ \phi_1'(x = 0) = \phi_2'(x = 0) = 0. \] (33) The extreme case of the BD complex is the one with \[ \phi_2(x = 0) = 0, \] (34) when field $\phi_1$ completely ousts $\phi_2$ at the central point, $x = 0$. The conservation of $H_{\text{mech}}$ along $x$ [see Eq. (28)] has its bearing for the BD solution too. Indeed, condition $H_{\text{mech}}(x = +\infty) = H_{\text{mech}}(x = 0)$ yields the following relation for the densities of the two species at the central point, $x = 0$ [see Eq. (33)]: \[ \sum_{n=1,2} \left[ \mu_n\phi_n^2(x = 0) - \frac{\alpha_n}{3}\phi_n^6(x = 0) \right] - \chi\phi_1^2(x = 0)\phi_2^2(x = 0) \left[ \phi_1^2(x = 0) + \phi_2^2(x = 0) \right] = \frac{2\mu_2^{3/2}}{3\sqrt{\alpha_2}}. \] (35) This cumbersome relation simplifies for the extreme type of the BD defined above by condition (34): \[ \mu_1\phi_1^2(x = 0) - \frac{\alpha_1}{3}\phi_1^6(x = 0) = \frac{2\mu_2^{3/2}}{3\sqrt{\alpha_2}}. \] (36) The same normalization (30) as used above for the DW may be adopted for the BD solutions. Then, the general family of such solutions depends on four independent parameters: $\chi$, $m_1$, $\alpha_1$, and $\mu_1$ [the latter constant is no longer determined by an additional condition, such as Eq. (31)]. V. DISCUSSION AND CONCLUSIONS In this work, we have introduced the concept of DWs (domain walls) in the two-component TG (Tonks-Girardeau) gas, as well as in the binary BEC described by coupled GPEs (Gross-Pitaevskii equations) with CQ (cubic-quintic) nonlinearities. Thus, we have extended the concept of DW previously elaborated for immiscible binary BEC, described by the system of two coupled GPEs with cubic terms. In several cases, exact or approximate analytical solutions have been found. In particular, for the binary BEC with the CQ nonlinearity, exact solutions for DWs were obtained in the symmetric system, with equal intra-species scattering lengths. For the existence of these solutions, the presence of the quintic interactions is necessary. Numerical analysis was used to prove the existence and stability of asymmetric DWs in the BEC mixtures with asymmetric CQ interactions in the two components. In addition to the DWs, we have also investigated DB (droplet-bubble) complexes in the same settings, which consist of a dark (gray) soliton in one component (the “bubble”), and a bright soliton (the “droplet”) in the other. In the BEC system, the DWs and DB states are mobile, keeping their shape in the state of motion. We have also introduced symmetric and asymmetric DWs in the binary TG gas, for which the system of two coupled NLSEs (nonlinear Schrödinger equations) with quintic-only repulsive terms was adopted. In particular, we have showed that a TG mixture with equal atomic masses and fully symmetric interactions [as per Eq. (21)] sits precisely at the immiscibility threshold, therefore DWs and BDs exist only as metastable states in this case. The VA (variational approximation) and numerical analysis, however, demonstrate the existence of stable DWs ground states at a small deviation from the full symmetry. Stability of DWs and BD complexes in BEC mixtures with symmetric and asymmetric CQ interactions in the two components has also been demonstrated. In this respect, we have derived a general condition for the immiscibility, which is valid for both the BEC and TG settings. The stability of the DW and BD states is secured if the immiscibility condition is satisfied. It is relevant to discuss possible implementations of the above results in experimental settings. DWs and anti-DWs can be observed (either being separated, or merged into BD complexes) in toroidal quasi-one-dimensional traps for gases with scattering lengths tuned so as to satisfy the immiscibility condition. Note that toroidal traps are routinely created in laboratories with the aid of magnetic fields\textsuperscript{38}, and, as said above, the scattering length can be easily changed via the Feshbach-resonance technique. To create BD complexes in the ring, one can load the gases into two different semicircles of the trap, initially kept separated by laser sheets, which are slowly removed after the loading. Acknowledgements MS acknowledges partial support from the Ministero dell’Istruzione, dell’Università e della Ricerca (MIUR) through a Programma di Ricerca Scientifica di Rilevante Interesse Nazionale (PRIN) 2010-2011 initiative. GF acknowledges partial financial support from PON Ricerca e Competitività 2007-2013 under grant agreement PON NAFASSY, PONa3_00007. --- \textsuperscript{1} V. G. Bar’yakhtar, M. V. Chetkin, B. A. Ivanov, and S. N. Gadetskii, \textit{Dynamics of Topological Magnetic Solitons} (Springer-Verlag: Berlin, 1994). \textsuperscript{2} D. Damjanović, Rep. Progr. Phys. \textbf{61}, 1267 (1998). \textsuperscript{3} P. G. de Gennes and J. Prost, \textit{The Physics of Liquid Crystals} (Oxford University Press, New York, 1995). \textsuperscript{4} M. Haelterman and A. P. Sheppard, Phys. Lett. A \textbf{185}, 265 (1994). \textsuperscript{5} B. A. Malomed, Phys. Rev. E \textbf{50}, 1565 (1994). \textsuperscript{6} M. Trippenbach, K. Goral, K. Rzazewski, B. Malomed, and Y. B. Band, J. Phys. B: At. Mol. Opt. \textbf{33}, 4017 (2000); P. Ohberg and L. Santos, Phys. Rev. Lett. \textbf{86}, 2918 (2001); S. Coen and M. Haelterman, \textit{ibid.} \textbf{87}, 140401 (2001); J. J. Garcia-Ripoll, V. M. Pérez-García and F. Sols, Phys. Rev. A \textbf{66}, 021602 (2002); P. G. Kevrekidis, H. E. Nistazakis, D. J. Frantzeskakis, B. A. Malomed, and R. Carretero-González, Eur. Phys. J. D \textbf{28}, 181 (2004); B. A. Malomed, H. E. Nistazakis, D. J. Frantzeskakis, and P. G. Kevrekidis, Phys. Rev. A \textbf{70}, 043616 (2004); J. Ruostekoski, \textit{ibid.} \textbf{70}, 041601(R) (2004); K. Kasamatsu and M. Tsubota, Phys. Rev. Lett. \textbf{93}, 100402 (2004); K. Kasamatsu, M. Tsubota, and M. Ueda, \textit{ibid.} \textbf{93}, 250406 (2004); P. G. Kevrekidis, H. Susanto, R. Carretero-González, B. A. Malomed, and D. J. Frantzeskakis, Phys. Rev. E \textbf{72}, 066604 (2005); Y.-C. Kuo, W.-W. Lin, and S.-F. Shieh, Physica D \textbf{211}, 211 (2005). \textsuperscript{7} D. T. Son and M. A. Stephanov, Phys. Rev. A \textbf{65}, 063621 (2002); B. Deconinck, P. G. Kevrekidis, H. E. Nistazakis, and D. J. Frantzeskakis, \textit{ibid.} A \textbf{70}, 063605 (2004); M. I. Merhasin, B. A. Malomed, and R. Driben, J. Phys. B: At. Mol. Opt. \textbf{38}, 877 (2005); A. Niederberger, B. A. Malomed, and M. Lewenstein, Phys. Rev. A \textbf{82}, 043622 (2010); N. Dror, B. A. Malomed, and J. Zeng, Phys. Rev. E \textbf{84}, 046602 (2011). \textsuperscript{8} G. Gilgorić, A. Mahukov, M. Stepić, L. Hadžievski, and B. A. Malomed, Phys. Rev. A \textbf{82}, 033624 (2010). \textsuperscript{9} W. Zhang, D. L. Zhou, M.-S. Chang, M. S. Chapman, and L. You, Phys. Rev. Lett. \textbf{95}, 180403 (2005); M. Uchiyama, J. Ieda, and M. Wadati, J. Phys. Soc. Jpn. \textbf{75}, 064002 (2006); H. Saito, Y. Kawaguchi, and M. Ueda, Phys. Rev. A \textbf{75}, 013621 (2007); H. E. Nistazakis, D. J. Frantzeskakis, P. G. Kevrekidis, B. A. Malomed, R. Carretero-González, and A. R. Bishop, \textit{ibid.} A \textbf{76}, 063603 (2007); Z.-D. Li, Q.-Y. Li, P.-B. He, J.-Q. Liang, W. M. Liu, and G. Fu, Phys. Rev. A \textbf{81}, 015602 (2010). \textsuperscript{10} A. Mering and M. Fleischhauer, Phys. Rev. A \textbf{81}, 011603(R) (2010). \textsuperscript{11} L. Tonks, Phys. Rev. \textbf{50}, 955 (1936); M. Girardeau, J. Math. Phys. 1, 516 (1960); E. H. Lieb and W. Liniger, Phys. Rev. 130, 1605 (1963); E. H. Lieb, Phys. Rev. 130, 1616 (1963). 12 B. Paredes, A. Widera, V. Murg, O. Mandel, S. Folling, I. Cirac, G. V. Shlyapnikov, T. W. Hansch, and I. Bloch, Nature 429, 277 (2004); T. Kinoshita, T. Wenger, and D. S. Weiss, Science 305, 1125 (2004). 13 V. I. Yukalov and M. D. Girardeau, Laser Phys. Lett. 2, 375 (2005). 14 E. B. Kolomeisky, T. J. Newman, J. P. Straley, and X. Qi, Phys. Rev. Lett. 85, 1146 (2000). 15 B. Damski, J. Phys. B: At. Mol. Opt. Phys. 37, L85 (2004). 16 F. Kh. Abdullaev and J. Garnier, Phys. Rev. A 70, 053604 (2004). 17 F. Kh. Abdullaev and M. Salerno, Phys. Rev. A 72, 033617 (2005). 18 G. L. Alfimov, V. V. Konotop, and P. Pacciani, Phys. Rev. A 75, 023624 (2007). 19 A. Minguzzi, P. Vignolo, M. L. Chiofalo, and M. P. Tosi, Phys. Rev. A 64, 033605 (2001). 20 D. J. Frantzeskakis, N. P. Proukakis, and P. G. Kevrekidis, Phys. Rev. A 70, 015601 (2004); R. K. Bhaduri, S. Ghosh, M. V. N. Murthy, and D. Sen, J. Phys. A: Math. Gen. 34, 6553 (2011). 21 B. B. Baizakov, F. Kh. Abdullaev, B. A. Malomed, and M. Salerno, J. Phys. B: At. Mol. Opt. Phys. 42, 175302 (2009). 22 M. D. Girardeau and A. Minguzzi, Phys. Rev. Lett. 99, 230402 (2007). 23 M. D. Girardeau and E. M. Wright, Phys. Rev. Lett. 84, 5239 (2000). 24 B. Tanatar and K. Erkan, Phys. Rev. A 62, 053601 (2000). 25 Y. Hao and S. Chen, Phys. Rev. A 80, 043608 (2009). 26 L. E. Sadler, J. M. Higbie, S. R. Leslie, M. Vengalattor, and D. M. Stamper-Kurn, Nature 443, 312 (2006); N. Gemelke, X. Zhang, C.-L. Hung, and C. Chin, ibid. 460, 995 (2009). 27 V. V. Konotop, M. Salerno, S. Takeno, Phys. Rev. B 58, 14892 (1998). 28 V. Popkov, M. Salerno, Phys. Rev. B 62, 352 (2000) 29 M. Salerno, B.A. Malomed, and V. V. Konotop, Phys. Rev. E 62, 8651 (2000) 30 B. A. Malomed, A. A. Nepomnyashchy, and M. I. Tribelsky, Phys. Rev. A 42, 7244 (1990). 31 Yu. Kagan, A. E. Muryshev, and G. V. Shlyapnikov, Phys. Rev. Lett. 81, 933 (1998); C. Josserand, Phys. Rev. E 60, 482 (1999); F. Kh. Abdullaev, A. Gammal, L. Tomio, and T. Frederico, Phys. Rev. A 63, 043604 (2001). 32 Z. Birnbaum and B. A. Malomed, Physica D 237, 3252 (2008). 33 V. Efimov, Phys. Lett. B 33 563 (1970). 34 S. Gupta, K. W. Murch, K. L. Moore, T. P. Purdy, and D. M. Stamper-Kurn, Phys. Rev. Lett. 95, 143201 (2005); A. Parola, L. Salasnich, R. Rota, and L. Reatto, Phys. Rev. A 72, 063612 (2005); R. Kanamoto, H. Saito, and M. Ueda, ibid. 73, 033611 (2006); A. S. Arnold, C. S. Garvie, and E. Riis, ibid. 73, 041606(R) (2006); M. Modugno, C. Tozzo, and F. Dalfovo, ibid. 74, 061601(R) (2006); C. Ryu, M. F. Andersen, P. Cladé, V. Natarajan, K. Helmerson, and W. D. Phillips, Phys. Rev. Lett. 99, 260401 (2007); A. V. Carpentier and H. Michinel, EPL 78, 10002 (2007); R. Kanamoto, L. D. Carr, and M. Ueda, Phys. Rev. A 79, 063616 (2009); B. E. Sherlock, M. Gildemeister, E. Owen, E. Nugent, and C. J. Foot, ibid. 83, 043408 (2011); A. Ramanathan, K. C. Wright, S. R. Muniz, M. Zelan, W. T. Hill, C. J. Lobb, K. Helmerson, W. D. Phillips, and G. K. Campbell, Phys. Rev. Lett. 106, 130401 (2011); M. Vangeleyn, B. M. Garraway, H. Perrin, and A. S. Arnold, J. Phys. B: At. Mol. Opt. Phys. 47, 071001 (2014). 35 J. Smyrnakis, S. Bargi, G. M. Kavoulakis, M. Magiropoulos, K. Kärkkäinen, and S. M. Reimann, Phys. Rev. Lett. 103, 100404 (2009); J. Smyrnakis, M. Magiropoulos, G. M. Kavoulakis, and A. D. Jackson, Phys. Rev. A 81, 063601 (2010); M. Abad, A. Sartori, S. Finazzi, and A. Recati, Phys. Rev. A 89, 053602 (2014). 36 I. V. Barashenkov and V. G. Makhankov, Phys. Lett. A 128, 52 (1988); I. V. Barashenkov and E. Y. Panova, Physica D 69, 114 (1993); I. V. Barashenkov, Phys. Rev. Lett. 77, 1193 (1996). 37 Y. Q. Li, S. J. Gu, Z. J. Ying, and U. Eckern, EPL 61, 368 (2003); J. N. Fuchs, D. M. Gangardt, T. Keilmann, and G. V. Shlyapnikov, Phys. Rev. Lett. 95, 150402 (2005). 38 S. Gupta, K. W. Murch, K. L. Moore, T. P. Purdy, and D. M. Stamper-Kurn, Phys. Rev. Lett. 95, 143201 (2005); A. S. Arnold, C. S. Garvie, and E. Riis, Phys. Rev. A 73, 041606(R) (2006).
Te Koop NIEUWVEEN \| Dorpsstraat 92 DRIEMAN GARANTIEMAKELAARS 0172 - 571522 \| firstname.lastname@example.org www.drieman.nl Kenmerken & specificaties \| Kenmerk \| Specificatie \| \|--------------------------\|------------------\| \| Woonoppervlakte \| 131 m² \| \| Perceeloppervlakte \| 303 m² \| \| Inhoud \| 395 m³ \| \| Bouwjaar \| 1953 \| \| Aantal kamers \| 4 \| \| Aantal slaapkamers \| 3 \| \| Ligging object \| aan water, in centrum, vrij uitzicht \| Vrijstaande woning op een prachtige locatie met vrij zicht over het polderlandschap - Aan de achterzijde een prachtig weids uitzicht! - Nog geheel naar eigen wensen in te richten en af te werken - Riant perceel van 303 m² - Woonoppervlakte van ca. 131 m² - Nieuwveen ligt centraal in het Groene Hart; de groten steden zijn met ca. 30 tot 35 minuten te bereiken Zoekt u een woning die u nog helemaal naar eigen wens kunt afwerken? Op een prachtige locatie? Zoek niet langer! De ligging van deze woning is uniek! De tuin is gelegen op het zuidoosten en ligt aan een brede ringsloot met een prachtig vrij uitzicht over het polderlandschap. Het perceel is 295 m² groot + 8 m² perceel wat in gebruik is van Rijnland. Het historische dorp Nieuwveen ligt direct naast een mooie (27 holes) golfbaan midden in het Groene Hart. Natuurlijk biedt het gezellige centrum u alle benodigde voorzieningen, zoals een grote supermarkt, slagerij, bakker en diverse zorgvoorzieningen. Daarnaast is het heerlijk toeven op de verschillende terrasjes. Ook voor natuurliefhebbers biedt Nieuwveen vele mogelijkheden, zo is er een landgoed met kinderboerderij, kunt u heerlijk fietsen door de weidse polders, varen, kanoën of zwemmen op/in de plassen. Nieuwveen ligt centraal in het Groene Hart; binnen 25 minuten bij het Olympisch stadion in Amsterdam en binnen 20 minuten op Schiphol. Rotterdam, Utrecht en Den Haag zijn met ca. 35 minuten te bereiken. Begane grond Hal met de trapopgang naar de eerste verdieping, de meterkast en toegang tot de woonkamer. De woonkamer is ruim van afmeting en heeft veel ramen dat zorgt voor veel daglicht. Vanuit de woonkamer is de dichte keuken te bereiken. U treft hier een eenvoudig keuken blok. Via de keuken komt u in een tussenhal met toegang tot de tuin en de badkamer. De badkamer is voorzien van een ligbad, toilet en wastafel. De woning is gelegen op een perceel van 295 m². Rondom de woning treft u dus nog een royale tuin met vele mogelijkheden. Eerste verdieping Ruime overloop met toegang tot 3 slaapkamers, de vlizotrap naar zolder en toiletruimte met toilet en wastafel. De slaapkamers zijn ruim van afmeting, namelijk respectievelijk ca. 13, 13 en 16 m². Alle slaapkamers zijn voorzien van vaste kasten. Tweede verdieping Via een vlizotrap is de tweede verdieping te bereiken. Maak snel een afspraak voor een geheel vrijblijvende bezichtiging. Disclaimer Voor onze koopakte gelden de standaard NVM-regels. In alle overeenkomsten bedraagt de waarborgsom/bankgarantie minimaal 10% van de koopsom. Deze projectinformatie mag niet worden beschouwd als een aanbieding of offerte en wordt verstrekt onder voorbehoud van goedkeuring door de verkoper. Wij kunnen geen aansprakelijkheid aanvaarden voor de door ons samengestelde gegevens. Deze informatie, eventuele gesprekken, onderhandelingen etc. zijn allen vrijblijvend. Er is pas overeenstemming bereikt op het moment dat de door Drieman Garantiemakelaars Nieuwkoop opgestelde koopovereenkomst door beide partijen is beoordeeld en ondertekend. Tot dat moment hebben beide partijen het recht om af te zien van een transactie, zonder kostenvergoeding etc. Alle genoemde maten zijn indicatief, er kunnen geen rechten aan worden ontleend. The top image shows a small waterway with vegetation and a few trees, likely part of a rural landscape. The bottom image displays a broader view of agricultural fields, including a mix of green and brown crops, with a house and some trees in the foreground. Both images suggest a peaceful, rural setting. The top image shows a section of the river with a grassy bank and some houses in the background. The bottom image is a wider view of the same area, showing more of the surrounding landscape including fields and additional houses. The room has a wooden floor and a fireplace with a built-in bookshelf. There is a door leading to another room, which appears to be a bathroom or a utility room. The walls are painted white, and there is a window with curtains. The ceiling has exposed beams, giving the room a rustic feel. The room has a wooden floor and a fireplace on the right side. There is a door leading to another room, and a window with a curtain on the left side. The ceiling has exposed beams. The kitchen is equipped with a sink, a stove, and a refrigerator. The walls are covered in green tiles, and there is a window with yellow curtains. The floor is made of red tiles. The hallway has a door leading to the bathroom. The walls are painted white, and there is a window with a curtain. The floor is covered in red carpet. The bathroom has a toilet and a sink. The walls are covered in yellow tiles, and there is a towel hanging on a hook. The floor is made of brown tiles. The top image shows an empty room with wooden floors, exposed beams on the ceiling, and a door leading to another room. The bottom image is a bathroom with green tiles on the walls, a white toilet, a sink, and a radiator. There are also yellow curtains with floral patterns hanging above the sink area. The bathroom is tiled in green and white, with a clawfoot bathtub and a shower curtain. The hallway has a red carpet, a radiator, and a door leading to another room. The room is empty and has a carpeted floor, a window with curtains, and two doors. The walls are painted yellow and there are some electrical outlets visible. The bathroom is located on the ground floor and has a toilet, sink, and shower. The shower area is covered with yellow tiles. There is also a wooden shelf above the sink. The hallway leads to the bedrooms and has a staircase leading to the upper floor. The walls are painted white, and there is a window with a red curtain. A small table with a vase is placed in front of the window. \| Woning - Keuken \| Blijft achter \| Gaat mee \| Ter overname \| \|-----------------\|--------------\|----------\|-------------\| \| Keuken (inbouw)apparatuur, te weten \| \| \| \| \| - afzuigkap \| X \| \| \| \| Woning - Sanitair/sauna \| Blijft achter \| Gaat mee \| Ter overname \| \|-------------------------\|--------------\|----------\|-------------\| \| Toilet met de volgende toebehoren \| \| \| \| \| - toilet \| X \| \| \| \| Badkamer met de volgende toebehoren \| Blijft achter \| Gaat mee \| Ter overname \| \|------------------------------------\|--------------\|----------\|-------------\| \| - douche (cabine/scherm) \| X \| \| \| \| - toilet \| X \| \| \| \| Woning - Exterieur/installaties/veiligheid/energiebesparing \| Blijft achter \| Gaat mee \| Ter overname \| \|------------------------------------------------------------\|--------------\|----------\|-------------\| \| Warmwatervoorziening, te weten \| \| \| \| \| - CV-installatie \| X \| \| \| \| - geiser \| X \| \| \| Plattegronden 4.46 m 1.99 m 2.91 m 1.75 m 1.06 m 4.51 m 2.91 m 5.52 m 9.58 m 4.06 m MK VK VK VK Woonkamer Keuken Badkamer Hal Hal Plattegronden Locatie op de kaart 1. Wanneer ben ik in onderhandeling? U bent officieel in onderhandeling als de verkoper reageert op uw bod. Bijvoorbeeld als de verkoper een tegenbod doet. Als de verkopende makelaar aangeeft dat hij uw bod met de verkoper zal overleggen, betekent dat dus nog niet dat u in onderhandeling bent. 2. Mag een makelaar doorgaan met bezichtigen als er al over een bod onderhandeld wordt? Dat mag. Een onderhandeling hoeft nog niet tot een verkoop te leiden. De verkoper kan daarnaast graag willen weten of er meer belangstelling is. De eerste bieder hoeft nog niet de beste te zijn. Daarom gaan de bezichtigingen door. Er mag ook met meer dan één gegadigde tegelijk worden onderhandeld. De makelaar moet dat dan wel duidelijk gemeld hebben. Vaak zal de verkopende makelaar aan belangstellenden vertellen dat hij, zoals dat heet, ‘onder bod’ is. Een belangstellende mag dan wel een bod uitbrengen, maar krijgt daar geen antwoord op tot de onderhandeling met de eerste geïnteresseerde beëindigd is. De makelaar zal geen mededelingen doen over de hoogte van biedingen, dit zou overbieden kunnen uitlokken. 3. Kan een verkoper de vraagprijs van een woning tijdens de onderhandeling verhogen? Het antwoord is ja. Als de vraagprijs alleen een uitnodiging is tot het doen van een bod (zie ook vraag 5), dan kan de verkoper ook besluiten de vraagprijs te verlagen of te verhogen. Tijdens een onderhandeling doen partijen vaak over en weer biedingen. Als de potentiële koper een tegenbod doet wat afwijkt van het bod dat de verkopende partij eerder heeft gedaan, dan vervalt dit eerdere bod van de verkopende partij. Dus ook als partijen ‘naar elkaar toekomen’ in het biedingsproces, kan de verkoper ineens besluiten om toch zijn tegenbod weer te verhogen en de koper om zijn bod weer te verlagen. 4. Hoe komt de koop tot stand? Als verkoper en koper het eens worden over de belangrijkste zaken bij de koop (prijs, opleveringsdatum en ontbindende voorwaarden) dan legt de verkopend makelaar de afspraken schriftelijk vast in de koopakte. Ontbindende voorwaarden zijn een belangrijk onderwerp. U krijgt als koper niet automatisch een ontbindende voorwaarde voor de financiering, dit moet u melden bij het uitbrengen van uw bod. Het is belangrijk dat de partijen het ook eens zijn over aanvullende afspraken en ontbindende voorwaarden voordat de koopakte wordt opgemaakt. Naast de eerder genoemde punten worden meestal nog enkele aanvullende afspraken in de koopakte opgenomen, denk bijvoorbeeld aan een boeteclausule. Zodra verkoper en koper de koopakte hebben ondertekend en de koper (of eventueel de notaris) een kopie van de akte heeft ontvangen, treedt voor de particuliere koper de wettelijke bedenktijd in werking. Binnen deze bedenktijd kan de koper alsnog afzien van de aankoop van de woning. Ziet de koper tijdens deze bedenktijd niet af van de koop, zijn de financiën rond en vormen ook eventuele andere ontbindende voorwaarden geen obstakel meer, dan zal op de afgesproken opleveringsdatum de overdracht plaatsvinden bij de notaris. 5. Als ik de vraagprijs bied, moet de verkoper de woning dan aan mij verkopen? Over deze vraag bestaan veel misverstanden. Het hoogste rechtscollege, de Hoge Raad, heeft bepaald dat als u de vraagprijs uit een advertentie of een woongids biedt, u dan een bod doet. De vraagprijs wordt dus gezien als een uitnodiging tot het doen van een bod. De verkoper kan dan nog beslissen of hij uw bod wel of niet aanvaardt of dat hij zijn makelaar een tegenbod laat doen. 6. Mag een makelaar tijdens de onderhandeling het systeem van verkoop wijzigen? Dat mag. Één van de partijen mag de onderhandeling beëindigen. Soms zijn er zoveel belangstellenden die de vraagprijs bieden of benaderen, dat het moeilijk is te bepalen wie de beste koper is. In dat geval kan de verkopende makelaar, natuurlijk in overleg met de verkoper, besluiten de lopende onderhandeling af te breken en de biedprocedure te wijzigen. Uiteraard dient hij eerst de eventueel gedane toezeggingen na te komen (zie ook vraag 8 en 9). De makelaar kiest vervolgens bijvoorbeeld voor een inschrijvingsprocedure. Alle bieders hebben dan een gelijke kans om een hoogste bod uit te brengen. 7. Wat is een optie? Een optie in juridische zin geeft een partij de keuze om door een eenzijdige verklaring een koopovereenkomst met een andere partij te sluiten. Partijen zijn het dan wel eens over de voorwaarde van de koop, maar de koper krijgt bijvoorbeeld nog een week bedenktijd. Bij de aankoop van een nieuwbouwwoning is zo’n optie nog wel gebruikelijk. Bij het aankopen van een bestaande woning niet. Het begrip ‘optie’ wordt daarbij vaak ten onrechte gebruikt. Dan heeft het de betekenis van bepaalde toezeggingen die een verkopende NVM-makelaar kan doen aan een belangstellende koper tijdens het onderhandelingsproces. Zo’n toezegging kan bijvoorbeeld inhouden dat een belangstellende koper een paar dagen de tijd krijgt om na te denken over een bod. De NVM-makelaar zal in de tussentijd proberen niet met een andere partij in onderhandeling te gaan. De belangstellende koper kan deze tijd gebruiken om een beter inzicht te krijgen in zijn financiering of in de gebruiksmogelijkheden van de woning. Een optie kunt u niet eisen; de verkoper en verkopende NVM-makelaar beslissen zelf of er in een onderhandelingsproces bepaalde toezeggingen worden gedaan. 8. Dient de NVM makelaar met mij in onderhandeling te gaan, als ik als eerste een bezichtiging aanvraag of als eerste een bod uitbreng? Het antwoord op deze vraag is nee. De verkopende NVM-makelaar bepaalt samen met de verkoper de verkoopprocedure. De verkopende NVM-makelaar heeft wel de verplichting u daarover te informeren. Het is verstandig als u serieus belangstelling heeft de NVM-makelaar te vragen wat uw positie is. Dat kan veel teleurstelling voorkomen. Informatie voor de aspirant-koper Verantwoording De verstrekte gegevens in deze verkoopdocumentatie zijn met zorg verzameld. De onderliggende juridische problematiek is echter complex en leent zich er niet toe om in een bijlage als deze volledig te worden uiteengezet. Voor de juistheid van de verstrekte informatie aanvaarden wij, noch de verkoper enige aansprakelijkheid en aan de verstrekte informatie kan dan ook geen rechten worden ontleend. Indien u na het lezen van deze verkoopbrochure nog vragen heeft, verzoeken wij u zich te wenden tot één van onze medewerkers. Toelichtingsclausule Meetinstructie NEN2580 De branchebrede Meetinstructie schrijft voor op welke wijze de gebruiksoppervlakte van woningen wordt opgemeten. De Meetinstructie is gebaseerd op de NEN2580. De Meetinstructie is bedoeld om een meer eenduidige manier van meten toe te passen voor het geven van een indicatie van de gebruiksoppervlakte. De Meetinstructie sluit verschillen in meetuitkomsten niet volledig uit, door bijvoorbeeld interpretatiesverschillen, afrondingen of beperkingen bij het uitvoeren van de meting. Onderzoeksplicht van de koper Wij gaan er vanuit dat u, voordat u een bod uitbrengt op de woning, onderzoek heeft verricht naar alle aspecten, die in het algemeen en voor u in het bijzonder van belang zijn bij het nemen van uw aankoopbeslissing, zoals vermeld in het Burgerlijk Wetboek. Daartoe behoort minimaal het bestuderen van de informatie, die door ons wordt aangeboden, het inwinnen van informatie bij de gemeente en een onderzoek naar uw financiële mogelijkheden. Op verzoek kunnen wij u per mail extra beschikbare informatie toezenden zoals: - eigendomsbewijs van de woning; - door verkoper ingevulde NVM Vragenlijst deel B - kadastraal uittreksel; - mogelijk een bouwtechnisch rapport, indien het woonhuis bouwkundig is gekeurd. Voor een appartement beschikken wij over aanvullende informatie zoals: - akte van splitsing en reglement van splitsing - financiële stukken en notulen van de Vereniging van Eigenaars - indien aanwezig het huishoudelijk reglement De inspectie van de woning is door de makelaar gedaan op basis van visuele aspecten. Heeft u reden tot twijfel, dan kunt u ervoor kiezen een eigen aankoopmakelaar mee te nemen en/of de woning bouwkundig te laten keuren. Biedingen Biedingen kunnen mondeling, telefonisch, schriftelijk of per mail worden gedaan. In een bod dienen de volgende zaken te worden aangegeven: - de koopsom die u wilt bieden - per welke datum u de woning wilt aanvaarden - of u roerende goederen wilt overnemen - onder welke ontbindende voorwaarde(n) u het bod uitbrengt. Let op; u krijgt als koper niet automatisch een ontbindende voorwaarde voor de financiering. U moet dit bij uw bod melden. Ook over ontbindende voorwaarden moeten partijen het eens zijn vóór de koop. Rechtsgeldige koopovereenkomst pas ná ondertekening Een mondelinge overeenstemming tussen de particuliere verkoper en de particuliere koper is niet rechtsgeldig. Met andere woorden: er is geen koop. Er is pas sprake van een rechtsgeldige koopovereenkomst als de particuliere verkoper en de particuliere koper de koopovereenkomst hebben ondertekend. Dit vloeit voort uit artikel 7:2 Burgerlijk Wetboek. Een bevestiging van de mondelinge overeenstemming per e-mail of een toegestuurd concept van de koopovereenkomst wordt overigens niet gezien als een ‘ondertekende koopovereenkomst’. Informatie voor de aspirant-koper Voorwaarden bij aankoop van een woning De gemaakte afspraken worden schriftelijk bevestigd in de koopakte. Tenzij anders vermeld, zal de koopakte worden opgemaakt door Drieman Garantiemakelaars volgens de modelkoopakte, die is opgesteld door de Nederlandse Vereniging van Makelaars in onroerende goederen en vastgoeddeskundigen NVM, de Consumentenbond en de Vereniging Eigen Huis. Bij woningen die ouder zijn dan 10 jaar wordt in de koopakte een ouderdomsclausule worden opgenomen waarin wordt gesteld dat de koper rekening dient te houden met het feit dat de eisen die destijds aan de bouwkwaliteit gesteld werden lager kunnen liggen dan bij nieuwere woningen. Daarnaast wordt er bij woningen die dateren van voóór 1993 in de koopakte een asbestclausule worden opgenomen waarin verkoper verklaart dat gedurende de periode dat hij eigenaar was geen asbesthoudende stoffen op of in de onroerende zaak zijn aangebracht, maar niet kan uitsluiten dat er in de onroerende zaak asbesthoudende stoffen aanwezig zijn. Zo spoedig mogelijk nadat overeenstemming is bereikt tussen verkoper en koper zal de ondertekening van de koopakte plaatsvinden bij ons op kantoor. Na het ondertekenen van de schriftelijke koopovereenkomst, heeft de koper het recht om binnen drie dagen nadat de door beide partijen ondertekende koopovereenkomst aan de koper is overhandigd, de koop ongedaan te maken. Bankgarantie of waarborgsom Behoudens nadere afspraken zal in de koopakte worden opgenomen dat koper na het tot stand komen van de overeenkomst op korte termijn een waarborgsom zal storten op de rekening van de notaris van zijn keuze voor het bedrag van 10% van de koopsom. De waarborgsom kan worden vervangen door een bankgarantie van een Nederlandse bankinstelling. Notariskeuze Koper mag bepalen bij welk notariskantoor de juridische levering zal plaatsvinden. Uiterlijk op de dag van ondertekening van de koopakte geeft koper zijn keuze door aan Drieman Garantiemakelaars. Indien het een notariskantoor betreft buiten onze regio / de woonplaats van verkoper, zullen eventuele bijkomende kosten die verkoper moet maken voor bijvoorbeeld een notariële volmacht, voor rekening van koper komen. Baten, lasten en verschuldigde canons Alle baten, lasten en verschuldigde canons komen voor rekening van kopende partij vanaf de datum van notarieel transport. De lopende baten, lasten (met uitzondering van de onroerende - zaakbelasting wegens het feitelijk gebruik) zullen tussen partijen naar ratio worden verrekend. De kosten koper De kosten koper zijn de kosten die de koper voor de overdracht van de woning dient te betalen. Onder de kosten koper vallen nooitde makelaarskosten. Als een verkoper een makelaar inschakelt voor de verkoop van zijn/haar woning dan zal de verkoper de kosten van deze makelaar moeten betalen. Als de koper een makelaar inschakelt voor de aankoop van een woning zal de koper de kosten van deze makelaar moeten betalen. Onder de kosten koper vallen de volgende kosten: - Overdrachtsbelasting - Notariskosten voor de opmaak van de akte van levering - Kadasterkosten voor inschrijving akte van levering (koopakte) Naast deze kosten dient u, als koper, ook rekening te houden met: - Notariskosten voor de opmaak van de hypotheekakte - Kadasterkosten voor inschrijving hypotheekakte Vestiging Nieuwkoop Achterweg 54 2421 EB Nieuwkoop Tel: 0172-571522 email@example.com Vestiging Woerden Meulmansweg 1 3441 AT Woerden Tel: 0348-431919 firstname.lastname@example.org Vestiging Bodegraven Marktstraat 6 2411 BE Bodegraven Tel: 0172 - 460800 email@example.com Vestiging Leiderdorp Oosterschans 1 2352 DG Leiderdorp Tel: 71- 820 00 20 firstname.lastname@example.org Vestiging Alphen a/d Rijn Anne Frankkade 25 2406 DH Alphen aan den Rijn Tel: 0172 - 473 351 email@example.com Van een Garantiemakelaar mag u meer verwachten. www.drieman.nl
Disturbance regimes of stream and riparian systems — a disturbance-cascade perspective Futoshi Nakamura, Frederick J. Swanson and Steven M. Wondzell 1Faculty of Agriculture, Hokkaido University, Sapporo 060, Japan 2USDA Forest Service, Pacific Northwest Research Station, Corvallis, Oregon 97331, USA 3Department of Forest Science, Oregon State University, Corvallis, Oregon 97331, USA Abstract: Geomorphological processes that commonly transport soil down hillslopes and sediment and woody debris through stream systems in steep, mountainous, forest landscapes can operate in sequence down gravitational flowpaths, forming a cascade of disturbance processes that alters stream and riparian ecosystems. The affected stream and riparian landscape can be viewed through time as a network containing a shifting mosaic of disturbance patches — linear zones of disturbance created by the cascading geomorphological processes. Ecological disturbances range in severity from effects of debris flows, which completely remove alluvium, riparian soil and vegetation along steep, narrow, low-order channels, to localized patches of trees toppled by floating logs along the margins of larger channels. Land-use practices can affect the cascade of geomorphological processes that function as disturbance agents by changing the frequency and spatial pattern of events and the quantity and size distribution of material moved. A characterization of the disturbance regime in a stream network has important implications for ecological analysis. The network structure of stream and riparian systems, for example, may lend resilience in response to major disturbances by providing widely distributed refuges. An understanding of disturbance regime is a foundation for designing management systems. KEY WORDS debris flows; disturbance; landslide; riparian zone; sediment transport; stream ecosystems INTRODUCTION Ecosystem disturbances, processes that kill some organisms while providing opportunity for establishment of others, play vital roles in ecosystem development (Sousa, 1984; Pickett and White, 1985). Although many disturbance ecology studies have focused on the ecological effects of individual types of events, e.g. biotic response to landslides or wildfire, broader scale questions, such as influences of disturbance regimes within terrestrial landscapes and stream networks, are receiving increased attention. The movement of materials through watersheds has been characterized in several ways. Sediment budget, routing and flux modelling studies have been concerned with sediment movement and storage at flood event to geological time-scales of resolution (Swanson et al., 1982; Reid and Dunne, 1996; Benda and Dunne, 1997a, b). Individual process types, such as debris slides, debris flows and woody debris transport, have been investigated through inventory and modelling studies (Sidle et al., 1985; Braudrick et al., in press). These geomorphological processes are important disturbance agents in many mountain and riverine landscapes (Nakamura, 1986, 1990; Nakamura and Kikuchi 1996). To our knowledge, however, no study has addressed specifically the sequencing of geomorphological processes that can operate as stream and riparian disturbances in mountainous terrain. * Correspondence to: Futoshi Nakamura, Faculty of Agriculture, Hokkaido University, Sapporo 060, Japan. E-mail: email@example.com Copyright © 2000 John Wiley & Sons, Ltd. Received 26 July 1999 Accepted 1 November 1999 A variety of geomorphological processes may be linked sequentially, forming ‘disturbance cascades’, which can propagate down gravitational flowpaths from hillslopes through stream networks, especially in geologically unstable, mountainous areas, such as Japan and the western USA. These disturbance cascades commonly occur during major floods when various types of landslides and transport of woody debris take place. The sequence of transport processes involves transformations from one process to another in response to changes in topographic influences and in content of water and other constituents. Each process can leave a distinctive disturbance imprint on stream and riparian biota and habitat. Understanding of these disturbance cascades is useful in several respects. This understanding helps define the disturbance regimes in which these ecosystems have evolved and provides context for interpreting effects of land-use practices. Also, the disturbance cascade perspective puts an important focus on the critical, but little-studied transitions from one process to another. Traditionally, geomorphologists and ecologists have focused on individual processes (e.g., fire, landslides), rather than successive linkages among processes in time and space. Our objectives in this paper are to elucidate: 1. temporal and spatial patterns of geomorphological processes that disturb stream ecosystems in mountain landscapes; 2. factors controlling the distribution of these processes, including transitions from one geomorphological process to another in disturbance cascades down a stream network; 3. effects of land use and stream network structure on this disturbance regime; 4. ecological implication of geomorphological disturbance. We approach this task by developing a conceptual model based on experience in Japan and the Pacific Northwest of the USA. Results of field studies in these sites exemplify important relationships common to these steep, wet, forested, geologically unstable landscapes typical of temperate forest biomes of the Pacific Rim and elsewhere. This discussion of the disturbance-cascade concept emphasizes a distinctive suite of processes that are involved in movement of water, soil, sediment and large woody debris. These processes are particularly important components of disturbance regimes of stream and riparian systems in these landscapes, but elsewhere other processes may form disturbance cascades. DISTURBANCE CASCADE: CONCEPTUAL MODELS Geomorphological processes The sequences of geomorphological processes that function as a disturbance cascade in the mountain landscapes we consider can be initiated by small, rapid debris slides from hillslopes and channel head environments or by large, slow moving earthflows (Figure 1). Small (10–1000 + m$^3$) debris slides (1a in Figure 1) triggered on hillslopes may move into steep, headwater stream channels, move rapidly (10 m s$^{-1}$) down those channels as debris flows (2), and ultimately deliver coarse sediment and logs to larger streams. Some debris flows may enter fourth- and fifth-order channels and be immediately entrained in part as rafts of large woody debris floated by stream flow in the large channel. Alternatively debris flow deposits may form jams at the confluence with larger channels (A). These jams may break during floods, triggering a flood surge (3), which pushes a mass of floating woody debris in a congested mode of transport (Coho, 1993; Braudrick et al., in press). Transport of woody debris accumulations from debris-flow runout or from jam break-up may terminate in distinct accumulations of wood or may simply dissipate in the downstream direction as the transported wood is left along the banks in a series of smaller accumulations, such as wood levees (Wondzell and Swanson, 1999; Johnson et al., 2000, this issue). Disturbance cascades can also begin where large (1–100 + ha), slow-moving (millimetres to many metres per year) earthflows (4a) gradually constrict channels, increasing the potential for streambank erosion and streamside slides (5) during high flow events (Sidle et al., 1985; Swanson et al., 1985). The frequency of streamside slides at an earthflow toe may be proportional to the rate of earthflow movement constricting the channel (Swanson et al., 1985). These streamside slides can deliver $> 1000 \text{ m}^3$ of sediment and trees, which form temporary (B) dams that can break up, triggering flood surges (3) downstream for a kilometre or more (Coho, 1993; Swanson and Swanston, 1977). The associated woody debris may move in a congested manner (sensu Braudrick et al., in press), accentuating its ability to disturb riparian vegetation (Johnson et al., 2000, this issue). Transitions among these geomorphological processes are critical aspects of evaluating their potential to propagate through stream and riparian networks. The sequence of processes can be interrupted at any point along the flowpath. Debris slides may come to rest where they reach a channel (1b) and form a debris jam (D) or on areas of low gradient, such as slump benches or road surfaces, before reaching streams. Debris slides that do reach streams may stop if, for example, their angle of incidence is nearly... 90°, so they climb the opposing hillslope and simply slump back into the channel without converting momentum in the down-channel direction (e.g. A in Figure 1) (Benda and Cundy, 1990). Debris slides that transform into debris flows down channels change character as valley wall constraint on flow width changes, thereby altering flow depth, and as sediment and woody debris is entrained along the channel. Debris flows may stop at critical points (C) where channel slope is too low to sustain flow; channel direction changes abruptly by 70° or more (Benda and Cundy, 1990); valley floor width increases, so flow thickness decreases, thus increasing resistance to flow; composition of the moving mass changes, making it impossible to sustain motion; or the debris flow encounters obstructions to flow, such as standing trees or road fills that can act as dams. Most debris flows entering fourth- and fifth-order channels abruptly change character because the volume of flow in the receiving stream is great enough to separate constituents of the debris flow. The large wood may float downstream as a congested raft of debris, which may dissipate as wood is left in levees along the channel and a large jam may form at the terminus of a runout path. Some mass movement processes do not trigger a cascade of events leading to stream and riparian disturbance (Figure 1). Slumps and debris slides on hillsides (4b) and cutslope slides along roads, for example, may not lead to delivery of soil to channels. Streamside slides along areas of wide valley floor may simply deflect the channel laterally without major downstream consequence. One effect of the complexity of the disturbance cascades depicted in Figure 1 is that similar outcomes can arise from different sequences of processes. Flood surges, for example, can arise from extensions of the wood component of debris flow deposits down larger channels (Wondzell and Swanson, 1999) as well as the break up of streamside slide deposits. Ecosystem disturbances Processes involved in the disturbance cascade leave somewhat distinctive ecological disturbance patterns. Debris flows commonly produce high-severity disturbance by stripping riparian vegetation along their path and depositing woody debris, live vegetation, soil and sediment at their snouts (Swanson et al., 1998). Congested log transport downstream of debris flows can also result in severe disturbance to riparian vegetation, as indicated by removal of 30-yr-old red alder (Alnus rubra) trees of 20–40 cm diameter in some Pacific Northwest streams in a recent major flood (Swanson et al., 1998; Wondzell and Swanson, 1999). In larger channels, where wood transport is typically more dispersed, disturbance to riparian vegetation exhibits more varied severity with zones of removed, toppled and standing trees (Nakamura and Kikuchi, 1996; Johnson et al., 2000, this issue). In some sites floated woody debris appears to have been a critical factor in transfer of the force of flowing water against tree stems, leading to their toppling, but remaining partially rooted. Disturbance effects on aquatic habitat have not been characterized systematically, but debris flow tracks have conspicuously high severity disturbance in small channels. Flood flows and sediment transport in larger channels create a mixture of disturbance severity indicated by sites with a scour or deposition exceeding 1 m to patches of sediment with a surviving partial cover of moss, revealing little disturbance of benthic habitat (Swanson et al., 1998). These disturbance patterns appear to leave refuges of relatively undisturbed streambed and secondary channel environments. Thus, the disturbance cascades described here appear to produce a gradient of decreased overall severity and increased variability of severity of stream and riparian disturbance in the downstream direction. DISTURBANCE CASCADES: EFFECTS OF LAND-USE PRACTICES Land-use practices can potentially affect all stages of the disturbance cascade. Initiation sites may be affected and modification of channels along the flowpath may enhance or disrupt runout of disturbance-producing geomorphological processes. Land-use effects on earthflows and associated streamside slides are less well known and potentially less significant than effects on disturbance cascades initiated by debris slides. Here we consider some of the potential effects of various forestry and engineering practices on key components of the disturbance cascade. Forest cutting can increase the frequency and volume of debris slides (Sidle et al., 1985). One explanation is that tree roots that contribute to soil strength on marginally stable sites die and decay following cutting of many tree species (Sidle et al., 1985; Tsukamoto and Minematsu, 1987). Thus, root strength may decrease markedly over several years after cutting, and clear-cut hillslopes become more susceptible to debris slides. Another potential effect of forest removal is to increase snow accumulation and melt rate with resulting increase in water discharge to soil and streams during rain-on-snow events (Harr, 1981). An increase in slides contributes to an increase of debris flow disturbances in low-order streams. Roads can significantly alter hillslope hydrology and the distribution of soil and rock materials on slopes, increasing the rate of debris slide initiation. Cut-and-fill slopes constructed where roads traverse steep slopes commonly experience debris slides at a frequency that greatly exceeds background rates observed in forested areas in similar terrain (Sidle et al., 1985). Road cuts can intercept groundwater drainage networks, collecting groundwater from upslope areas and diverting it into drainage ditches as surface water (Wemple et al., 1996). This water enters the stream network where roads cross channels. The expanded drainage network moves groundwater into the stream network more rapidly than would the subsurface drainage system and could increase peak flows during storms (Jones and Grant, 1996). An abrupt supply of surface water from drainage ditches may contribute to debris slide initiation in headwater areas, where unstable colluvium accumulates (Montgomery, 1994). The net effect can be increased triggering of disturbance cascades. Roads can affect the character of debris flows along their runout paths. Large debris flows moving at high velocity down steep channels may incorporate road fills, thus adding to debris flow volume (Wemple, 1999). In other circumstances, such as on the gentler slopes of valley floors, roads may function as small dams that stop debris flows before they can reach the main channel (Wemple, 1999). In this case roads not only trap sediment, but also interrupt the sequence of disturbance processes. Removal of woody debris from channels can occur either by intentional extraction for wood value or inadvertently by removing streamside forest, hence the principle source of future wood supply. Change in woody debris may affect the disturbance cascade by affecting the volume and size distribution of wood transported by mass movement or fluvial processes. Very large pieces of wood, for example, can retard movement of organic and inorganic material, but absence of wood in debris flows limits the propagation of wood-mediated disturbance into large channels. Straightening and channelization of meandering and anastomosing streams reduces the complexity of disturbance processes and biotic responses in areas of wide valley floors. Channel simplification may decrease bank erosion and the frequency of streamside debris slides at stream bends. However, shortening a meandering stream steepens the bed gradient, which results in an increase in stream power to transport sediment. Resulting degradation of the streambed may make adjacent slopes unstable and may set the stage for bank failures or streamside debris slides. If the channelized reach is connected with a natural reach downstream, having a gentle bed gradient, sediment can be deposited in this reach and the streambed may aggrade. Aggradation reduces the carrying capacity of a stream channel, resulting in inundation of lowland areas with sediment-laden flood water (Nakamura et al., 1997). Reservoirs and erosion-control check dams constructed for regulation of streamflow and sediment discharge have a great impact on the routing of water, sediment and wood through watersheds. In general, these structures restrict natural, seasonal and yearly fluctuations in discharge of water and sediment to downstream reaches. The stabilized hydrological regime downstream of reservoirs is completely different from the natural flow and disturbance regimes, which promote regeneration of certain vegetation species and maintenance of habitat for fish and aquatic invertebrates (Poff et al., 1997). Sediment control dams built in low-order streams may alter the volume and size distribution of debris flows and, thus, restrict debris flow runout. The net effect of these structures is to moderate and even truncate the cascade of disturbance processes involving mass transport of sediment and wood. EXAMPLES FROM NORTHERN JAPAN AND NORTHWESTERN USA LANDSCAPES Effects of hillslope and valley floor geomorphology on disturbance regimes are illustrated by case studies in the upper Blue River watershed in the Cascade Mountains of western Oregon, USA, and Mount Tokachi and the Saru River basin in Hokkaido, Japan. Long-term records of debris slides and flows are a valuable study asset of the Oregon site. Japanese streams are intensively regulated and subject to frequent disturbance by volcanic debris flows, which have been well studied, so these channels illustrate disturbance and land-use effects at the downstream end of the disturbance cascade. Disturbance-cascade processes in small channels — a USA example A 50-year record of debris slide, debris flow and other landslide activity in the Blue River watershed provides a basis for examining the spatial patterns of the disturbance cascade concept (Dyrness, 1967; Swanson and Dyrness, 1975; Swanson et al., 1998; Snyder, 1999; Swanson, unpublished data). The Blue River Watershed is steep terrain underlain by tertiary volcanic rocks, and ranges in elevation from 350 to 1640 m. Annual average precipitation of over 2500 mm supports dense conifer forests. In this area debris slides commonly begin in steep (30–40°), concave slopes and occur with higher frequency in clear-cut and roaded areas than in forested areas with similar soil and topographic conditions (Swanson and Dyrness, 1975). Similarly, earthflow landforms are associated with easily deformed, clay-rich soil and bedrock (Swanson and James, 1975). This watershed, therefore, can be zoned in terms of geomorphological disturbance regimes with high and low potential to experience the various disturbance-cascade processes, based on soil, bedrock and topographic conditions. The extent of expression of the disturbance cascade can be assessed in terms of the probability of one process transforming to the next in the sequence, based on an observed history of events. To illustrate these relationships, we examine the linkages among the relevant processes occurring in the > 50-year recurrence-interval flood of February 1996 (Figures 2 and 3). Debris slides, debris flows, streamside slides and flood surge events (> 35 m$^3$ in volume) resulting from this flood were inventoried with field and aerial photographic interpretation in a 187 km$^2$ area in the upper Blue River watershed, including the Lookout Creek watershed, which encompasses the H.J. Andrews Experimental Forest. The events of February 1996 were dominantly initiated by debris slides unassociated with earthflows (Figure 3). About 30% of the debris slides did not reach streams because they lodged on hillslopes or on roads. Nearly half (45%) of all the non-earthflow-associated debris slides transformed into debris flows down steep, first- through to third-order channels. Thus, about 70% of the initial population of debris slides and flows stopped on hillslope sites (26), at the slope–channel junction (19), in the channel at a downstream location (19), on roads (5), or on alluvial fans (6) before reaching large streams. About 60% of all debris flows reached fourth- and fifth-order channels. Of these, seven debris flows traversed channels that experienced only one debris flow, and 15 debris flows occurred in channels with multiple events. In addition, five streamside debris slides occurred along debris flow paths and not associated with earthflows; but in most cases, we do not know their timing relative to debris flow passage and, therefore, do not show them in Figure 3. Only one distinct flood-surge event was observed (Wondzell and Swanson, 1999) (Figure 2), but others may have occurred in larger channels where their evidence was obscured by other flood effects. Only 7 of 94 events inventoried occurred in association with earthflows, roughly reflecting the extent (about 10% of area) of earthflows in the analysis area; only the Lookout Creek part of the study area (Figure 2) has detailed mapping of earthflow terrain (Swanson and James, 1975), but we feel that this is representative of the entire area. Only one of these events was located at the toe of an earthflow encroaching on a larger channel (Figure 2). However, in major floods in December 1964 and January 1965 streamside slides at earthflow toes were much more common and resulted in a massive, wood-rich, flood-surge event that extended 1-5 km down Lookout Creek (Swanson and Swanston, 1977). The ecological effects of these processes are varied. Disturbance severity ranges from complete removal of riparian vegetation and, undoubtedly, aquatic biota in steep, constrained channels affected by debris flows to more complex patterns along channels affected by flood surges. In the latter cases riparian trees up to 40 years in age were removed and toppled, old-growth trees were scarred, and piles of wood were strewn along the channel margins, culminating in a large debris jam lodged in old-growth riparian forest (Wondzell and Swanson, 1999; Johnson et al., 2000, this issue). These events also altered the distribution of large woody debris, hence aquatic habitat structure, and hyporheic zone patterns and processes (Wondzell and Swanson, 1999). In this mountain landscape major floods in 1964–1965 and 1996 each triggered nearly 100 mass movement events that are elements of the disturbance cascade. A very small fraction of these events resulted in full cascade sequences, but cumulatively these processes affected about 15% of the length of the stream and riparian network in the study area (Snyder, 1999). The sequence was interrupted by numerous natural (e.g. alluvial fan) and management-imposed (e.g. roads) features. Clear-cutting and roads had strong effects on... initiation of debris slides and flows, accounting for over 80% of the site conditions at points of initiation, although less than 30% of the watershed area had been subject to these land uses (Swanson and Dyrness, 1975; Swanson, unpublished data). Swanson and Dyrness (1975), for example, observed debris slide frequency several fold higher in clear-cut areas than similar forested terrain and frequency of sliding from road rights-of-way several tens of times higher than forested areas. Examples of disturbance-cascade processes from Japan Debris flows are major geomorphological disturbance agents in volcanic landscapes common in Japan where disturbance cascades start high on the steep flanks of volcanoes and may ultimately spread out on the surrounding, lower gradient terrain rather than enter a distinctly larger channel. These lower-slope alluvial and debris fans, such as those observed around Mount Tokachi, exemplify the complexity of disturbance and ecological response in the downstream end of disturbance cascades. In 1926, snowmelt associated with an eruption triggered a debris flow from the 2077-m-tall volcano that destroyed mature coniferous forest and scoured the land surface in its path, leaving undulating earth surfaces formed by deposition and scouring. Regenerated forest types were classified using aerial photograph and field observation (Figure 4). Forests dominated by deciduous trees covered the northern margins of the disturbed zone, whereas conifers and mixed stands dominated near the stream and in southern margins, with scattered patches of bare land. These forests created a mosaic of elongated patches parallel to the stream itself, reflecting vegetation recovery controlled by the geomorphological habitat conditions, especially the size distribution of sediment in the debris-flow runout zone (Yajima et al., 1998). Birch (Betula spp.) stands dominated the sandy sediment at the margins of the debris flow deposits. Birch (overstory) and conifers (understory) stands dominated the areas of bimodal stony, sandy sediment. Cobbly sediment was most extensive in central areas of the debris flow deposits where pure spruce (Picea glehnii) stands were established. The gradient from coarse to fine sediment from the centre of the debris flow deposits to their edges suggested that central areas were disturbed more intensively than were marginal areas. Distributions of dwarf bamboo and sandy sediment overlapped closely because rhizomes of dwarf bamboo could easily penetrate sandy sediment. Dense cover of dwarf bamboo may inhibit the regeneration of conifers. In contrast, coarse sediment impeded rhizome extension. Thus, heterogeneity in habitat conditions created by the debris flow significantly influenced structure and composition of regenerated forests. Extensive debris fans on the lower flanks of volcanoes and in other geomorphological settings provide space for such complex patterns to develop and persist. Detailed sediment budget studies in several small watersheds in Hokkaido, Japan, reveal effects of natural processes and erosion control dams on disturbance cascade processes. Shimizu (1998) documents volumes of sediment production and storage in the 2.08 km$^2$ Rubeshubenai Creek and 1.70 km$^2$ Paradai River watersheds for events triggered by an August 1992 rainstorm. In the Rubeshubenai watershed, he observed that 101 debris slides mobilized 47 700 m$^3$ of soil, 76% of which entered channels and much of this material moved downstream as debris flows. Deposition occurred along the main channel where slopes were less than 10% and two erosion-control dams at the mouth of the watershed trapped the remaining coarse material transported in the debris flows, effectively stopping their downstream progress. In the Paradai River, 86 debris slides delivered 14 400 m$^3$ to channels. This material moved downstream as debris flows and flood surges initiated by break-up of debris slide deposits in the channel network. These events scoured riparian forests, ultimately forming a large log jam, which trapped about 80% of the transported sediment near the mouth of the watershed. An erosion-control dam captured the remaining sediment. OVERVIEW AND IMPLICATIONS From these observations emerges a view of the stream and riparian landscape as a network containing a shifting mosaic of disturbance patches — linear and often parallel zones of disturbance created by cascading geomorphological processes. The frequency of disturbance and extent of freshly disturbed areas is determined by soil, topography and other factors controlling the initiation and runout of key geomorphological processes and the transitions between processes. Resulting disturbances range from debris flows completely removing alluvium and riparian soil and vegetation along steep, narrow, low-order channels to localized patches of trees toppled by floating logs along the margins of larger channels. Landscapes can be zoned in terms of high and low frequency of these processes, and results of this analysis can be represented as a map of the geomorphological disturbance regime of the stream and riparian network (Swanson et al., 1997). Land-use practices can affect the cascade of geomorphological processes that function as disturbance agents by changing the frequency and spatial pattern of events and the composition of material moved. Forestry practices, for example, historically increased the frequency of debris slides that initiated disturbance cascades and ultimately reduced the amount of large wood in debris flows and flood surges by direct removal of wood from streams and by intensive management of streamside forests, thus reducing long-term input of large wood to streams. Channel modifications by check dam construction and other techniques generally reduce the extent of natural complex geomorphological disturbance of riparian vegetation in ecologically rich, wide valley floor areas. A characterization of the disturbance regime in a stream network has important implications for ecological analysis. The distribution of habitats, for example, can be identified for species that have disturbance-favoured requirements, such as those favouring high light and bare soil conditions, or disturbance-adverse requirements, such as shade-tolerant species. Flows of materials, such as sediment, nutrient and wood, may completely change with disturbance. The network structure of stream and riparian systems may lend resilience in response to major disturbances (Swanson et al., 1998). Debris flows in the upper part of the network have high severity of disturbance, but affect a small percentage of low-order channels in any one storm. Consequently, tributary streams that do not experience debris flows may serve as refuges during floods and sources of propagules for recolonization of severely disturbed reaches. Refuges may also be numerous in the downstream area affected by the disturbance cascade, particularly in areas of wide valley floor, where secondary channels and complex riparian vegetation patterns create the potential for extensive refuges during major disturbance events. An understanding of disturbance regimes is a foundation for designing management systems. A strategy for managing landscapes to sustain biological diversity of natural systems will probably include some semblance of the natural disturbance regime. This is a challenge for management that commonly introduces new disturbance processes and increases or decreases the influence of processes that were integral to the system before human intervention. ACKNOWLEDGEMENTS This work was supported in part by the International Cooperation Fund provided by the Japan Society for the Promotion of Science, Japanese Grant in Aid for Scientific Research (04304003), and National Science Foundation grants (BSR 90-11663, DEB 96-32921) supporting the Long-term Ecological Research program at the H.J. Andrews Experimental Forest and a grant for US–Japan cooperative research on hyporheic zones (INT 97-26535). We thank Gordon Grant, Sherri Johnson and Julia Jones for helpful discussions and Kai Snyder, Matthew Wallenstein and Ryan Ulrich for work on the Cascades debris slide and debris flow inventory. REFERENCES Benda L, Dunne T. 1997a. Stochastic forcing of sediment supply to channel networks from landsliding and debris flow. Water Resources Research 33(12): 2849–2863. Benda L, Dunne T. 1997b. Stochastic forcing of sediment routing and storage in channel networks. Water Resources Research 33(12): 2865–2880. Benda LE, Cundy TW. 1990. Predicting deposition of debris flows in mountain channels. Canadian Geotechnical Journal 27: 409–417. Braudrick CA, Grant GE, Jones JA. In press. Transport and deposition of large woody debris in streams: a flume experiment. Earth Surface Processes and Landforms. Coho CS. 1993. Dam-break floods in low order mountain channels of the Pacific Northwest. MS thesis, Department of Civil Engineering, University of Washington: Seattle; 70 pp. Dyrrness CT. 1967. Mass Soil Movements in the H.J. Andrews Experimental Forest. Research Paper PNW-42, USDA Forest Service, Pacific Northwest Forest and Range Experiment Station: Portland, Oregon; 13 pp. Harr RD. 1981. Some characteristics and consequences of snowmelt during rainfall in western Oregon. Journal of Hydrology 53: 277–304. Johnson SL, Swanson FJ, Grant GE, Wondzell SM. 2000. Riparian forest disturbances by a mountain flood—the influence of floated wood. Hydrological Processes 14. Jones JA, Grant GE. 1996. Peak flow responses to clear-cutting and roads in small and large basins, western Cascades, Oregon. Water Resources Research 32(4): 959–974. Montgomery DR. 1994. Road surface drainage, channel initiation, and slope instability. Water Resources Research 30(6): 1925–1932. Nakamura F. 1986. Chronological study on the torrential channel bed by the age distribution of deposits. Research Bulletin of Experimental Forestry Hokkaido University 43(1): 1–26. Nakamura F. 1990. Perspectives for the effects of geomorphological processes on forest ecosystem. Biological Science (Tokyo). (In Japanese) 42(2): 57–67. Nakamura F, Kikuchi S. 1996. Some methodological developments in the analysis of sediment transport processes using age distribution of floodplain deposits. Geomorphology 16: 139–145. Nakamura F, Sudo T, Kameyama S, Jitsu M. 1997. Influences of channelization on discharge of suspended sediment and wetland vegetation in Kushiro Marsh, northern Japan. Geomorphology 18: 279–289. Pickett STA, White PS. 1985. The Ecology of Natural Disturbance and Patch Dynamics. Academic Press: New York; 472 pp. Poff NL, Allan JD, Bain MB, Karr JR, Prestegaard KL, Richter BD, Sparks RE, Stromberg JC. 1997. The natural flow regime. BioScience 47: 769–784. Reid LM, Dunne T. 1996. Rapid Construction of Sediment Budgets for Drainage Basins. Catena-Verlag: Cremlingen; 160 pp. Shimizu O. 1998. Sediment budgets to analyze sediment transport processes through drainage basins. Research Bulletin, Hokkaido University 55(1): 123–215. Sidle RC, Pearce AJ, O’Loughlin CL. 1985. Soil Mass Movement — Influence of Natural Factors and Land Use. American Geophysical Union Water Resources Monograph 11, American Geophysical Union: Washington, DC. Snyder KU. 1999. Debris flow and flood disturbance in the western Cascades, Oregon. MS thesis, Department of Forest Science, Oregon State University: Corvallis, Oregon. Sousa WP. 1984. Intertidal mosaics: propagule availability, and spatially variable pattern of succession. Ecology 1918–1935. Swanson FJ, Dyrrness CT. 1975. Impact of clear-cutting and road construction on soil erosion by landslides in the western Cascade Range, Oregon. Geology 3(7): 393–396. Swanson FJ, James ME. 1975. Geology and Geomorphology of the H.J. Andrews Experimental Forest, Western Cascades, Oregon. Research Paper PNW-188, USDA Forest Service, Pacific Northwest Forest and Range Experiment Station: Portland, Oregon; 14 pp. Swanson FJ, Swanston DN. 1977. Complex mass-movement terrains in the western Cascade Range, Oregon. Reviews in Engineering Geology 3: 113–124. Swanson FJ, Janda RJ, Dunne T, Swanston DN (technical eds.) 1982. Workshop on Sediment Budgets and Routing in Forested Drainage Basins: Proceedings, General Technical Report PNW-141, USDA Forest Service, Pacific Northwest Forest and Range Experiment Station: Portland, Oregon; 165 pp. Swanson FJ, Graham RL, Grant GE. 1985. Some effects of slope movements on river channels. Proceedings of the International Symposium on Erosion, Debris Flow and Disaster Prevention, Tokyo; 273–278. Swanson FJ, Johnson SL, Gregory SV, Acker SA. 1998. Flood disturbance in a forested mountain landscape. BioScience 48(9): 681–689. Swanson FJ, Jones JA, Grant GE. 1997. The physical environment as a basis for managing ecosystems. In Creating a Forestry for the 21st Century: the Science of Ecosystem Management, Kohm KA and Franklin JF (eds). Island Press: Washington, DC, 229–238. Tsukamoto Y, Minematsu H. 1987. Hydrogeomorphological characteristics of a zero-order basin. Proceedings, Symposium on Erosion and Sedimentation in the Pacific Rim. IAHS Publication 165, International Association of Hydrological Sciences: Wallingford, 61–70. Wemple BC. 1999. Investigations of runoff production and sedimentation on forest roads. PhD dissertation, Department of Forest Science, Oregon State University: Corvallis, Oregon. Wemple BC, Jones JA, Grant GE. 1996. Channel network extension by logging roads in two basins, western Cascades, Oregon. Water Resources Bulletin 32(6): 1195–1207. Wondzell SM, Swanson FJ. 1999. Floods, channel change, and the hyporheic zone. Water Resources Research 35(2): 555–567. Yajima T, Nakamura F, Shimizu O, Shibuya M. 1998. Forest recovery after disturbance by the 1926 mudflow at Mount Tokachi, Hokkaido, Japan. Research Bulletin of Experimental Forestry Hokkaido University 55(1): 216–228.
Evaluating Arguments Based on Toulmin’s Scheme BART VERHEIJ Artificial Intelligence University of Groningen Grote Kruisstraat 2/1 9712 TS, Groningen The Netherlands E-mail: email@example.com ABSTRACT: Toulmin’s scheme for the layout of arguments (1958, The Uses of Argument, Cambridge University Press, Cambridge) represents an influential tool for the analysis of arguments. The scheme enriches the traditional premises-conclusion model of arguments by distinguishing additional elements, like warrant, backing and rebuttal. The present paper contains a formal elaboration of Toulmin’s scheme, and extends it with a treatment of the formal evaluation of Toulmin-style arguments, which Toulmin did not discuss at all. Arguments are evaluated in terms of a so-called dialectical interpretation of their assumptions. In such an interpretation, an argument’s assumptions can be evaluated as defeated, e.g., when there is a defeating reason against the assumption. The present work builds on recent research on defeasible argumentation (cf. e.g. the work of Pollock, Reiter, Loui, Vreeswijk, Prakken, Hage and Dung). More specifically, the author’s work on the dialectical logic DEFLOG and the argumentation tool ARGUMED serve as starting points. KEY WORDS: argument evaluation, defeasible argumentation, Stephen E. Toulmin 1. INTRODUCTION In his book The Uses of Argument, Stephen Toulmin (1958) has argued that arguments need to be analyzed using a richer format than the traditional one of formal logic in which only premises and conclusions are distinguished. He has proposed a scheme for the layout of arguments that in addition to data and claim distinguishes between warrant, backing, rebuttal and qualifier. As an illustration, Toulmin discusses the claim that Harry is a British subject. The claim can be supported by the datum that Harry was born in Bermuda. That there is a connection at all between datum and claim is expressed by the warrant that a man born in Bermuda will generally be a British subject. In turn, the warrant can be supported by the backing that there are certain statutes and other legal provisions to that effect. The warrant does not have total justifying force, so the claim that Harry is a British subject must be qualified: it follows presumably. Moreover there are possible rebuttals, for instance when both his parents were aliens or he has become a naturalized American. Schematically, the result is as in Figure 1 (Toulmin, 1958, p. 105). Toulmin et al., (1984) give many further examples. Toulmin’s scheme for the layout of arguments has had a continuing influence on argumentation researchers (cf., e.g., van Eemeren et al. (1996, pp. 129–160), Bench-Capon (1997)). Its general form is shown in Figure 2 (Toulmin, 1958, p. 104): The Data consist of certain facts that support the Claim. The Warrant is an inference license according to which the Data support the Claim, while the Backing provides in turn support for the Warrant. A Rebuttal provides conditions of exception for the argument, and the Qualifier can express a degree of force that the Data give to the Claim by the Warrant. Figure 1. An example of Toulmin’s scheme for the layout of arguments. D for Data Q for Qualifier C for Claim W for Warrant B for Backing R for Rebuttal Figure 2. The general form of Toulmin’s scheme for the layout of arguments. Good points of Toulmin’s work were his emphasis on the following: – In argumentation, the warrants of arguments (in the sense of inference licenses) can be at issue and their backings can differ from domain to domain. – Arguments can be subject to rebuttal in the sense that there can be conditions of exception. – Arguments can have qualified conclusions. – Other kinds of arguments than just those based on the standard logical quantifiers and connectives (for all $x$, for some $x$, not, and, or, etc.) need to be analyzed. – Determining whether an argument is good or not involves substantive judgments and not only formal. Since the appearance of Toulmin’s book, all of these points have found increasing support in different research communities (under the direct influence of Toulmin or independently). Notwithstanding Toulmin’s critical stance towards formal logic,$^1$ in the present paper, a \textit{formal} elaboration of Toulmin’s central ideas will be given. It is shown that Toulmin’s central ideas can well be set out in a formal way by the use of techniques of today’s formal logic. It goes without saying that the game of formalization is here not played for mathematical pleasure. The main reason for formalization is that it allows the repair of an omission in Toulmin’s work. Toulmin’s omission is that he has only discussed the \textit{structure} of arguments (in terms of the roles of the different kinds of elements of arguments), but has not paid attention to the \textit{evaluation} of arguments. In other words, he does not provide an analogue of logical validity as an evaluation criterion for arguments – perhaps because he does not believe there to be one. This is a major omission, especially in view of the role of rebuttals in his scheme: clearly a rebuttal can influence the evaluation of an argument for a particular claim. Using Toulmin’s example above, whether the datum that Harry is born in Bermuda justifies the claim that he is a British subject depends on whether Harry’s parents were aliens. Assuming that Harry’s parents were aliens, the datum does \textit{not} justify the claim, while assuming that they weren’t aliens, the datum will normally justify the claim (unless there is another rebuttal, such as that Harry has become a naturalized American). As stated previously, perhaps Toulmin did not believe there to be an evaluation criterion analogous to logical validity. Here it is shown that there is such a criterion by providing one: it is based on the idea of \textit{dialectical interpretation} (cf. Verheij (2003a, b, 2005)). Briefly, the statements in an argument are evaluated with respect to the argument’s assumptions. Statements can be justified (e.g., when there is a justifying reason for them), defeated (e.g., when there is a defeating reason against them) or neither. Of course it is impossible to retain all of Toulmin’s central ideas in their exact original form – some ideas will be adapted and extended. The task set here is one of reconstruction with a contemporary eye, and thus by necessity involves an interpretation of Toulmin’s ideas. Still the goal is that the elements of Toulmin’s scheme will find a recognizable place in the present elaboration. The starting point for the reconstruction of Toulmin’s scheme is a particular theory of dialectical argumentation, called DefLog. It is related to my work on argument assistance software (see, e.g., Verheij (2003a, 2005) on the ArguMed system). In the present paper, the relevant parts of DefLog are introduced alongside the reconstruction of Toulmin’s scheme. For a more extensive account of DefLog, the reader may want to consult Verheij (2003b, c). The present work builds on research on defeasible and dialectical argumentation (cf. e.g. the work of Pollock (1987), Reiter (1980), Loui (1998), Vreeswijk (1997), Prakken (1997), Hage (1997) and Dung (1995)). An earlier version of this paper was presented at the OSSA 2001 conference (Verheij, 2002). There are many relations of the points discussed in this paper with work in the field of argumentation theory. For instance, the treatment of warrants in this paper is related to argumentation schemes (see, e.g., Walton (1996), cf. also Verheij (2003c)) and Hitchcock’s use of covering generalizations (1998). Such cross-connections between formal and informal approaches to argumentation deserve further attention, but fall outside the scope of this paper. The book Argumentation Machines. New Frontiers in Argument and Computation (2003; edited by Reed and Norman) is a useful resource in this respect. 2. ELABORATING ON TOULMIN’S SCHEME FOR THE LAYOUT OF ARGUMENTS In the following, the elements of Toulmin’s scheme for the layout of arguments will be reconstructed, in a way that is formally explicit. A step-by-step strategy will be followed. Simple arguments will be analyzed in terms of primitive notions like statements, justifying reasons etc. A graphical representation will be used that arranges the elements of Toulmin’s scheme in a different way than in Toulmin’s original. The reason for this is a pragmatic one: in this way it becomes possible to use the ArguMed software described by Verheij (2003a, 2005). ArguMed is argument assistance software that can graphically represent arguments and evaluate the status of the statements involved. It can be downloaded at http://www.ai.rug.nl/~verheij/aaa/. Figure 3 shows Toulmin’s original arrangement on the right and the new arrangement on the left. For reasons that will become clear below (in section 3, notably Figure 10), the element of rebuttal has been left out here. Note also that in Figure 3 some of Toulmin’s lines (e.g., between Backing and Warrant) have been replaced by arrows. The reason for this adaptation is that in the formal treatment below each of the arrows corresponds to a conditional sentence. The main difference between the original arrangement and the new one is that reasons appear below their conclusions. For instance, the data D appear below the qualified claim QC (why the qualifier and the claim are taken together is explained below) and the backing B appears below the warrant W. Other differences will be explained when they become relevant. 2.1. Data and claim The first step in the present reconstruction is to consider Data and Claim. In Toulmin’s (1958) own words, we have ‘one distinction to start with: between the claim or conclusion whose merits we are seeking to establish (C) and the facts we appeal to as a foundation for the claim what I shall refer to as our data (D)’ (p. 97). Let’s look at Toulmin’s example: if we seek to establish the claim that Harry is a British subject, we could for instance appeal to the datum that Harry was born in Bermuda. In an ordinary language argument this could be expressed thus: Harry was born in Bermuda. So he is a British subject. Already at this early stage, it is convenient to adopt some conventions that elaborate on Toulmin’s. The first is the convention that arguments are constructed from one or more statements expressed by sentences.$^2$ In the example we find the two statements that Harry is a British subject and that Harry was born in Bermuda, expressed by the \[\text{D} \rightarrow \text{QC}\] \[\text{W} \rightarrow \text{B}\] Figure 3. Toulmin’s original arrangement (without rebuttal; on the left) presented differently (on the right). sentences ‘Harry is a British subject’ and ‘Harry was born in Bermuda’, respectively. The second convention is to distinguish between two different roles of statements in arguments: some are the argument’s assumptions, others its issues. An argument’s assumptions are the foundation on which the argument is built, whereas an argument’s issues can be regarded as the topics or themes of the argument. A peculiarity of this convention is that an argument can have the effect that an issue of the argument can be settled by the argument (and hence is not ‘at issue’). This occurs when the evaluation of the argument shows that an issue of the argument is justified or defeated. In the example, it is assumed that Harry was born in Bermuda, and an issue that Harry is a British subject. If it were assumed that Harry is a British subject, there would be no need to provide a reason for it. If the datum were itself not assumed, i.e., if it were an issue that Harry was born in Bermuda, that issue would have to be established by further argument. The third convention concerns the evaluation of the statements in an argument. The idea is that the statements in an argument can be evaluated, depending on the information expressed in the argument. For instance, the assumption that Harry was born in Bermuda is – since it is an assumption – taken to be justified. Also the argument’s issue that Harry is a British subject is evaluated as justified, but only since there is a reason justifying it, viz. that Harry was born in Bermuda. At present, two evaluation statuses are distinguished: statements can be justified or they can be unevaluated. If for instance the statement that Harry was born in Bermuda were itself an issue, that statement and the statement that Harry is a British subject would not be justified. (Later we will also distinguish statements that are defeated. See section 3.) This brings us to the fourth convention, which concerns support by reasons. One point of an argument like ‘Harry was born in Bermuda. So he is a British subject’ is that it expresses that the statement that Harry was born in Bermuda supports the statement that he is a British subject. It not only expresses the assumption that Harry was born in Bermuda and the issue that Harry is a British subject, but also that there is a support relation between the two statements. In other words, the argument implies that there is a conditional relation between the two statements, that can – for instance – be expressed by the compound sentence ‘If Harry was born in Bermuda, he is a British subject’. The conditional ‘If … (then) …’ is here not construed as the notorious material conditional of standard logic. One important reason for this is that a material conditional is truth-functional: its truth value is determined by the truth values of the conditional’s antecedent and consequent. Cf. Haack (1978), Hage (1997), Prakken (1997), Verheij The conditional ‘If D, then C’ implied by an argument ‘D. So C’ should however intuitively reflect some relation between D and C that is not captured by the truth values of D and C alone. In order to prevent confusion with the material conditional, a dedicated arrow $\leadsto$ is used here. A conditional $D \leadsto C$ only validates Modus ponens. There is no way of deriving a conditional $D \leadsto C$ on the basis of logic alone; deriving $D \leadsto C$ will always be based on premises. For instance, $D \leadsto C$ does not follow from a deduction of C from D.$^4$ Still $D \leadsto C$ can follow, namely when it is the consequent of another conditional, e.g., $W \leadsto (D \leadsto C)$. See section 2.2. Statements expressed by sentences of the form ‘If ..., (then) ...’ can themselves be assumed or an issue, just like all other statements. For instance, an argument like ‘Harry was born in Bermuda. So he is a British subject’ can be considered to imply the assumption that if Harry was born in Bermuda, he is a British subject. A conditional assumption of this form can be referred to as the associated conditional of the argument (cf. Hitchcock, (1985)).$^5$ According to the present conventions, the argument ‘Harry was born in Bermuda. So he is a British subject’ implies the following: - It is assumed that Harry was born in Bermuda. - It is an issue that Harry is a British subject. - It is assumed that if Harry was born in Bermuda, he is a British subject. - It is justified that Harry was born in Bermuda. - It is justified that Harry is a British subject. - It is justified that if Harry was born in Bermuda, he is a British subject. The issue that Harry is a British subject is justified, since the statement that Harry was born in Bermuda is a justifying reason for it. In general, a statement D is said to be a justifying reason for another statement C if the statements that D and that if D, then C are both justified. The above can be summarized in a graphical representation of the argument (cf. Verheij (2003a, b)) (Figure 4). The exclamation mark indicates an assumed statement, the question mark a statement that is an issue. The associated conditional (that if Harry was born in Bermuda, he is a British subject) is depicted by the ![Diagram](image-url) Figure 4. An elementary argument. arrow. That the two elementary statements are justified is indicated by the plus signs and the dark bold font. Figure 5 shows what happens if it were an issue that Harry was born in Bermuda. Now both elementary statements are unevaluated (as is indicated by the light italic font and the zero sign) since for neither is there a justifying reason. The dark colour of the arrow indicates that the corresponding conditional statement is a justified assumption. By the present conventions an argument like ‘Harry was born in Bermuda. So he is a British subject’ is closely linked to the following formal derivation based on Modus ponens (From $\varphi$ and $\varphi \leadsto \Psi$, conclude $\Psi$): \[ \begin{align} \text{Harry was born in Bermuda.} & \quad \text{Harry was born in Bermuda} \\ \leadsto \text{Harry is a British subject.} & \quad \text{Harry is a British subject.} \end{align} \] The two premises of the derivation correspond to the two assumptions of the datum-claim argument (one of them the associated conditional), the conclusion of the derivation to the issue. The Modus ponens form of the derivation makes explicit how the evaluation status is transferred from the assumptions to the issue: when the statements that $\varphi$ and that $\varphi \leadsto \Psi$ are both justified, then the statement that $\Psi$ is also justified. It is tempting to read the Modus ponens-derivation itself as the following informal argument: () Harry was born in Bermuda. If Harry was born in Bermuda, then he is a British subject. So he is a British subject.$^6$ However, this informal argument is clearly another argument than the example ‘Harry was born in Bermuda. So he is a British subject’ (one relevant difference being that while the shorter example could occur in an ordinary argumentative text, the extended version () only occurs in logic-oriented texts). (See also Carroll’s dialogue ‘What the tortoise said to Achilles’, reprinted in Hofstadter (1980), that shows how adding the ‘If... then ...’-assumption underlying an argument leads to an infinite regress.) Until now, we have for convenience omitted the qualifier in Toulmin’s example. In the example, the datum ‘Harry was born in Bermuda’ does not support the claim ‘Harry is a British subject’ in an --- \[^6\] This is the same argument as the one that is used in the example of the datum-claim argument. unqualified manner, but only presumably. Concerning such qualifiers as Toulmin distinguishes in his scheme, we will here be very brief. A qualifier is simply thought of as some kind of modal operator on statements. As a result, Toulmin’s qualifier will be considered as being a part of the sentence that expresses the claim supported by the data. In Toulmin’s example, we will take it that the datum supports the claim ‘Presumably, Harry was born in Bermuda’. As a result, the relevant conditional is ‘If Harry was born in Bermuda, then presumably he is a British subject’ instead of the one used above. No semantic assumptions about the qualifiers are assumed here, in style with Toulmin’s loose treatment. For instance, he seems to use the qualifiers ‘presumably’ and ‘generally’ more or less interchangeably (even though the former suggests an epistemological and the latter an ontological point of view). There is much more to say about qualifiers (for instance, Peter McBurney has suggested that a proper treatment of qualifiers will lead to a richer set of rebuttals than discussed in section 3), but this falls outside of the scope of this paper. ### 2.2. Warrant The next step is to consider the warrants of arguments. Toulmin (1958) describes warrants as ‘general, hypothetical statements, which can act as bridges [between data and claim, BV], and authorize the sort of step to which our particular argument commits us’ (p. 98). In other words, warrants are inference licenses that express that certain claims follow from certain data. The warrant of Toulmin’s example on British subjecthood is the statement ‘A man born in Bermuda will generally be a British subject’. Toulmin thinks of warrants as general inference licenses: not only if Harry was born in Bermuda, he is a British subject, but also if John was born in Bermuda, he is a British subject, etc.$^7$ It seems that for Toulmin the statement ‘A man born in Bermuda will generally be a British subject’ is equivalent to a scheme like the following, where Person stands for any person: \[ \text{If } \textit{Person} \text{ was born in Bermuda, then generally } \textit{Person} \text{ is a British subject.} \] Here ‘Person was born in Bermuda’ and ‘Person is a British subject’ can be taken as a generic datum and claim, respectively. The apparent equivalence for Toulmin between rule statements like ‘A man born in Bermuda will generally be a British subject’ and conditional schemes like the one above is for instance suggested by his emphasis on the bridge-like character of warrants (e.g., p. 98 as cited above, and p. 105, where he discusses the difference between warrants and backings). The discussion of the formal validity of arguments of the type ‘D. W. So C’ (p. 118f., especially p. 119), where D stands for the data, W for the warrant and C for the claim, strengthens this suggestion. The formal structure of such an argument could be made explicit in the following way: \[ D(t). \ D(x) \sim > C(x). \text{ So } C(t). \] Here $ x $ is a variable instantiated by $ t $. (In general, there can be several variables.) Toulmin mentions a variant of this formal structure in the style of classical syllogisms: \[ X \text{ is an A. All A's are B's. So X is a B.} \] Somewhat confusingly, Toulmin is not fully consistent in his discussion of warrants: occasionally, he seems to refer to an instance of a conditional scheme (like the one above) as a warrant, for instance when he mentions the short form ‘If D, then C’, where D and C are particular (and not a generic) data and claim (p. 98). However, as stated previously, at other places Toulmin unambiguously emphasizes the generality of warrants (e.g., in the description of warrants cited above, p. 98, but also on p. 100, where he states that warrants certify the soundness of all arguments of the appropriate type). Summarizing, it is convenient to distinguish the following three: (1) A man born in Bermuda will generally be a British subject. (2) If Person was born in Bermuda, then generally Person is a British subject. (3) If Harry was born in Bermuda, then generally he is a British subject. The first is the ordinary language expression of a warrant. It is a rule statement that connects certain kinds of data to certain kinds of claims. It is these that in the present paper will be referred to as warrants (which is in agreement with Toulmin’s conception of warrants and with most of Toulmin’s examples). The second is the conditional scheme that is the formal explication of the bridge-like connection resulting from warrants. In a sense (and, as stated previously, apparently according to Toulmin) an ordinary language warrant like (1) above is equivalent to a conditional scheme such as (2): it may be taken that each implies the other. Moreover, it seems straightforward to write algorithms that translate the one to the other (at least for significant subsets of ordinary language examples of warrants, e.g., for simple generic sentences like ‘Bermudans are British subjects’ and ‘Thieves are punishable’). It should be noted however that in ordinary language argument, the conditional schemes will themselves never occur. They are merely convenient constructs in order to summarize the range of particular argument steps as they are licensed by the generic warrant that corresponds to the scheme. The third, ‘If Harry was born in Bermuda, then generally he is a British subject’, is the associated conditional that expresses that a particular datum implies a particular claim. Conditionals such as (3) are the instances of the conditional schemes like (2) that correspond to ordinary language warrants (1). The only formal connection between the three that will be used below is that between the warrant (in the sense of an ordinary language rule statement) and the associated conditional that forms the bridge from datum to claim. It can be expressed as the nested conditional ‘If W, then if D, then C’, or formally as $W \rightarrow (D \rightarrow C)$. The nested conditional expresses that it follows from the warrant that the claim follows from the datum. This nested conditional is normally left implicit in an argument, just like the conditional ‘If D, then C’. The result is graphically represented in Figure 6. That the statement that a man born in Bermuda will generally be a British subject, is a warrant is visualized by an arrow pointing to an arrow: here the arrow from the warrant statement points to the arrow representing the associated conditional that if Harry was born in Bermuda, he is a British subject. The warrant justifies the connection between datum and claim. The transfer of evaluation status from assumptions to issues can be made explicit as the two-step Modus ponens derivation shown in Figure 7. D, W and $W \rightarrow (D \rightarrow C)$ are assumptions of the data-claim-warrant argument. In Figure 6, $W \rightarrow (D \rightarrow C)$ is shown using a thicker line than $D \rightarrow C$ in order to show that the former is an assumption of the argument instead of an issue. ![Figure 6. Datum, claim and warrant.](image) $$\begin{align} ? & \quad \text{Harry is a British subject} \\ ! & \quad \text{A man born in Bermuda will generally be a British subject} \\ ! & \quad \text{Harry was born in Bermuda} \end{align}$$ ![Figure 7. A two-step Modus ponens derivation.](image) $$\begin{align} W. & \quad W \rightarrow (D \rightarrow C). \\ D. & \quad D \rightarrow C. \\ C. \end{align}$$ 2.3. Backing The next important element of arguments distinguished by Toulmin is that of the backing of warrants. Backings provide support for warrants. They become relevant when a warrant is challenged. This occurs when the legitimacy of the range of arguments as licensed by a warrant is challenged. In Toulmin’s example, the warrant that a man born in Bermuda will generally be a British subject, is supported by appeal to particular statutes and legal provisions (which are not explicitly mentioned by Toulmin). Formally, the relation between backing and warrant is the same as the relation between datum and claim,$^{10}$ and requires nothing new. An argument ‘B. So W’ (where B is a backing of some warrant B) can be analyzed just like an argument ‘D. So C’. In the former case, the associated conditional has the form ‘If B, then W’. In the example, it becomes ‘If the statutes and other legal provisions so-and-so obtain, then a man born in Bermuda will generally be a British subject’. Even though datum and backing formally play a related role, Toulmin notes a relevant difference between them: there are arguments containing data but without explicit backing (as in ‘D. So C’), while there are no arguments containing backing but lacking data. According to Toulmin, the occurrence of a backing presupposes the occurrence of data (and claim).$^{11}$ Toulmin also emphasizes the difference between backing and warrant: backings can be categorical statements of fact just like data, while warrants always are general bridge-like statements (cf. p. 105). A central point in Toulmin’s book is that different kinds of backings occur in different fields of argument. Among Toulmin’s examples of backings are statutes and acts of Parliament, statistical reports, appeals to the results of experiments and references to taxonomical systems. All can provide the backing that warrant the arguments as they are acceptable in particular fields. The graphical representation of an argument involving a backing is shown in Figure 8. ![Figure 8. Adding the backing.](image-url) If the backing were itself an issue, we would get what is shown in Figure 9. Neither the statement that Harry is a British subject nor the warrant statement that a man born in Bermuda will generally be a British subject, is now justified since there is no justifying reason for them. Note however that the arrows from backing to warrant and from warrant to the arrow from datum to claim are justified assumptions. The arrow from datum to claim is now an unevaluated issue (while it was a justified issue in Figure 8). It should be noted that the reconstruction of Toulmin’s analysis of arguments with data, (qualified) claim, warrant and backing as above is hardly a deviation from standard logical notions, though perhaps a different use of them. This is in contrast with Toulmin’s claims. As has been noted by others, the distinction of data, claim, qualifier, warrant and backing can be dealt with in a way that is not too far from standard logic, while retaining the differences between them. In the present reconstruction, the technical tools used are essentially a Modus ponens-validating conditional and variables (plus the unelaborated suggestion to consider modal operators for the qualifiers). The main differences between Toulmin’s treatment and standard logic arise from differences in emphasis with respect to philosophical and argumentation-theoretical starting points (such as the mentioned field-dependency of the backings of warrants and the distinction of different roles of statements in an argument). 3. REBUTTAL A genuine and radical deviation from standard logic is required by Toulmin’s notion of rebuttals. However, Toulmin hardly elaborates on the nature of rebuttals. 3.1. Kinds of rebuttals As Toulmin puts it, rebuttals involve conditions of exception for the argument (p. 101). Apparently, for Toulmin, rebuttals can have several functions. For instance, rebuttals can ‘indicate circumstances in which the general authority of the warrant would have to be set aside’ (p. 101), but can also be (and for Toulmin apparently equivalently) ‘exceptional circumstances which might be capable of defeating or rebutting the warranted conclusion’ (p. 101). On p. 102, he also speaks about the applicability of a warrant in connection with rebuttals. In other words, Toulmin speaks of the defeat (or rebutting) of the conclusion, of the applicability of the warrant and of the authority of the warrant, in a rather loose manner, without further distinction. Toulmin is unclear about the relation of these seemingly different situations. Here the three will be distinguished, in a way that naturally fits the reconstruction of the other elements of Toulmin’s scheme above, as follows. If we look at the warrant-data-claim part of Toulmin’s scheme (which in our reconstruction includes the qualifier), there are five statements that can be argued against: 1. The data D 2. The claim C 3. The warrant W 4. The associated conditional ‘If D, then C’ that expresses the bridge from datum to claim. 5. The associated conditional ‘If W, then if D, then C’ that expresses the bridge between warrant and the previous associated conditional.$^{12}$ Reasons against any of these statements can be seen as a kind of rebuttal of an argument that consists of warrant, data and claim (Figure 10). The first three speak for themselves, and are clearly all different. An argument against the datum that Harry was born in Bermuda (for instance by claiming that Harry was born in London) differs from an argument against the claim that Harry is a British subject (for instance by claiming that Harry has become a naturalized American) and from an argument against the warrant that a man born in Bermuda will \[\text{Figure 10. Five kinds of rebuttal.}\] generally be a British subject (for instance by claiming that those born in Bermuda are normally French). An argument against the fourth kind of statement (the first associated conditional), can be regarded as an attack on the connection between data and claim. Such attacks have been dubbed undercutting defeaters by Pollock (1987). Harry having become a naturalized American could be an argument against the connection between Harry being born in Bermuda and Harry being a British subject. An argument against the fifth kind of statement can be regarded as an attack against the warrant’s applicability: normally the warrant can justify the conditional that connects data and claim, but since there is a rebuttal, the warrant does not apply. In other words, when the associated conditional if W, then if D, then C, is not justified, the warrant, which normally gives rise to a bridge between data of type D and claim of type C, does not give rise to such a bridge for the actual data D and claim C at hand. For instance, Harry’s parents both being aliens could well be an argument against the applicability of the warrant that a man born in Bermuda will generally be a British subject. The three situations to which Toulmin attaches the term rebuttal (defeat of the conclusion, of the applicability of the warrant and of the authority of the warrant) are among these five kinds of rebuttals, viz. the second, fifth and third, respectively. The other two kinds of rebuttals of a warrant-data-claim argument, viz. that of the first and fourth kind, are apparently not mentioned by Toulmin. ### 3.2. The effect of rebuttal on argument evaluation We now turn to a major omission of Toulmin’s discussion: a topic he does not address is the effect of rebuttal on the evaluation status of the statements in an argument. Interestingly, this has turned out to be a notorious, but rewarding topic for logical study (cf. the work on formalizing defeasible and dialectical argument; see e.g. Chesñevar et al. (2000), Prakken and Vreeswijk (2002)). In the present approach, a third evaluation status is introduced in order to analyze the effect of rebuttal on the evaluation status: statements can not only be justified or unevaluated, but also defeated. The latter status applies when there is a defeating reason against the statement. A defeated statement is ‘contra-justified’. For instance, in the example, it can be defeated that Harry is a British subject in light of the reason against it that he has become a naturalized American, even though Harry was born in Bermuda. (See Verheij (2003a, b, 2005) for a discussion of technical difficulties of the evaluation of arguments.) One difficulty is the fundamental nonmonotonicity of the resulting logic: when assumptions are added it can occur that previously justified statements are no longer justified (cf. in a more general logical setting Gabbay et al. (1994)). In standard logic, when sentences are added to an initial set of sentences the truth of which is assumed, the set of implied truths never gets smaller. Additional assumptions normally allow more conclusions to be drawn, and never fewer. In contrast, in a context of reasoning with pros and cons, as for instance in Toulmin’s analysis of argument, where there is not only support but also attack, statements that are initially justified with respect to a set of assumptions can become defeated (or unevaluated) in light of additional assumptions. Toulmin’s example can be used as an illustration: when it is not assumed or otherwise justified that Harry’s parents were aliens or that he has become a naturalized American, etc., i.e., when the possible rebuttals are not effective, it is justified that Harry is a British subject on the assumption that he was born in Bermuda and that a man born in Bermuda will generally be a British subject. However, when one of the rebuttals is effective, e.g., when it is assumed that Harry’s parents were aliens, Harry being a British subject no longer follows as a justified statement, but is unevaluated (given that there are no other reasons for or against it). Just as justifying reasons for a statement can make an issue justified, defeating reasons against a statement can make it defeated. Formally, it is convenient to distinguish statements of the form ‘It is defeated that ...’, where the dots indicate a sentence expressing another statement. In this way, attack by reasons can be dealt with by analogy with support by reasons (cf. section 2.1). Whereas the support relation between data D and claim C is expressed by the associated conditional ‘If D, then C’, the attack relation between a rebuttal R and a claim C is expressed by the statement ‘If R, then it is defeated that C’ (for a rebuttal of the second kind above). The latter will formally be denoted as R xC (where xC expresses that it is defeated that C and is the conditional used to express support)$^{16}$ or more briefly as R ∼> xC. In general, a statement R is said to be a defeating reason against another statement C if the statement that R, and the statement that if R, then it is defeated that C, are both justified (cf. the notion of a justifying reason in section 2.1). It can now be defined which statements are supported by a set of assumptions (using the simple logical language with connectives ∼> and x as used above) and which attacked. A statement S is supported by the assumptions if the statement S is itself an assumption or follows from the assumptions by the repeated application of Modus ponens (From φ and φ ∼> ψ, conclude ψ). A statement S is attacked by assumptions if the statement that the statement is defeated (i.e. the statement that xS) is one of the assumptions or follows from the assumptions by the repeated application of Modus ponens. When a set of assumptions is conflict free, i.e., when there are no statements that are both supported and attacked by the assumptions, it is now easy to define the evaluation status of statements with respect to the assumptions, as follows. A statement is justified (with respect to the conflict-free set of assumptions) when it is supported by the assumptions. A statement is defeated (with respect to the conflict-free set of assumptions) when it is attacked by the assumptions. Any other statement is unevaluated (with respect to the conflict-free set of assumptions). Evaluation in the more important general case of possibly conflicting sets of assumptions is subtle (and those who are not formally inclined may want to pass over this). The definition for conflict-free sets does not work since when there is a conflict there are statements that are both supported and attacked by the assumptions. Therefore in the general case, the assumptions are considered to be defeasible in the sense that not all statements assumed to be justified need also turn out to be evaluated as justified when the whole set of assumptions is evaluated. The idea is that some of the assumptions are themselves defeated since they are attacked by other assumptions. As a result, a set of prima facie justified assumptions $\Delta$ is divided into two parts: the justified part and the defeated part. In words, the justified part is a maximal conflict-free subset of $\Delta$ that attacks all elements of the defeated part. Such a justified part is said to dialectically interpret $\Delta$. The formal definition is as follows: Let $\Delta$ be a set of sentences defeasibly assumed to be justified, and let $J$ be a subset of $\Delta$ (possibly equal to $\Delta$). Then $J$ dialectically interprets $\Delta$ when the following hold: 1. $J$ is conflict free. 2. Any statement in $\Delta$ that is not in $J$ is attacked by $J$. A dialectical interpretation of $\Delta$ is a pair of sets $(\text{Supp}(J), \text{Att}(J))$, where $J$ dialectically interprets $\Delta$. $\text{Supp}(J)$ consists of the statements supported by $J$, and $\text{Att}(J)$ consists of the statements attacked by $J$. The statements supported by $J$ are said to be justified in the dialectical interpretation of $\Delta$ corresponding to $J$, while those attacked by $J$ are said to be defeated. There is a close formal connection between this definition of dialectical interpretation and Dung’s argumentation frameworks (1995). Other related work has for instance been done by Pollock (1987), Reiter (1980), Loui (1998), Vreeswijk (1997), Prakken (1997), Hage (1997). There is a lot to say about this definition of dialectical interpretation. For instance, while some theories have a unique dialectical interpretation, others have none or several. For further information, the reader is referred to Verheij (2003a, b, 2005) and the software that can be downloaded at http://www.ai.rug.nl/~verheij/aaa/. Here we will confine ourselves to examples related to Toulmin’s scheme. 3.3. Toulmin’s example Let’s again consider Toulmin’s example concerning Harry. Assume as datum that Harry was born in Bermuda (D) and as rebuttal that Harry has become a naturalized American (R). It is an issue that Harry is a British subject (the claim C). For simplicity we first forget about warrant and backing. The relation between datum and claim is implicitly assumed, and can formally be expressed as $D \sim> C$. The relation of the rebuttal with datum and claim is assumed to be of the fourth kind above, i.e., as an attack against the associated conditional that If D, then C. Therefore the relation is expressible as $R \sim> x(D \sim> C)$. Formally, the set of assumptions $\Delta$ consists of four sentences, viz. D, R, $D \sim> C$ and $R \sim> x(D \sim> C)$. The set contains a conflict: $D \sim> C$ is both supported (since it is an assumption) and attacked (by applying Modus ponens on R and $R \sim> x(D \sim> C)$). The set of assumptions has a dialectical interpretation however: in it, the assumption $D \sim> C$ is defeated, while the other three are justified. The claim C is unevaluated since it is neither justified nor defeated in the dialectical interpretation. This is in accordance with the intuition that there is neither a justifying reason for C, nor a defeating reason against it. It can be checked that this is the only dialectical interpretation.$^{17}$ Graphically, we get Figure 11 for the case that the rebuttal is assumed. The arrow ending in a cross indicates that the rebuttal attacks the associated conditional that if Harry was born in Bermuda, he is a British subject. It is now not justified that Harry is a British subject since it is an issue for which there is no justifying reason. (Nor is it defeated.) The associated conditional is defeated (indicated by the dotted line) since there is a defeating reason against it, viz. the rebuttal. If it were an issue that Harry has become a naturalized American, Figure 12 would be the result. Now it is justified that Harry is a British subject, since the rebuttal does not have effect and the associated conditional is not defeated, but ![Figure 11. A rebuttal.](image-url) justified. The graphical representation clearly demonstrates that rebuttals can have a decisive effect on the evaluation of arguments and the statements in them: when the rebuttal is an issue, the claim is (prima facie) justified, but when the rebuttal is assumed, the claim is not justified. Recall that Toulmin did not distinguish between kinds of rebuttals. In the previous paragraphs, the rebuttal $R$ that Harry has become a naturalized American was considered to be a rebuttal of the fourth kind. Let’s now analyze the example considering $R$ as a rebuttal of the fifth kind, i.e., it attacks the applicability of the warrant in Harry’s case. Formally, this is denoted thus: $R \leadsto x(W \leadsto (D \leadsto C))$. In other words, if the rebuttal $R$ is justified, then it is defeated that the conditional that if $D$ then $C$, follows from the warrant $W$. As a result, in case of $R$, $W$ does not imply that $D$ can support $C$. The following are assumed: - $D$: Harry was born in Bermuda - $W$: A man born in Bermuda will generally be a British subject - $R$: Harry has become a naturalized American - $B$: The statutes and other legal provisions so-and-so obtain It is an issue that Harry is a British subject ($C$). The assumed logical connections (that are normally left implicit) are as follows: $$B \leadsto W$$ $$W \leadsto (D \leadsto C)$$ $$R \leadsto x(W \leadsto (D \leadsto C))$$ The set of assumptions contains a conflict: the nested conditional $W \leadsto (D \leadsto C)$ that expresses that $W$ implies that $D$ can support $C$, is both supported (as an assumption) and attacked (since its defeat follows from $R$ and $R \leadsto x(W \leadsto (D \leadsto C))$). In the unique dialectical interpretation, only $W \leadsto (D \leadsto C)$ is defeated (by the defeating reason $R$ against it), while the other six assumptions are justified. As a result, the statements that $D \leadsto C$ and that $C$ are unevaluated since there is no justifying reason for them. Assuming that the rebuttal is of the fifth kind, we get the graphical representation shown in Figure 13. The arrow ending in a cross indicates that the rebuttal that Harry has become a naturalized American attacks that the conditional that if Harry was born in Bermuda, he is a British subject, follows from the warrant statement. It is now neither justified nor defeated that Harry is a British subject since there is neither a justifying reason for it nor a defeating reason against it. If the rebuttal were itself an issue, the evaluation would be different, and it would be justified that Harry is a British subject (Figure 14). 3.4. The reinstatement of a claim An important phenomenon related to the evaluation of arguments as discussed above is the reinstatement of a claim. This occurs when a claim is at first justified, for instance in the light of an argument without rebuttal, subsequently unjustified, for instance when a rebuttal is added, and finally again justified, when the rebuttal is in turn shown Figure 13. Rebuttal of the fifth kind. Figure 14. If the rebuttal were an issue. to be unjustified. The latter might occur when the rebuttal is itself the claim of a scheme that is extended by a rebuttal. Toulmin does not discuss this phenomenon of reinstatement (simply because he does not discuss the evaluation of arguments at all). An example based on Dutch tort law is the following. It may be claimed that someone has committed an unlawful act on the basis of the datum that he has violated a property right. An example of the violation of a property right is the breaking of someone else’s window. In Dutch tort law, a warrant could be that violations of property rights are unlawful, which can be backed by article 6:162 of the Civil Code. If the argument is limited to the present information, the claim can be thought of as justified (on the basis of the argument). It can subsequently be argued that there is a rebuttal: there is a ground of justification for the act since the person obeyed an official’s command. (Note that the rebuttal is here the claim of a second scheme with the obeying of the official’s command as datum.) At this stage, the claim that an unlawful act has been committed is no longer justified on the basis of the argument involved. The argument can further be extended by adding a rebuttal to the second scheme: the official giving the command was unauthorized to do so. As a result the claim of the second scheme (viz. the existence of a ground of justification) is no longer justified. Since it is at the same time the rebuttal of the first scheme, it loses its rebutting effect in that scheme, and the claim that an unlawful act has been committed is again justified. Verheij (2003a, b) gives more examples of the evaluation of arguments and the reinstatement of statements. A full theory of dialectical arguments is presented in which statements (including conditional statements corresponding to support and attack) can be supported or attacked by any number of other statements and in which support and attack can be chained (thus for instance allowing the attack of an attacking statement). 4. CONCLUSION In the present paper, Toulmin’s scheme for the layout of arguments has been formally reconstructed. An important omission of Toulmin’s treatment has been repaired by providing an account of the evaluation of Toulmin-styled arguments. It has been discussed how the evaluation status of the statements in an argument is determined by a dialectical interpretation of the assumptions of the argument. In such an interpretation, assumptions are taken to be defeasible, so that they need not all be evaluated as justified in an interpretation: some can be defeated, viz. when they are attacked by a defeating reason against them. In order to achieve this, Toulmin’s scheme for the layout of arguments has been interpreted in terms of a theory of dialectical arguments (Verheij 2003a, b). It can be concluded from the present work that the main deviation from standard logic of Toulmin’s scheme is the element of rebuttal. Since Toulmin, the logic of rebuttal has deservedly received widespread attention (under the name of defeasible argumentation). The present paper is a continuation of that line of research. Another important point of Toulmin’s work is the field-dependency of the backings of the warrants underlying arguments. Toulmin has stressed that the rules of argument can vary from domain to domain. This raises a fundamental and a practical question. The fundamental question is what remains of logic when the rules of argument are variable. The practical question is to determine the rules of argument in particular domains. Both questions still require substantial research. Beginnings of answers to these important questions can be found in the works of Girle et al. (2003), Hage (1997), McBurney and Parsons (2000), Verheij (1999, 2003c) and Walton (1996). NOTES 1 Toulmin’s recent book Return to Reason (Toulmin, 2001) can be regarded as an elaboration of this critical stance. He speaks of a centuries-old imbalance in our pursuit of knowledge and defends reasonable judgment (grounded on practical experience) against the dominance of rationality (based on theory). 2 It is more precise to say that the propositional content of statements is expressed by sentences. Statements can be regarded as a kind of speech act (cf. Austin (1962), Searle (1969)). 3 David Hitchcock has informed me that the claim that an argument ‘Data, so claim’ implies the conditional statement ‘If data, then claim’ can be given historical support by reference to the Stoic interpretation of conditional propositions, as reported in Diogenes Laertius, Lives and Opinions of the Eminent Philosophers 7.71: ‘... the conditional connective ‘if’ ... declares that the second [i.e., the consequent] follows from the first [i.e., the antecedent].’ 4 In terms of the jargon associated with the rules of inference of natural deduction; $\rightarrow$ has the standard elimination rule for conditionals (viz. Modus ponens), but lacks the standard introduction rule. In fact, there is no rule of inference introducing $\rightarrow$. I have introduced the term ‘primitive implication’ for such a conditional (Verheij, 2003b). 5 The associated conditional of a data-claim argument is a ‘minimal’ commitment implicit in the argument, viz. simply the conditional that connects data and claim. In argumentation theory, the generalization of such a conditional to a rule statement (in our example the rule that those born in Bermuda are British subjects) is also often referred as the implicit assumption of an argument (van Eemeren et al., 1996, p. 14 and elsewhere). Those generalizations are here referred to as the warrants of an argument. See section 2.2 below and the last paragraph of section 1 of this paper. Hitchcock’s associated conditional of an argument (1985) is construed as a material conditional. There are other types of implicit assumptions (see, e.g., Ennis, 1982). 6 Such a reading of logical derivations as informal arguments is the basis of many textbooks that connect logic with informal argument. Here logical derivations play a related, but more modest role, viz. as explications of the transfer of evaluation status from assumptions to issues. It has been argued that a given data-claim argument can have different warrants, dependent on the scope of the generalization (cf. Hitchcock, 1998). It may be noted that our treatment has the effect that warrants, conditional schemes and their instances all use the same qualifier (unlike in Toulmin’s example where the qualifier in the warrant is ‘generally’ and the qualifier of the claim is ‘presumably’). The ‘generally’ in ‘If Harry was born in Bermuda, then generally he is a British subject’ refers to the class of (real or hypothetical) cases or situations in which Harry was born in Bermuda. Cf. also the remarks on qualifiers as modal operators in section 2.1. We use these conditionals here since DerLog and ArguMent (as described by Verheij (2003a, b, 2005)) do not have variables and variable instantiation. If these would be added to DerLog, the present treatment using conditionals $W \leadsto (D \leadsto C)$ could be replaced by stipulating equivalences between warrants $W$ and conditional generalizations $D(x) \leadsto C(x)$ and then deriving instances $D(i) \leadsto C(i)$ of $D(x) \leadsto C(x)$. As a result, the warrant of an argument ‘B. So W’ (where B is a backing of a warrant W) can again be challenged and require further backing. When the warrant $W^$ of the argument ‘B. So W’ is backed by $B^$, the warrant of the corresponding argument ‘B. So W’ can in turn be challenged, and so on, ad infinitum. As Toulmin remarks, some warrants must be left unchallenged (p. 106), just as some data for that matter. See e.g. Hage (2000) for a recent discussion of (amongst other topics) the resulting problem of justification (with an emphasis on the context of legal reasoning). Whether Toulmin is right here is arguable. For instance, in the law it is common to argue about the validity of legal rules, even outside the context of a concrete case to apply the rule to. This would correspond to an argument concerning the backing of a warrant (the legal rule), without having concrete data (the case facts) and claim (the legal consequence) in mind. Including variables and variable instantiation as suggested in note 9 would affect this fifth statement. The second kind of rebuttal is related to what Pollock (1987) calls rebutting defeaters. We do not elaborate on these here because that would involve technical detail that is not relevant here. Cf. e.g. Hage (1997), Prakken (1997), Verheij (1996) on priorities and weighing reasons. Especially in the law, the applicability of rules (which play a role similar to Toulmin’s warrants) is often at issue. Cf. Hage (1997), Prakken (1997), Verheij (1996). In Hage’s and Verheij’s work, it is also discussed how the weighing of reasons for and against a conclusion can be formally treated. It depends on one’s taste whether this approach is regarded as a three-valued interpretation of the whole of a logical language (in terms of the values $j$, $d$ and $u$ for justified, defeated and unevaluated) or as a two-valued interpretation of a part of the language (in terms of the values $j$ and $d$, with possibly some sentences of the language left uninterpreted). The sentence ‘It is defeated that C’ expresses the dialectical negation of the statement that C. Dialectical negation expresses the denial that a prima facie justified assumption is justified. See Verheij (2003a, b, 2005). An omission that I hope to fill in future work is that I did not yet provide a good explanation of the relation between ordinary negation and dialectical negation. In this case, a straightforward, but tedious approach would be to check all 16 subsets of the set of four assumptions. When $\Delta$ gets larger, this quickly becomes impossible in practice. A shorter argument for the present example goes as follows. Let $\Delta$ consist of the four assumptions $D$, $R$, $D \leadsto C$ and $R \leadsto x(D \leadsto C)$. $\Delta$ attacks only one sentence, namely $D \leadsto C$ since only the dialectical negation $x(D \leadsto C)$ of that sentence follows by Modus ponens from $\Delta$. Hence only $D \leadsto C$ is a candidate for being defeated in a dialectical interpretation of $\Delta$. As a result, there are only two subsets that might dialectically interpret $\Delta$, namely $\Delta$ itself or $\Delta$ minus $D \leadsto C$. $\Delta$ itself cannot be a dialectically interpreting set since it is not conflict free. $\Delta$ minus $D \leadsto C$ is a dialectically interpreting set since it is conflict free and attacks $D \leadsto C$. ACKNOWLEDGMENTS I thank Peter McBurney and David Hitchcock for their attentive, clever and scholarly comments. REFERENCES Austin, J. L.: 1962, How to Do Things with Words, Harvard University Press, Cambridge, MA. Bench-Capon, T. J. M.: 1997, ‘Argument in Artificial Intelligence and Law’, Artificial Intelligence and Law 5, 249–261. Cheshevar, C. I., A. G. Maguitman and R. P. Loui: 2000, ‘Logical Models of Argument’, ACM Computing Surveys 32, 337–383. Dung, P. M.: 1995, ‘On the Acceptability of Arguments and Its Fundamental Role in Nonmonotonic Reasoning, Logic Programming and n-Person Games’, Artificial Intelligence 77, 321–357. Ennis, R. H.: 1982, ‘Identifying Implicit Assumptions’, Synthese 51, 61–86. D. M. Gabbay, C. J. Hogger and J. A. Robinson (eds.): 1994, Handbook of Logic in Artificial Intelligence and Logic Programming, Volume 3. Nonmonotonic Reasoning and Uncertain Reasoning, Clarendon Press, Oxford. Girle, R., D. L. Hitchcock, P. McBurney and B. Verheij: 2003, ‘Decision Support for Practical Reasoning: A Theoretical and Computational Perspective’, in C. Reed and T. J. Norman, (eds.), Argumentation Machines. New Frontiers in Argument and Computation, pp. 55–84, Kluwer Academic Publishers, Dordrecht. Haack, S.: 1978, Philosophy of Logics, Cambridge, Cambridge University Press. Hage, J. C.: 1997, Reasoning with Rules. An Essay on Legal Reasoning and Its Underlying Logic, Kluwer Academic Publishers, Dordrecht. Hage, J. C.: 2000, ‘Dialectical Models in Artificial Intelligence and Law’, Artificial Intelligence and Law 8, 137–172. Hitchcock, D. L.: 1985, ‘Enthymematic Arguments’, Informal Logic 7, 83–97. Hitchcock, D. L.: 1998, ‘Does the Traditional Treatment of Enthymemes Rest on a Mistake?’, Argumentation 12, 15–37. Hofstadter, D.: 1980, Gödel, Escher, Bach: An Eternal Golden Braid, Vintage Books, New York. Loui, R. P.: 1998, ‘Process and Policy: Resource-Bounded Non-Demonstrative Reasoning’, Computational Intelligence 14, 1–38. McBurney, P. and S. Parsons: 2000, ‘Tenacious Tortoises: A Formalism for Argument over Rules of Inference’, Computational Dialectics (ECAI 2000 Workshop), Berlin. Pollock, J. L.: 1987, ‘Defeasible Reasoning’, Cognitive Science 11, 481–518. Prakken, H.: 1997, Logical Tools for Modelling Legal Argument. A Study of Defeasible Reasoning in Law, Kluwer Academic Publishers, Dordrecht. Prakken, H., G. and A. W. Vreeswijk: 2002, ‘Logics for Defeasible Argumentation’ in D. M. Gabbay and F. Guenthner (eds.), Handbook of Philosophical Logic, 2nd edition, Vol. 4, Kluwer Academic Publishers, Dordrecht, pp. 218–319. C. Reed and T. J. Norman (eds.): 2003, Argumentation Machines. New Frontiers in Argument and Computation, Kluwer Academic Publishers, Dordrecht. Reiter, R.: 1980, ‘A Logic for Default Reasoning’, Artificial Intelligence 13, 81–132. Searle, J. R.: 1969, Speech Acts: An Essay in the Philosophy of Language, Cambridge University Press, Cambridge. Toulmin, S. E.: 1958, The Uses of Argument, Cambridge University Press, Cambridge. Toulmin, S. E., R. Rieke and A. Janik: 1984, An Introduction to Reasoning, 2nd edition, Macmillan, New York. Toulmin, S. E.: 2001, Return to Reason, Harvard University Press, Cambridge MA. van Eemeren, F. H., R. Grootendorst and F. S. Henkemans: 1996, Fundamentals of Argumentation Theory. A Handbook of Historical Backgrounds and Contemporary Developments, Lawrence Erlbaum Associates Mahwah, NJ. Verheij, B.: 1996, Rules, Reasons, Arguments. Formal Studies of Argumentation and Defeat, Dissertation Universiteit, Maastricht. Verheij, B.: 1999, ‘Logic, Context and Valid Inference Or: Can There Be a Logic of Law?’, in H. J. van den Herik, M.-F. Moens, J. Bing, B. van Buggenhout, J. Zeleznikow and C. A. F. M. Grütters (eds.), Legal Knowledge Based Systems. JURIX 1999: The Twelfth Conference, pp. 109–121, Gerard Noodt Instituut, Nijmegen. Verheij, B.: 2002, ‘Evaluating Arguments based on Toulmins Scheme’, in H V. Hansen, C. W. Tindale, J. A. Blair, R. H. Johnson and R. C. Pinto (eds.), Argumentation and Its Applications, Ontario Society for the Study of Argumentation, Windsor, ON CD-ROM. Verheij, B.: 2003a, ‘Artificial Argument Assistants for Defeasible Argumentation’, Artificial Intelligence 150, 291–324. Verheij, B.: 2003b, ‘DeLog: On the Logical Interpretation of Prima Facie Justified Assumptions’, Journal of Logic and Computation 13, 319–346. Verheij, B.: 2003c, ‘Dialectical Argumentation with Argumentation Schemes: An Approach to Legal Logic’, Artificial Intelligence and Law 11, 167–195. Verheij, B.: 2005, Virtual Arguments. On the Design of Argument Assistants for Lawyers and Other Arguers, T. M. C. Asser Press, The Hague. Vreeswijk, G. A. W.: 1997, ‘Abstract Argumentation Systems’, Artificial Intelligence 90, 225–279. Walton, D. N.: 1996, Argumentation Schemes for Presumptive Reasoning, Lawrence Erlbaum Associates, Mahwah, NJ.
2 3 4 5 6 THE GENERAL ASSEMBLY OF PENNSYLVANIA SENATE BILL No. 81 Session of 2013 INTRODUCED BY GREENLEAF, FARNESE, ALLOWAY, BAKER, MENSCH, TARTAGLIONE, ERICKSON, BREWSTER, WILLIAMS, STACK, FONTANA, VULAKOVICH, HUGHES, SOLOBAY, FERLO, SCHWANK, YUDICHAK, RAFFERTY, BROWNE, PILEGGI, WOZNIAK, WAUGH, BRUBAKER AND DINNIMAN, JANUARY 9, 2013 SENATOR TOMLINSON, CONSUMER PROTECTION AND PROFESSIONAL LICENSURE, AS AMENDED, MAY 8, 2013 AN ACT Amending the act of December 4, 1996 (P.L.893, No.141), entitled liability of a volunteer license holder; and requiring "An act providing for volunteer health services; limiting reports," providing for volunteer mental health services for volunteer licenses and provide mental health services to military families; limiting liability of persons who hold 7 military families; and making editorial changes. The General Assembly of the Commonwealth of Pennsylvania 8 9 hereby enacts as follows: Section 1. The act of December 4, 1996 (P.L.893, No.141), 10 known as the Volunteer Health Services Act, is amended by adding 11 a chapter heading to read: 12 13 CHAPTER 1 14 PRELIMINARY PROVISIONS Section 2. Section 1 of the act is renumbered to read: 15 Section [1] 101. Short title. 16 This act shall be known and may be cited as the Volunteer 17 Health Services Act. 18 Section 3. Section 2 of the act is renumbered and amended to read: 1 2 Section [2] 102. Purpose. 3 It is the purpose of this act to [increase]: 4 5 (1) Increase the availability of primary health care 6 7 services by establishing a procedure through which physicians and other health care practitioners who are retired from 8 active practice may provide professional services as a volunteer in approved clinics serving financially qualified 9 10 persons and in approved clinics located in medically 11 12 13 14 underserved areas or health professionals shortage areas. (2) Increase the availability of mental health services by establishing a procedure through which physicians and other health care practitioners who are retired from active 15 practice may provide mental health services WITHIN THEIR SCOPE OF PRACTICE as a volunteer to United States military 16 personnel and their families whether inside or outside a 17 clinic setting. 18 Section 4. The act is amended by adding a chapter heading to read: 19 20 21 CHAPTER 3 PRIMARY HEALTH SERVICES AT APPROVED CLINICS 22 Section 5. Sections 3 and 4 of the act, amended June 19, 23 2002 (P.L.406, No.58), are renumbered and amended to read: 24 Section [3] 301. Definitions. 25 The following words and phrases when used in this act shall 26 have the meanings given to them in this section unless the 27 context clearly indicates otherwise: 28 "Approved clinic." An organized community-based clinic 29 offering primary health care services to individuals and 30 <-- families who cannot pay for their care, to medical assistance 1 clients or to residents of medically underserved areas or health 2 professionals shortage areas. The term may include, but shall 3 not be limited to, a State health center, nonprofit community- 4 based clinic and federally qualified health center, as 5 designated by Federal rulemaking or as approved by the 6 Department of Health or the Department of Public Welfare. 7 "Board." The State Board of Medicine, the State Board of 8 Osteopathic Medicine, the State Board of Dentistry, the State 9 Board of Podiatry, the State Board of Nursing, the State Board 10 of Optometry and the State Board of Chiropractic. 11 "Health care practitioner." An individual licensed to 12 practice a component of the healing arts by a licensing board 13 within the Department of State. 14 "Licensee." An individual who holds a current, active, 15 unrestricted license as a health care practitioner issued by the 16 appropriate board. 17 "Primary health care services." The term includes, but is 18 not limited to, regular checkups, immunizations, school 19 physicals, health education, prenatal and obstetrical care, 20 early periodic screening and diagnostic testing and health 21 education. 22 "Volunteer license." A license issued by the appropriate 23 board to a health care practitioner who documents, to the 24 board's satisfaction, that the individual will practice only in 25 approved clinics without remuneration, who is: 26 (1) a retired health care practitioner; or 27 (2) a nonretired health care practitioner who is not 28 29 required to maintain professional liability insurance under [the act of October 15, 1975 (P.L.390, No.111), known as the 30 Health Care Services Malpractice Act, or] the act of March 1 20, 2002 (P.L.154, No.13), known as the Medical Care 2 Availability and Reduction of Error (Mcare) Act, because the 3 health care practitioner is not otherwise practicing medicine 4 or providing health care services in this Commonwealth. 5 Section [4] 302. Volunteer status. 6 A licensee in good standing who retires from active practice 7 or a nonretired licensee who does not otherwise currently 8 practice or provide health care services in this Commonwealth 9 and is not required to maintain professional liability insurance 10 under [the act of October 15, 1975 (P.L.390, No.111), known as 11 the Health Care Services Malpractice Act, or] the act of March 12 20, 2002 (P.L.154, No.13), known as the Medical Care 13 Availability and Reduction of Error (Mcare) Act, may apply, on 14 forms provided by the appropriate board, for a volunteer 15 license. 16 Section 6. Section 5 of the act, amended June 19, 2002 17 (P.L.406, No.58), is renumbered to read: 18 Section [5] 303. Regulations. 19 Each board shall promulgate regulations governing the 20 volunteer license category. The regulations shall include 21 qualifications for obtaining a volunteer license. 22 Section 7. Section 6 of the act, amended July 8, 2007 23 (P.L.91, No.29), is renumbered and amended to read: 24 Section [6] 304. License renewal; disciplinary and corrective 25 measures. 26 27 (a) Renewal term.--A volunteer license shall be subject to biennial renewal. 28 (b) Fee exemption.--[Holders of] Persons who hold volunteer 29 licenses shall be exempt from renewal fees imposed by the 30 appropriate licensing board. 1 (c) Continuing education.--Except as set forth in subsection (d), [holders of] persons who hold volunteer licenses shall comply with any continuing education requirements imposed by 2 3 4 ``` board rulemaking as a general condition of biennial renewal. (d) Physicians.-(1) [Holders of] Persons who hold volunteer licenses [who] and are physicians shall complete a minimum of 20 credit hours of American Medical Association Physician's Recognition Award Category 2 activities during the preceding biennial period as a condition of biennial renewal and are otherwise exempt from any continuing education requirement imposed by section 910 of the act of March 20, 2002 (P.L.154, No.13), known as the Medical Care Availability and Reduction of Error (Mcare) Act, or by board rulemaking. (2) Physicians who are covered by section [10.2] 310 and hold an unrestricted license to practice medicine shall complete the continuing medical education requirements established by the boards under section 910 of the Medical Care Availability and Reduction of Error (Mcare) Act to be eligible for renewal of the unrestricted license. (e) Disciplinary matters.--In the enforcement of disciplinary matters, [holders of] persons who hold volunteer licenses shall be subject to those standards of conduct applicable to all licensees licensed by the appropriate board. Section 8. Section 7 of the act is renumbered and amended to read: Section [7] 305. Liability. (a) General rule.--A [holder of] person who holds a volunteer license [who] and, in good faith, renders professional 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 ``` health care services under this act shall not be liable for 1 civil damages arising as a result of any act or omission in the 2 rendering of care unless the conduct of the [volunteer licensee] 3 person falls substantially below professional standards which 4 are generally practiced and accepted in the community and unless 5 it is shown that the [volunteer licensee] person did an act or 6 omitted the doing of an act which the person was under a 7 recognized duty to a patient to do, knowing or having reason to 8 know that the act or omission created a substantial risk of 9 actual harm to the patient. 10 (b) Application.--This section shall not apply unless the 11 approved clinic posts in a conspicuous place on its premises an 12 explanation of the exemptions from civil liability provided 13 under subsection (a). The protections provided by this section 14 shall not apply to institutional health care providers, such as 15 hospitals or approved clinics, subject to vicarious liability 16 for the conduct of a volunteer license holder. The liability of 17 such institutional defendants shall be governed by the standard 18 of care established by common law. 19 Section 9. Section 8 of the act is renumbered to read: 20 Section [8] 306. Report. 21 Beginning 30 days after the effective date of this act and 22 every 30 days thereafter until such regulations are in effect, 23 the chairmen of the appropriate boards shall report in writing 24 to the Commissioner of Professional and Occupational Affairs on 25 the status of the volunteer license regulations, who shall 26 convey the required reports to the standing committees on 27 Consumer Protection and Professional Licensure and Public Health 28 and Welfare of the Senate and the standing committees on 29 Professional Licensure and Health and Human Services of the 30 House of Representatives. 1 Section 10. Section 9 of the act, amended June 19, 2002 2 (P.L.406, No.58), is renumbered and amended to read: 3 Section [9] 307. Exemptions. 4 For the purposes of this [act, volunteer licensees who] 5 chapter, persons who hold volunteer licenses and are otherwise 6 subject to the provisions of [the act of October 15, 1975 7 (P.L.390, No.111), known as the Health Care Services Malpractice 8 Act, or] the act of March 20, 2002 (P.L.154, No.13), known as 9 the Medical Care Availability and Reduction of Error (Mcare) 10 Act, shall be exempt from the requirements of that act with 11 regard to the maintenance of liability insurance coverage. 12 [Volunteer licensees holding] If the persons hold a license 13 issued by the State Board of Chiropractic, the persons shall be 14 exempt from the provisions of section 508 of the act of December 15 16, 1986 (P.L.1646, No.188), known as the Chiropractic Practice 16 Act. 17 Section 11. Section 10 of the act is renumbered and amended 18 to read: 19 Section [10] 308. State health centers. 20 [Services] Primary health care services of [volunteers] a 21 person who holds a volunteer license shall not be substituted 22 for those of Commonwealth employees. 23 Section 12. Section 10.1 of the act, added October 18, 2000 24 (P.L.599, No.76), is renumbered and amended to read: 25 Section [10.1] 309. Prescription of medication for family 26 members. 27 (a) General rule.--A [holder of] person who holds a 28 volunteer license [who] and was able to prescribe medication 29 pursuant to the laws of this Commonwealth while a licensee may 30 prescribe medication to any member of [his] the person's family 1 notwithstanding the family member's ability to pay for that 2 member's own care or whether that member is being treated at an 3 approved clinic. 4 (b) Liability.--The liability provisions of section [7(a)] 5 305(a) shall apply to a [holder of] person who holds a volunteer 6 license [who] and prescribes medication to a family member 7 pursuant to this section, whether or not the provisions of 8 section [7(b)] 305(b) have been followed. 9 (c) Construction.--Nothing in this section shall be 10 construed to allow a person who holds a volunteer license 11 [holder] to prescribe medication of a type or in a manner 12 prohibited by the laws of this Commonwealth. 13 (d) Definition.--As used in this section, the term "family 14 member" means a volunteer license holder's spouse, child, 15 daughter-in-law, son-in-law, mother, father, sibling, mother-in- 16 law, father-in-law, sister-in-law, brother-in-law, grandparent, 17 grandchild, niece, nephew or cousin. 18 Section 13. Sections 10.2 and 10.3 of the act, added June 19 19, 2002 (P.L.406, No.58), are renumbered and amended to read: 20 Section [10.2] 310. Indemnity and defense for active 21 practitioners. 22 A health care practitioner who provides health care services 23 at an approved clinic without remuneration under an active 24 nonvolunteer license shall be entitled to indemnity and defense 25 under the terms of whatever liability insurance coverage is 26 maintained by or provided to the practitioner to comply with 27 [the act of October 15, 1975 (P.L.390, No.111), known as the 28 Health Care Services Malpractice Act, or] the act of March 20, 29 2002 (P.L.154, No.13), known as the Medical Care Availability 30 and Reduction of Error (Mcare) Act, in the scope of their 1 regular practice. No health care practitioner may be surcharged 2 or denied coverage for rendering services at an approved clinic. 3 Nothing set forth in this section shall limit a carrier's right 4 to refuse coverage or to adjust premiums on the basis of 5 meritorious claims against the practitioner. 6 Section [10.3] 311. Optional liability coverage. 7 A [holder of] person who holds a volunteer license, or an 8 approved clinic acting on behalf of [a volunteer licensee, who] 9 such person, and elects to purchase primary insurance to cover 10 services rendered at an approved clinic shall not be obligated 11 to purchase excess coverage through the Medical Professional 12 Catastrophe Loss Fund or the Medical Care Availability and 13 Reduction of Error (Mcare) Fund. 14 Section 14. The act is amended by adding a chapter to read: 15 16 CHAPTER 5 17 MENTAL HEALTH SERVICES FOR 18 MILITARY FAMILIES Section 501. Definitions. 19 The following words and phrases when used in this chapter 20 shall have the meanings given to them in this section unless the 21 context clearly indicates otherwise: 22 "Approved organization." A nonprofit organization as defined 23 under section 501(c)(3) of the Internal Revenue Code of 1986 24 (Public Law 99-514, 26 U.S.C. § 501(c)(3)) whose purpose is to 25 refer United States military personnel and their families, 26 regardless of income and who are in need of mental health 27 services, to licensed volunteers who provide mental health 28 services, whether the mental health services are provided inside 29 or outside a clinic setting AND WHICH ORGANIZATION IS APPROVED <-- 30 2 BY THE DEPARTMENT UNDER SECTION 502. "Board." The State Board of Medicine, the State Board of - 10 - 2 services in this Commonwealth. ; OR (3) A NONRETIRED LICENSEE WHO IS NOT WORKING WITHIN THE (6) THE CONFIRMATION OF TAX-EXEMPT STATUS OF THE 1 2 ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE 2 SECTION 504. PUBLICATION. THE COMMISSIONER OF THE BUREAU OF PROFESSIONAL AND the continuing medical education requirements established by 1 the boards under section 910 of the Medical Care Availability 2 and Reduction of Error (Mcare) Act to be eligible for renewal 3 of the unrestricted license. 4 (e) (D) Disciplinary matters.--In the enforcement of 5 disciplinary matters, persons who hold mental health volunteer 6 licenses shall be subject to those standards of conduct 7 applicable to all licensees licensed by the appropriate board. 8 Section 505 506 . Liability. 9 (a) General rule.--A person who holds a mental health 10 volunteer license and, in good faith, renders professional 11 mental health services under this chapter shall not be liable 12 for civil damages arising as a result of any act or omission in 13 the rendering of care unless the conduct of the person falls 14 substantially below professional standards which are generally 15 practiced and accepted in the community and unless it is shown 16 that the person did an act or omitted the doing of an act which 17 the person was under a recognized duty to a patient to do, 18 knowing or having reason to know that the act or omission 19 created a substantial risk of actual harm to the patient. 20 (b) Application.--This section shall not apply unless the 21 person posts in a conspicuous place on the person's premises an 22 explanation of the exemptions from civil liability provided 23 under subsection (a). The protections provided by this section 24 shall not apply to institutional health care providers, such as 25 hospitals or approved clinics, subject to vicarious liability 26 for the conduct of a volunteer license holder. The liability of 27 such institutional defendants shall be governed by the standard 28 of care established by common law. 29 Section 506. Report. 30 <-- <-- <-- Beginning 30 days after the effective date of this chapter 1 and every 30 days thereafter until such regulations applicable 2 to this chapter are in effect, the chairmen of the appropriate 3 boards shall report in writing to the Commissioner of 4 Professional and Occupational Affairs on the status of the 5 mental health volunteer license regulations who shall convey the 6 required reports to the standing committees on Consumer 7 Protection and Professional Licensure and Public Health and 8 Welfare of the Senate and the standing committees on 9 Professional Licensure, Health and Human Services of the House 10 of Representatives. 11 Section 507. Exemptions. 12 For the purposes of this chapter, persons who hold a mental 13 health volunteer license and are otherwise subject to the 14 provisions of the act of March 20, 2002 (P.L.154, No.13), known 15 as the Medical Care Availability and Reduction of Error (Mcare) 16 Act, shall be exempt from the requirements of that act with 17 regard to the maintenance of liability insurance coverage. If <-- 18 the persons hold a license issued by the State Board of 19 Chiropractic, the persons shall be exempt from the provisions of 20 section 508 of the act of December 16, 1986 (P.L.1646, No.188), 21 known as the Chiropractic Practice Act. 22 Section 508. State health centers. 23 Mental health services of persons who hold a mental health 24 volunteer license shall not be substituted for those of 25 Commonwealth employees. 26 Section 509 508 . Prescription of medication for family members. <-- 27 (a) General rule.--A person who holds a mental health 28 volunteer license and was able to prescribe medication pursuant 29 to the laws of this Commonwealth while a licensee may prescribe 30 medication to any member of the person's family notwithstanding 1 the family member's ability to pay for that member's own care or 2 whether that member is being treated at an approved provider. 3 (b) Liability.--The liability provisions of section 505(a) 4 shall apply to a person who holds a mental health volunteer 5 license and prescribes medication to a family member pursuant to 6 this section, whether or not the provisions of section 505(b) 7 have been followed. 8 (c) Construction.--Nothing in this section shall be 9 construed to allow a person who holds a mental health volunteer 10 license to prescribe medication of a type or in a manner 11 prohibited by the laws of this Commonwealth OR TO PRACTICE 12 OUTSIDE THE PERSON'S SCOPE OF PRACTICE . 13 (d) Definition.--As used in this section, the term "family 14 member" means a volunteer license holder's spouse, child, 15 daughter-in-law, son-in-law, mother, father, sibling, mother-in- 16 law, father-in-law, sister-in-law, brother-in-law, grandparent, 17 grandchild, niece, nephew or cousin. 18 19 Section510 509. Indemnity and defense for active practitioners. 20 A health care practitioner who provides mental health 21 services upon the referral of an approved organization without 22 remuneration under an active nonvolunteer license shall be 23 entitled to indemnity and defense under the terms of whatever 24 liability insurance coverage is maintained by or provided to the 25 practitioner to comply with the act of March 20, 2002 (P.L.154, 26 No.13), known as the Medical Care Availability and Reduction of 27 Error (Mcare) Act, in the scope of their regular practice. No 28 health care practitioner may be surcharged or denied coverage 29 for rendering mental health services upon the referral of an 30 <-- <-- approved organization. Nothing set forth in this section shall 1 limit a carrier's right to refuse coverage or to adjust premiums 2 on the basis of meritorious claims against the practitioner. 3 Section 511 510 . Optional liability coverage. 4 A person who holds a mental health volunteer license or an 5 approved organization and elects to purchase primary insurance 6 to cover mental health services rendered upon referral of the 7 approved organization shall not be obligated to purchase excess 8 coverage through the Medical Professional Catastrophe Loss Fund 9 or the Medical Care Availability and Reduction of Error (Mcare) 10 Fund. 11 Section 15. The act is amended by adding a chapter heading 12 to read: 13 14 CHAPTER 7 15 MISCELLANEOUS PROVISIONS Section 16. The act is amended by adding a section to read: 16 Section 701. (Reserved). 17 Section 17. Section 11 of the act is renumbered to read: 18 Section [11] 702. Effective date. 19 This act shall take effect in 60 days. 20 Section 18. This act shall take effect in 60 days. 21 <--
Aeroflot Group Consolidated financials (IFRS) 9M2011 Moscow December 20, 2011 Speaker: Shamil Kurmashov Deputy Director General Finance and investments Настоящий документ был использован для сопровождения устного доклада и не содержит полного изложения данной темы. Table of contents 1.Introduction 2.Market position of the Group 3.Operating highlights 4.Financial results 5.Conclusions 6.Appendix * * * * * Key highlights for the 9 month 2011 November 15, 2011 JSC "Aeroflot" completed the transaction of receiving airlines owned by State Corporation "Russian Technogies". LLC "Aeroflot-Finance" received stakes in JSC "Vladivostok Avia" (52.156%), JSC "Saratov Airlines" (51%), JSC "SAT Airlines" (100%), JSC "Rossiya Airlines"(75% minus 1 share) , JSC "Orenburg Airlines" (100%) in exchange for 3.55% stake of charter capital of JSC "Aeroflot – Russian Airlines". Aeroflot received the award «Russian Business Travel & MICE Award» in category «Best company for business travelers». «Russian Business Travel & MICE Award» is an annual award established by Business Travel magazine and internet portal Conference.ru. Aeroflot was awarded by SAP Company for best implementation SAP's products in transport sector. SAP ERP system has been implementing in JSC 'Aeroflot" since 2009. According to the rating of the Boston Consulting Group (BCG) – the world leader in operating consulting and business strategy developing, JSC "Aeroflot" took seventh place among top ten transport and tourist companies. Pursuant to the research total shareholder return, volume of sales, margin performed certain growth in recent years. Aeroflot took first place in roadmap of innovation development award "ROADMAP 2011". Aeroflot's innovation projects are carried out in cooperation with relevant universities, scientific organizations and entities of small and medium business. Table of contents 1.Introduction 2.Market position of the Group 3.Operating highlights 4.Financial results 5.Conclusions 6.Appendix Russian air transportation market 22.0 2001 Source: Source: TCH * At the end of 9 months of 2011 the share of Aeroflot Group in RCA amounted for 23,8% * According to the Ministry of Transportation the estimated passenger traffic of RCA will reach about 63.5 million people, which is 11% more than in 2010 Development potential of the Russian air transportation market 2013E Source: TCH, Ministry of Transportation Trips per capita GDP Growth Projections for 2011 Source: IMF, Ministry of Transport of the Russian Federation Source: Bloomberg * The Russian air transportation market has a significant growth potential due to forecasted GDP increase, which exceeds other countries' expectations * As per Ministry of transportation the estimated mobility index could reach the same level as this of EU countries by 2025 Market position of the Group Passenger traffic [mln.pax.] Source: TCH Passenger turnover [bln.pkm.] Source: TCH Share in RCA Growth rates of basic operating indicators Source: АЕА, estimates of Aeroflot * АЕА – Association of European Airlines (scheduled flights data) * Aeroflot is the leader of the Russian Civil Aviation * The growth pace in operational performance of Aeroflot Group exceeds the dynamics of Association of European Airlines Table of contents 1.Introduction 2.Market position of the Group 3.Operating highlights 4.Financial results 5.Conclusions 6.Appendix Route network – schedule for winter 2011/2012 Planned ASK increasing according to the winter schedule 2011/2012 ASK increasing break-down by regions in the winter schedule 2011/2012 8000 4000 * From January till September of 2011 Aeroflot operated its own flights to 127 destinations in 54 countries * Apart from the flights of its own from Sheremetyevo Airport, the Company operates 134 flights under code sharing agreements * The transit passenger traffic of the Company increased by 19% during the nine months of 2011 compared to the same period of 2010 and amounted to 3.93 million passengers, or 34.7% of the total passenger traffic volume of the company Fleet of the Group as of 30.09.11 Boeing 737 SSJ 100 * As of 30.092011 operation of this aircraft was terminated * The operated fleet includes mainly modern fuel-efficient aircraft. As of the end of September 2011 69% of the Group's aircraft were under operating lease agreements, 25% – under financial lease agreements * The average age of Aeroflot's aircraft in operation is 5,2 years Order and phase off plan of JSC "Aeroflot" Delivery schedule in accordance with contracts in force Regional SSJ-100 A-320 A-321 Long-haul A-330 B-777 B-787 TOTAL Phase off schedule of aircraft By the year 2015 Aeroflot is planning to replenish its fleet with 87 modern aircraft. Fleet efficiency of JSC "Aeroflot" * In the nine months of 2011 the Company increased its flight hours by 19.5% compared to the same period in 2010 * Fuel consumption per ton-km rose insignificantly by 2.9% year-on-year as a result of reduction in the average flight distance due to increased operations on domestic flights Headcount and labor productivity Headcount Aeroflot Aeromar Donavia Nordavia Terminal Aerofirst Sherotel Aerofot-Finance TOTAL Labor productivity Passenger turnover/Average headcount Revenue/Average headcount [mln.pkm/units] Passenger traffic/Average headcount [ths.pers./units] * Headcount of CJSC "Nordavia" as of 31.05.2011 totaled 1 351 * The labor productivity of JSC "Aeroflot" and Aeroflot Group performed growth of in the nine months of 2011 * The headcount of JSC "Aeroflot" increased by 8% due to the enhanced cabin crew on the back of growing aircraft fleet and number of work done [$ ths./units] Operating indicators of Aeroflot Group [ths.pax.] 1 063 941 740 Seat load factor [%] 70,9 70,1 * * 2 944 2 903 2 469 4 092 3 603 60,9 In spite of the sale of CJSC "Nordavia" in June 2011, the majority of operational performance measures are higher than the previous years indicators Minor arrears in the seat load factor compared to 2010 could be explained by introduction of new long-haul transportation and, consequently, by increasing passenger capacity Revenue rates Yield The revenue rates of the Group grew up in the nine months of 2011 reflecting the increased demand for Aeroflot Group services in the passenger transportation market JSC "Aeroflot" operating indicators dynamic by region +17.9% * Yield * Following the approved strategy of strengthening positions on the popular tourist directions, Aeroflot significantly increased its long-haul transportation capacities. The largest growth was demonstrated in Europe, Asia, Russia and CIS * Growth rates of passenger capacity temporarily exceeds the passenger turnover as a result of growing presence in the Asian market Traffic revenue of Aeroflot Group by region 185 The substantial growth in revenue from scheduled passenger carriages is observed primarily due to the growing traffic capacity of the Group in Asia, Europe and Russia Table of contents 1.Introduction 1.Market position of the Group 2.Operating highlights 3.Financial results 4.Conclusions 5.Appendix Key financials Index Revenue EBITDAR* EBITDA** vly 24% 28% 3% 2% -1% 37% -5 p.p. -3 p.p. \| unit \| JSC “Aeroflot” \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| 9m2010 \| 9m2011 \| vly \| 9m2010 \| 9m2011 \| \| $ mln. $ mln. $ mln. $ mln. $ mln. $ mln. % % \| 2 793 3 560 27% 2 335 3 031 30% 808 910 13% 585 668 14% 458 529 16% 350 472 35% 29% 26% -3 p.p. 21% 19% -2 p.p. \| \| \| \| \| * EBITDAR = EBITDA + Operating lease expenses ** EBITDA = Operating income + Amortization + Custom duties * The revenue of JSC "Aeroflot" increased by 27% and the operating profit by 16% * EBITDA of JSC "Aeroflot" and Aeroflot Group went up by 14% and 2% respectively * The net income of JSC "Aeroflot" grew by 35%, while that of the Group – by 37% Aeroflot Group's financial indicators dynamic Key financial indicators of the Group [$ мmln] 9m2011 Dynamic of the financial indicators of JSC "Aeroflot" [$ mln] 9m2011 * The main financial indicator of JSC "Aeroflot" demonstrated a stable growth during the nine months of 2011 * EBITDAR raised by 13%, while the net income of JSC "Aeroflot" increased by 35% Group's revenue factorial analysis * The substantial increase in Aeroflot Group's revenue is caused primarily by the growing passenger traffic * Other income rose by 53% as a result of Aerofirst consolidation and Terminal's revenue growth Structure of the Group's net income * Financial result of the Group was significantly affected by deconsolidation of the accumulated losses from disposal of subsidiaries and associates * JSC "Terminal", subsidiary company, undertook a significant loss due to the foreign exchange effect Factorial analysis of the net income of JSC "Aeroflot 472 * The main share is attributed to the revenue from fueling and income from airline agreements ** Profit from disposal of investments in associated and subsidiary * The revenue grew due to the raised traffic volumes as well as higher tariffs. Increase in operating income exceeded the increase in operating expenses * The net profit of the Company was positively affected by the sale of Nordavia, "Moscow" Insurance Company" and "TZK "Sheremetyevo" companies Factorial analysis of the Group's net income 384 * The main share is attributed from revenue of duty free trading , fueling, airport services and income from airline agreements ** Including financial result from selling of investments in subsidiaries and affiliates and deconsolidation of accumulated loss * The growth of non-aviation revenue is stipulated primarily by Aerofirst consolidation and increase in income of JSC "Terminal" * Financial result of the Group was positively affected by the disposal of "Nordavia", "Moscow" Insurance Company" and "TZK "Sheremetyevo" companies Operating income of the subsidiaries Operating income / loss of the subsidiaries [$ mln] 9m2010 9m2011 * * Significant operating loss of JSC "Donavia" is caused by reorganization of route network and cancellation of charter flights from/to Sheremetievo During the nine months of 2011 JSC "Terminal" received operating profit in amount of $52 million Debt leverage of Aeroflot Group Indicators Borrowings Total debt Net Debt \| unit \| JSC “Aeroflot” \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| 31.12.10 \| 30.09.11 \| vly \| 31.12.10 \| 30.09.11 \| \| $ mln. $ mln. $ mln. $ mln. $ mln. \| 402 438 719 831 14 13 89 3 1 224 1 285 \| \| 9% \| 1 313 1 372 734 840 14 13 91 3 2 152 2 228 \| \| \| \| \| \| 16% \| \| \| \| \| \| \| -7% \| \| \| \| \| \| \| -97% \| \| \| \| \| \| \| 5% \| \| \| \| $ mln. $ mln. \| 668 639 556 646 \| \| -4% \| 666 559 1 486 1 669 \| \| \| \| \| \| 16% \| \| \| vly 4% 14% -7% -97% 4% -16% 12% TOTAL DEBT / EBITDA* [x] * EBITDA is annualized. * The debt leverage of JSC 'Aeroflot' and the Group is rather low * Following the deconsolidation of JSC "Terminal" planned in the fourth quarter of 2011, the Total Debt/EBITDA ratio should decrease from 3.1x to 2.2x In comparison with European airlines Indicators Financial indicators Revenue EBITDA Net income Total Debt* Operating indicators Passenger turnover Passenger capacity Seat load factor vly 25% -26% -284% 121% 19% 25% -1p.p. Source: Bloomberg * Financial and operating indicators for the period form January, 1 till September, 30 of 2011 EBITDA = Operating income + Amortization * Total Debt = Borrowings + Financial lease liabilities * * Revenue of the Group increased by 24%, exceeding the performance of major European airlines. Moreover, Aeroflot Group demonstrates one of the highest EBITDA margin Growth rates of the Group's operating indices exceed those of numerous major European companies Table of contents 1.Introduction 2.Market position of the Group 3.Operating highlights 4.Financial results 5.Conclusions 6.Appendix Conclusions * The nine months of 2011 resulted in growth of main operating indicators. The actions taken to refine the route network as well as wise revenue rates management speeded up the operating and financial indicators growth during the nine months of 2011 * * Revenue of Aeroflot rose by 27% compared to the same period in 2010, operating profit rose by 16%. EBITDA of JSC 'Aeroflot' and the Group increased by 14% and 2% respectively. The net profit of JSC "Aeroflot" went up 35%, while that of the Group – 37% The debt leverage of JSC 'Aeroflot' and the Group is rather low. Following the deconsolidation of JSC "Terminal" planned in the fourth quarter of 2011, the Total Debt/EBITDA ratio should decrease from 3.1x to 2.2x Table of contents 1.Introduction 2.Market position of the Group 3.Operating highlights 4.Financial results 5.Conclusions 6.Appendix Operating indicators Indicators Passenger turnover international flights domestic flights Passenger capacity International flights domestic flights Cargo tonne International flights domestic flights Passenger traffic International flights domestic flights Cargo / mail International flights domestic flights Seat load factor International flights domestic flights vly 12% 17% 2% 12% 17% 3% 8% 11% 0% 9% 15% 2% -7% -5% -11% -0.2 p.p. +0.3 p.p. -0.8 p.p. Налет ВС 15% The nine months of 2011 resulted in growth of main operating indicators compared to the same period in 2010
Verarbeitungsanleitung Installation instruction Hohlkehlleistensysteme Cove skirting systems * Zweiteiliges System/ Two-part system: HK 15x15, 20x20, 25x25, 30x30 + EL 3,5 / EL 3,5 sk / EL 8 * Einteiliges System/ One-piece system: HK 100, HK 100/80, HK 100 elastisch Zur Montage benötigen Sie: For the installation you need: Döllken Sockelleistenschere/ skirting scissors Gummihammer/ Rubber hammer Hohlkehlsockelleistensysteme/ Cove skirting systems Einteiliges System/ One-piece system A (Hohlkehle und Abschlussprofil in einem Profil/concave profile and end profile in one profile) * HK 100 basic * HK 100/80 Zweiteiliges System/ Two-part system (Hohlkehle und Abschlussprofil/ Concave profile and end profile) B 1) Hohlkehlprofil/ Concave profile * HK 15/15 * HK 20/20 * HK 25/25 * HK 30/30 2) Abschlußprofil/end profile * EL 3,5 SK * HK 100 elastisch * Bestehend aus phthalatfreien elastischem Polyblend auf Basis von PVC (sämtliche Inhaltsstoffe sind REACH-konform) * Consists of phthalate-free elastic polyblend based on PVC (all ingredients are REACH compliant) Döllken Profiles GmbH Industriestraße 1 59199 Bönen Follow us on Bitte beachten Sie die Allgemeinen Hinweise zur Vor- und Nacharbeit, bevor Sie mit der Montage der Sockelleisten beginnen. Sie finden diese in der App oder in unserem Downloadcenter unter doellken-profiles.com. Verwendung Das Döllken Profiles Hohlkehlsockelleistensystem wird bei elastischen Bodenbelägen im Übergang von Wand zu Boden eingesetzt, um eine Sockelausbildung mit Hohlkehle auszuführen. Hierzu werden die Profile, welche den Bodenbelag unterstützen und somit vor Beschädigungen schützen, wandseitig befestigt und darauf der Bodenbelag einige Zentimeter an der Wand nach oben geführt. In Reinst- und Reinräumen, wie z.B. in Großküchen, in der Lebensmittelindustrie, Labors oder in Krankenhäusern kommen sie zum Einsatz, um die erhöhten Hygieneanforderungen zu erfüllen. Durch die Ausbildung einer Hohlkehle lassen sich die Beläge leichter im Sockelbereich reinigen und es kann sich weniger Schmutz ansammeln. Überzeugende Vorteile * Ermöglichen die perfekte Hohlkehlsockelausbildung * Hohlkehle vereinfacht die Reinigung und Pflege * Verhindert die Ansammlung von Schmutz und Bakterien * Schutz vor Brüchen des Belages im Hohlkehlbereich So einfach geht die Verlegung Vorbereitung Untergrund: * Muss dauerhaft trocken, hart, tragfähig, plan, fett-, staub- und silikonfrei sein; gegebenenfalls Staub mit einem lösemittelfreiem Voranstrich binden. * Rauheit des Untergrundes beachten, welche eine vollflächige Verklebung verhindern kann. * Begrenzung: Untergründe bis maximal 1 mm Oberflächenstruktur. * Lose Wanduntergründe wie Tapeten, Farben o.ä. stellen keinen geeigneten Untergrund zur Klebung dar. Auch auf Wandbeschichtungen darf nicht geklebt werden. In jedem Fall sind vor Montage die aktuellen Klebstoffempfehlungen und Verlegeanleitungen der Hersteller einzuholen. Verfahrensweise bei der Montage Einteiliges Hohlkehlsystem: A Hohlkehlprofile HK 100, HK100/80 oder HK 100 elastisch: * Wir empfehlen die Profile mit Profilleistenklebstoff (Kartuschenkleber) mit schnellen Anzugsvermögen zu befestigen. * Weiterhin sind Kontaktklebstoffe geeignet. * Beachten Sie die aktuelle Verarbeitungsanleitung des jeweiligen Herstellers. Verarbeitung * Der Bodenbelag wird mit Abstand ca. 10 cm zu den Wandflächen komplett verlegt und verklebt. * Danach wird das Hohlkehlprofil vollflächig zur Wand verklebt. Ausbildung der Innenecken und Außenecken: * Das Profil wird liegend mit Rückseite nach unten eingelegt und mit einer Kappsäge geschnitten. * Die Innenecken und Außenecken werden auf Gehrung geschnitten. * Empfehlenswert ist auch eine Kaltverschweißung der Profilstöße, insbesondere des sichtbaren Profildaches. * Die Belagsstreifen auf die Breite zuschneiden (ca. 20cm Breite). * Dann wird der 1. Gehrungsschnitt mit einer Metallschablone durchgeführt. * Die Klebung der Belagsstreifen erfolgt mit Kontaktklebstoff (beidseitiger Auftrag). * Die Belagsstreifen werden mit Klebstoff eingestrichen. * Der vorbereitete Belagsstreifen wird unter das Dach der HK 100, HK 100 elastisch oder HK 100/80 eingelegt und in die Hohlkehle eingedrückt. * Vor dem Erreichen der Ecke (ca. 1 m) wird die nächste Gehrung am Belagsstreifen mit einer Metallschablone geschnitten. Anschließend kann der Streifen wie zuvor in die Hohlkehle eingedrückt werden. * Der ca. 1 cm auf dem Bodenbelag überstehende Belagsstreifen wird anschließend mit dem Anreißer markiert und mit dem Hakenmesser abgeschnitten. Dabei soll eine Fuge von ca. 0,5 mm entstehen. * Bei der gesamten Montage ist wichtig, dass der Belagsstreifen fest angedrückt bzw. angerieben wird. * Der Übergang zwischen Hohlkehlleisten und Bodenbelag wird dann wie der Nahtbereich gefräst und mit einer Schweißschnur abgedichtet. Verfahrensweise bei der Montage Zweiteiliges Hohlkehlsystem Teil 1 - Hohlkehlprofile HK 15x15, 20x20, 25x25, 30x30: * Wir empfehlen für einen sauberen Übergang vom Belag zur Wand das Befestigen eines Einfassprofils EL 3,5. [x] Leichte Reinigung des Profildaches [x] Sauberer Übergang zur Wand [x] Vermeidet Ansammlung von Schmutz und Bakterien * Zur Verklebung können folgende Klebstoffe eingesetzt werden: [x] Lösemittelfereie Kontaktklebstoffe [x] Trockenkleber Uzin Remur 95 [x] Montageklebstoffe mit hoher Anfangshaftung * Bei der Auswahl der Klebstoffe ist zu beachten, dass diese für die Verklebung von Weich-PVC geeignet sind. * Die Profile können auch mit einem geeignetem Montagekleber befestigt werden. * Der Zuschnitt der Hohlkehlprofile erfolgt mittels einer handelsüblichen Profilschere. * Die Innen und Außenecken werden auf Gehrung zugeschnitten. Hier dürfen keine Hohlstellen entstehen. * Die Hohlkehlprofile sind umlaufend Stoß auf Stoß (ohne Lücken) zu befestigen. Montage mit Kontaktkleber * In ca. 10 cm Höhe wird an der Wand eine umlaufende Markierung angebracht, die gleichzeitig als Klebstoffabgrenzung und Anlegelinie für das Abschlußprofil EL 3,5 dient. * Danach wird das Hohlkehlprofil mit Kontaktklebstoff (Auftrag auf Boden -und Wandschenkel der Hohlkehle) geklebt. * Die Belagsstreifen werden mit Klebstoff eingestrichen, unter das Dach der EL 3,5 eingeschoben und in die Hohlkehle eingedrückt. WICHTIG: Belagsstreifen fest angedrücken bzw. anreibeben. * Der ca. 1 cm auf dem Bodenbelag überstehende Belagsstreifen wird anschließend mit dem Anreißer markiert und mit dem Hakenmesser abgeschnitten. Anschließend wird die Verbindung zwischen dem Belagsstreifen und dem Bodenbelag hergestellt. * Bitte hierzu die Instruktionen des Belagsherstellers beachten. Montage mit Trockenkleber Uzin Remur 95 * Hierzu bitte die Instruktionen des Herstellers beachten. Teil 2 - Abschlussprofil EL 3,5 Ausbildung der Innenecken und Außenecken mit der Sockelleistenschere: * Das Profil wird liegend mit Rückseite nach unten und das Profildach zum Anlagewinkel an die Döllken Sockelleistenschere eingelegt und auf Länge zugeschnitten. * Die Innenecken werden auf Gehrung geschnitten, hierbei wird ca. 1 cm des unteren Schenkels entfernt und dann das Profildach nach unten liegend in die Profilleistenschere eingelegt und zugeschnitten. * Bei Ausbildung der Außenecken wird die Profilnase nicht durchgeschnitten, es wird nur der untere Schenkel bis unter das Dach getrennt. Somit kann die Nase gebogen werden und es entstehen keine offenen Gehrungsschnitte im Dachbereich des Profils. * Beim Biegevorgang sollte das Profil mit einem dünnen Draht oder Kabel (Ø ca. 2,5-3mm) unterstützt werden, damit es nicht nach unten klappt und somit eine einfache Montage des Belages gewährleistet. * Bei der Verarbeitung mit einer Kapp-/ Gehrungssäge werden die Profile jeweils auf Gehrung zugeschnitten. 3 Montagemöglichkeiten: Selbstklebende Version (Trockenklebstoff): JETZT NEU: Selbstklebend ausgestattete Version mit rückseitig applizierten Markenklebeband zur einfachen und schnellen Montage „Fixierungshilfe" der Profile. Vorbereitung Untergrund: * muss dauerhaft trocken, hart, tragfähig, plan, fettstaub- und silikonfrei sein. ggegebenfalls Staub mit einem lösemittelfreiem Voranstrich binden. * Rauheit des Untergrundes beachten, welche eine vollflächige Verklebung verhindern kann. * Begrenzung: Untergründe bis max. 1 mm Oberflächenstruktur. Montage: * Profil auf Länge zuschneiden. * Schutzpapier entfernen. * Profil gleichmäßig zur Wand (zum Untergrund) ansetzen und andrücken. * Hohlstellen und Spannungen sind zu vermeiden * Profile mit einem Gummihammer unter verwendung eines Schlagklotzes fortlaufend lückenlos anschlagen (Das Schlagklotz verhindert eine Beschädigung des Profildaches). 2 Kleben * Für Döllken-Abschlussprofile EL3,5 empfehlen wir die Verwendung von einem Profilleistenklebstoff (Kartuschenkleber) mit schnellen Anzugsvermögen. * Weiterhin sind Kontaktklebstoffe geeignet, hierbei ist die aktuelle Verarbeitungsanleitung des jeweiligen Herstellers zu beachten. 3 Nageln * Die Leisten können auch auf herkömmliche Art mit versetzt angeordneten, in jedem Fall verzinkten Stahlstiften befestigt werden. * Hierbei ist die Länge der Stahlstifte entsprechend dem Untergrund zu wählen, da eine feste, dauerhafte Verbindung gewährleistet sein muss. * Es ist unbedingt ein Nagel-/Befestigungsabstand von maximal 25 cm einzuhalten. Der Abstand der Nagelung zu Ecken und Stößen sollte maximal 5 cm betragen. * Bei Wandunebenheiten innerhalb der zulässigen Toleranzen sind entsprechend zusätzliche Stifte zu setzen! * Bei der Montage mit Nägeln/Stiften wird im Idealfall eine Kombination mit Kleben empfohlen, um eine feste und dauerhafte Verbindung unter Berücksichtigung raumklimatischer Wechselbedingungen zu gewährleisten. Haben Sie Fragen zum Produkt? Dann kontaktieren Sie uns einfach: Hotline: +49 3643/ 4170-222, über unsere App oder unter www.doellken-profiles.com Schnell und präzise mit der Döllken Profiles Sockelleistenschere * Speziell zum Schneiden von Profilen und Leisten wurde die hochwertige Sockelleistenschere entwickelt. * robust und langlebig * für verschiedene Profile und Leisten einsetzbar, u.a. Kunststoffprofile und dünne Kernleisten * präzise Schnitte ohne Kraftaufwendung * Schnittlänge: 80 mm Weitere Infos hier: www.doellken-weimar.de/de/produkte/werkzeuge-und-klebesysteme/sockelleistenschere Mit dem Erscheinen dieser Ausgabe verlieren alle vorherigen ihre Gültigkeit. Stand: 26.11.2020 Döllken Profiles GmbH Industriestraße 1 59199 Bönen Follow us on T: +49 3643 4170 711 F: +49 3643 4170 330 firstname.lastname@example.org www.doellken-profiles.com Please observe the general preparation and post-treatment instructions before starting to install the skirting boards. These can be found on our website www.doellken-profiles.com or via our app. Use * The Döllken Profiles cove skirting system is used for resilient floor coverings in the transition from wall to floor in order to create a plinth with a cove. For this purpose, the profiles, which support the floor covering and thus protect it from damage, are attached to the wall and then the floor covering is guided a few centimeters up the wall. They are used in ultra-clean rooms, such as in large kitchens, in the food industry, laboratories or in hospitals, in order to meet the increased hygiene requirements. The formation of a groove makes it easier to clean the coverings in the base area and less dirt can accumulate. Convincing advantages * Enable the perfect chamfer base formation * The chamfer simplifies cleaning and maintenance * Prevents the accumulation of dirt and bacteria * Protection against breaks in the floor covering in the valley area Laying the surface preparation is as easy as this: Floor surface preparation: * Must be permanently dry, hard, stable, flat, free of grease, dust and silicone; if necessary, bind dust with a solvent-free primer. * Pay attention to the roughness of the substrate, which can prevent full-surface bonding. * Limitation: substrates with a maximum surface structure of 1 mm. * Loose wall surfaces such as wallpaper, paint, etc. do not represent a suitable substrate for gluing. Gluing on wall coatings is also not permitted. In any case, the current adhesive recommendations and installation instructions from the manufacturer must be obtained prior to installation. A Procedure during assembly One-piece coving system: Cove profiles HK 100, HK 100/80 or HK 100 elastic: A * We recommend attaching the profiles with profile strip adhesive (cartridge adhesive) with quick tightening properties. * Contact adhesives are also suitable. * Observe the current processing instructions of the respective manufacturer. A Processing * The floor covering is completely laid and glued at a distance of approx. 10 cm from the wall surfaces. * Then the fillet profile is glued to the wall over the entire surface. Formation of the inside and outside corners: * The profile is inserted horizontally with the back facing down and cut with a chop saw. * The inside and outside corners are mitred. * Cold welding of the profile joints, especially the visible profile roof, is also recommended. * Cut the covering strips to the width (approx. 20 cm wide). * Then the 1st miter cut is made with a metal template. * The covering strips are glued with contact adhesive (application on both sides). * The covering strips are coated with glue. * The prepared covering strip is placed under the roof of the HK 100, HK 100 elastic or HK 100/80 and pressed into the groove. * Before reaching the corner (approx. 1 m), the next miter is cut on the covering strip with a metal template. The strip can then be pressed into the groove as before. * The covering strip protruding approx. 1 cm on the floor covering is then marked with the marker and cut off with the hook knife. This should create a joint of approximately. 0.5 mm. * During the entire assembly, it is important that the covering strip is pressed firmly or rubbed on. * The transition between the coving moldings and the floor covering is then milled like the seam area and sealed with a welding cord. B C D Procedure during assembly Two-part coving system B Part 1 - Cove profiles HK 15x15, 20x20, 25x25, 30x30: * We recommend attaching an EL 3.5 edging profile for a clean transition from the covering to the wall. A ✔ Clean transition to the wall C B [x] Easy cleaning of the profile roof [x] Avoids the accumulation of dirt and bacteria * The following adhesives can be used for bonding: D ✔ Uzin Remur 95 dry adhesive F [x] Assembly adhesives with high initial tack E [x] Solvent-free contact adhesives G * When selecting the adhesives, make sure that they are suitable for bonding soft PVC. * The profiles can also be attached with a suitable assembly adhesive. * The cove profiles are cut to size using commercially available profile scissors. * The inside and outside corners are mitred. There must be no cavities here. * The cove profiles are to be fastened all around, butt to butt (without gaps). H Assembly with contact adhesive * A circumferential marking is attached to the wall at a height of approx. 10 cm, which at the same time serves as an adhesive border and a contact line for the end profile EL 3.5. * Then the cove profile is glued with contact adhesive (applied to the floor and wall legs of the cove). * The covering strips are coated with adhesive, pushed under the roof of the EL 3.5 and pressed into the groove. IMPORTANT: Firmly press or rub the covering strips. * The covering strip protruding approx. 1 cm on the floor covering is then marked with the scriber and cut off with the hook knife. Then the connection between the covering strip and the floor covering is established. * Please follow the instructions of the covering manufacturer. I Installation with dry glue Uzin Remur 95 * Please follow the manufacturer's instructions for this. J Part 2 - end profile EL 3.5 A Forming the inside and outside corners with skirting scissors: * The profile is inserted horizontally with the back facing down and the profile roof to the contact angle on the Döllken skirting scissors and cut to length. * The inside corners are mitred, in this case approx. 1 cm of the lower leg is removed and then the profile roof is placed down in the profile scissors and cut to size. * When forming the outer corners, the profile nose is not cut through, only the lower leg is separated to under the roof. This means that the nose can be bent and there are no open miter cuts in the roof area of the profile. * During the bending process, the profile should be supported with a thin wire or cable (Ø approx. 2.5-3mm) so that it does not fold down and thus ensures easy installation of the covering. * When processing with a miter saw, the profiles are cut to miter. 3 mounting options: Self adhesing 1 Self-adhesive version (dry adhesive): Self adhesing NOW NEW: Self-adhesive version with branded adhesive tape applied on the back for quick and easy assembly of the profiles as a "fixation aid". Preparation underground: * must be permanently dry, hard, stable, flat, free of grease, dust and silicone. If necessary, bind dust with a solvent-free primer. * Pay attention to the roughness of the substrate, which can prevent full-surface bonding. * Limitation: substrates up to max. 1 mm surface structure. Assembly: * Cut the profile to length. * Remove protective paper. * Apply the profile evenly to the wall (to the substrate) and press it on. * Avoid hollow spots and tension * Hit the profiles continuously with a rubber mallet using a tapping block (the tapping block prevents damage to the profile roof). Self adhesing 2 Bonding * For Döllken end profiles EL3.5 we recommend the use of a profile strip adhesive (cartridge adhesive) with quick tightening properties. * Contact adhesives are also suitable; the current processing instructions of the respective manufacturer must be observed. A B C * The bars can also be attached in the conventional way with offset steel pins, which are always galvanized. * The length of the steel pins must be selected according to the subsurface, as a firm, permanent connection must be guaranteed. * A nail / fastening distance of a maximum of 25 cm must be observed. The distance between the nailing and corners and joints should be a maximum of 5 cm. * If the wall is uneven within the permissible tolerances, additional pins must be used accordingly! * When assembling with nails / pins, a combination with gluing is recommended in the ideal case, in order to ensure a firm and permanent connection, taking into account changing room climatic conditions. Do you have questions regarding the product? Contact us: Hotline: +49 3643 / 4170-222, via our app or at www.doellken-profiles.com Fast and precise with the Döllken Profiles Skirting Scissors * The high quality skirting scissors were developed especially for cutting profiles and skirtings. * Robust and durable * Can be used for various profiles and mouldings, including * Plastic profiles and thin core strips * Precise cuts without force * Cutting length: 80 mm More information here: https://www.doellken-weimar.de/en/products/tools/skirting-scissors With the publication of this issue, all previous issues lose their validity. Version: 26.11.2020 Döllken Profiles GmbH Industriestraße 1 59199 Bönen Follow us on T: +49 3643 4170 711 F: +49 3643 4170 330 email@example.com www.doellken-profiles.com
Nathasha, de Venezuela a Chile Arica, Chile Nathasha, de Venezuela a Chile © Junta Nacional de Jardines Infantiles (JUNJI) Úbeda, Judith Nathasha, de Venezuela a Chile [texto impresso] / Junta Nacional de Jardines Infantiles; Judith Úbeda -- 1ª ed. -- Santiago: JUNJI, 2020. 68 p.; 21x15 cm. (Coleção Meninos e Meninas do mundo). ISBN : 978-956-6013-23-5 1. Educação multicultural 2. Meninas migrantes – Obras infantis 3. Literatura infantil chilena I. Título. Dewey : Ch863 -- cdd 21 Cutter : UB13n Fonte: Agencia Catalógráfica Chilena Pesquisa e textos de Judith Úbeda Fotografias de Marcela Miravalles (capas e p. 6, 8, 10, 11, 13, 15, 17, 19, 20, 21, 23, 24, 27, 29, 31, 33, 35, 36, 37, 38, 40, 43, 44, 45, 47, 49, 50, 52, 53, 57, 62, 66, 67, 68, 69) Hans Erpel (p. 58 e 61) Edição de Rosario Ferrer Design e diagramação de Katherine Olguín Ilustração de Katherine Olguín Versão original Nathasha, de Venezuela a Chile Tradução de Marianna Prado (Certera Comunicaciones) Edição digital Dezembro 2021 Registro de Propriedade Intelectual Nº 2020-A-7439 ISBN: 978-956-6013-23-5 Este livro foi feito com a colaboração da Fundação Bernard van Leer. As fotos da p. 55 foram obtidas da internet e seus autores são Ricardo Juliao e Julián López. A foto da p. 65 foi obtida da internet e seu autor é Wilfredor. © Junta Nacional de Jardines Infantiles Morandé 226 Santiago do Chile www.junji.cl Nenhuma parte desta publicação, incluindo o desenho da capa, pode ser reproduzida, transmitida ou armazenada, seja por meios químicos, eletrônicos ou mecânicos, incluindo fotocópia, sem a permissão prévia e por escrito da Junta Nacional de Jardines Infantiles. Nathasha, de Venezuela a Chile Arica, Chile Pesquisa e textos de Judith Úbeda Fotografias de Marcela Miravalles e Hans Erpel América do Sul Chile Arica Região de Arica e Parinacota A young girl in a white dress is swinging on a swing set, smiling at the camera. Meninos e meninas são sempre os mesmos e em todos os lugares: curiosos, brincalhões, inquietos, carinhosos, entusiasmados, originais. São os ambientes onde nasceram e em que crescem que lhes dão parte da sua marca e lhes permitem compartilhar experiências desconhecidas para crianças de outras latitudes. Conhecer diferentes realidades e valorizar a diversidade expressa em costumes, ambientes e experiências, é o fim desta coleção de livros da Junta Nacional de Jardins de Infância em coedição com a Fundação Bernard van Leer chamada Meninos e Meninas do Mundo, que através de histórias e uma grande variedade de fotografias de diferentes cantos do planeta convida crianças para a fase pré-escolar, suas famílias e educadores para descobrir diferentes modos de vida ao ser um menino ou menina. Rios poderosos, palafitas, sementes de cacau, animais silvestres, plantas frondosas, danças alegres, ritos ancestrais, viagens infantis após a imigração de seus pais, fazem parte do cenário que mostra essa coleção de histórias que busca encantar adultos e crianças e transmitir a diversidade como um valor para respeitar e espalhar. Adriana Gaete Somarriva Vice-presidenta Executiva Junta Nacional de Jardins de Infância (JUNJI) A family of four enjoys a day at the playground, with two children sliding down an orange slide while their parents watch and smile. O mundo de hoje requer histórias que nos permitam reconhecer e valorizar a riqueza da diversidade em todas as suas dimensões. A coleção Meninos e Meninas do Mundo da JUNJI é uma ferramenta maravilhosa para compartilhar histórias sobre a convivência harmoniosa das crianças em diferentes contextos e culturas diversas. O ser humano requer momentos de lazer, de plenitude, de prazer do tempo livre. Esse acervo de histórias é uma oportunidade única para criar esses espaços e gerar conexões mágicas entre educadores e crianças. Esses momentos de relacionamento através de histórias são fundamentais para o crescimento pessoal, para compartilhar com a família e amigos, para fortalecer a convivência na comunidade e para melhorar as capacidades de nossos filhos desde cedo. Na Fundação Bernard van Leer acreditamos firmemente que o melhor investimento que podemos fazer é em crianças menores de cinco anos. É por isso que trabalhamos ao redor do mundo por sete décadas em mais de 50 países que buscam apoiar um bom começo para todas as crianças. Confiamos que no Chile essas histórias fortalecerão os laços entre crianças e adultos e que também favorecerão a ampliação da visão sobre a vida das crianças em diferentes cantos do mundo. Cecilia Vaca Jones Diretora de Programas Fundação Bernard van Leer The image shows a nighttime scene with a large, rugged rock face in the background. In the foreground, there is a well-maintained grassy area with a curved path leading towards the rock face. On the left side, there are two tall palm trees and some flowering bushes with red flowers. The lighting is provided by street lamps, casting a warm glow on the scene. The overall atmosphere appears serene and somewhat isolated. ARICA –Olá! Sou Nathasha Lozada Tamiche, tenho 3 anos e vivo na cidade de Arica no Chile, junto com minha mãe, pai, avô e irmãozinho. Eu gosto muito de Arica, mas eu não nasci aqui, mas em Valência, na minha querida Venezuela. A young girl holds flags of Venezuela and Chile, symbolizing her connection to both countries. —Minha mãe se chama Joyce e meu pai, James. Eles também nasceram na Venezuela, mas decidiram deixar seu país em busca de melhores oportunidades. É por isso que vivemos na Colômbia, Equador e Peru e agora no Chile, onde no final ficaremos. Não me lembro das primeiras viagens porque eu era um bebê —diz Nathasha pensativamente. Past Now Past —Quando chegamos para viver em Arica, sabíamos que meu irmão Edwing estava na barriga da minha mãe. Como nasceu em Arica, ele é chileno. Meu irmão é muito legal, eu o amo muito, rio com ele, brincamos juntos e também brigamos, mas meus pais me dizem que isso não está certo —acrescenta Nathasha. —A chegada do nosso pequeno Edwing foi uma tremenda felicidade para nós e um belo sinal de esperança para nossa família —diz a mãe de Nathasha animadamente. A baby is playing with a cardboard box filled with toys. De segunda a sexta-feira, Nathasha acorda muito cedo para ir ao jardim de infância de Ardillitas. Seus pais a ajudam a lavar o rosto, pentear o cabelo, vestir-se e preparar sua mochila, enquanto Edwing observa. —Meu irmão também vai para o jardim de infância e se diverte muito porque ele joga e aprende. Meus educadores são Giordana, Ximena e Edith. Eu amo muito os três porque eles me mostram desenhos, cantamos e dançamos — diz Nathasha. A mother and daughter smile at the camera in front of a school building. A woman holds a child while another woman helps the child with their backpack. JUN Junta Nacional de Jardines JUN Junta Nacional de Jardines A mãe de Nathasha é engenheira civil, mas trabalha em uma cafeteria no centro de Arica. Então, depois de deixar seus filhos no jardim de infância, ela se muda para o café e vende sobremesas diferentes que ela mesma prepara. Enquanto isso acontece, o pai de Nathasha vai para o seu trabalho como gerente de uma oficina mecânica, já que ele é um engenheiro mecânico. –Com minha esposa, trabalhávamos felizes e calmamente. Veremos quando podemos trabalhar no que estamos estudando. O importante é que estamos juntos, como uma família e que vivemos em um lugar onde nossos dois filhos têm tudo o que precisam – diz James, pai de Nathasha. A little girl in a white dress holds flags of Venezuela and Chile. Four children are playing on a playground. One child is sitting in a red bucket slide, while the other three are standing around it. The background features colorful play structures and equipment. O dia a dia de Nathasha acontece entre danças, risadas e diversão com seus colegas do jardim de infância e educadores. Aprende brincando com dinossauros, bonecas, carrinhos, enquanto corre, pula, dança e conversa. Nathasha vive sua infância com felicidade. –Eu me diverti com meus amigos. Eu gosto de pular e dançar. Às vezes fico com raiva e grito, mas sei que está errado, então logo paro de gritar e brinco com meus amigos de novo –reflete Nathasha. Nathasha é uma menina extrovertida e ela está sempre organizando novas aventuras com seus amigos. Se você ouvir risos em seu jardim de infância, certamente é Nathasha que brinca. A stranger from outside! —Perto do meio dia, no meu jardim de infância eu sinto cheiro de comida deliciosa e isso me deixa com fome. Isso indica que é hora do almoço. Primeiro lavamos as mãos com água e sabão e depois sentamos à mesa. Lá compartilhamos e aprendemos como é importante comer frutas e legumes. —Feijão e maçãs são o que eu mais gosto —diz Nathasha feliz. A young girl with curly hair is sitting at a table, eating from a bowl with a spoon. She is wearing a pink long-sleeved shirt and appears to be enjoying her meal. In the background, there is a blue play structure with various shapes and colors, including red, green, and yellow. The setting seems to be indoors, possibly in a classroom or playroom, with other children visible in the background. The atmosphere is bright and cheerful, suggesting a positive and engaging environment for the children. Nathasha sabe o importante que é cuidar da natureza. Seus educadores lhe ensinaram isso no jardim de infância. Com seus amigos, Nathasha vai para o jardim que juntos eles trabalharam para regar e ver como as sementes cresceram. —As plantas gostam de beber aguinha, o que as torna boas —diz a conhecedora Nathasha. Children in a garden setting, engaging with plants and nature. Além de cuidar das plantas Nathasha está interessada em proteger animais. Ele está bem ciente de que todas as pessoas devem respeitar a natureza. Seus animais favoritos são vacas, cães, galinhas, porcos e também gatos, embora às vezes alguns tenham arranhado os braços. –Eu cuido dos animais. É por isso que eu amo tanto Aquiles, que é meu cachorrinho de pelúcia que meu pai me deu. Eu brinco com ele como se fosse um cachorro de verdade –diz Nathasha convencida. A brown stuffed dog toy with white paws and a white snout sits on a table. Muitas vezes brinco com meu cachorrinho Aquiles e meu irmão Edwing. Para o meu irmão eu digo “gordinho fofo”, porque ele é um lindo gordinho – diz Nathasha rindo. – No entanto, há momentos em que Edwing começa a gritar e faz meus ouvidos doerem – diz Nathasha enquanto olha para seu irmão e lhe dá um abraço. A young girl in a white dress holds a stuffed animal and looks out over a balcony. Two children sitting in a purple ball pit, one holding a blue ball and smiling. A young boy and girl sit at a table, with the boy drinking from a cup while the girl looks on. A young girl in a white dress swings on a swing, smiling up at the camera. A woman stands behind her, also smiling. Durante os fins de semana, Nathasha gosta de sair em família em uma praça que fica perto do apartamento onde ela mora. —Eu fico nos balanços, no escorregador e em todos os jogos que existem — diz Nathasha. A family enjoys a day at the playground, with children sliding down an orange slide while parents watch and smile. —Aqui em Arica às vezes nós também vamos para a praia, mas eu não gosto muito porque a água é muito gelada. Eu gosto de água morna —diz Nathasha, fingindo que treme de frio. Uma vez em casa, quando a família já voltou da praia ou praça, a mãe e o pai de Nathasha preparam a comida. Em sua mesa há sempre marquesas (bolo Venezuelano). A child holds a container of food, using a spoon to scoop out some of the contents. The food appears to be a mixture, possibly a type of porridge or mashed food, with a creamy texture. The child is wearing a light-colored outfit with a pattern that includes small dots and what looks like a cartoon character on the sleeve. The background is blurred, suggesting an outdoor setting. A family is preparing breakfast in their kitchen. The father is pouring cereal into a bowl, while the mother looks on. A young child is standing near the counter, reaching for something. The kitchen has wooden cabinets and a dining table with chairs. There is a cardboard box on the floor, possibly containing toys or other items. The child's hands are clasped together on a wooden table, symbolizing unity and togetherness. –A Nathasha adora comer arepas. Ela também é fascinada por ceviche de peixe e feijão com rédeas –diz sua mãe sorrindo. –Gosto de toda a comida que meus pais preparam em casa e que é típica da Venezuela, como pavilhão crioulo, pasticho, assado preto, bolo de peixe, hallacas e pão de presunto –saboreia Nathasha. A man and a young girl are in a kitchen, both holding small white objects that appear to be dough or bread. The man is wearing a red t-shirt and has short dark hair, while the girl is wearing a light blue onesie with a pattern on it. They seem to be engaged in a cooking activity together. Depois de comer, Nathasha canta uma canção. Sua preferida é Brilha, brilha, estrelinha? Brilha, brilha, estrelinha quero ver você brilhar Lá no alto, lá no céu num desenho de cordel Brilha, brilha estrelinha quero ver você brilhar Brilha, brilha, estrelinha quero ver você brilhar Já é tarde, o sol se põe e a noite chegará Venha aqui pra iluminar Brilha, brilha sem parar Two children are playing with toys in a cardboard box. One child is holding a pink stuffed animal, while the other child is reaching into the box to grab a toy. Já ficou tarde e amanhã um novo dia começará. Nathasha pediu seus brinquedos e já vai dormir. Sua mãe a enrola em sua cama, canta uma canção e deseja boa noite a ela. —Quando o sol já está escondido, meu irmão e eu vamos dormir. Hoje à noite terei sonhos lindos —diz Nathasha fechando os olhos. A box filled with various toys, including a doll in a plaid skirt and a pink frying pan, a stuffed animal resembling a dog, and other miscellaneous items. A mother and her daughter share a moment in their home, surrounded by toys and a cozy bed. Valência é a capital e cidade mais populosa do Estado de Carabobo, localizada na região central da Venezuela. Seu clima é quente, tropical e úmido e é conhecido como a “cidade industrial”. Possui uma diversidade de atrações, desde belos parques até lugares históricos interessantes que refletem seu passado colonial. A palavra Valência é de origem latina e significa “coragem”. É por isso que não é de surpreender que muitas cidades do mundo tenham esse nome, como é o caso de países como Espanha, Austrália, Paquistão e Filipinas. Autor: Ricardo Juricó Autor: Julián Juricó Um fato curioso sobre a cidade onde Nathasha nasceu é que perto do Lago Valência, na Venezuela, fósseis de mastodontes, preguiças e tatus gigantes foram encontrados, semelhantes aos observados por crianças do jardim de infância de Ardillita, frequentados por Nathasha e seu irmão. Dinosaur Dig Site This activity is designed to engage children in a fun and educational way, allowing them to explore the world of dinosaurs through play. The setup includes a wooden box filled with sand and dinosaur bones, which can be used for digging and assembling. The background features a vibrant mural depicting various dinosaurs, enhancing the immersive experience. This activity not only promotes creativity but also encourages learning about prehistoric creatures. Aerial view of the city and port of Eilat, Israel. ARICA Arica está localizada na região de Arica e Parinacota, no extremo norte do Chile. É conhecida como a “cidade da primavera eterna”, já que seu clima é privilegiado, pois tem sol e boas temperaturas ao longo do ano. Suas praias quentes são contrastadas com a imensidão de seu deserto, cheia de montanhas coloridas sob um lindo e azulado céu. Arica é uma cidade portuária. Devido às características geográficas da cidade, seu porto é um importante ponto de comercialização para a América do Sul, pois permite a circulação de produtos gerados na América do Sul para outros mercados. Por outro lado, o porto de Arica foi transformado nos últimos anos em um ponto de chamada para navios de cruzeiro e hotéis flutuantes, que permitem a chegada de turistas de várias partes do mundo que viajam para o Chile interessados em conhecer as belezas naturais da “cidade da primavera eterna”. The city of Arica, Chile, is located on the coast of the Pacific Ocean and is surrounded by mountains. The city has a population of approximately 200,000 people and is known for its beautiful beaches and scenic views. The city is also home to a large port that handles a significant amount of trade between Chile and other countries. The city is a popular tourist destination due to its natural beauty and cultural attractions. ARICA O MORRO O Morro é uma das principais atrações turísticas de Arica. É uma colina costeira de mais de 100 metros de altura que é o símbolo da cidade e que, além disso, lembra os acontecimentos ocorridos durante a Guerra do Pacífico no século XIX. O Morro de Arica foi declarado Monumento Nacional em 6 de outubro de 1971. Um fato curioso de Arica é que nesta cidade estão os vestígios da Cultura Chinchorro, nome dado a uma comunidade de catadores de pesca que viveram na costa do Deserto do Atacama entre 7020 e 1.500 a.C. Esta cultura se destacou por seus ritos funerários, como foi a primeira no mundo, mesmo antes da egípcia, a mumificar artificialmente seus mortos. PARA COZINHAR EM FAMÍLIA PABELLÓN CRIOLLO Ingredientes - 1/2 kg de feijão preto - 2 cebolas médias - 6 pimentões verdes e vermelhos - 1 cabeça de alho - 1/2 colher de chá de pimenta preta - 1/2 colher de chá de orégano terrestre - 1 Cebolinha - 1 Colher de sopa de açúcar - 1/2 kg de peito de boi ou coxão mole - 1 1/2 xícaras de arroz - Sal a gosto - 1/2 xícara de óleo tingido com sementes de urucu - 2 bananas maduras Preparação Mergulhe os feijões por cerca de 4 horas. Lave-as e cozinhe-as em água suficiente até que elas estejam macias. Em outra panela, ferva a carne picada e depois deixe-a ficar desmembrada com os dedos. Reserve o caldo que você tem. Pique bem todos os molhos e frite-os com o óleo urucado, alho esmagado, pimenta e orégano em uma panela ou caldeirão médio. Reserve 2 ou 3 colheres de sopa dos temperos já fritos e adicione-os aos feijões, junto com açúcar e sal. Deixe os feijões cozinham por mais 15 minutos sem eles secarem muito. Adicione o resto dos temperos à carne. Frite e mexa para que tudo se misture. Adicione sal e o caldo que tinha sido reservado e cozinhe até que todo o líquido seja consumido. Em uma panela média, cozinhe o arroz também com caldo de carne. Por fim, em uma frigideira frite as bananas fatiadas. Sirva e aproveite. Children playing in a playground with tires. A blue chair sits empty, while three children hold hands and walk together under a canopy. Este livro foi editado por Ediciones de la JUNJI. A família de fontes Century Gothic foi usada para títulos e textos. No interior foi usado papel couché de 130 g, impresso em 4 tintas, e para as capas, foi usado papel couché de 350 g, impresso em 4 tintas. Ediciones de la JUNJI é o resultado do compromisso da Junta Nacional de Jardins de Infância de gerar conhecimento, criatividade e inovação na educação e na infância, e assim promover novos meios de aprendizagem e debate construtivo. A série MENINOS E MENINAS DO MUNDO coleta a diversidade e semelhança da infância e conta, com sua própria visão e voz, a vida delas e deles. Relatos e fotografias que visibilizam aos meninos e meninas desde seus cotidianos, culturas e territórios, antes invisíveis, para compartilhar em casas, jardins de infância e escolas, com crianças e famílias de todos os lugares da Terra.
1. Call to Order Comm. Ziehm called the meeting to order 9:00 a.m. and welcomed Chief Justice Dalianis, Mr. Goodnow and Mr. Morin. 2. Pledge to the Flag Mr. Wenger led the Pledge of Allegiance. 3. Honorable Linda Steward Dalianis, Chief Justice, NH Supreme Court Chief Justice Dalianis addressed the Board. She explained that the Judicial Branch made a presentation to the Legislature for the current biennial budget that derived from years of planning and a serious effort to rethink how the Judicial Branch should operate and be funded in the 21st century. She added that they came up with a plan with a number of components; the Video Conferencing Project is a part of a plan that she will be addressing today. She added that this project involves approximately one-half million dollars for related hardware and software. She explained that the original plan was to set up state-of-the-art video conferencing equipment in each Court location throughout the State and at all three State prisons, as well as the Office of the Public Defender, which was included in the budget. She added that the Public Defender’s Office decided not to participate, which left the Judicial Branch with the opportunity to offer the same equipment to the Counties. She noted that once it was determined that there was money in the budget, the Administrative Offices for the Courts (AOC) reached out to the Counties to see if they were interested in participating in this project; MOU’s (Memorandums of Understanding) have been signed with three Counties, namely Sullivan, Belknap and Coos. She added that three Counties, namely Merrimack, Rockingham and Strafford are doing it at their own cost because they have recognized that the savings are noteworthy. She explained that Grafton is also considering doing it at its own cost in conjunction with their new House of Correction; the AOC is talking to the remaining Counties to see if there is interest in joining the project. Chief Justice Dalianis explained that at this point it is difficult to quantify the savings; the Sheriff has been unable to provide a reliable estimate because he will still have to make transports although they will be fewer; additionally, his office will no longer be required to transport inmates for routine marital and other hearings; which currently is done. Chief Justice Dalianis noted that if Superintendent Dionne is willing to set aside a couple locations, they can work out a system that will work to the benefit of all in terms of saving money, public safety, and internal administration because it is a lot easier to take an inmate down the hall to a small conference room than it is to take him to a Court in Nashua. Mr. Goodnow offered to address any questions and noted that there is some flexibility; he added that it is his belief that this project would be important for Hillsborough County. He added that they have been meeting monthly with other Sheriffs and have worked well with Sheriff Hardy. Mr. Goodnow noted that the Chief Justice directed Judge Kelly, the Administrative Judge in the new Circuit Court that includes the District Divisions, and Chief Justice Tina Nadeau, their new Security Court Chief Justice, to draft an Administrative Order for use in each of the trial courts. He added that that order essentially makes a video appearance the default mode for anybody who is incarcerated and has a Court hearing. He added that the Chief’s direction was to be serious about this default and to require that a Judge give a reason if that Judge is going to require that an inmate be transported. He added that based on meetings with the Sheriffs, it is his belief that this will go beyond the usual video arraignments. They are going to try to reduce the hearings of other incarcerated inmates, most common of which include the marital hearings where a young man is incarcerated for failing to meet a child support obligation. He added that the only limit is the trial Judge presiding over the hearing. Chief Justice Dalianis indicated that they are changing the internal culture; Judges from long experience are reluctant not to see a person and talk to that person in the same room, she added that we can’t afford that anymore. She noted that there will be still be a culture shift to deal with, further noting that her new catch phrase is: “I really mean it,” so “people defy me at their own risk.” She added that the principal cost to the County is the internet connection and observed there should be a discussion relative to long term maintenance and other things so as to minimize any unexpected expenses to the County. Mr. Goodnow explained that the monthly cost for the DOC for the cost of the devices is somewhat less significant than the device in the Courtroom; it is a smaller unit. He added that the cost of the device in the Courts will be approximately $3,000; the annual maintenance will be between $368 and $450. He noted that there is an opportunity to discuss options for locking in 3 or 5-year agreements with Cisco, the vendor. Mr. Morin explained that a second cost would be the monthly fee for the internet provider related to the video. Mr. Goodnow further explained that early on in the investigative process, Judge Kelly, the administrative Judge for the District Courts, identified for them that these are not confidential proceedings, but are in fact public proceedings, which has allowed them to proceed with less expensive options for internet providers, noting that they can be as low as $69/month, or for a more sophisticated line up to $199/month. He added that he would expect that a broadband line that is solely used for video arraignments to be in the $100/month range, the MOU asks that 768 kilobits be dedicated to video arraignment; using the broadband line for other uses can affect the quality of the feed. Chief Justice Dalianis added that systems occasionally fail so internal procedures will be worked out so that the Sheriff will not be expected to immediately transport those inmates who were scheduled to appear by video conference on the day that a system fails; a process of reasonable rescheduling will be worked out. Mr. Goodnow added that the vendor, George Wiley Consulting Group, is a located in Bedford, NH; it is a vendor that he has worked with for years that and is a phone call away. He added that their own IT staff is also very quick to react to any issues that may occur with the video. Mr. Morin added that the Administrative Office of the Courts (AOC) selected Mr. Wiley as a vendor after a competitive bid process, and noted that the AOC has worked with him and is familiar with the quality of his work. Mr. Goodnow noted that the Women’s Prison is one of the sites that is part of the project; funding was available last year and the prisons in Concord and Berlin were upgraded with IT video capability. They are looking for funding for the Women’s Prison; funds that were budgeted for the Public Defender’s Office, that chose not to participate, may end up being used in a larger facility that might need more than one device such as the Valley Street Jail if there be funds remaining at the end of the project. He reiterated that the savings for Hillsborough County will be in reduced transportation and staffing and noted that some of the other Counties that already have video conferencing are realizing greater savings by converting to new providers and by converting from regular long distance fees and older lines that were costing up to $450/month to maintain. Mr. Goodnow explained that the AOC may have the ability to speed up the process and provide greater flexibility within the Courts by providing a Judge for video proceedings for a remote or smaller site where there may not be an assigned Judge. Comm. Holden asked for information relative to the funding, noting that the County is on a July 1st to June 30th fiscal year, adding that there are no extra funds in the current budget year and that it is a bare-bones budget. Comm. Holden noted that 123 of the 400 State Legislators are located in Hillsborough County. Mr. Goodnow explained that the AOC’s appropriation is a capital appropriation for this biennium that is good through June 30, 2012, and then through June 30, 2013. He noted that they could start as soon as the County wishes, or it could wait until July 1st if the Board deems it necessary. Comm. Holden spoke about the budget process and the Delegation’s part of the process; she added that the County did have video teleconferencing from the Jail and video arraignment in a pilot project that was pulled out because of the maintenance costs. Chief Justice Dalianis noted that the pilot project was a lot more expensive that what is being proposed now; she added that the AOC’s point of view is that if a County is inclined to do video conferencing, the sooner the program begins, the greater the savings. In response to a question from Comm. Pappas, Chief Justice Dalianis responded it is mandatory for an inmate to do video conferencing if a Judge orders it. Sheriff Hardy pointed out that last year his Department did approximately 19,000 prisoner transports, adding that anytime an inmate can remain in the secure confines of the Hillsborough County Department of Corrections, the opportunities for the inmate to act out, be difficult, or try to escape are reduced, further adding that from a the public safety perspective it’s a no-brainer. He added that while there will be transports up and down the State, a savings can be realized with this project at a time of severely reduced budgets. The Sheriff noted that he is hoping that this will be favorably received during the budget process. In response to a question from Comm. Ziehm, Chief Justice Dalianis indicated that an inmate going to trial, entering a plea of guilty, or one who has a substantive motion related to his/her case such as new evidence will be going to the Courtroom. She added that an inmate will not be in the Courtroom for structuring conferences, minor discovery disputes for arraignments, Family Court hearings, other Civil hearings, and minor matters where people are being transferred that do not need to be. She explained that there are occasions where a transport is done because the inmate’s lawyer doesn’t want to go to the jail, but wants the inmate brought to the Courthouse to sign something; she added that this will change. Comm. Ziehm asked the Sheriff if he knew what percentage of the 19,000 transports could have been handled by video conferencing. He added that that it is very difficult to quantify that, and it would be necessary to pull every transport to determine that; he added that once the Berlin facility is online, it will eliminate many of those transports. Chief Justice Dalianis explained that they have done a rough analysis on the return on investment savings to the County, and while it unquantifiable what savings the Judicial Branch will realize, the Counties and communities will benefit. Mr. Goodnow explained that they have estimated $32,000 a year for savings in all ten Counties, which translates to two per diem officers for the Courthouses. It should also result in savings for transport officers. Sheriff Hardy added that after the first 6 months, his office will have better idea of what the savings will be. He added that video conferencing is a significant advantage as it relates to safety. Mr. Dionne asked about the cost of a service contract; Mr. Morin responded that he believes the cost will be approximately $400 per year. In response to another question, Mr. Morin noted that Hillsborough County is slated to have one video conferencing site; Chief Justice Dalianis responded that they would like for the Hillsborough County to have two or more sites. Mr. Morin indicated that he does not think the cost for two devices would double and noted that the devices can be shared between facilities. Chief Justice Dalianis indicated that scheduling will be worked out cooperatively; all options are open. Mr. Morin added that in approximately 2 years, the State’s Office of Information Technology will have a video conferencing server in place for the entire State, including the Counties and the Courts. It will serve as a central hub and the devices will know about each other; in the interim, Cisco is loaning them one. Mr. Morin added that Chief Justice Dalianis will encourage Judge Kelly to coordinate the scheduling of video arraignments in Hillsborough County for the 5 Circuit Courts and the Family Courts. Supt. Dionne noted that in the MOU, it notes that if a piece of equipment fails, it is the County’s responsibility to replace it; he asked why the State would not replace it. Mr. Morin added that he believes that would only occur if the County chose not to carry the maintenance agreement or in some other unusual circumstance. Mr. Goodnow noted that the MOU states that the County’s obligation is to maintain the equipment in ready-to-use condition, and obtain a manufacturer’s supply licensing support and maintenance agreement for all the equipment at County expense. He added that he would expect that the maintenance agreement would keep the equipment up and running and noted that he does not see where the memorandum states that it is the County’s obligation to purchase equipment should the equipment fail. He noted that what he does expect to happen, once the cultural change has taken place and everyone has grown accustomed to video conferencing, is that the option of video conferencing will be attractive to the County, particularly to Supt. Dionne because he believes that it will keep a lot of contraband out of the facility. He added that it is his belief that it will be attractive to the County both from a security perspective and from a financial perspective. Comm. Pappas asked if there is expensive training involved. Mr. Morin responded that part of the Office of Administration’s arrangement with Mr. Wiley is that he will provide the training to Supt. Dionne and other staff. Chief Justice Dalianis indicated that their office will work out protocols so that everyone will know what is going to happen. Mr. Morin added that the Court system staff will also be available for answers. Mr. Wenger explained that it is his understanding that for video conferencing, the County will have a line, a monitor, and a camera and asked for clarification. Mr. Morin explained that the monitor and the camera are one in the same; the unit looks like a webcam on a laptop. He added that in the Court, they have a broadband line that comes into a router and the router goes to where the video conferencing unit is; the reason they chose to do it in that manner is so that their IT staff could remotely administer the line by getting into a router. He noted that it will be the County’s decision as to how it wants its broadband line set up; it could be as straightforward as one similar to what people have in their homes, but in a County such as Hillsborough where there may be several video conferencing units and one broadband line, some sort of a router will be needed at the main in-point. Mr. Wenger asked about expectations regarding space and rooms where clients could speak with their attorney, etc. Mr. Wenger added that he cannot tell the Board what the County will be responsible for until there is an RFP. He noted that he also has a concern regarding failures and that he will not know the impact until this issue is addressed in the MOU. Chief Justice Dalianis added that these are reasonable concerns and further adding that the AOC will address those concerns. Mr. Morin added that he will be happy to work with the County to adjust the MOU regarding the County’s needs provided it continues to make sense to the Court system. Chief Justice Dalianis explained that they sent out the MOU to get conversation started. Mr. Morin added that it would make sense to get a meeting together with Mr. Wenger and whoever the Board might choose along with Mr. Wiley and their Cisco representative to arrive at an agreement. Comm. Holden added that it she would like to see a Commissioner involved. Mr. Morin added that it will be important to look at the site cost because some locations can be more costly than the normal Comcast cost. Comm. Ziehm asked if Mr. Roach or Rep. Seidel had questions. Rep. Seidel indicated that it seems that people like the idea and that there is a cooperative feeling that the Court will help work out the details. Mr. Wenger asked if the County could use the system for education and training, which could be additional savings. Mr. Morin explained that the systems for the Counties will cost less than half of what the State paid because they are considered end-point devices that will not be able to call out to another entity but will be able to receive calls. He added that if the County were to have a sending device such as they have in the Courts, then an educational entity could send a signal that the County could view. He noted that it would be possible for the County to add a sending device at a later date, and it is his belief that the County will not be limited to using this device for the Court system if there is an interest in having a use with another entity. Chief Justice Dalianis added that she does not see that being an issue as long as the Courts principal mission is met; which is to keep inmates from having to travel to Courthouses. Mr. Morin added that the broadband line alone would make it possible for distance learning and noted that in the AOC office, they are not using the video conferencing units for education but through another grant, they have purchased laptops with webcams and are using Go to Meeting Video Meeting software and have purchased overhead projectors so that people can group at certain facilities throughout the State and training can be provided from Concord resulting in a savings of time and expense. Mr. Goodnow added that he would encourage the County to maximize the use of the equipment and noted that he thinks that Supt. Dionne will see a pattern develop and will be able to identify blocks of time when the equipment is not needed or the bandwidth from the internet line is not needed for video conferencing for arraignments. Attorney Kirby inquired if this system will integrate with the Federal system, to which Chief Justice Dalianis noted that the AOC does not have any plans for that since they don’t really interact with the Federal Court system. Mr. Goodnow indicated that it should be able to communicate effectively with the Federal system. Mr. Morin added that the Federal system has units on the same level as those that AOC is buying for the Courts. Attorney Kirby added that she was interested in understanding if the County would be able to video conference with the State Prison in Berlin, NH relative to a pending case. Chief Justice Dalianis noted that this is something that the AOC should explore. Attorney Kirby explained that one of the biggest issues Hillsborough County has with the MOU is that there isn’t any term in the agreement and asked if there would be any objection to putting a term in the agreement. Mr. Goodnow responded that they would consider any term that the County would propose, but added that he cannot imagine that they would have any reason to not agree with a term, whether it is a one-year term with an option to renew or a two-year term, or even longer. He added that he is quite confident that this is going to be successful once some of the issues have been resolved. Mr. Wenger expressed his belief that it would make sense to have a technical discussion with those who would be involved at the County level along with the appropriate person(s) from AOC; additionally, there would need to be an agreement regarding the language of the MOU. Chief Justice Dalianis asked Mr. Wenger if he would coordinate with the County relative to what things need to be organized with Mr. Goodnow and include the Board of Commissioners. Mr. Goodnow added that he has the following names as potential participants in discussion to include Mr. Wenger, D. Morin, a Commissioner, the County IT person, and Mr. Wiley regarding the IT piece of the project. There was a recommendation to add S. Spires to the group. There was discussion regarding a meeting with Mr. Morin, Mr. Goodnow, Supt. Dionne or his representative, and Mr. Wenger as well as AOC’s network engineer, and Mr. S. Spires. Chief Justice Dalianis asked the Board if it would be possible for Hillsborough County to join the project prior to the end of the current fiscal year. There was a consensus that the Board may favor the project but there may not be money in the budget for it. Mr. Wenger indicated that it comes down to whether there is money in the current budget or if the funds can be found. The Chief indicated that all levels of government are suffering from the same issue and reiterated that there is a belief that this will save money at all levels. Mr. Morin added that there can be a delay with broadband, and noted that Cisco in particular does not stock many of these devices so there is an anticipated delay of 8 to 10 weeks on the devices once the order is placed. Mr. Wenger added that the County has the advantage of using Cisco as its internet provider. He added that once the meetings have been held and the technical requirements that must be met can be identified; they will return to the Board with a plan for its approval. Chief Justice Dalianis offered to provide whatever support the County needs. The Board thanked the Chief Justice and OAC staff for their presentation; they, in turn, thanked the Board for its attention and interest regarding the project. The Board took a brief break then resumed its meeting. 4. Administrative Business Approval of Payroll Registers The Board reviewed and approved the Payroll Registers. Motion: Comm. Holden moved to approve Payroll Registers for the following dates and amounts: - December 22, 2011 in the amount of $5,541.12 - December 23, 2011 in the amount of $156.08 for a total miscellaneous payroll of $5,697.20, subject to review and audit. Comm. Pappas seconded the motion. Motion adopted. Motion: Comm. Pappas moved to approve a regular payroll dated December 22, 2011, in the amount of $1,092,742.69 subject to review and audit. Comm. Holden seconded the motion. Motion carried. Approval of Accounts Payable Registers The Board reviewed and approved the Accounts Payable Register: Motion: Comm. Pappas moved to approve Accounts Payable Registers for December 27, 2011 in the amount of $208,001.15, subject to review and audit. Second by Comm. Holden. Motion carried. 5. Public Comment on Agenda Items There were no members of the public present who wished to comment on agenda items. 6. Department of Corrections Census Supt. Dionne presented the DOC Census. He noted that as of December 20, 2011, the Census was 523, which included 464 men of whom 328 were being held pre-trial and 136 that had been sentenced. There were 59 women of whom 38 were being held pre-trial and 21 that had been sentenced. Supt Dionne added that there are 11 inmates in the community. Administrative Transfer Mr. Dionne requested Board approval for the transfer of an inmate from Rockingham County to the Hillsborough County Department of Corrections. Motion: To approve the transfer of a male inmate to the Hillsborough County Department of Corrections from Rockingham County. Motion by Comm. Holden, second by Comm. Pappas. Mr. Dionne explained that the individual that was transferred could not be placed in any of the units at the Rockingham County facility because of a safety issue. Motion carried. DOC AFSCME - Contract Execution Mr. Wenger inquired if the Board would like to consider the DOC AFSCME contract while Mr. Dionne was present. He noted that DOC AFSCME contract is ready for Board approval and execution and the Union and the Superintendent have signed off on it; it is the contract that was signed on July 1st, 2011. Motion: To execute the Department of Corrections AFSCME contract. Motion by Comm. Holden, second by Comm. Pappas. Motion carried. 7. Nursing Home Mr. Moorehead presented the Nursing Home Census; he reported that the Census as of December 22, 2011 was 281, which included 198 Medicaid residents, 45 Private Pay residents, and 38 Medicare residents. He added that there is a 1 number discrepancy that he believes is a bed hold; he will verify that. Mr. Moorehead presented Bid # 16-2012 for Health Care Services at the Nursing Home. He explained that this is for speech therapy and recommended Virjean C. Kandle, M.S., CCC-SLP, Hooksett, NH at a rate of $72/per hour for the first year and $74/per hour for the second year, noting that this is the lowest responsible bidder and the only bidder. Motion: To approve Virjean C. Kandle, M.S., CCC-SLP, Hooksett, NH at a rate of $72/per hour for the first year and $74/per hour for the second year, noting that this is the lowest responsible bidder, and the current provider, and he will bill Medicare directly. Motion by Comm. Pappas, second by Comm. Holden. Motion carried. Mr. Moorehead explained that Chairman Seidel requested that he do an analysis of Expenses and Revenues through the first 6 months of this fiscal year. He added that he has no problem doing that but noted he is requesting authorization from the Board before doing that since he reports to the Board. Comm. Holden asked how much time that would involve. Mr. Moorehead indicated that he told Rep. Seidel that it would be better to do that when the Nursing Home has completed all the MDS’s for the month of December. He added that once that information is available, it will not be too difficult. The Board approved Chairman Seidel’s request, subject to Mr. Moorehead having the information available that he discussed. 8. Sheriff’s Department Bid # 2012-53 – 2 Motorola Mobile Radios Sheriff Hardy presented information relative to Bid # 2012-53, which is for 2 Motorola Mobile Radios for the Sheriff’s Department; he explained that it is a State Bid, and the transfer of the funds was approved by the Executive Committee the previous week. Motion: To approve Bid # 2012-53 for 2 Motorola Mobile Radios to 2-Way Communications, Newington, NH at a total price of $6,221.74 for the 2 radios, with a request to waive competitive bidding consistent with RSA 28:8-e (V), noting that this is a State bid. Motion by Comm. Holden, second by Comm. Pappas. Motion carried. 9. Old/New Business Goffstown Zoning Petition Mr. Wenger noted that the County filed a petition with the Town of Goffstown that was discussed at a previous meeting; a notice of Public Hearing was received; it is scheduled for January 12, 2012 at 7:00 p.m. The County’s petition will be on the agenda. Mr. Wenger noted that it was suggested that he make a presentation regarding the land at the next Executive Committee meeting, adding that he would like direction from the Board. He noted that there was a lengthy discussion relative to the Administrative Building, the land, and the petition as well as the Commissioners going to the Town to have a petition entered. He added that he could do a number of things; he could use the opportunity to educate, but he is unclear what the current Board wishes him to do beyond changing the zoning to give the County a much broader opportunity. Mr. Wenger noted that the zoning amendment does not take anything away from the County’s options; it simply adds to the opportunities that it can have going forward. Discussion ensued regarding attendance by 2 or more Commissioners. Commissioners Ziehm and Holden indicated interest in attending. Mr. Wenger noted that he will post it as a meeting and will take minutes. Comm. Pappas asked if Mr. Wenger might explain to the Executive Committee what the zoning will do, adding that there are a number of people on the Executive Committee that don’t know about the County land or what options it has. He added that sharing the Charrette summary and explaining the characteristics of the County land might be a good approach; there seems to be a lack of knowledge because they have not been exposed to the information. He added that he came away from the Executive Committee meeting with an understanding that they do not want an increase in the budget, do not want to raise taxes, and now the Board is being told that the County cannot use its significant asset, which is the land, to generate any funds, nor is it willing to give any money to develop any of the assets. He added that this leaves the Board with only one option to balance the budget, namely to cut expenses, so the presentation could be used as an opportunity to educate the Executive Committee and let them know that the Commissioners are looking at options that could generate future revenues to offset increasing expenses. The Board agreed that Mr. Wenger should use his presentation at the Executive Committee as an educational opportunity. Mr. Wenger noted that during the last budget cycle the Executive Committee made a directive to cut the Delegation Coordinator position by half and, as a result what he is seeing are requests from the Executive Committee to Department Heads to perform certain tasks or to provide information. Mr. Wenger noted that it is his belief that the Executive Committee believes that with respect to the land, there is a project ready to be brought forward, but that it not the case. He added that he would not want to make any presentation on the Board’s behalf unless it is fully prepared and fully vetted and the Board is ready to answer any questions that come forward. He added that he sees more and more of the Delegation work being put on Departments, as they are being called for information; an example would be the request the Executive Committee made of Mr. Moorehead. He added that having information on which one bases the budget is important, but the Departments have limited support and limited staff. Sheriff Hardy concurred with Mr. Wenger’s interpretation and echoed his comments. He noted that the Sheriff’s Department and County do not have any legislative services to do research or fiscal impacts and each Department does that to the best of its abilities; there is no one available to do that research unless someone is reassigned, taking them from doing a critical duty, and this makes it very difficult for the operation of the Department. Mr. Wenger added that choices have to be made if the Department Heads are expected to continue reducing its departments. He added that he is looking to reduce staff in his Department, and there already is a series of things that are only given peripheral time; it is a grave concern that as more and more demands are placed on people; the County’s quality employees are going to find other opportunities and the quality of the work will go down. Comm. Holden concurred with Mr. Wenger’s comments adding that the major focus now should be on the next budget and not on individual presentations. She added that it would be wonderful to educate, but she is not sure how it will be received; the County does not have a plan; there is nothing in the works for the property or a building; there is no money; there is nothing to present other than options related to the land. Mr. Wenger offered that the Commissioners may wish to consider what its focus will be as they move through the last year of their current term; he added that it would be helpful for the Board to provide directives so that staff can get the information that it needs. Comm. Ziehm noted that she favors utilizing time to educate the Executive Committee. Goffstown Rail Trail Mr. Wenger informed the Board that there was a meeting with Mr. Pierce, a representative from Rail Trail who is also a Selectman, a representative from the Women’s Prison, Comm. Holden, Capt. Cusson and himself to discuss the Rail Trail and what Goffstown is looking to do, specifically, with respect to access at the back of the County land behind its buildings. He noted that at the present time there is an issue in the winter when it is necessary to plow; the Fire Department currently requires the Women’s Prison to maintain access from Henry Bridge Road to their building and their Boiler House, so the Prison has been plowing a strip approximately 10 to 12 feet wide in that area. The County has maintained access from its parking lot to the Boiler Room in the rear of the Bouchard Building. The Town of Goffstown has discovered that the property being plowed is actually their Rail to Trail; they have come forward with the suggestion that the Town give the County a license to maintain or plow behind the Bouchard Building from the end of the County’s parking lot to the Women’s Prison, thereby granting access to the entities in the rear of both facilities. The suggestion is that the Town is going to generously give that land to the County; there will be some redesign for the Rail Trail that will then be set back from the access roads. He offered that a possible concern is that the County may be giving something up because the County has been maintaining that land for over 100 years. Additionally, it is his belief that this will be changing the relationship between the Women’s Prison and the County because currently the County has no responsibility to maintain the access to their Boiler House. He offered that Attorney Kirby might give consideration to the issue. Comm. Holden concurred, noting that it is not known at this time what will happen to the Women’s Prison and if the County is responsible for plowing the area behind that facility it would increase the cost to the County. Mr. Wenger added that the Rail Trail has not gone across Henry Bridge Road yet, but they have received a grant and that project will move forward, which is what is bringing this forward as a priority. Mr. Wenger noted that at this point, those attending the meeting simply agreed to bring this to the Board, and if the Board is interested in pursuing it further, the expectation is that Attorney Kirby would be getting involved. Mr. Pierce will be going to the Selectmen to get authority for the Town’s Attorney to discuss this further with the County’s Legal Council. Attorney Kirby noted that she will be happy to review the documents. The Board authorized Mr. Wenger to speak with Mr. Pierce relative to moving to the next step. Copy Fee A discussion of copy fees ensued. The fee is currently 25 cents per page. There were mixed opinions offered. Attorney Kirby explained that the fee should be reasonable and has to reflect the actual expense occurred in producing the documents; Comm. Ziehm asked if the cost of the employees wage could be included. Attorney Kirby added that the County cannot make a profit; the fee needs to reflect actual expense. Mr. Wenger noted that most of the documents that the Business Office or Human Resources are dealing with are considered a part of the public record or a personnel record; he noted that he will either have a person watch those making copies or make the copies for them; he would prefer to do the copies for them. Discussion ensued. Attorney Kirby suggested that some sort of documentation be provided relative to actual cost; it could include the average salary of those who would be likely to make the copies. Mr. Wenger added that the Business Office could provide an analysis for the Board’s consideration. He added that he is also asked occasionally to provide PDF files and in most instances, if it is on the website, he will direct the person to go to the site. Ms. Robinson added that it takes time to convert a scanned copy to a PDF file and one would need the time and equipment to do that. Sheriff Hardy added that there may be information that has to be redacted, and that too takes time. Mr. Moorehead noted that the costs may be different in different Departments, adding that records requests are directed to his Medical Records staff person locate and make copies of a medical record whether it is for a lawsuit or other reason. He added that he believes that the Nursing Home copy fee is fifty cents, and a release must first be obtained. Mr. Wenger noted that the Commissioners need to be provided with the foundation upon which to make a decision. FY 13 Budget Planning Mr. Wenger referred to the letter the Board received from the Executive Committee. He asked if the Board wished to respond to the letter. Mr. Wenger noted that Chairman Seidel suggested to the Executive Committee the previous Friday that if that Committee was sending any further messages to the Board or Departments, they would need to be sent prior to the following month because shortly thereafter the Board’s budget instructions will be sent out. Comm. Ziehm noted that at the end of that meeting, there was discussion about consolidating information regarding the Study Groups and incorporating a comment about the budget. Comm. Ziehm added that she has a concern that the Executive Committee can keep slashing the budget without concern being given to the damage and the consequences to the County. Mr. Wenger noted that it was his impression at the last Executive Committee meeting that two priorities for them are that: 1. the County’s budget will not go up 2. the amount to be raised by taxes will not be going up He added that Chairman Seidel has expressed that the Study Groups have identified the 4 components to a budget; they include Revenue, Expenses, Taxes, and Surplus. Mr. Wenger added that they have taken 2 of those components away, namely an increase in taxes, and setting the budget where it is. He added that he came away from the meeting with an understanding that the Executive Committee is of the opinion that the County should not use more Surplus than in the past; for the past 5 years, and 7 of the last 10 years, approximately 6 million dollars of Surplus has been used in creating the budget. Comm. Ziehm added that the Executive Committee spoke as if the Commissioners were not present and she had the feeling that there were saying that they hope the Board would not spend the entire Surplus. She added that it amazes and frustrates her that they speak as if the Commissioners were not in the room. She explained that she believes in open dialogue, adding that she did have an opportunity to say that it was not the Board’s intent to spend the entire Surplus. She noted that it is her belief that it is important for the Commissioners to express their concerns to the Executive Committee about the fact that it is unrealistic that the Board be given no options but to slash the budget. She added that the Executive Committee needs to choose between providing the services that are working well or compromising safety and impacting negatively on people’s lives. Comm. Holden added that the Board works well as a team with Mr. Wenger and the Department Heads and she hopes that the Board will work together as a team as it approaches the budget process. She gave examples of other budgets that have increased. She added that it is her belief that citizens are willing to pay for services. Mr. Wenger added that the Board is an entity and can only speak as one so it is his belief that that position is the reason that the Executive Committee addresses the Board as an entity. He added that if there is a feeling that the Board would like to sit with the Executive Committee for a joint discussion, perhaps a formal request should be made to have a formal joint meeting where everyone can speak. Comm. Ziehm expressed her feeling that she would like to see better communication and noted that it is important to reach them. Comm. Pappas suggested that the Board address the budget to the best of its ability as it did last year; there can be a cover letter in the budget instructions. She added that it is her belief that developing the budget can be the Board’s reaction to the letter; she stressed that the Board should develop a budget that allows for the best possible County operation. Sheriff Hardy added that it is his belief that some of the issues are process-driven; people have different roles to play; he noted that while he believes that all budgets should be subject to scrutiny, no one would recommend the budget process that the Department Heads were all subjected to last year from the time that the Commissioners submitted the budget through the time the Delegation approved the budget. He added that some of the Commissioner Ziehm’s concerns can be addressed by reaching some of the Legislators who are the movers and shakers. He added that it is his belief that it is best to proceed with the process and involve the Legislators individually; education is important, but people often want to hold on to their pre-conceived notions. He noted that change is difficult for people to accept and it can severely impact morale at the Department level. Comm. Pappas offered a suggestion that each of the Commissioners could address the 21 members of the Executive Committee. Mr. Moorehead added that the Nursing Home is still feeling the impact of what happened last August when the current budget was implemented, and to take additional cuts in another budget year could be very detrimental to the facility’s morale and delivery of care. He emphasized that further significant cuts will make it very difficult to manage the Nursing Home. Comm. Pappas asked if the County would like to announce the new Superintendent’s position. Mr. Wenger added that he could provide an appropriate announcement. Discussion ensued relative to posting the Superintendent’s appointment at the facility immediately and publishing an announcement in the newspaper. The Board agreed to first post the announcement at the DOC followed by community announcements being sent to the newspapers within the County and NHAC. Comm. Ziehm discussed issues relative to last year’s NACo Conference in Portland. It will be discussed further once more information is available. Policies & Procedures – Continued Work Session Mr. Wenger addressed Sick Leave and Medical Leave of Absence (FMLA). He noted that Medical Leave of Absence can go up to one year. Mr. Moorehead added that in the past 5 or 6 years, the Nursing Home has experienced having 3 staff that held key positions out on Medical Leave because of a catastrophic illness; all three had an illness that resulted in recurring treatment. He added that the most recent has been out off and on for almost two years and he has had to shuffle responsibilities around significantly over the past few years to accommodate these 3 leaves. He added that in some cases the leaves overlapped and noted that the consecutive leave time is troubling to him because if a person is out for 11 months and returns for two weeks with a doctor’s note, then goes out again because of relapse or recurring symptoms, then the clock starts ticking again and the person can be out for another year. He stressed that he is not saying that the Medical Leaves were not justified and noted that each of the 3 wanted to come back if they could. He explained that the leaves created a situation where it was quite difficult to move staff into those positions temporarily for the time period involved. Comm. Ziehm asked if Mr. Moorehead had any suggestions for a better policy. Mr. Moorehead added that Attorney Kirby should be present for the discussion, but noted that one of the considerations could be that Medical Leave be shortened to 6 months. Mr. Wenger asked if the issue was that the person was out for the time period or if the challenge was the issue of holding the position. He added that he is not sure that shortening the period would provide a solution. Comm. Ziehm added that she discussed this with the HR Director who indicated that it is common for many organizations to have a 6-month FMLA. Comm. Ziehm asked if there could be a requirement for an employee to return for a specific period of time before going out again for another Medical Leave. Attorney Kirby advised that the County clarify what FMLA is so that when the rolling period begins again, that is the minimum. She added that once that threshold is reached, it is up to the County whether the leave is 2 months, 1 year, or 1 1/2 years; as long as the County meets the Federal minimum, it can establish its policies accordingly. Mr. Wenger added that the County’s policy for Medical Leave follows the Federal law with respect to any leave. An employee is granted up to 12 weeks of Family Medical Leave during any rolling 12-month period. Discussion ensued. Ms. Robinson noted that it is her understanding that there has been very limited use of the of this benefit with the exception of the Nursing Home; she suggested the issue is how long can an employee be out, and how long must an employee be back before the year starts over. Comm. Ziehm asked if there needs to be consideration given to key positions. Attorney Kirby noted that it is her understanding that in the past, all employees were given a certain amount of sick leave reimbursement, which still exists for the bargaining unit members and the non-exempt employees. She added that there were decisions that went back and forth during various Boards in the 80’s and 90’s where the Commissioners wanted to give Sick Leave to the non-exempt or to the exempt employees; then, they changed their mind based on whether they were affiliated. She added that at some point in time a couple unions were involved because the decision had been changed every other year. The exempt employees gave up Sick Leave and any Sick Leave re-imbursement in exchange for the Family Medical Leave benefit, which provides paid leave in the event of a catastrophic illness, acknowledging that the likelihood of a catastrophic illness was slim. She added that less than a handful of employees have utilized this benefit; it is a benefit that the employees can fall back on, and the County hasn’t incurred any expense, but by the same token, the employees who have this benefit to fall back on very seldom use it. She added that this benefit is great for recruitment and retention. Comm. Pappas noted that the issue has primarily created problems at the Nursing Home. Mr. Wenger reiterated that a Medical Leave of Absence can be granted for up to 12 months for both exempt and non-exempt employees. The added issue is that the County would have to continue to pay the exempt employees, but the non-exempt employees can also be out for up to 12 months and that is a burden where the County cannot fill that position. He added that this is why in his office he has come to the Board with requests to bring in a temporary employee. The Board discussed options that might alleviate the problems that have occurred. Attorney Kirby added that it could be reduced to six months and noted that is was a unique situation at the Nursing Home with 3 out at one time in a 5-person office; she added that in most Departments, a person can step up or a temporary employee can be hired for a period of time while those people are out. She noted that consideration might be given to how the organizations are run, and whether or not the managers feel they have an effective staff that they can rely upon, but noted there also can be an anomaly such as the one that occurred at the Nursing Home. Comm. Ziehm asked Mr. Moorehead if it was a hardship to have the 3 employees out on leave, and if so, was it such a hardship that we need to address critical positions. Mr. Moorehead responded that it was a hardship and recommended addressing the issue. Attorney Kirby noted that the first step would be identify what the County determines are critical positions. Discussion ensued relative to the critical positions. Mr. Wenger asked what the Board is trying to achieve… it is looking to provide the ability to fill that position with a full-time employee, or is it trying to end the employer/employee relationship? Comm. Ziehm added that she believes the Board is looking at all options. Mr. Moorehead added that ending the relationship would not necessarily eliminate that person’s ability to re-apply. Attorney Kirby offered that the Board should give this thought before changing the policy. There was an agreement to review the issue with consideration being given to consecutive leaves. Mr. Wenger addressed Promotion Rate. He noted that this change affects the pay rate of a person who moves to a new position and changes from one grade to another, each of which has its own grade; an employee would receive at least the minimum wage of the grade related to the new position. Mr. Wenger addressed temporary positions; the language is to make it clearer and eliminate any reference to step increases. Mr. Wenger explained the changes in Section 9 to make them consistent with practice. Comm. Ziehm requested a brief Recess. Motion: To go into Recess. Motion by Comm. Holden, second by Comm. Pappas. Motion carried. The Board moved into Recess at 12:00 p.m. The meeting reconvened at 12:05 p.m. Motion: To come out of Recess. Motion by Comm. Holden, second by Comm. Pappas. Motion carried. Mr. Wenger addressed the section on Communication; he added that this change is an attempt to update and clarify the County’s policy regarding the use of County telephones, computers and other means of communication as well as personal cell phones, PDA’s, etc. Mr. Wenger addressed Grievance Procedure and noted that the changes are an attempt to clarify the procedure and provide written documentation when a grievance goes to Step 2 as well as giving non-exempt employees the opportunity to request that the Director of Human Resources attend the grievance meeting with the supervisor. Mr. Wenger addressed Conduct Subject to Disciplinary Action; this is an attempt to clarify unauthorized use of telephones, cellular telephones, computers, fax machines, or other communications methods as well as misappropriation of County property or services. Mr. Wenger explained the change in the Disciplinary Action and Separation; he explained that this is a new section number and is not a change of any significance in the Policy. Mr. Wenger raised the issue of addressing the Computer Services Policy, adding that technology evolves so rapidly that issues arise; it was suggested that the Board spend some time reviewing that policy. Mr. Wenger added that he will make the suggested changes, and then a new proposed Policy & Procedures Manual can be presented to the Board prior to a Public Hearing. Mr. Moorehead referred to page 25 in the paragraph that reads: “Employees may return to full duty with no limitations or partial duty with certain limitations (if available in the employee’s department) prior to or at the expiration of their Medical Leave of Absence. They shall be allowed to return upon submitting a statement from their own physician clearing them for return to full or partial duty.” He added that that is a problem for the Nursing Home for two reasons. First, there has been a long-standing Medical Leave Policy that the only way a person could return to work on a partial or light duty is that it had to be a work-related injury that caused the person to go out on Medical Leave. He added that if everyone who had any kind of injury could return to light or partial duty with limitations, it would create a significant problem for the Nursing Home at certain points in time. Ms. Chandler, at the request of Attorney Kirby, agreed to review the aforementioned policy to determine if it needs to be included in the Medical Leave of Absence Policy. There was a general agreement that without that paragraph, the return would be at the discretion of the Administrator. Mr. Moorehead noted that it is in the interest of the County to have that policy when it applies to a Worker’s Compensation case, but noted that that is a separate issue. Ms. Coughlin noted that RSA’s relating to the Registry of Deeds allow that it is open daily except for Sundays and State holidays, and since Martin Luther King day is a State holiday, the State wants to know why Hillsborough County’s Registry is the only one open. Attorney Kirby noted that there is a distinction between whether the Registry is open for business or whether it has its employees there. The distinction is that while a lot of entities can be closed on Civil Rights Day, the County is still operating; it is not a County holiday. Mr. Wenger offered that the message to the employees should be that the Registry is open and by County Policy and practice, if they wish to take the day off, the may take it in lieu of their birthday. Mr. Wenger noted that he will make the changes and come back to the Board for its approval. Once that is done the County will be required to hold a Public Hearing, and then it can be adopted. 12. Adjourn There being no further business, Comm. Ziehm entertained a motion to adjourn. Motion: To adjourn the meeting. Motion by Comm. Pappas, second by Comm. Holden. Motion carried The meeting adjourned at 12:21 p.m. Approved on 5/2/2012 _____________________________ _______________________ Comm. Carol H. Holden Date Vice Chairman/Clerk Hillsborough County Board of Commissioners
CÓDIGO DE CONDUTA DE PARCEIROS DA HP Em vigor a partir de 1 de junho de 2016 I. Introdução Na HP, trabalhamos em colaboração com os nossos Parceiros para realizar negócios com entusiasmo pelos nossos clientes e produtos, com respeito pelas pessoas e com integridade absoluta em nossos relacionamentos empresariais. As referências neste Código de Conduta a Produtos HP incluem serviços oferecidos pela HP, assim como hardware, software, suprimentos e outros Produtos HP. Para alcançar esses objetivos, a HP espera que seus Parceiros mantenham os mais altos padrões de ética nos negócios; que familiarizem-se e que cumpram todas as leis relevantes ao seu status de Parceiro HP, incluindo as leis extraterritoriais que governam a conduta da HP, tais como o United States Foreign Corrupt Practices Act ("U.S. FCPA" - Lei de Práticas de Corrupção no Estrangeiro dos Estados Unidos), o U.K. Bribery Act (Lei Antissuborno do Reino Unido) e leis anticorrupção semelhantes de outros países onde o Parceiro conduzir negócios ou que, de outra maneira, sejam aplicáveis ao Parceiro; e que estejam a par de todas as mudanças legais e regulatórias relevantes ao seu status de Parceiro HP. Além disso, a HP exige que os Parceiros HP (1) implementem programas de conformidade e governança que previnam e detectem condutas irregulares ou ilegais; (2) estejam em conformidade e de acordo com cláusulas contratuais que requeiram adesão rigorosa a todas as leis anticorrupção aplicáveis, e a outras leis que forem relevantes ao seu status de Parceiro HP e aos seus negócios como Parceiro HP; (3) concedam à HP direitos de auditoria, para que possa revisar a conformidade dos Parceiros com tais leis relevantes ao status de Parceiro HP; (4) até onde estejam cientes, relatem proativamente à HP violações reais ou potenciais deste Código de Conduta de Parceiros ou das leis aplicáveis envolvendo Produtos HP, por seus funcionários e representantes, assim como violações reais ou potenciais dos Padrões de Conduta nos Negócios da HP, deste Código de Conduta de Parceiros e das leis aplicáveis por funcionários e representantes da HP; e (5) forneçam declaração de sua conformidade com tais leis e concluam todos os treinamentos e programas de Due Diligence da HP, como e quando solicitado pela HP. Embora a HP reconheça os diferentes ambientes legais e culturais nos quais seus Parceiros operam em todo o mundo, os Parceiros HP devem cumprir os princípios legais e éticos fundamentais descritos neste Código de Conduta de Parceiros. Este Código de Conduta de Parceiros se aplica aos Parceiros HP, seus funcionários, funcionários temporários, agentes, contratados independentes e subcontratados. Um Parceiro HP é qualquer parte que venda Produtos HP, incluindo distribuidores, OEMs, revendedores, agentes e qualquer outra parte num acordo com um Canal ou Parceiro HP. Um Parceiro HP também inclui qualquer parte que forneça serviços direta ou indiretamente à HP em suporte aos negócios da HP, tais como integradores de sistema, empresas de logística e outros prestadores de serviços que estejam dando suporte à HP em seus negócios junto aos seus clientes. Uma infração deste Código de Conduta de Parceiros será considerada uma infração do Contrato de Parceiro HP e pode levar ao término da relação comercial com a HP. II. Cumprimento das leis 1. Leis de concorrência Os Parceiros HP devem cumprir as leis e normas que regulam o comércio e concorrência justos, concernentes ao seu status de Parceiro HP. Além do cumprimento das leis locais aplicáveis, os Parceiros HP não podem negociar nem celebrar acordos formais ou informais com concorrentes sobre os itens a seguir: (a) preço; (b) assuntos que afetem preço; (c) níveis de produção; (d) níveis de estoque; (e) propostas; ou (f) divisão de território de vendas, produtos, clientes ou fornecedores. Em determinadas jurisdições onde essas condutas sejam ilegais, os Parceiros HP não devem interferir no direito de outros revendedores estabelecerem livremente o preço de revenda de produtos, limitar o direito de um revendedor de vender produtos ou condicionar a venda de produtos ao compromisso de compra de outros produtos. Os Parceiros da HP só poderão usar meios lícitos para coletar informações sobre fabricantes ou vendedores de produtos concorrentes dos Produtos HP. 2. Leis Anticorrupção Proibição absoluta de suborno A HP espera que os Parceiros da HP mantenham os mais altos padrões de integridade em todas as suas interações de negócios. A HP tem uma política de tolerância zero proibindo toda e qualquer forma de suborno, corrupção, extorsão, propina e fraude. Todos os Parceiros HP estão estritamente proibidos de prometer, oferecer, autorizar, dar ou aceitar qualquer coisa de valor, direta ou indiretamente por meio de terceiros, para obter ou manter negócios, direcionar negócios com qualquer pessoa ou ganhar uma vantagem indevida. Para os fins desta política, "qualquer coisa de valor" inclui, mas não se limita a, presentes, favores, entretenimento e refeições, independentemente do valor. Os Parceiros HP devem estar em conformidade com todas as Leis Anticorrupção aplicáveis, incluindo, mas não se limitando ao U.S. FCPA e ao U.K. Bribery Act (coletivamente, as "Leis Anticorrupção"). Além das Leis Anticorrupção, pode haver outras leis ou regulações locais aplicáveis relacionadas a presentes e entretenimento para funcionários do governo e/ou entidades privadas. Por exemplo, nos Estados Unidos e em alguns outros países, presentes e entretenimento para funcionários dos governos federal, estadual ou municipal podem ser estritamente proibidos, independentemente das intenções. Como um Parceiro HP, é requerido que você esteja em conformidade com todas as leis aplicáveis que governam as interações com funcionários do governo. Para evitar qualquer dúvida, os Parceiros HP estão proibidos de prometer, oferecer, autorizar, dar ou aceitar qualquer "facilitação" ou "pagamentos facilitadores" em ações governamentais rotineiras, mesmo quando for permitido pelo FCPA ou pelas leis locais. HP também proibe os Parceiros HP, seus representantes ou funcionários, de oferecer ou dar presentes, propinas ou entretenimento, em dinheiro ou de outra forma, para qualquer funcionário HP, para qualquer finalidade irregular, como influenciar tal funcionário a praticar qualquer ato. Os funcionários da HP também são proibidos de solicitar tais itens. Essa proibição se estende aos membros imediatos das famílias, tanto de funcionários e representantes do Parceiro HP quanto dos funcionários da HP. Livros e Registros Os Parceiros HP devem manter livros e registros completos e precisos sobre as vendas de Produtos HP, além de toda e qualquer transação ou outras despesas que digam respeito a qualquer negócio relacionado à HP. Os Parceiros HP estão expressamente proibidos de se engajar em práticas contábeis fraudulentas ou enganosas, incluindo, mas sem se limitar a, criação de "caixa dois" ou práticas financeiras impróprias semelhantes. Tal prática também pode violar leis aplicáveis, incluindo as Leis anticorrupção. Para deixar claro, os funcionários da HP e os Parceiros HP não devem participar da criação ou preparação de quaisquer documentos de transação enganosos ou imprecisos, ou da falsificação de qualquer tipo de documento de transação relevante para negócios relacionados à HP. Os Parceiros HP devem recusar qualquer solicitação de um funcionário da HP para criar documentação enganosa, imprecisa ou falsa, incluindo "fundos de reserva", ou para representar de forma incorreta o uso pretendido de fundos. Qualquer solicitação de funcionário da HP para engajamento em conduta antiética deve ser relatada à HP por meio de um dos métodos especificados ao final deste Código de Conduta. Terceiros contatados por Parceiros HP Os Parceiros HP não devem se engajar ou estabelecer contrato com quaisquer terceiros, ligados a negócios relacionados à HP, que se engajaram ou que estiverem sob suspeita de tal conduta, em propinas, subornos, pagamentos impróprios ou qualquer outra conduta que possa violar as Leis Anticorrupção. Os Parceiros HP devem cumprir com esse requerimento conduzindo análise de risco apropriada em todos os terceiros com os quais o Parceiro HP se engajar em conexão com negócios relacionados à HP, para garantir que tais terceiros estejam em conformidade com as Leis Anticorrupção. Todo e qualquer funcionário, agente, representante, subcontratado ou outra parte que esteve ou estará engajado com um Parceiro HP, em conexão com negócios relacionados à HP, deve concordar com e atender a padrões éticos e de conformidade que não sejam menos severos do que aqueles incorporados a este Código de Conduta. 3. Regras de venda para o setor governamental Conforme descrito acima, além das Leis Anticorrupção e da proibição estrita contra toda e qualquer forma de suborno ou pagamento impróprio, certas restrições adicionais podem ser aplicadas com relação a vendas para o governo, seus funcionários, suas entidades e seus instrumentos. Os Parceiros HP devem se familiarizar e manter conformidade com todas as leis e regulações que dizem respeito a vendas para entidades governamentais. 4. Leis de comércio internacional Os Parceiros da HP devem se familiarizar com e, ao conduzir transações de negócios como um Parceiro HP, cumprir sanções econômicas e embargos comerciais impostos ou aprovados pelo Governo dos Estados Unidos. Adicionalmente, os Parceiros HP devem se familiarizar e cumprir todas as leis e regulamentações relevantes nos Estados Unidos e em jurisdições estrangeiras locais aplicáveis, incluindo as leis antilavagem de dinheiro dos Estados Unidos, leis e regulações sobre importação e exportação e leis e regulações envolvendo alfândega e impostos. 5. Leis de propriedade intelectual Os Parceiros HP não devem infringir direitos de marcas comerciais e outros direitos de propriedade intelectual da HP. Os Parceiros HP estão proibidos também de infringir direitos de propriedade intelectual de terceiros de qualquer maneira relevante ao seu status de Parceiro HP. Em particular, os Parceiros HP não devem se envolver na produção, distribuição, armazenamento ou venda de Produtos HP falsificados ou qualquer produto de terceiros que infrinja a propriedade intelectual da HP (incluindo marcas comerciais da HP). Qualquer violação nesse sentido, conforme determinado pela HP, a seu exclusivo critério, com base em informações obtidas por quaisquer meios, incluindo seus próprios esforços de investigação ou por seus agentes ou qualquer agência de investigação ou cumprimento da lei, constituirá em infração e permitirá à HP que exclua o Parceiro de qualquer Programa para Canais HP, retire qualquer benefício do Parceiro obtido com tais Programas e/ou altere descontos, como consta na seção 16.c do Contrato de Parceiro HP. 6. Leis ambientais Os Parceiros HP devem conduzir suas operações de maneira que sejam responsáveis com o meio ambiente e estejam em conformidade com todas as leis, regulamentações e padrões ambientais pertinentes ao seu status de Parceiro HP. 7. Direitos humanos, leis trabalhistas e práticas de trabalho justo Os Parceiros HP devem cumprir com todas as normas de saúde e segurança, as leis que tratam dos direitos de pessoas com deficiência, leis trabalhistas e práticas de trabalho justo que sejam pertinentes ao seu status de Parceiro HP. Especificamente, a HP requer que os Parceiros HP cumpram com as exigências legais de salário-mínimo e limite máximo de horas de trabalho, evitando o uso de trabalho forçado, por condenação, em regime de servidão ou em cativeiro. Trabalho forçado ou por condenação refere-se a situações nas quais os trabalhadores são sentenciados a trabalho sem remuneração. O trabalho em cativeiro ocorre quando o empregador impede os trabalhadores de deixarem o emprego de forma livre e voluntária. Trabalho em regime de servidão refere-se a situações em que, para pagar uma dívida, com frequência contraída por outra pessoa, usa-se em troca a mãode-obra de um indivídio. Outras formas de trabalho forçado incluem situações em que contratos trabalhistas impõem limitações práticas ou legais inaceitáveis sobre a possibilidade de os trabalhadores deixarem seus serviços. É proibida a utilização de mão-de-obra infantil. O termo "infantil" se refere a qualquer pessoa empregada com idade abaixo de 15 anos (ou 14 anos, onde a lei do país permitir) ou abaixo da idade de conclusão da educação obrigatória, ou ainda abaixo da idade mínima requerida para vínculo empregatício no país, o que for maior. São apoiados programas legais de aprendizagem no local de trabalho, desde que estejam em conformidade com todas as leis e regulamentos do país. Os trabalhadores menores de 18 anos não devem realizar tarefas perigosas e podem estar sujeitos a restrições para trabalho noturno, em consideração às suas necessidades educacionais. Por fim, os Parceiros HP nunca devem fazer discriminação com base em raça, cor, idade, gênero, orientação sexual, identidade e expressão de gênero, etnia, religião, deficiência, estado civil ou filiação sindical ou política. 8. Privacidade e Lei para a Proteção de Datas Os parceiros HP devem respeitar todas as leis e todos os regulamentos aplicáveis da privacidade, incluindo e sem se limitarem às leis e aos regulamentos do setor/da indústria nacional, federal, local. Ainda mais, os Parceiros HP devem dirrigir as suas operaçãos duma maneira que obedeça qualquer regulamento específico abrangido na HP Partner Privacy e Data Protection Addendum (Privacidade do Parceiro HP e Addendum da Proteção de Datas). III. Adesão a práticas de vendas e de marketing justas e honestas e ao cumprimento de contratos 1. Práticas de vendas e marketing As práticas de venda e marketing dos Parceiros HP devem refletir o comprometimento com negociações justas e honestas com seus clientes atuais e potenciais. Os Parceiros HP não devem se engajar em práticas enganosas ou fraudulentas. 2. Normas publicitárias Se um Parceiro HP estiver trabalhando em quaisquer atividades publicitárias, promocionais ou de marketing que se refiram ou envolvam a HP, seu nome, logotipo, serviços, entres outros, deverá obter aprovação prévia e por escrito da HP, e tais materiais publicitários, promocionais ou de marketing devem estar em conformidade com todas as leis, normas e regulamentos, devendo, ainda, ser precisos e conter apenas informações verdadeiras. Os materiais publicitários, promocionais ou de marketing não poderão ser falsos ou enganosos nem ter a tendência de enganar o cliente, e todas as afirmações contidas em materiais publicitários, promocionais ou de marketing deverão ser embasadas em documentação comprobatória adequada. Toda a publicidade dos Parceiros HP deve incluir a divulgação clara dos termos e limitações das ofertas anunciadas. Os Parceiros HP não podem apresentar informações ou dados falsos sobre produtos, serviços e preços, nem fazer alegações ou comparações parciais, enganosas, inexatas ou falsas sobre ofertas da concorrência. 3. Conflitos de interesse Os Parceiros HP devem evitar qualquer atividade de negócios que possa criar um conflito entre seus interesses como Parceiro HP e os deveres e as obrigações do Parceiro HP de fornecer aconselhamento independente para um Cliente com relação a produtos ou serviços que estão sendo adquiridos. Para evitar situações de conflito de interesse reais, potenciais ou aparentes, os Parceiros HP não estão autorizados a operar como parceiros de agentes ou receber comissão ou taxa de agente, ou outro tipo de compensação da HP, em que o Parceiro HP estiver sob dever ou obrigação de fornecer aconselhamento independente e imparcial a um Cliente com relação a produtos ou serviços que estão sendo adquiridos. Se um Parceiro acredita que possa existir um conflito de interesses ou que um possível conflito de interesses possa surgir, o Parceiro deve informar todos os detalhes pertinentes a um representante designado pela HP. 3 Os funcionários da HP são obrigados a cumprir os Padrões de Conduta de Negócios da HP. A seleção de Parceiros HP se baseia na qualidade de seus serviços e em sua integridade nos negócios. A HP exige de seus funcionários altos padrões éticos e que evitem o empreendimento de qualquer atividade que dê qualquer impressão de irregularidade ou conflito de interesses. Os Parceiros HP não devem pedir ou incentivar os funcionários da HP a violarem as disposições dos Padrões de Conduta de Negócios da HP. IV. Sistema de gestão de riscos e conformidade 1. Controles de negócios Os Parceiros HP devem manter ou, se necessário, estabelecer controles de negócios efetivos que sejam capazes de previnir e detectar condutas ilícitas de seus funcionários e contrapartes. No mínimo, um programa de controle de negócios efetivo deve conter os seguintes componentes: (i) avaliações periódicas de riscos que levem a ajustes em seus controles de negócios, levando em consideração o ambiente atual de riscos; (ii) um compromisso da alta gerência pelo cumprimento de programas de conformidade legal, ética, anticorrupção, ambiental, de saúde e segurança ocupacional, e de práticas comerciais e trabalhistas; (iii) adoção de um Código de Conduta e de procedimentos de compliance (conformidade) claramente articulados, que abordem os itens anteriores (o Código de Conduta da Indústria de Eletrônicos (EICC) é encorajado como modelo para este Código de Conduta); (iv) recursos adequados e representante(s) designados pela empresa, responsáveis por supervisionar e implementar os programas de compliance (conformidade) legal e ética; (v) treinamento e consultoria contínuos sobre os programas de compliance (conformidade) legal e ética e as políticas e procedimentos do Parceiro HP; (vi) incentivos e medidas disciplinares apropriados para compliance (conformidade) legal e ética; (vii) procedimentos para avaliação apropriada de riscos de terceiros; (viii) mecanismos claramente comunicados para que os funcionários relatem condutas impróprias e busquem orientações sem medo de retaliação, incluindo de forma confidencial, exceto quando proibido por lei. 2. Investigações e monitoramento contínuo da HP sobre compliance (conformidade) dos Parceiros HP Os Parceiros HP devem, de maneira consistente com leis e obrigações contratuais aplicáveis, fornecer assistência razoável a qualquer investigação realizada pela HP sobre uma violação deste Código de Conduta de Parceiros ou sobre uma violação, por um funcionário da HP, dos Padrões de Conduta de Negócios da HP, se relacionada aos negócios do Parceiro HP ou às leis aplicáveis ao seu status de Parceiro HP, além de conceder à HP acesso razoável a toda a documentação relacionada à conformidade do Parceiro HP com este Código de Conduta de Parceiro e com leis aplicáveis à sua venda e distribuição de Produtos HP. * * * Os Parceiros HP devem contatar a HP se tiverem qualquer dúvida sobre este Código de Conduta de Parceiros. Os Parceiros HP também devem relatar à HP qualquer conduta de seus funcionários e representantes, assim como qualquer conduta dos funcionários e representantes da HP, que seja de boa fé considerada uma violação real, aparente ou em potencial deste Código de Conduta de Parceiro, dos Padrões de Conduta de Negócios da HP ou de leis aplicáveis relacionadas à venda ou distribuição de Produtos HP. Os relatsimórios serão tratados dentro do maior sigilo possível. Os relatórios devem ser encaminhados ao representante do Parceiro designado pela HP, ao Escritório de Ética e Compliance da HP via email firstname.lastname@example.org, por telefone para a Guideline pelo número 1-800-424-2965 (fora dos EUA, disque primeiro o número de acesso da AT&T) ou, se preferir, ao Conselho Diretores da HP via email email@example.com. Os relatórios enviados pelo correio devem ser direcionados ao seguinte endereço: HP Inc. Ethics and Compliance Office Mailtop 1560 1501 Page Mill Road Palo Alto, California 94304-1185 HP Partner Privacy and Data Protection Addendum Effective June 1, 2016 Notice: This addendum applies only to HP Partners doing business in the US and those outside of the US that may be handling US Protected Health Information (PHI). I. Introduction This addendum to the HP Partner Agreement and the HP Partner Code of Conduct provides details about the requirements for different HP Partner groups (i.e. Distributors, Value Added Resellers, Systems Integrators, Service Providers, Independent Software Vendors and OEMs) to comply with various privacy and data protection laws across the globe. One law that has implications for HP and HP Partners is the US Health Insurance Portability and Accountability Act or HIPAA. The additional requirements, which are based on HP's implementation of HIPAA, are defined in sections 2 and 3. II. Health Insurance Portability and Accountability Act (HIPAA) The specific requirements of HIPAA with which all HP Partners must comply are described in Section 3 below. HIPAA applies to two categories of individuals, organizations and agencies, defined as "Covered Entities" (CEs) and "Business Associates" (BAs). CEs include companies that are Health Care Providers (e.g. doctors, hospitals, medical facilities, dentists, pharmacies, etc.), Health Care Plans (e.g. Health Insurance Companies, company health plans, and Government programs that pay for healthcare) and Healthcare Clearinghouses. If a company has access or potential access to protected health information while providing services to a CE, the company is a BA. HIPAA requires that where such a relationship exists, the CE and the BA must enter into a Business Associate Agreement (BAA). In addition, where a BA uses subcontractors or partners in providing those services, the obligations of the BAA must flow down to the subcontractors or partners. This means that where HP or HP Partners sell services or products to either CEs or BAs, and there is access or potential access to protected health information during delivery of the service or product, the HP Partner will need to ensure HP's Pass-through BAA is provided to its end-user customers as part of the overall HP terms that attach to the affected services and products. In some cases, the HP Partner may need to agree to additional flow-down terms between it and HP. Therefore, it is critical that HP Partners understand the legal requirements when HP and HP Partners are providing services or products to end-users who are either CEs or BAs, as well as HP's implementation of HIPAA as applied to its channel partner program. The different relationships that may exist among an impacted enduser (either CE or BA), HP and HP Partners are described in Section 3. III. HIPAA Requirements As part of HP's overall strategy for HIPAA compliance, HP must ensure that properly executed BAAs are in place between the end-user (either CE or BA), HP and HP Partners for instances where it or HP Partners have access or potential access to Protected Health Information while providing services or products. In some cases, HP and HP Partners must execute a sub-Business Associate Agreement (at HP, called an Agent/Subcontractor Agreement or ASA) to flow down the HIPAA requirements. It is the HP Partner's responsibility to ensure that any appropriate ASAs are in place between it and its sub-contractors. Note: The Agent/Subcontract Agreement (ASA) is a HP term for a contract template for a contract between HP and a subcontractor that flows down the requirements included in the BAA entered into with the end-user (either CE or BA). This addendum defines the types of agreements that apply between HP and the different types of HP Partners. HP Partners can be grouped into three broad categories as defined by who has the primary relationship with the CE and who should sign the BAA with the CE: 1. Sell Only 2. Sell and Deliver 3. Value Added Reseller (VAR) a. Sell Only – Partner Sold, HP Delivered In this category, the end-user (either Covered Entity or Business Associate) is buying HP-branded products and services from the HP Partner. As part of the sales process, the HP Partner should include the Pass-through HP Business Associate Agreement and engage with HP as appropriate. The Pass-through HP Business Associate Agreement is non-negotiable, similar to the rest of HP's Pass-through Terms. In the end, the Covered Entity has a Business Associate Agreement with HP. b. Sell and Deliver - Partner Sold, Partner Delivered In this category, the end-user (either Covered Entity or Business Associate) is buying HP-branded products and services from the HP Partner. In some cases the HP Partner may be delivering services on behalf of HP and has potential access to protected health information. As part of the sales process, the HP Partner includes the Passthrough HP Business Associate Agreement and engage with HP as appropriate. The Pass-through HP Business Associate Agreement is non-negotiable, similar to the rest of HP's Pass-through Terms. If the HP Partner is delivering services on behalf of HP, the HP Partner will sign an Agent/Subcontractor Agreement with HP. In the end, the Covered Entity has a Business Associate Agreement with HP, and HP has an Agent/Subcontractor Agreement with the HP Partner as appropriate. \| Sell Only \| Pass-through BAA \| \|---\|---\| \| Sell and Deliver \| Pass-through BAA \| \| \| ASA \| c. Value Added Reseller - Partner Branded Services In this category, the end-user (either Covered Entity or Business Associate) is buying products and/or services, which contain HP-branded components, from the HP Partner. The HP Partner has the primary business relationship with the end-user and typically leads the sales pursuit. If HP delivers products and services to the end-user on behalf of the HP Partner, and has access to protected health information, then HP is a Business Associate. As part of the sales process, the HP Partner should enter into a Business Associate Agreement with the end-user. Once the deal has been finalized, the HP Partner should enter into a Business Associate Agreement with HP, which will contain flow-down terms to HP as appropriate.
Sunfold 50 Bedienungsanleitung (Deutsch) Operating Manual (English) 1. Wichtige Sicherheits- und Handhabungshinweise ACHTUNG Dieses Symbol warnt vor Beschädigungsgefahren für Ihr Solarmodul. Um Beschädigungen an Ihrem faltbaren Solarmodul Sunfold 50 zu vermeiden, beachten Sie bitte die folgenden Hinweise: * Das Solarmodul nicht belasten oder betreten. Das Modul darf nicht gebogen werden. * Solarmodul für Transport und Lagerung immer so falten, dass die Solarzellen innen liegen, bevorzugt in der mitgelieferten Tasche verstauen. Der Anschlussstecker sollte nicht zwischen den Modulhälften eingequetscht werden. * Das Solarmodul darf nicht am Kabel getragen oder gezerrt werden * Das Solarmodul ist extrem wetterbeständig und hält kurzem Untertauchen in Salzwasser stand – längeres Untertauchen vermeiden. * Nach dem Einsatz in Salzwasser mit feuchtem Tuch oder Schwamm abwischen – keine Reinigungsmittel benutzen. * Nur komplett trocken in der Tasche lagern. Für optimale Ausgangsleitung das Modul senkrecht zur Sonneneinstrahlung ausrichten, Teilabschattung vermeiden. 2. Lieferumfang Das Sunfold 50 kommt inklusive * Tasche * Bedienungsanleitung * Garantieschein 3. Technische Daten & Maße Kompatibel für die Modelle Torqeedo Ultralight 403 mit den Batterien der Artikelnummer 1416-00 und Torqeedo Travel 503/1003 mit den Batterien der Artikelnummern 1146-00 und 1147-00 \| Ausgangsleistung \| 50 Watt (bei Standard -Testbedingungen) \| \|---\|---\| \| Effizienz Zellen-Wirkungsgrad \| 17,8% \| \| Zellentyp \| Kristalline Hochleistungssolarzellen \| \| Leerlaufspannung \| 21 V \| \| Wasserdichtes Aufladen \| Verbindungen komplett wasserdicht, Aufladen auf dem Wasser ohne Risiken einer elektrolytischen Korrosion möglich \| \| Maße \| \| \| Maße \| entfaltet 121,5 cm x 37,6 cm \| \| Maße \| gefaltet 60,2 cm x 37,6 cm (x 2) \| \| Höhe \| gefaltet 2 cm \| \| Gewicht \| 2,41 kg \| 4. Montage und Gebrauch Zur Montage kann das Modul an den Ösen oder am textilen Rand befestigt werden. Die optimale Ausrichtung ist immer senkrecht zur Einstrahlungsrichtung. Ein Durchbohren der Trägerplatte oder Beschädigung der laminierten Modulfläche ist auf jeden Fall zu vermeiden. Der Stecker des Solarmodulkabels wird in die Ladebuchse der Batterie gesteckt und wasserdicht verschraubt. Weitere Hinweise zur Verwendung des Solarmoduls finden Sie in der Bedienungsanleitung Ihres Torqeedo Motors. Für optimale Ausgangsleistung sollte das Modul möglichst sauber gehalten werden, speziell Teilabschattungen durch z.B. Blätter sind zu vermeiden. Zur Reinigung nur Süßwasser verwenden. 5. Garantiebedingungen 5.1 Garantieumfang Die Torqeedo GmbH, Friedrichshafener Straße 4a in D-82205 Gilching, Deutschland garantiert dem Endabnehmer eines Torqeedo Produktes, dass das Produkt während des nachstehend festgelegten Deckungszeitraumes frei von Material- und Verarbeitungsfehlern ist. Torqeedo wird den Endabnehmer von den Kosten der Beseitigung eines Material- oder Verarbeitungsfehlers freihalten. Diese Freihalteverpflichtung gilt nicht für alle durch einen Garantiefall veranlassten Nebenkosten und alle sonstigen finanziellen Nachteile (z.B. Kosten für Abschleppen, Telekommunikation, Verpflegung, Unterkunft, entgangene Nutzung, Zeitverlust usw.). Die Garantie endet zwei Jahre nach dem Tag der Übergabe des Produktes an den Endabnehmer. Ausgenommen von der zweijährigen Garantie sind Produkte, die – auch vorübergehend – für gewerbliche oder behördliche Zwecke genutzt wurden. Für diese gilt die gesetzliche Gewährleistung. Der Garantieanspruch verjährt mit Ablauf von sechs Monaten nach Entdeckung des Fehlers. Ob fehlerhafte Teile instand gesetzt oder ausgetauscht werden, entscheidet Torqeedo. Distributoren und Händler, die Reparaturarbeiten an Torqeedo-Motoren durchführen, haben keine Vollmacht, für Torqeedo rechtsverbindliche Erklärungen abzugeben. Von der Garantie ausgeschlossen sind Verschleißteile und Routinewartungen. Torqeedo ist berechtigt die Garantieansprüche zu verweigern wenn * die Garantie nicht ordnungsgemäß eingereicht wurde (insbesondere Kontaktaufnahme vor Einsendung reklamierter Ware, Vorliegen eines vollständig ausgefüllten Garantiescheins und des Kaufbelegs, vgl. Garantieprozess), * vorschriftswidrige Behandlung des Produktes entstanden ist, * die Sicherheits-, Handhabungs- und Pflegehinweise der Bedienungsanleitung nicht befolgt wurden, * der Kaufgegenstand in irgendeiner Weise umgebaut, modifiziert oder mit Teilen oder Zubehörartikeln ausgerüstet worden ist, die nicht zu der von Torqeedo ausdrücklich zugelassenen bzw. empfohlenen Ausrüstung gehören, * vorangegangene Wartungen oder Reparaturen nicht durch von Torqeedo autorisierte Betriebe vorgenommen wurden bzw. andere als Original-Ersatzteile verwendet wurden, es sei denn der Endabnehmer kann nachweisen, dass der zur Ablehnung des Garantieanspruchs berechtigende Tatbestand die Entwicklung des Fehlers nicht begünstigt hat. Neben den Ansprüchen aus dieser Garantie hat der Endabnehmer gesetzliche Gewährleistungsansprüche aus seinem Kaufvertrag mit dem jeweiligen Händler, die durch diese Garantie nicht eingeschränkt werden. 5.2 Garantieprozess Die Einhaltung des nachfolgend beschriebenen Garantieprozesses ist Voraussetzung für die Erfüllung von Garantieansprüchen. Bevor der Versand von reklamierten Produkten an Torqeedo erfolgen darf, ist die Einsendung unbedingt mit dem Torqeedo Service abzustimmen. Die Kontaktaufnahme kann per Telefon, Mail oder postalisch erfolgen. Die Kontaktaufnahme über das Internet www.torqeedo.com wird sukzessive erweitert. Kontaktadressen befinden sich auf der Rückseite dieser Bedienungsanleitung. Wir bitten um Verständnis, dass wir unabgestimmte Einsendungen reklamierter Produkte nicht bearbeiten können und daher nicht annehmen. Zur Überprüfung des Garantieanspruches und zur Abwicklung der Garantie benötigen wir einen ausgefüllten Garantieschein sowie einen Kaufnachweis. * Im Rahmen der Abstimmung mit unserem Service vor Einsendung des Produktes erhalten Sie eine RMA-Nummer. Bitte notieren Sie die RMA-Nummer gut sichtbar außen auf der Verpackung. * Bitte legen Sie der Sendung einen ausgefüllten Garantieschein bei. Der Vordruck liegt dieser Bedienungsanleitung bei. Die Angaben im Garantieschein müssen u.a. Kontaktdaten, Angaben zum reklamierten Produkt, Seriennummer und eine kurze Problembeschreibung enthalten. * Bitte legen Sie der Sendung den Kaufnachweis bei (Kassenbon, Rechnung oder Quittung). Der Kaufnachweis muss insbesondere den Kauf sowie das Kaufdatum belegen. Für die Einsendung des Produktes zur Servicestelle empfiehlt es sich, die TorqeedoOriginalverpackung aufzuheben. Falls diese nicht mehr verfügbar ist, sollte eine Verpackung verwendet werden, die Transportschäden ausschließt, da diese nicht unter Garantie fallen. Für Rückfragen zum Garantieprozess stehen wir Ihnen unter den auf der Rückseite angegebenen Koordinaten gern zur Verfügung. 6. Außerbetriebnahme des Produkts / Entsorgung Das Torqeedo Solarmodul ist entsprechend der EG-Richtlinie 2002/96 hergestellt. Diese Richtlinie regelt die Entsorgung von Elektro- und Elektronikgeräten zum nachhaltigen Schutz der Umwelt. Sie können das Solarmodul entsprechend der regionalen Vorschriften an einer Sammelstelle abgeben. Von dort aus wird es der fachgerechten Entsorgung zugeführt. Garantieschein Sehr geehrter Kunde, sehr geehrte Kundin, Ihre Zufriedenheit mit unseren Produkten liegt uns am Herzen. Sollte es vorkommen, dass ein Produkt trotz aller Sorgfalt, die wir bei der Produktion und Prüfung an den Tag legen, einen Defekt aufweist, ist es uns wichtig, Ihnen schnell und unbürokratisch weiter zu helfen. Um Ihren Garantieanspruch zu prüfen und Garantiefälle reibungslos abwickeln zu können, benötigen wir Ihre Mithilfe: * Bitte füllen Sie diesen Garantieschein vollständig aus. * Bitte stellen Sie eine Kopie Ihres Kaufnachweises (Kassenbon, Rechnung, Quittung) zur Verfügung. anderen Service-Standort schicken, sprechen Sie bitte das Prozedere vor Versand mit dem jeweiligen ServicePartner ab. * Suchen Sie sich einen Service-Standort in Ihrer Nähe – unter www.torqeedo.com/service–center/servicestandorte finden Sie eine Liste mit allen Adressen. Wenn Sie Ihr Produkt an das Torqeedo Service-Center in Gilching schicken, brauchen Sie eine Vorgangsnummer, die Sie telefonisch oder per E-Mail abfragen können. Ohne Vorgangsnummer kann Ihre Sendung dort nicht angenommen werden! Wenn Sie Ihr Produkt an einen * Bitte sorgen Sie für eine angemessene Transportverpackung. * Achtung beim Versand von Batterien: Batterien sind als Gefahrgut der UN Klasse 9 deklariert. Der Versand über Transportunternehmen muss gemäß der GefahrgutRegularien und in der Originalverpackung erfolgen! * Bitte beachten Sie die in der jeweiligen Gebrauchsanweisung aufgeführten Garantiebedingungen. Kontaktdaten Vorname Name Straße Land Telefon PLZ, Ort E-Mail Mobiltelefon falls vorhanden: Kunden-Nr. Reklamationsdaten Ausführliche Problembeschreibung (inklusive Fehlermeldung, in welcher Situation trat der Fehler auf etc.) Vorgangsnummer (bei Einsendung an das Torqeedo Service Center in Gilching zwingend erforderlich, die Sendung kann ansonsten nicht angenommen werden) Vielen Dank für Ihre Kooperation, Ihr Torqeedo Service Warranty Claim Form Dear Customer, Your satisfaction with our products is very important to us. Every product has been produced and tested with extraordinary diligence. If nevertheless a warranty claim should occur, we would like to help you as fast and effectively as we can. For a smooth process we need your cooperation: * Please complete this Warranty Claim Form. * Please provide a copy of your proof of purchase (invoice, receipt). * Please look for the nearest Torqeedo Service location under www.torqeedo.com in the Service Centre section. Contact the Service Centre you choose before you send in the product. Please understand that we have to reject received products which the Service Centre was not notified of. * Please ensure suitable packaging. * Please be advised that lithium batteries are designated as Hazardous Material. The dispatch of the battery with a transport company has to be organized according to the formalities for dangerous goods and packed in the original packaging. * Please observe the warranty conditions as listed in the Instruction Manuals. Contact Details Details of claim Thank you very much for your cooperation, the Torqeedo Service Europe & international: firstname.lastname@example.org T +49 - 8153 - 92 15 - 126 F +49 - 8153 - 92 15 - 329 A list of Certified Service Centres can be found under www.torqeedo.com, Service Center North America : email@example.com T +1-815-444-8806 F +1-815-444-8807 A list of Certified Service Centers can be found under www.torqeedo.com, Service Center 1. Important safety and operating information CAUTION This symbol warns about the risk of damage to your solar charger. In order to avoid damage to you foldable Sunfold 50 solar charger please note the following advice: * Do not put pressure on or tread on the opened solar module. Do not bend the module. * Do not carry or pull the module on the cable. * Always fold the panel for transport and storage with the cells facing inwards. Use the supplied bag and avoid putting the connector between the panel sides. * The solar module is extremely water resistant and withstands being briefly immersed in salt water - avoid long term immersion. * After use in salt water, wipe clean with a damp cloth or sponge - do not use detergent. * Only store in the bag when completely dry For optimum output direct the module perpendicular to the irradiation direction and avoid any partial shading 2. Items supplied The solar panel Sunfold 50 comes with * Carrying bag * Operating manual * Warranty certificate 3. Technical data & dimensions Compatible with Torqeedo Ultralight 403 batteries with article number 1416-00 and Torqeedo Travel 503/1003 batteries with article number 1146-00 and 1147-00 4. Assembly and use The module can be fixed using the openings in or other parts of the textile surroundings. Optimum orientation is always perpendicular to the irradiation direction. Damage of the laminated surface areas or the carrier plates has to be avoided in any case. The connector at the end of the module cable is put into the battery charging plug and secured for watertightness. Further hints for usage of the solar module can be found in the operating manual of your Torqeedo motor. For optimum output the module needs to be clean, especially partial shading e.g. by leafs has to be avoided. Use only fresh water for cleaning. 5. Warranty terms 5.1 Extent of warranty Torqeedo GmbH, Friedrichshafener Str. 4a, D-82205 Gilching, Germany, guarantees the final purchaser of this product that the product is free from material and manufacturing faults during the period stated below. Torqeedo will indemnify the final purchaser for any expense for the repair of a material or manufacturing fault. This indemnification obligation does not cover the incidental costs of a warranty claim or any other financial losses (e.g. costs for towing, telecommunications, food, accommodation, loss of earnings, loss of time etc.). The warranty ends two years after the date on which the product was delivered to the final purchaser. Products that are used commercially or by public authorities - even if only temporarily - are excluded from this two-year warranty. In these cases, the statutory warranty applies. The right to claim under warranty runs out six months after discovery of a fault. Torqeedo decides whether faulty parts are repaired or replaced. Distributors and dealers who repair Torqeedo products have no authority to make legally binding statements on behalf of Torqeedo. Normal wear and tear and routine servicing are excluded from the warranty. Torqeedo is entitled to refuse a warranty claim if * the warranty was not correctly submitted (refer to the warranty process), * the product was not treated in accordance with the instructions, * the safety, operating and care instructions in the manual were not observed, * the product was in any way altered or modified or parts and accessories were added that are not expressly permitted or recommended by Torqeedo, * previous maintenance or repairs were not undertaken by organizations authorized by Torqeedo or parts that were not original spare parts were used unless the end user can prove that the facts that justify rejecting the warranty claim did not favor the development of the fault. As well as the rights arising from this warranty, the customer also has legal warranty claim rights arising from the purchase contract with the dealer that are not hampered by this warranty. 5.2 Warranty process Adhering to the following warranty process is a prerequisite to the satisfaction of any warranty claims. Before dispatching any apparently faulty goods, it is imperative to coordinate the delivery with Torqeedo Services. You can contact us by phone, email or post. The ability to make contact via the www.torqeedo.com website is being extended successively. You can find the contact details on the back of this manual. Please understand that we are unable to deal with products of which we have not been notified and will therefore refuse to accept delivery. To check a warranty claim and to process a warranty, we require a completed warranty certificate as well as proof of purchase. * Please note the RMA Number well visible on the outside of the transport packaging. * Please provide a completed warranty certificate with your shipment. The warranty certificate form is supplied with this operating manual, it is also available as a download from our website. The completed certificate must provide contact details, product details, serial number, and a brief description of the problem * Please provide a proof of purchase. The proof of purchase must indicate also the date of purchase (e.g. transaction receipt). For returning the product to the Service Center, we recommend keeping the original Torqeedo packaging. If this is no longer available packaging that excludes transport damage must be used as this is not included in the warranty. We are available to answer any questions regarding the warranty process - simply use the details on the back cover. 6. Decommissioning the product / disposal The Torqeedo solar module is manufactured in accordance with EU Directive 2002/96. This directive regulates the disposal of electrical and electronic devices to protect the environment. You can hand over the solar module to a collection point as per the regional regulations. From there it will be professionally disposed. Torqeedo Service Center Europe and international Torqeedo GmbH - Service Center Friedrichshafener Straße 4a 82205 Gilching Germany firstname.lastname@example.org T +49 - 8153 - 92 15 - 100 F +49 - 8153 - 92 15 - 319 North America Torqeedo Inc. 171 Erick Street, Unit A-1 Crystal Lake, IL 60014 USA email@example.com T +1 – 815 – 444 88 06 F +1 – 847 – 444 88 07 All other countries: Contact details of international Service Centers are available under www.torqeedo.com in the "Service" section.
A Deep Interpretation of Classiﬁer Chains Jesse Read and Jaakko Holm´en http://users.ics.aalto.fi/{jesse,jhollmen}/ Aalto University School of Science, Department of Information and Computer Science and Helsinki Institute for Information Technology Finland Leuven, Belgium. Fri. 31st Oct., 2014 Multi-label Classiﬁcation x= ,y= [y 1 , . . . ,y L ] = [ybeach, ysunset, yfoliage, yfield, ymountain, yurban] = [1, 0, 1, 0, 0, 0] Multi-label Classiﬁcation Map D input variables (feature attributes) to L output variables (labels). \| X 1 \| X 2 \| X 3 \| . . . \| X D \| Y 1 \| Y 2 \| Y 3 \| Y 4 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 0 \| 0 \| 0 \| 1 \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 1 \| 1 \| 1 \| 0 \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 0 \| 0 \| 0 \| 1 \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 1 \| 1 \| 0 \| 1 \| \| x˜ 1 \| x˜ 2 \| x˜ 3 \| . . . \| x˜ D \| ? \| ? \| ? \| ? \| Build model h, such that ˆy = [ˆ y1, . . . , ˆ yL] = h(˜x). Binary Relevance (BR) Train L independent models h = (h1, . . . , hL), one for each label, For ˜x, predict Binary Relevance (BR) Train L independent models h = (h1, . . . , hL), one for each label, For ˜x, predict Table : Binary Relevance: Model ˆ y3 = h3(˜x) \| X 1 \| X 2 \| X 3 \| . . . \| X D \| Y Y 1 2 \| Y 3 \| Y 4 \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 0 1 1 0 0 1 0 0 \| 1 \| 0 0 0 1 \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| \| 0 \| \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| \| 0 \| \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| \| 1 \| \| \| x˜ 1 \| x˜ 2 \| x˜ 3 \| . . . \| x˜ D \| \| ? \| \| Binary Relevance (BR) Train L independent models h = (h1, . . . , hL), one for each label, Table : Binary Relevance: Model ˆ y 3 =h 3 (˜x) \| X 1 \| X 2 \| X 3 \| . . . \| X D \| Y Y 1 2 \| Y 3 \| Y 4 \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 0 1 1 0 0 1 0 0 \| 1 \| 0 0 0 1 \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| \| 0 \| \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| \| 0 \| \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| \| 1 \| \| \| x˜ 1 \| x˜ 2 \| x˜ 3 \| . . . \| x˜ D \| \| ? \| \| For ˜x, predict Consensus in the literature: should model relationship between labels! Classiﬁer Chains (CC) Predictions are cascaded along a chain as additional features For ˜x, predict Classiﬁer Chains (CC) Predictions are cascaded along a chain as additional features \| X 1 \| X 2 \| X 3 \| . . . \| X D \| Y 1 \| Y 2 \| Y 3 \| Y 4 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 0 \| 1 \| 1 \| 0 0 0 1 \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 1 \| 0 \| 0 \| \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 0 \| 1 \| 0 \| \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 0 \| 0 \| 1 \| \| \| x˜ 1 \| x˜ 2 \| x˜ 3 \| . . . \| x˜ D \| yˆ 1 \| yˆ 2 \| ? \| \| For ˜x, predict Classiﬁer Chains (CC) Predictions are cascaded along a chain as additional features Table : Classiﬁer Chains: Model ˆ y 3 =h 3 (˜x,ˆ y 1 ,ˆ y 2 ) \| X 1 \| X 2 \| X 3 \| . . . \| X D \| Y 1 \| Y 2 \| Y 3 \| Y 4 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 0 \| 1 \| 1 \| 0 0 0 1 \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 1 \| 0 \| 0 \| \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 0 \| 1 \| 0 \| \| \| x 1 \| x 2 \| x 3 \| . . . \| x D \| 0 \| 0 \| 1 \| \| \| x˜ 1 \| x˜ 2 \| x˜ 3 \| . . . \| x˜ D \| yˆ 1 \| yˆ 2 \| ? \| \| For ˜x, predict Typically better performance than BR, similar running time Development of Classiﬁer Chains If we change the order of labels, predictive performance is diﬀerent. Use the 'default' chain Use several random chains in ensemble Use chains based on performance (good accuracy, but expensive) Order the chain according to some heuristic, Development of Classiﬁer Chains If we change the order of labels, predictive performance is diﬀerent. Use the 'default' chain Use several random chains in ensemble Use chains based on performance (good accuracy, but expensive) Order the chain according to some heuristic, e.g., such as label dependence! A Deep Interpretation Classiﬁer Chains Oct 31, 2014 5 / 17 J. Read and J. Holm´en (Aalto University) Improvements to Classiﬁer Chains Measure dependence via empirical co-occurrence frequencies, pruned frequency counts, correlation coeﬃcient, mutual information, tested with statistical signiﬁcance tests, maximum spanning tree algorithm, probabilistic graphical model software, dependence among errors (to get conditional label dependence), test diﬀerent chain orders with hold-out set / internal cross validation and search the chain space with Monte Carlo search, simulated annealing, beam search, A* search and then create, fully-cascaded classiﬁer chains, population of chains, partially-connected chains, singly-linked chains, trees, directed graphs, undirected graphs, undirected chains, ensemble of trees, ensemble of graphs Improvements to Classiﬁer Chains Measure dependence via empirical co-occurrence frequencies, pruned frequency counts, correlation coeﬃcient, mutual information, tested with statistical signiﬁcance tests, maximum spanning tree algorithm, probabilistic graphical model software, dependence among errors (to get conditional label dependence), test diﬀerent chain orders with hold-out set / internal cross validation and search the chain space with Monte Carlo search, simulated annealing, beam search, A* search and then create, fully-cascaded classiﬁer chains, population of chains, partially-connected chains, singly-linked chains, trees, directed graphs, undirected graphs, undirected chains, ensemble of trees, ensemble of graphs Performance still ≈ ensemble of random chains (or too expensive) Classiﬁer Chains: Label Dependence We may ﬁnd that . . . But if, given the input, the labels are independent, then independent classiﬁers (BR) ≡ classiﬁer chains (CC)? Example: The xor Problem Toy problem, \| \| \| or \| and \| \|---\|---\|---\|---\| \| X 1 \| X 2 \| Y 1 \| Y 2 \| \| 0 \| 0 \| 0 \| 0 \| \| 1 \| 0 \| 1 \| 0 \| \| 0 \| 1 \| 1 \| 0 \| \| 1 \| 1 \| 1 \| 1 \| Clearly, E (Y3\|Y1, Y2, X1, X2) = E (Y3\|X1, X2), but . . . Table : Results: 20 examples,h j := logistic regression, default label order. Label Dependence → Chain Structure? The optimal structure / order is likelihood dependent – the one which performs best! Just looking at the labels is not enough We could model dependence between errors, rather than labels, (to take into account the input) but - we have to train h - pairwise only (or expensive), and - does not inform us of directionality! We could use an undirected graph, but - then we lose greedy inference. Classiﬁer Chains as a Neural Network From the point of view of Y3 ( xor ), ≈ A 'hidden' layer / feature space projection! does not work if we swap Y3 ( xor ) with Y1 ( or ) J. Read and J. Holm´en (Aalto University) A Deep Interpretation Classiﬁer Chains Oct 31, 2014 10 / 17 Classiﬁer Chains as a Neural Network From the point of view of Y3 ( xor ), ≈ ≈ A 'hidden' layer / feature space projection! does not work if we swap Y3 ( xor ) with Y1 ( or ) The third graph is enough for all labels! J. Read and J. Holm´en (Aalto University) A Deep Interpretation Classiﬁer Chains Oct 31, 2014 10 / 17 Labels are Transformations of the Input Labels are transformations of the input, which we learn from the training data. For example, ≡ For some f ∗ k ( x ) , . . . , f ∗ K ( x ), any label could be learned separately. J. Read and J. Holm´en (Aalto University) A Deep Interpretation Classiﬁer Chains Oct 31, 2014 11 / 17 Labels are Transformations of the Input Labels are transformations of the input, which we learn from the training data. For example, For some f ∗ k ( x ) , . . . , f ∗ K ( x ), any label could be learned separately. J. Read and J. Holm´en (Aalto University) A Deep Interpretation Classiﬁer Chains Oct 31, 2014 11 / 17 A Deep Neural Network What if we replace labels with hidden units? If we 1 (expand x, and invert the order of layers) and 2 make linear units, then we are looking at a deep neural network, J. Read and J. Holm´en (Aalto University) A Deep Interpretation Classiﬁer Chains Oct 31, 2014 12 / 17 Learning Hidden Units We can learn the hidden layers z [1] and z [2] with Restricted Boltzmann Machines (for example), and then plug in back propagation; or plug in a binary relevance learner J. Read and J. Holm´en (Aalto University) A Deep Interpretation Classiﬁer Chains Oct 31, 2014 13 / 17 Results BR performs poorly (as usual) avg. rank 4.8 3 · 3.00 D · h = Deep Structure + h -model on ﬁnal layer (SVM as base classiﬁer). . . . but not if we learn higher-level features ﬁrst! (D·BR, DBP) This structure + CC (D·CC) performs best of all J. Read and J. Holm´en (Aalto University) A Deep Interpretation Classiﬁer Chains Oct 31, 2014 14 / 17 Results BR performs poorly (as usual) avg. rank · D · h = Deep Structure + h -model on ﬁnal layer (SVM as base classiﬁer). . . . but not if we learn higher-level features ﬁrst! (D·BR, DBP) With the right features, we can use BR even with a linear learner This structure + CC (D·CC) performs best of all J. Read and J. Holm´en (Aalto University) A Deep Interpretation Classiﬁer Chains Oct 31, 2014 14 / 17 Why Mechanism behind classiﬁer chains not well understood Investment in improvements to classiﬁer chains not being rewarded There are disadvantages to classiﬁer chains: - complexity with many labels - what structure/directionality to use? - inﬂexible (diﬃcult to add/remove labels) J. Read and J. Holm´en (Aalto University) A Deep Interpretation Classiﬁer Chains Oct 31, 2014 15 / 17 Reﬂections / Conclusions Classiﬁer chains work as a 'deep' structure – other labels are 'supervised features' We can use binary relevance if ﬁnal-layer inputs are independent of each other (we did this using multiple layers of feature transforms) This has advantages, such as semi-supervised learning, easier to add and drop labels J. Read and J. Holm´en (Aalto University) A Deep Interpretation Classiﬁer Chains Oct 31, 2014 16 / 17 A Deep Interpretation of Classiﬁer Chains Jesse Read and Jaakko Holm´en http://users.ics.aalto.fi/{jesse,jhollmen}/ Aalto University School of Science, Department of Information and Computer Science and Helsinki Institute for Information Technology Finland Leuven, Belgium. Fri. 31st Oct., 2014 J. Read and J. Holm´en (Aalto University) A Deep Interpretation Classiﬁer Chains Oct 31, 2014 17 / 17
Fatal youth of the Universe: black hole threat for the electroweak vacuum during preheating Dmitry Gorbunov, Dmitry Levkov, Alexander Panin Institute for Nuclear Research of Russian Academy of Sciences, 117312 Moscow, Russia Moscow Institute of Physics and Technology, 141700 Dolgoprudny, Russia Abstract Small evaporating black holes were proposed to be dangerous inducing fast decay of the electroweak false vacuum. We observe that the flat-spectrum matter perturbations growing at the post-inflationary matter dominated stage can produce such black holes in a tiny amount which may nevertheless be sufficient to destroy the vacuum in the visible part of the Universe via the induced process. If the decay probability in the vicinity of Planck-mass black holes was of order one as suggested in literature, the absence of such objects in the early Universe would put severe constraints on inflation and subsequent stages thus excluding many well-motivated models (e.g. the $R^2$-inflation) and supporting the need of new physics in the Higgs sector. We give a qualitative argument, however, that exponential suppression of the probability should persist in the limit of small black hole masses. This suppression relaxes our cosmological constraints, and, if sufficiently strong, may cancel them. 1 Introduction and summary The electroweak (EW) vacuum of the Standard Model of particle physics (SM) with top-quark mass, strong coupling constant and Higgs boson mass taken at the central measured values [1] is definitely unstable given the high-order quantum corrections [2, 3] to the Higgs potential. The decay of this vacuum proceeds via tunneling through the potential barrier to the true vacuum at subplanckian values of the Higgs field [4, 5]. As a result, a bubble filled with the Higgs field in the catchment area of the true vacuum is produced: the field rolls down towards the true vacuum while the bubble expands occupying more and more space. Fortunately, this catastrophe is found to be extremely rare [4], so that our Universe lifetime grossly exceeds its present age of 14 billion years [1]. The late Universe, either dominated by matter or cosmological constant, is safe for billions of billions of successive human generations. The early Universe expansion most probably was driven by some new physics, but the process was arranged in such a way that the Higgs field had avoided escaping to the true vacuum. This requirement implies various constraints on the pre-Big-Bang history of the Universe, including inflation, preheating and reheating stages, which have been largely discussed in literature, see e.g. [6, 7]. Recently it has been suggested [8, 9, 10] that the situation changes completely in the presence of small evaporating black holes. These objects were proposed to act as nucleation sites for the bubbles of true vacuum dramatically increasing the rate of their formation. The largest enhancement was expected in the case of the smallest-mass black holes which were argued to kick the Higgs field over the energy barrier and into the abyss with the probability of order one. Then every black hole at the last stages of its evaporation should produce an expanding bubble of true vacuum around itself. Since we still live in the false vacuum, no black hole had ever completely evaporated during the entire history of our Universe. In this paper we turn this observation into model-independent cosmological bounds and further discuss their possible model-dependent refinements. Trying to be maximally accurate, we critically analyze the black hole induced processes described above. We find that the proposed effect is most efficient if the size of the black hole is much smaller than the radius of the true vacuum bubble forming around it. This apparent violation of locality rises doubts in physical interpretation of the solutions of Ref. [10] and suggests that the probability $P_{EW}$ of the induced decay, though naturally enhanced as compared to the case without black hole, may have been overestimated in [10]. We therefore keep arbitrary $P_{EW}$ throughout the paper. The SM provides no mechanisms to produce small black holes neither today nor in the early Universe, definitely not during the primordial nucleosynthesis and at the succeeding epochs. Any new physics operating at earlier times, if it leaves the EW vacuum metastable, should be of the same kind producing only sufficiently large black holes which do not evaporate until now. We emphasize that in this case even cosmological models with primordial black holes fully evaporated before the beginning of the primordial nucleosynthesis are excluded. The earliest time when a black hole might be produced is preheating, the epoch right after inflation. The cosmological models with copious black hole production at this stage are rather exotic and have fine-tuned parameters. In generic models the black holes can be produced, though very inefficiently [11]. An example of the production mechanism is Jeans instability leading to collapse of primordial matter perturbations at the post-inflationary matter dominated stage [12]. In this case strong suppression [13, 14] of black hole formation is due to the fact that the typical spatial inhomogeneities originating from the flat-spectrum primordial Gaussian perturbations are too aspherical [15] and uneven to form black holes. The main observation of this letter is that in a generic inflationary model with post-inflationary stage of matter domination continuing long enough for some matter perturbations to grow and become non-linear, $\delta \rho / \rho \sim 1$, the black holes are formed in the region occupied by the visible part of the Universe. In fact, they are produced even if the fluctuations grow to $\delta \rho / \rho \sim 0.1$; in this case a few occasionally largest fluctuations of a given wavelength become nonlinear and collapse. Then transition to the true (subplanckian) vacuum is performed via the black hole induced mechanism described above. The only general way to stop black hole formation is early reheating which reduces the period of post-inflationary matter domination. For illustration we put a corresponding limit on the reheating temperature in the large-field inflationary models. Similar limits exist in other models where the perturbations become nonlinear at preheating. In a nutshell, this paper demonstrates that the black holes inducing tunneling are important for cosmology. The rate of the induced processes, however, should be revised for obtaining robust cosmological constraints. 2 Long post-inflationary matter domination Black holes of masses in a wide range can be formed in the early Universe from collapsing initial matter density perturbations. To this end the overdense regions should be squeezed by gravity within their own Schwarzschild radii [16, 17]. This happens most efficiently during matter dominated stage when the pressure preventing contraction vanishes and the black hole formation is mainly determined [11] by whether the overdense region is sufficiently spherically symmetric and smooth, or not. An early matter dominated stage is generically realized in the inflationary models with massive inflaton. It begins right after inflation and lasts while the Universe is dominated by the oscillating inflaton field until reheating. During this stage the Hubble parameter $H(t)$ and matter (inflaton) density $\rho(t)$ are related by the Friedmann equation and depend on the scale factor $a(t)$ as $$H^2(t) = \frac{8\pi}{3} G \rho \propto \frac{1}{a^3(t)} ,$$ \hspace{1cm} (1) where $G$ is the gravitational constant. The matter density contrasts with conformal momentum $k$ and subhorizon size $a/k \simeq R(t) \ll 1/H(t)$ grow linearly with the scale factor, $(\delta\rho/\rho)_k \propto a$, starting from the primordial value $$(\delta\rho/\rho)_{k,i} \equiv \delta_i \sim 10^{-4}$$ at the horizon crossing $R_* = 1/H_$. Let us begin with the situation when matter domination is long enough for some of the shortest modes to grow, decouple from the Hubble flow at turnaround entering the nonlinear regime, $(\delta\rho/\rho)_k \sim 1$, and then collapse forming clumps of the inflaton field. Some of the clumps happen to be sufficiently spherical and sufficiently smooth to further collapse into black holes.\footnote{The time scale of this process is about the free-fall time in the Tolman solution and hence is of the order of the cosmological time scale determined by the Hubble parameter.} This process was investigated in Refs. [12, 13, 14, 11], where the probability of a given clump to be appropriate for collapsing into a black hole was estimated as $$P_{BH} \approx 2 \times 10^{-2} \left(\frac{r_g}{R}\right)^{13/2},$$ \hspace{1cm} (2) with $R$ and $r_g$ denoting the size of the clump at turnaround and the gravitational radius of the resulting black hole. These quantities are related to the clump mass $M$ and matter (inflaton) density $\rho$ at turnaround by $$r_g = 2GM, \quad M \approx \frac{4\pi}{3} \rho R^3.$$ \hspace{1cm} (3) Taking the matter density from the Friedmann equation (1), one obtains, $$\frac{r_g}{R} \approx H^2 R^2 = \frac{a_}{a} \simeq \delta_i,$$ \hspace{1cm} (4) where the second relation accounts for the scale factor dependence of $H$ and $R$ between the Hubble crossing and turnaround, see (1). The third relation uses the fact that the contrasts grow linearly with the scale factor. Hence, the probability (2) is $$P_{BH} \approx 2 \times 10^{-2} \delta_i^{13/2}.$$ \hspace{1cm} (5) There are $(HR)^{-3} \simeq \delta_i^{-3/2}$ clumps of size $R$ inside the Hubble volume at turnaround, hence, the probability to have a black hole in that region, \[ P_{BH, hor} \approx 2 \times 10^{-22} \left( \frac{\delta_i}{10^{-4}} \right)^5, \] is very small. On the other hand, our present-day Universe with the Hubble parameter $H_0 \ll H$ has many such regions. Indeed, since their volumes grow as $a^3$ starting from $H^{-3}$, there are \[ N_{hor} = \left( \frac{H}{H_0} \right)^3 \left( \frac{a}{a_0} \right)^3 \] of them in the visible part of the Universe. Consider the largest possible black holes formed right before the reheating: $H = H_{reh}$ and $a = a_{reh}$ in Eq. (7). At the hot stages the entropy in the comoving volume is conserved; parameter $H_{reh}$ is related to the reheating temperature $T_{reh}$ and the number of relativistic degrees of freedom $g_{, reh}$ by the Friedmann equation $H_{reh}^2 \sim G g_{, reh} T_{reh}^4$. Then, neglecting some numerical factors, one finds, \[ N_{hor} \simeq g_{, 0} G^{3/2} \frac{T_0^3}{H_0^3} \sqrt{g_{, reh}} T_{reh}^3. \] This large number must be multiplied by (6) to estimate the number $N_{BH, 0}$ of the primordial black holes within the presently visible part of the Universe. Assuming $g_* \sim 100$, one obtains, \[ N_{BH, 0} = N_{hor} \times P_{BH, hor} \simeq \left( \frac{T_{reh}}{3 \times 10^{-4} \text{GeV}} \right)^3 \times \left( \frac{\delta_i}{10^{-4}} \right)^5. \] Recall that $a_{reh}/a_{inf} \gtrsim \delta_i^{-1}$ is assumed in this formula. The number (9) exceeds unity as far as the reheating temperature is above MeV scale, which is required for the successful primordial nucleosynthesis [1]. The number of the lighter black holes is even larger because the respective perturbations start to grow earlier. In particular, the smallest black holes are formed by the perturbations starting to grow immediately after inflation. Their number is given by Eq. (9) multiplied by $(\delta_i a_{reh}/a_{inf})^{3/2} > 1$. In cosmological models with realistic preheating temperature $T_{reh} \gtrsim 100 \text{GeV}$ many evaporating black holes are formed. Recently it was suggested [8, 9, 10] that the electroweak vacuum decays with enhanced rate$^2$ $e^{-E_b/T_{BH}}$ in the vicinity of small black holes, where $^2$We consider realistic case of small $E_b$ as compared to the black hole mass. $E_b \sim 10^{12}$ GeV is the height of the energy barrier between the vacua and $T_{BH}$ is the Hawking temperature. This result is based on Euclidean calculations [10] in the Standard Model of particle physics beyond the thin-wall approximation. It is also supported by the semiclassical exercises in toy models describing thin-wall bubbles [18, 19, 20, 8, 9]. From the physical viewpoint, the result implies that the black hole, like a thermal bath, activates over-barrier transitions between the vacua with the Boltzmann suppression. The smallest black holes at the last stage of their evaporation have $T_{BH} > E_b$ and therefore destroy our vacuum with the probability of order one. Conversely, since we still live in the metastable vacuum, no black hole had ever completely evaporated within the visible part of the present Universe. As is noted in the Introduction, there is no doubt in qualitative role of black holes catalyzing bubble formation. However, the applicability of the Boltzmann formula for the decay probability is questionable, as we explain in Sec. 4. We therefore denote by $\mathcal{P}_{EW}$ the probability of induced false vacuum decay during the last stages of black hole evaporation, the very probability that was claimed in literature [10] to be of order one. One concludes that the EW vacuum is destroyed if 1) it is metastable; 2) the post-inflationary stage is matter-dominated and lasts long enough for the shortest-scale perturbations to enter the non-linear regime (i.e. $a(t)$ grows by a factor $\delta_i^{-1} \sim 10^4$); 3) inside the present horizon the perturbations form more than $\mathcal{P}_{EW}^{-1}$ primordial black holes which are light enough to evaporate down to the planckian masses by now. Assuming the two first conditions are fulfilled, let us elaborate on the last condition implying, in particular, that $M_{BH} \lesssim M_c \equiv 10^{14}$ g, see e.g. [21]. The smallest-mass black holes are formed by the perturbations entering the horizon immediately after inflation. Computing the mass within the cosmological horizon $H_{inf}^{-1}$ at that time, we obtain, $$\min(M_{BH}) \simeq (2GH_{inf})^{-1},$$ where the Friedmann equation (1) was used. These smallest black holes are harmless, $M_{BH} > M_c$, if the scale of inflation is low enough, $$H_{inf} \lesssim (2GM_c)^{-1} \approx \text{GeV}.$$ This gives low energy density $$\rho_{inf} \lesssim \frac{3}{32\pi G^3 M_c^2} \approx (2 \times 10^9 \text{GeV})^4$$ at the end of inflation. Note that the bound (12), (11), if applicable, is way stronger than the condition $H_{inf}/2\pi \lesssim 10^{11}$ GeV, see e.g. [6, 7], ensuring stability of the EW vacuum during inflation. The models obeying (12) are viable: the primordial black holes produced at that stage are harmless until now (yet the catastrophe awaits us in the future). Recalling the assumption of long enough post-inflationary matter dominated stage, one can recast (12) as the limit on the reheating scale. In this case $H_{reh} \leq H_{inf} \delta_i^{3/2}$, and all models with $M_{BH} > M_c$ have low reheating temperature, $$T_{reh} \sim \frac{H_{reh}^{1/2}}{(g_s G)^{1/4}} \lesssim 10^6 \text{GeV} \times \left( \frac{\delta_i}{10^{-4}} \right)^{3/4}. \quad (13)$$ This inequality can be used together with Eq. (12) to identify the cosmologically viable models. On the other hand, if the energy density at the end of inflation is high and violates (12), some primordial black holes evaporate before the present epoch and may destroy the EW vacuum. Requiring the number of black holes (9) to be smaller than $\mathcal{P}_{EW}^{-1}$, we obtain a constraint on the reheating temperature, $$T_{reh} \lesssim 3 \times 10^{-4} \text{GeV} \times \mathcal{P}_{EW}^{-1/3} \times \left( \frac{\delta_i}{10^{-4}} \right)^{-5/3}. \quad (14)$$ If the probability of the induced decay is of order one, $\mathcal{P}_{EW} \sim 1$ [10], this inequality excludes all models violating (12), (13) and having long enough post-inflationary matter dominated epoch because the temperature (14) is too low for successful primordial nucleosynthesis. If $\mathcal{P}_{EW} < 1$ but not too small, such models are still severely constrained by Eq. (14). The constrained models include the $R^2$-inflation [22] where the energy density at inflation is high, the reheating temperature is low [23, 24], and the scale factor grows by $10^7$ between these epochs. Generally, for the inflationary models with high energy scale, e.g. the large-field models, the only way to avoid the danger is to prevent formation of the inflaton clumps, so that the scale factor grows by a factor smaller than $10^4$ during preheating. This places the lower limit on the reheating temperature, $$T_{reh} \gtrsim 5 \times 10^{12} \text{GeV} \times \frac{\rho_{inf}^{1/4}}{10^{16} \text{GeV}} \times \left( \frac{\delta_i}{10^{-4}} \right)^{3/4}. \quad (15)$$ Viable models satisfy either this inequality or Eq. (14), or Eqs. (12), (13). In particular, Eq. (15) can be met in inflationary models with quartic scalar potential and large non-minimal coupling to gravity similar to the Higgs inflation [25] where the reheating temperature is estimated to be higher [26]. 3 Beyond the simplest scenario In special cases e.g. when the parameters of a given model — reheating temperature, energy density at inflation, duration of the matter-dominated stage — are close to the critical values separating the EW-safe and EW-destroyed models, one would like to refine our estimates. In fact, the only situation where the refinement is definitely needed is when the post-inflationary matter-dominated stage is long but not long enough for the shortest perturbations to form clumps with $\delta \rho / \rho \sim 1$ everywhere in the early Universe. In this situation the gravitationally bound clumps still may be formed in a few places due to positive fluctuations even if the fluctuations are not yet non-linear on average, similar process happened in the late Universe when the first stars get ignited. There are several issues becoming important in this case of early reheating. First, one naturally concentrates on the perturbations of the shortest wavelengths which enter the horizon and start to grow immediately after inflation. However, at the end of inflation both the expansion law and the scalar perturbation amplitude may deviate (and noticeably, see e.g. the case of the inflaton quartic potential [27]) from what one has for the reference modes exiting the horizon some 50-60 e-foldings before the inflation terminates. Likewise, the expansion right after inflation is not exactly like at the matter-dominated stage, so that the contrasts do not immediately approach the linear-with-scale-factor growth. Hence, it well may happen in a particular model that it is not the shortest mode which has the highest amplitude and happens to be the first to approach $\delta \rho / \rho \sim 1$ and enter the non-linear regime. Finally, the reheating is also not an instant process, and the expansion of the Universe during this period also departs from that at the pure matter-dominated stage slowing down the contrasts growth. All the aforementioned effects are model-dependent. Second, to study the features of the inflaton clumps, one has to express the clump size and height in terms of the relevant parameters from the inflaton sector. This includes extracting the subhorizon modes and summing over all shorter-wavelength modes that contribute to the local spatial inhomogeneity of size $R$. The latter summing inherits some arbitrariness due to the choice of the window function which constrains the modes in the space to the region of spatial size $R$. The common choice is the top-hat filter function which gives the following dispersion of the density contrasts, $$\langle \delta^2_R(t) \rangle \equiv \sigma^2_R(t) = \int_{H_0}^{k_{max}} \frac{dk}{k} P(k,t) \times \frac{9 j^2_1(Rk/a)}{(Rk/a)^2},$$ with $j_1(x)$ being the spherical Bessel function and $P(k,t)$ representing the matter power spectrum. The integration is performed over the subhorizon modes, $ H \lesssim k/a $, with the upper limit referring to the shortest modes which exit the horizon at the very end of inflation, $ k_{\text{max}} = H_{\text{inf}} a_{\text{inf}} $. Since the function $ j_1(x) $ oscillates with decreasing amplitude at large $ x $, Eq. (16) implies that the modes most relevant for the clump formation belong to the interval $ H \lesssim k/a \lesssim 1/R $. Third, to estimate the probability of forming a clump of size $ R $ out of perturbations with dispersion $ \sigma_R^2(t) $ one can exploit the Press–Schechter formalism [28]. At $ \sigma_R^2 \ll 1 $, i.e. before the perturbations become nonlinear, one finds, \[ P_{\text{clump}} = \int_{\delta_c}^{\infty} \frac{d\delta}{\sqrt{2\pi}\sigma_R} \exp \left( -\frac{\delta^2}{2\sigma_R^2} \right) \approx \frac{\sigma_R}{\sqrt{2\pi}\delta_c} \exp \left( -\frac{\delta_c^2}{2\sigma_R^2} \right), \] where the threshold value $ \delta_c \approx 1.686 $ is obtained using the Tolman solution, see e.g. [29]. Thus, naively one would expect to multiply the probability (5) by the factor (17) accounting for the fact that while the perturbations of size $ R $ are too small on average, there are few high fluctuations which might form the clumps. However, this is not the end of the story yet. Forth, the clumps, formed by the modes which are the very first to become nonlinear, are not entirely homogeneous enough to allow black hole formation. Indeed, there are no (or very few) fluctuations of shorter wavelengths, and the density profile of the mode itself is not smooth enough to fuel black hole formation in the clump center. Therefore, the probability of finding the smooth enough configuration may receive additional suppression in this case as compared to Eq. (2). Let us estimate how early the reheating must have been occurred in order that the present visible Universe stays in the electroweak vacuum with high probability. This means that within the present horizon there are less than $ P_{EW}^{-1} $ regions which had collapsed into black holes during the early post-inflationary stage. To make the estimates as general as possible, we avoid including some model-dependent effects mentioned above. Namely, we assume matter-dominated expansion law keeping in mind that departures from this law can be accounted for on model-to-model basis. We also keep the dispersion $ \sigma_R^2 $ as a free parameter which should be computed via Eq. (16) in a given model. The other effects give small impact because they do not change the leading exponent in Eq. (17). The probability of a perturbation to form a black hole is given by the product of Eqs. (17) and (2). Strictly speaking, this probability should be summed over all spatial scales $ R $ permitted in Eq. (16). However, it is natural to assume that the leading contribution comes from the smallest perturbations with $ R(t) \approx a(t)/a_{\text{inf}}H_{\text{inf}} $ entering the horizon right after inflation and immediately starting to grow. We consider the case when the average height $\sigma_R \simeq a_{reh} \sigma_{R, \text{inf}} / a_{\text{inf}}$ of these perturbations remains small at reheating, where $\sigma_{R, \text{inf}} \sim \delta_i$ is its value at the end of inflation. Nevertheless, the highest perturbations collapse into structures of mass $M \approx (2G H_{\text{inf}})^{-1}$. Consequently, for the probability to form a black hole we obtain (instead of (5)), $$P_{BH} \simeq 5 \times 10^{-3} \times \sigma_{R, \text{inf}} \left( \frac{H_{reh}}{H_{\text{inf}}} \right)^{11/3} \exp \left( -\frac{\delta_c^2}{2 \sigma_{R, \text{inf}}^2} \left( \frac{H_{reh}}{H_{\text{inf}}} \right)^{4/3} \right). \quad (18)$$ Note that although $\sigma_{R, \text{inf}} \sim \delta_i$, the numerical factor between these quantities must be estimated accurately, as it enters the exponent. The probability (18) accounts for somewhat suppressed amplitude of the initial perturbations at the smallest scales and for the inhomogeneity of the clump forming a black hole. Following the lines of Sec. 2 one finds for the probability to have a black hole inside the horizon volume at reheating (cf. Eq. (6)), $$P_{BH, \text{hor}} \simeq \frac{P_{BH}}{(H_{reh} R)^3} \simeq 10^{-2} \times \sigma_{R, \text{inf}} \left( \frac{H_{reh}}{H_{\text{inf}}} \right)^{8/3} \exp \left( -\frac{\delta_c^2}{2 \sigma_{R, \text{inf}}^2} \left( \frac{H_{reh}}{H_{\text{inf}}} \right)^{4/3} \right). \quad (19)$$ Finally, the number of completely evaporated black holes inside the visible part of the present-day Universe reads, $$N_{BH, 0} \simeq 10^{64} \left( \frac{T_{reh}}{5 \times 10^{12} \text{GeV}} \right)^3 \left( \frac{\sigma_{R, \text{inf}}}{10^{-4}} \right) \left( \frac{H_{reh}}{H_{\text{inf}}} \right)^{8/3} \exp \left( -\frac{\delta_c^2}{2 \sigma_{R, \text{inf}}^2} \left( \frac{H_{reh}}{H_{\text{inf}}} \right)^{1/3} \right), \quad (20)$$ which replaces Eq. (9). Recall that this expression is valid only in the case of relatively short preheating with $a_{reh}/a_{\text{inf}} \lesssim \sigma_{R, \text{inf}}^{-1} \sim 10^4$; in the opposite case one should use constraints from Sec. 2. As we expected, Eq. (20) is exponentially sensitive to the ratio of inflation and reheating scales $H_{\text{inf}}$ and $H_{reh} \simeq (G g_{*, \text{reh}})^{1/2} T_{reh}^2$ and weakly depends on $T_{reh}$ in the prefactor. Requiring that no more than $P_{EW}^{-1}$ black holes are formed, $N_{BH, 0} P_{EW} < 1$, we express $H_{reh}/H_{\text{inf}}$ from this inequality and obtain a constraint $$\frac{H_{reh}}{H_{\text{inf}}} \gtrsim 3 \times 10^{-5} \times \left( \frac{\sigma_{R, \text{inf}}}{10^{-4}} \right)^{3/2}, \quad \frac{a_{reh}}{a_{\text{inf}}} \lesssim 10^3 \times \left( \frac{10^{-4}}{\sigma_{R, \text{inf}}} \right), \quad (21)$$ where $\sigma_{R, \text{inf}} \sim \delta_i \sim 10^{-4}$ and $T_{reh} \sim 5 \times 10^{12} \text{GeV}$ are used in the prefactor of Eq. (20) in accordance with Eq. (15) and we assume that $P_{EW}$ is not too small. Equations (21) slightly refine the naive condition $a_{reh}/a_{\text{inf}} \lesssim 10^4$ of no black hole formation and the respective constraint (15) on the reheating temperature which takes the form $$T_{reh} \gtrsim 3 \times 10^{13} \text{GeV} \times \frac{\rho_{\text{inf}}^{1/4}}{10^{16} \text{GeV}} \times \left( \frac{\sigma_{R, \text{inf}}}{10^{-4}} \right)^{3/4}. \quad (22)$$ The models violating this inequality or Eq. (21) are excluded. Constraints (21) are valid if $ \mathcal{P}_{EW} $ is larger than the critical value \[ \mathcal{P}_{EW, c} \sim 10^{-48} \left( \frac{T_{reh}}{5 \times 10^{12} \text{GeV}} \right)^{-3} \left( \frac{\sigma_{R_i, i \neq f}}{10^{-4}} \right)^{-5} \] which one can read off (20). Above this value $ \mathcal{P}_{EW} $ enters logarithmically into the constraints. One concludes that the black holes are produced if the Universe stretches $ 10^3 $ times (21) during preheating and the decay probability is not exceedingly low, $ \mathcal{P}_{EW} > \mathcal{P}_{EW, c} $. ### 4 Do small black holes catalyze the EW vacuum decay? As we see, the danger of black hole induced false vacuum decay imposes severe constraints on the inflationary models. Thus, it is natural to pay detailed attention to this process. In Sec. 2 we mentioned the arguments of Ref. [10] suggesting that the probability to form a bubble of true vacuum around an isolated black hole of mass $ M_{BH} $ is suppressed by the loss of black hole entropy $ \Delta S $ in the process, $ \mathcal{P}_{EW} \propto e^{-\Delta S} $. If the bubble mass $ E_b \equiv \Delta M_{BH} $ is much smaller than $ M_{BH} $, this suppression reduces to the Boltzmann factor \[ \mathcal{P}_{EW} \propto e^{-E_b/T_H}, \] involving the black hole temperature $ T_H \equiv (8\pi G M_{BH})^{-1} $. Then the transition to the true vacuum becomes unsuppressed at \[ T_H \geq E_b, \] indeed implying that the black holes of sufficiently small mass catalyze decay of the EW vacuum. Note, however, that the result (24) of Ref. [10] essentially relies on the interpretation of static critical bubbles surrounding the black holes as Euclidean instantons describing EW vacuum decay. To understand these solutions physically, consider the regime $ E_b \sim \text{few} \times T_H $ when the probability (24) is relatively large yet exponentially suppressed, so that the semiclassical methods are applicable. In this case the size and mass $ r_g, M_{BH} $ of the black hole and the respective parameters $ R_b, E_b $ of the surrounding bubble are essentially different. Indeed, $ M_{BH}/E_b \sim GM_{BH}^2 \gg 1 $. Thus, back-reaction of the bubble on the background geometry is small. On the other hand, $ R_b E_b \gg 1 $ because the bubble is classical, and therefore $ r_g/R_b \ll E_b/T_H \sim 1 $. This means that the major part of the true vacuum bubble lives in flat spacetime far away from the black hole. As a result, the solution of Ref. [10] coincides with the flat-space critical bubble up to small corrections. Given the flat-space nature of the solutions in [10] at $E_b \sim T_H$, the drastic enhancement of the related probabilities looks surprising. Technically, the difference is related to the fact that the Wick-rotated Schwarzschild time $\tau = i t$ is periodic i.e. takes values on the circle $0 < \tau \leq T_H^{-1}$. This property holds even in the spatial regions far away from the black hole where the spacetime is flat. As a consequence, the static bubbles of energy $E_b$ and any size have finite action $B = E_b/T_H$ and give contributions (24) to the Euclidean path integral. Likewise, the correlator of the quantum field $h(x)$ in the Euclidean Schwarzschild background coincides with the thermal correlator rather than with the vacuum one, even if it is computed far away from the black hole. Since we cannot pretend that the black hole changes physics in the distant parts of the Universe, the Euclidean Schwarzschild spacetime should be interpreted as describing a black hole surrounded by the infinite bath of temperature $T_H$ [30] rather than an isolated black hole in empty spacetime. Then the solutions obtained in [10] give the rate\footnote{Note that the quantum corrections to the Higgs potential should be computed on the same background with periodic $\tau$ as the leading-order semiclassical solutions. This procedure produces finite-temperature Higgs potential rather than the vacuum one. The probability of the EW vacuum decay receives additional suppression in this case [31].} (24) of false vacuum decay activated by fluctuations in the infinite-size thermal bath of temperature $T_H$. In the regime (25) this process is sensitive to the bath itself rather than to the tiny black hole in the bubble center. In reality, small-mass black holes are not isolated but surrounded by their own Hawking flux of temperature $T_H$. The energy density within this flux, however, decreases as $r^{-2}$ and becomes essentially lower than thermal at the distances of several Schwarzschild radii. The probability (24) is not applicable to false vacuum decay near such black holes unless their sizes are comparable to the sizes of the true vacuum bubbles, $r_g \sim R_b$. While in the latter case one expects to find enhancement\footnote{In particular, due to smaller bubble energy in the black hole gravitational well [32].}, no unsuppressed vacuum decay should occur in the regime (25). A question remains, however. Common knowledge suggests that black holes spit various field configurations, in particular, the bubbles of true vacuum, with Boltzmann-suppressed probability (24). This intuition is based on numerous semiclassical exercises with thin-wall bubbles, see e.g. Refs. [18, 19, 20], which did not rely on the Euclidean methods at all. One therefore can imagine a dynamical process where the high-temperature black hole produces a Higgs field bubble of initial size $r_g$. The bubble expands with nonzero velocity and eventually reaches the critical size $R_b \gg r_g$. However, the Higgs field bubble in the SM has thick walls, it is formed by the field quanta with typical wavelength $R_b$. A configuration of this kind cannot originate from the local area of small size $r_g$ in the course of classical evolution. One therefore expects the probability of producing such a bubble to be exponentially suppressed as compared to Eq. (24). To get a quantitative feeling of the suppression, we recall that the probability of emitting a particle of wavelength $R_b \gg r_g$ from the black hole involves, in addition to the thermal rate, a gray factor $\Gamma \propto (r_g/R_b)^2$ [33, 34]. The bubble of true vacuum containing $E_0 R_b \sim 10^3$ quanta is therefore produced with the probability suppression $\Gamma^{E_0 R_b} \propto (r_g/R_b)^{10^3}$ in addition to Eq. (24). Depending on its size, this additional suppression does or does not make meaningless the cosmological bounds of the type considered in this paper. In particular, Eq. (9) shows that even in models with relatively low reheating temperature $T_{reh} \sim 10^9$ GeV like the $R^2$ inflation [23, 24] the number of primordial black holes in the visible part of the Universe (9) is relatively large, $\mathcal{N}_{BH,0} \gtrsim 10^{37}$. When multiplied by the exponentially suppressed probability $\mathcal{P}_{EW}$ of producing a bubble near each black hole, this number is still larger than one if $\mathcal{P}_{EW} > \mathcal{P}_{EW,c}$, cf. Eq. (23). Then the respective model (i.e. the $R^2$-inflation in our example) is excluded. 5 Conclusion To summarize, recently suggested process of black hole induced false vacuum decay may exclude generic inflationary models with sufficiently long post-inflationary matter-dominated stages because the inflaton inhomogeneities grow, decouple from the Hubble flow, and a few of them form black holes catalyzing decay of the EW vacuum. The only general way to suppress this black hole formation is early reheating which stops gravitational contraction of the matter perturbations by nonzero pressure. Then the condition of having short enough preheating stage severely constrains the inflationary models and reheating mechanisms\footnote{More accurately, this bound constrains duration of the matter-dominated epoch until production of relativistic particles which stop perturbation growth and black hole formation. By itself, thermalization is not needed for the radiation dominated stage to settle.}, see Fig. 1. Similar constraints exist in models with other than matter dominated expansion laws at preheating if the contrasts of matter perturbations grow sufficiently fast at this stage to approach the non-linear regime. If the constraints are not met, the scalar sector of the Figure 1: Limits on the cosmological models with inflation scale $H_{inf}$ and reheating temperature $T_{reh}$. If the probability of induced vacuum decay is not too small, $\mathcal{P}_{EW} > \mathcal{P}_{EW,c}$, the value of $T_{reh}$ cannot be much lower than the temperature of the instantaneous reheating, see Eqs. (21). This leaves the narrow allowed (white) strip in the $(H_{inf}, T_{reh})$ plane overlapping with the experimentally allowed region $H_{inf} \lesssim 7 \times 10^{13}$ GeV [35, 36]. The second allowed (white) region in the lower left corner of the plot represents models with large primordial black holes which do not evaporate until now, see Eq. (11). In that case the danger awaits us in the future. SM should be modified in a way to make the EW vacuum true, and that gives one more argument in favor of new physics in the Higgs sector. As we also argue, the process [10] of black hole induced tunneling deserves further investigation, since the physics underlying it remains hidden and its probability may have been overestimated. We thank V. Rubakov, P. Satunin, and S. Sibiryakov for discussions. This work was supported by the grant RSF 16-12-10494. D.L. thanks CERN for hospitality. References [1] C. Patrignani et al. [Particle Data Group], Chin. Phys. C 40, 100001 (2016). [2] A. V. Bednyakov, A. F. Pikelner and V. N. Velizhanin, Phys. Lett. B 722, 336 (2013) [arXiv:1212.6829 [hep-ph]]. [3] K. G. Chetyrkin and M. F. Zoller, JHEP 1304, 091 (2013) [Erratum: JHEP 1309, 155 (2013)] [arXiv:1303.2890 [hep-ph]]. [4] D. Buttazzo, G. Degrassi, P. P. Giardino, G. F. Giudice, F. Sala, A. Salvio and A. Strumia, JHEP 1312, 089 (2013) [arXiv:1307.3536 [hep-ph]]. [5] A. V. Bednyakov, B. A. Kniehl, A. F. Pikelner and O. L. Veretin, Phys. Rev. Lett. 115, 201802 (2015) [arXiv:1507.08833 [hep-ph]]. [6] M. Herranen, T. Markkanen, S. Nurmi and A. Rajantie, Phys. Rev. Lett. 115, 241301 (2015) [arXiv:1506.04065 [hep-ph]]. [7] Y. Ema, K. Mukaida and K. Nakayama, JCAP 1610, 043 (2016) [arXiv:1602.00483 [hep-ph]]. [8] P. Burda, R. Gregory and I. Moss, Phys. Rev. Lett. 115, 071303 (2015) [arXiv:1501.04937 [hep-th]]. [9] P. Burda, R. Gregory and I. Moss, JHEP 1508, 114 (2015) [arXiv:1503.07331 [hep-th]]. [10] P. Burda, R. Gregory and I. Moss, JHEP 1606, 025 (2016) [arXiv:1601.02152 [hep-th]]. [11] A. G. Polnarev and M. Y. Khlopov, Sov. Phys. Usp. 28, 213 (1985) [Usp. Fiz. Nauk 145, 369 (1985)]. [12] M. Y. Khlopov and A. G. Polnarev, Phys. Lett. 97B, 383 (1980). [13] A. G. Polnarev and M. Y. Khlopov, Sov. Astr. 25, 406 (1981) [Astr. Zh. 58, 706 (1981)]. [14] A. G. Polnarev and M. Y. Khlopov, Sov. Astr. 26, 391 (1982) [Astr. Zh. 59, 639 (1982)]. [15] A. G. Doroshkevich, Astrophysics 6, 320 (1970) [Astrofizika 6, 581 (1970)]. [16] Ya. B. Zel’dovich, I. D. Novikov, Sov. Astr. 10, 602 (1967) [Astr. Zh. 43, 758 (1966)]. [17] S. Hawking, Mon. Not. Roy. Astron. Soc. 152, 75 (1971). [18] M. K. Parikh and F. Wilczek, Phys. Rev. Lett. 85, 5042 (2000) [hep-th/9907001]. [19] V. A. Berezin, A. Boyarsky and A. Y. Neronov, Grav. Cosmol. 5, 16 (1999) [gr-qc/0605099]. [20] F. Bezrukov, D. Levkov and S. Sibiryakov, JHEP 1512, 002 (2015) [arXiv:1503.07181 [hep-th]]. [21] M. Y. Khlopov, Res. Astron. Astrophys. 10, 495 (2010) [arXiv:0801.0116 [astro-ph]]. [22] A. A. Starobinsky, Phys. Lett. B 91, 99 (1980); A. A. Starobinsky, “Nonsingular model of the Universe with the quantum-gravitational de Sitter stage and its observational consequences,” in: Proc. of the Second Seminar ”Quantum Theory of Gravity” (Moscow, 13-15 Oct. 1981), INR Press, Moscow, 1982, p. 58 (reprinted in: Quantum Gravity, eds. M.A. Markov, P.C. West, Plenum Publ. Co., New York, 1984, p. 103). [23] A. Vilenkin, Phys. Rev. D 32, 2511 (1985). [24] D. S. Gorbunov and A. G. Panin, Phys. Lett. B 700, 157 (2011) [arXiv:1009.2448 [hep-ph]]. [25] F. L. Bezrukov and M. Shaposhnikov, Phys. Lett. B 659, 703 (2008) [arXiv:0710.3755 [hep-th]]. [26] F. Bezrukov, D. Gorbunov and M. Shaposhnikov, JCAP 0906, 029 (2009) [arXiv:0812.3622 [hep-ph]]. [27] K. Jedamzik, M. Lemoine and J. Martin, JCAP 1009, 034 (2010) [arXiv:1002.3039 [astro-ph.CO]]. [28] W. H. Press and P. Schechter, Astrophys. J. 187, 425 (1974). [29] D. S. Gorbunov and V. A. Rubakov, “Introduction to the theory of the early universe: Cosmological perturbations and inflationary theory,” Hackensack, USA: World Scientific (2011), 489 p. [30] J. B. Hartle and S. W. Hawking, Phys. Rev. D 13, 2188 (1976). [31] A. Salvio, A. Strumia, N. Tetradis and A. Urbano, JHEP 1609, 054 (2016) [arXiv:1608.02555 [hep-ph]]. [32] N. Tetradis, JCAP 1609, 036 (2016) [arXiv:1606.04018 [hep-ph]]. [33] A. A. Starobinskii and S. M. Churilov, Sov. Phys. JETP 38, 1 (1974) [Zh. Eksp. Teor. Fiz. 65, 3 (1973)]. [34] D. N. Page, Phys. Rev. D 13, 198 (1976). [35] P. A. R. Ade et al. [BICEP2 and Planck Collaborations], Phys. Rev. Lett. 114 (2015) 101301 [arXiv:1502.00612 [astro-ph.CO]]. [36] P. A. R. Ade et al. [BICEP2 and Keck Array Collaborations], Phys. Rev. Lett. 116 (2016) 031302 [arXiv:1510.09217 [astro-ph.CO]].
1 Activities of the local government units in the scope of telecommunication Abstract The public sphere which is the closest to the inhabitants is managed by the local government. The legislator entrusted this local government with a number of tasks that should certainly be defined as basic from the point of view of the local and regional communities. These tasks having the nature of a public interest include also tasks related to telecommunication. The local government units as entities financed to a large extent from the public funds could abuse their market position by competing with telecommunication companies, therefore, they were obliged by the legislator to comply with the rules of the market game, including fair competition. They cannot, therefore, abuse their position in the scope of telecommunication activities or in the case of developing telecommunication infrastructure or sharing it with others. Key words: local self-government, telecommunication, public utility, telecommunication infrastructure, telecommunication networks, telecommunication entrepreneur, digital services, network operator * Dr hab. prof. nadzw Mirosław Karpiuk, Wydział Prawa i Administracji, Uniwersytet Warmińsko-Mazurski w Olsztynie, e-mail:firstname.lastname@example.org, ORCID: 00000001-7012-8999. Introduction The local self-government as the basic form of decentralization has been established to meet the needs of residents in the local and regional area. Equipped with appropriate instruments, the coersive apparatus is authorized to perform public tasks passed by the legislator. Due to the principle of independence, the local government activities may be interfered with only in the cases specified by the statutory regulations and only by applying the legality criterion. The attribute of independence allows the local government to implement the adopted policy according to the principles developed by its own authorities, which must, however, comply with the legal regulations. Territorial self-government is traditionally treated as a manifestation of implementation of the executive power of the state in its functional meaning 1 . Self-government communities are established in principle to exercise public administration, therefore, to implement public tasks within the limits of the constitution and the statutes, with specific (authoritarian) means of action at their disposal 2 . Local government is the form of exercising power in the area that has been located closest to the inhabitants 3 . In the democratic societies, grassroots initiative is very important. Such a grassroot initiative is self-government, including local government, as the structure most involved in the affairs of the local and regional communities and having the broadest competences 4 . Local government participates in the exercise of public authority, and a significant part of public tasks vested in it under the local laws is performed by the self-government on its own behalf and at its own risk 5 . It is a legal entity separate from the state, which is a form of decentralization of the public authority 6 . 1 I. Hoffman, J. Fazekas, K. Rozsnyai, Concentrating or Centralising Public Services? The Changing Roles of the Hungarian Inter-Municipal Associations in the Last Decades, „Lex localis – Journal of Local Self-Government" 2016, nr 3, s. 454–455. 2 P. Sarnecki [w:] L. Garlicki, M. Zubik (red.), Konstytucja Rzeczypospolitej Polskiej. Komentarz, LEX 2016. J. Kostrubiec, Samorząd terytorialny [w:] L. Dubel, J. Kostrubiec, G. Ławnikowicz, Z. Markwart, Elementy nauki o państwie i polityce, Warszawa 2011, s. 252. 3 M. Karpiuk, Miejsce samorządu terytorialnego w przestrzeni bezpieczeństwa narodowego, Warszawa 2014, s. 15. 4 M. Karpiuk, J. Kostrubiec, Rechtsstatus der territorialen Selbstverwaltung in Polen, Olsztyn 2017, s. 9. 5 Art. 16 ust. 2 Konstytucji Rzeczypospolitej Polskiej z dnia 2 kwietnia 1997 r. (Dz.U. nr 78, poz. 483 ze zm.). 6 M. Karpiuk, Samorząd terytorialny a państwo. Prawne instrumenty nadzoru nad samorządem gminnym, Lublin 2008, s. 58. The scope and operating principles of local government units in the scope of telecommunication Meeting the community's collective needs is one of the commune's own tasks, which in particular includes matters of telecommunication activities 7 . The administration unit "poviat" performs supra-communal public tasks specified in the acts in the area of telecommunication activities 8 . The voivodship government performs the tasks of a voivodeship character specified by the statutes, in particular, in the scope of telecommunication 9 . In order to meet the collective needs of the self-government community a local government unit may: 1) build or operate telecommunication infrastructure and telecommunication networks and acquire rights to telecommunication infrastructure and telecommunication networks; 2) provide telecommunication networks or provide access to telecommunication infrastructure; 3) provide, by means of the existing telecommunication infrastructure and telecommunication networks, services for: a) telecommunication entrepreneurs, b) special entities, c) end users 10 . As special entities, we should define entities that do not need to have radio licenses, and therefore: 1) organizational units and organizational units subordinate to or supervised by the Minister of National Defence, organizational units and organizational units subordinate to the minister competent for public administration or supervised by him, and organizational bodies and units supervised or subordinate to the minister competent for internal affairs; 2) organizational units and organizational entities subordinate to the minister competent for public administration or supervised by him, organs and organizational units subordinate to the minister competent for internal affairs as well as organizational units of the Internal Security Agency 7 Art. 7 ust. 1 pkt 3a ustawy z dnia 8 marca 1990 r. o samorządzie gminnym (t.j. Dz.U. z 2019 r., poz. 506 ze zm.), dalej u.s.g. Zobacz także: M. Karpiuk, Zadania i kompetencje samorządu terytorialnego w czasie stanów nadzwyczajnych [w:] M. Karpiuk, M. Mazuryk, I. Wieczorek (red.), Zadania i kompetencje samorządu terytorialnego w zakresie porządku publicznego i bezpieczeństwa obywateli, obronności oraz ochrony przeciwpożarowej i przeciwpowodziowej, Łódź 2017, s. 99. 8 Art. 4 ust. 1 pkt 23 ustawy z dnia 5 czerwca 1998 r. o samorządzie powiatowym (t.j. Dz.U. z 2019 r., poz. 511 ze zm.), dalej u.s.p. 9 Art. 14 ust. 1 pkt 15a ustawy z dnia 5 czerwca 1998 r. o samorządzie województwa (t.j. Dz.U. z 2019 r., poz. 512 ze zm.), dalej u.s.w. 10 Art. 3 ust. 1 ustawy z dnia 7 maja 2010 r. o wspieraniu rozwoju usług i sieci telekomunikacyjnych (t.j. Dz.U. z 2017 r., poz. 2062 ze zm.), dalej u.w.r. in relation to the telecommunication network operated by these bodies and units for the purposes of the President's Office, the Chancellery of the Sejm, the Chancellery of the Senate and government administration; 3) units of the armed forces of foreign states and organizational units of other foreign state bodies, staying temporarily on the territory of the Republic of Poland on the basis of agreements to which the Republic of Poland is a party – for the duration of their stay; 4) organizational units of the Internal Security Agency, Foreign Intelligence Agency and the Central Anti-Corruption Bureau; 5) organizational units subordinate to the minister competent for foreign affairs; 6) diplomatic missions, consular offices, foreign special missions and representations of international organizations, exercising privileges and immunities on the basis of international laws, agreements and customs, having their headquarters in the territory of the Republic of Poland – only to the extent related to the diplomatic activities of these entities; 7) organizational units of the Prison Service; 8) organizational units of the National Tax Administration 11 . Local government activities in the area of telecommunication should comply with Article 3 clause 2 of the Act on supporting the development of telecommunication services and networks, performed: 1) while maintaining compatibility and connectivity with other telecommunication networks created by public entities or financed from the public funds, and while guaranteeing telecommunication undertakings, on the basis of equal treatment, co-use of telecommunication infrastructure and telecommunication networks and access to them; 2) in a transparent and non-distortive manner in the development of equal and effective competition in telecommunication markets. Public utility activities of this nature must not interfere with the competitiveness framework, and thus may not lead to a violation of the market rules, where the local government would have a privileged position over telecommunication companies. The national regulatory authorities are to support competition in the provision of electronic communications networks and services and associated facilities and services by inter alia: 1) by ensuring that the users, in this the disabled users, are able to draw maximum benefits in respect of variety, prices and quality of the services; 2) by ensuring that there is no distortion or limitation of competition in the electronic communication sector; 3) by 11 Art. 4 ustawy z dnia 16 lipca 2004 r. Prawo telekomunikacyjne (t.j. Dz.U. z 2018 r., poz. 1954 ze zm.), dalej u.p.t. supporting effective investing in the area of infrastructure and by promoting innovative technologies; 4) by supporting effective use and management of the radio frequencies and numerical resources. The national regulatory authorities are to support the development of the internal market, inter alia: 1) by removing the existing market barriers in the scope of provision of electronic communication networks and services, associated facilities and services, and electronic communications services at the community level; 2) supporting the establishment and development of trans-European networks and the interoperability of pan-European services and end-to-end connectivity; 3) ensuring that in similar circumstances there is no discrimination in the treatment of undertakings providing electronic communications networks and services; 4) cooperating with each other, as well as with the EU Commission, in a transparent manner to ensure consistent application of the law and implementation of the provisions contained in the telecommunication directives. In the pursuit of objectives of the competition support policy, the national regulatory authorities apply objective, transparent, nondiscriminatory and proportionate regulatory principles, and in order to do so, they inter alia: (1) promote regulatory predictability by ensuring a consistent regulatory approach in the subsequent review periods; 2) ensure that in similar circumstances there is no discrimination in the treatment of undertakings providing electronic communications networks and services; 3) protect competition for the benefit of consumers and promote, where appropriate, competition based on the infrastructure; 4) promote effective investment and innovation in the new and expanded infrastructure by ensuring that each instance of the obligation to provide access takes into account the risk incurred by the investing enterprises, and by allowing different cooperation agreements between investors and parties requesting access to create investment risk diversification while ensuring market competition and non-discrimination principles; 5) take due account of the conditions related to competition and consumers that occur in different geographical areas in the territory of a given Member State; 6) impose preventive regulatory obligations only in the absence of effective and sustainable competition, and mitigate or waive such obligations as soon as this condition is met 12 . The national regulatory and other competent authorities, as well as the EU Commission and Member States, 12 Art. 8 ust. 2–3 i 5 dyrektywy 2002/21/WE Parlamentu Europejskiego i Rady z dnia 7 marca 2002 r. w sprawie wspólnych ram regulacyjnych sieci i usług łączności elektronicznej (dyrektywa ramowa) (Dz.Urz. UE L 108, s. 33 ze zm.). seek to promote competition in the provision of electronic communications networks and associated facilities, including effective infrastructure-based competition as well as in the provision of electronic communications services and the related services 13 . In Article 3 clause 3 of the Act on supporting the development of telecommunication services and networks, the legislator expressly provides that the activity in the area of telecommunications is one of own tasks of a public utility of a local government unit. Therefore, it will be financed from the budget of the local government, because it does not belong to a category of commissioned tasks but to its own. A local government unit carries out activities in the area of telecommunication on the basis of a resolution of a decision-making body, which follows from Article 3 clause 4 of the Act on supporting the development of telecommunication services and networks. The Legislator of the Act on supporting the development of telecommunication services and networks does not provide for a special majority, therefore resolutions of the commune council, poviat council and voivodship self-government in this matter are adopted by an ordinary majority. Resolutions of the commune council, as stated in Article 14 clause 1 of the Act on the local government, are passed by an ordinary majority of votes in the presence of at least half of the statutory composition of the council, in an open voting, unless the legislator provides for otherwise. Resolutions on the poviat council and management board, according to Article 13 clause 1 of the Act on the poviat self-government are passed by an ordinary majority of votes in the presence of at least half of the statutory composition of the board, in an open vote, unless provisions of the Act provide for otherwise. The situation is similar in the case of a voivodship governing body, which is confirmed by Article 19 clause 1 of the Act on the voivodeship council. The resolutions of the voivodeship council are passed with a simple majority of votes, in the presence of at least half of the statutory composition of the council, in an open or open roll-call vote, unless the provisions of the Act provide for otherwise. Article 8 of the Act on supporting the development of telecommunication services and networks provides for the forms of support provided to telecommunication companies in the absence of the possibility of conducting profitable financial activities. A local government unit, entrusting a telecommunication entrepreneur with performance of telecommunication activities, in the case if, due to economic conditions, it is not possible in a given area for a telecommunication entrepreneur to carry out financially profitable telecommunication activities, it may: 1) provide the telecommunication entrepreneur with the infrastructure or telecommunication networks in return for the fees lower than the cost of production; 2) co-finance the costs incurred in providing telecommunication services to end users or telecommunication entrepreneurs for the purposes of providing these services. Such preferences may be used only if it is not possible to carry out profitable financial activities, because otherwise it could distort competition in the telecommunication market. The local government unit, as the network operator, has an information obligation: 1) under which the President of the Electronic Communications Office may request information on the conditions for providing access to technical infrastructure (imposed by Article 18 clause 2 of the Act on supporting the development of telecommunication services and networks); 2) regarding providing to a telecommunication entrepreneur applying for access to the technical infrastructure with the information related to this infrastructure in the area in which the entrepreneur is planning to implement a fast telecommunication network (imposed by Article 25a clause 1 of the Act on supporting the development of telecommunication services and networks). As it follows from Article 25c of the Act on supporting the development of telecommunication services and networks, the obligation to provide information by the local government unit being the network operator, and the obligation to enable a telecommunication entrepreneur applying for access to technical infrastructure to inspect specific elements of the technical infrastructure at the place where it is located, does not apply to the technical infrastructure, including critical infrastructure 14 , whose use for high-speed telecommunication networks is impossible due to the security and integrity 14 Infrastrukturę krytyczną wymienia art. 3 pkt 2 ustawy z dnia 26 kwietnia 2007 r. o zarządzaniu kryzysowym (t.j. Dz.U. z 2019 r., poz. 1398). Zobacz także: M. Czuryk, K. Dunaj, M. Karpiuk, K. Prokop, Prawo zarządzania kryzysowego. Zarys systemu, Olsztyn 2016, s. 25. of the technical infrastructure, public health 15 , defence 16 , state security 17 or 15 W przedmiocie zdrowia publicznego i jego ochrony zobacz szerzej: M. Karpiuk, J. Kostrubiec, The Voivodeship Governor's Role in Health Safety, „Studia Iuridica Lublinensia" 2018, nr 2, s. 65–75. 16 W przedmiocie obronności zobacz szerzej: M. Karpiuk, Służba wojskowa żołnierzy zawodowych, Olsztyn 2019, s. 15–20; M. Bożek, M. Karpiuk, J. Kostrubiec, Zasady ustroju politycznego państwa, Poznań 2012, s. 67–70; M. Karpiuk, Służba funkcjonariuszy Służby Kontrwywiadu Wojskowego i Służby Wywiadu Wojskowego oraz żołnierzy zawodowych wyznaczonych na stanowiska służbowe w tych formacjach, Olsztyn 2017, s. 21–22; M. Karpiuk, Pomoc Sił Zbrojnych Rzeczypospolitej Polskiej udzielana Policji, „Wojskowy Przegląd Prawniczy" 2018, nr 1, s. 37–39; J. Kostrubiec, Zadania i kompetencje samorządu terytorialnego w zakresie administracji rezerw osobowych dla celów powszechnego obowiązku obrony [w:] M. Karpiuk, M. Mazuryk, I. Wieczorek (red.), Zadania i kompetencje samorządu terytorialnego w zakresie porządku publicznego i bezpieczeństwa obywateli, obronności oraz ochrony przeciwpożarowej i przeciwpowodziowej, Łódź 2017, s. 105–106; M. Karpiuk, Tereny zamknięte ze względu na obronność i bezpieczeństwo państwa ustanawiane przez organy administracji rządowej, „Ius Novum" 2016, nr 4, s. 196. 17 W przedmiocie bezpieczeństwa zobacz szerzej: M. Czuryk, J. Kostrubiec, The legal status of local self-government in the field of public security, „Studia nad Autorytaryzmem i Totalitaryzmem" 2019, nr 1, s. 33–47; M. Karpiuk, Ubezpieczenie społeczne rolników jako element bezpieczeństwa społecznego. Aspekty prawne, „Międzynarodowe Studia Społeczno-Humanistyczne. Humanum" 2018, nr 2, s. 67–70; M. Czuryk, K. Dunaj, M. Karpiuk, K. Prokop, Bezpieczeństwo państwa. Zagadnienia prawne i administracyjne, Olsztyn 2016, s. 17–19; M. Czuryk, Bezpieczeństwo jako dobro wspólne, „Zeszyty Naukowe KUL" 2018, nr 3, s. 15; M. Karpiuk, Zadania i kompetencje zespolonej administracji rządowej w sferze bezpieczeństwa narodowego Rzeczypospolitej Polskiej. Aspekty materialne i formalne, Warszawa 2013, s. 77–89; W. Kitler, M. Czuryk, M. Karpiuk (red.), Aspekty prawne bezpieczeństwa narodowego RP. Część ogólna, Warszawa 2013, s. 11–45; M. Karpiuk, Konstytucyjna właściwość Sejmu w zakresie bezpieczeństwa państwa, „Studia Iuridica Lublinensia" 2017, nr 4, s. 10; M. Czuryk, K. Drabik, A. Pieczywok, Bezpieczeństwo człowieka w procesie zmian społecznych, kulturowych i edukacyjnych, Olsztyn 2018, s. 7; M. Czuryk, Właściwość Rady Ministrów oraz Prezesa Rady Ministrów w zakresie obronności, bezpieczeństwa i porządku publicznego, Olsztyn 2017, s. 9; M. Karpiuk, Prezydent Rzeczypospolitej Polskiej jako organ stojący na straży bezpieczeństwa państwa, „Zeszyty Naukowe AON" 2009, nr 3, s. 389–390; J. Kostrubiec, Status of a Voivodship Governor as an Authority Responsible for the Matters of Security and Public Order, „Barometr Regionalny" 2018, nr 5, s. 35–40; M. Karpiuk, Właściwość wojewody w zakresie zapewnienia bezpieczeństwa i porządku publicznego oraz zapobiegania zagrożeniu życia i zdrowia, „Zeszyty Naukowe KUL" 2018, nr 2, s. 227–228; W. Lis, Bezpieczeństwo wewnętrzne i porządek publiczny jako sfera działania administracji publicznej, Lublin 2015, s. 29–46; K. Chałubińska-Jentkiewicz, Cyberodpowiedzialność, Toruń 2019, s. 15–24; M. Karpiuk, Zadania administracji publicznej w zakresie bezpieczeństwa społecznego dotyczące wspierania rodziny przeżywającej trudności w wypełnianiu funkcji opiekuńczo-wychowawczych i odnoszące się do systemu pieczy zastępczej, „Społeczeństwo i Rodzina" 2018, nr 3, s. 54–55; D. Tyrawa, Gwarancje bezpieczeństwa osobistego w polskim administracyjnym prawie drogowym, Lublin 2018, s. 40–46; M. Karpiuk, Pomoc społeczna jako instytucja umożliwiająca rodzinom przezwyciężanie trudnych sytuacji życiowych i jej miejsce w sferze bezpieczeństwa socjalnego, „Społeczeństwo i Rodzina" 2017, nr 1, s. 41–42; K. Bojarski, Współdziałanie administracji publicznej z organizacjami pozarządowymi w sferze bezpieczeństwa wewnętrznego w ujęciu administracyjno-prawnym, Warszawa–Nisko public safety and order 18 . The legislator sets such values as public health above the information obligation, as well as above the obligation to enable inspection (guaranteed, inter alia, through medical prevention, counteracting and combating epidemics), defence (provided by military means), state security (focused on counteracting threats and removing their effects) or public order (perceived as public and legal order). A local government unit as a network operator is required to protect classified information 19 . Classified information may be made available only to a person who guarantees confidentiality and only to the extent necessary to perform his/her work or to perform a service in the occupied position or to perform commissioned activities 20 . The local government acting in the area of telecommunication must comply with this rule, otherwise it may threaten or will threaten defence, security, public order or economic interests of a state. 2017, s. 19–72; K. Chałubińska-Jentkiewicz, M. Karpiuk, K. Zalasińska, Prawo bezpieczeństwa kulturowego, Siedlce 2016, s. 7. 18 W przedmiocie porządku publicznego zobacz szerzej: M. Karpiuk, K. Prokop, P. Sobczyk, Ograniczenie korzystania z wolności i praw człowieka i obywatela ze względu na bezpieczeństwo państwa i porządek publiczny, Siedlce 2017, s. 14–21; M. Karpiuk, N. Szczęch, Bezpieczeństwo narodowe i międzynarodowe, Olsztyn 2017, s. 96–102, M. Karpiuk, Ograniczenie wolności uzewnętrzniania wyznania ze względu na bezpieczeństwo państwa i porządek publiczny, „Przegląd Prawa Wyznaniowego" 2017, t. 9, s. 11. 19 W przedmiocie ochrony informacji niejawnych zobacz szerzej: M. Karpiuk, Odmowa wydania poświadczenia bezpieczeństwa przez polskie służby ochrony państwa, „Secretum" 2015, nr 2, s. 137–147; K. Chałubińska-Jentkiewicz, M. Karpiuk, Prawo nowych technologii. Wybrane zagadnienia, Warszawa 2015, s. 442–449; M. Bożek, M. Czuryk, M. Karpiuk, J. Kostrubiec, Służby specjalne w strukturze władz publicznych. Zagadnienia prawnoustrojowe, Warszawa 2014, s. 66–75; M. Karpiuk, Miejsce bezpieczeństwa osobowego w systemie ochrony informacji niejawnych, „Studia nad Autorytaryzmem i Totalitaryzmem" 2018, nr 1, s. 85–99; M. Czuryk, Właściwość Rady Ministrów oraz Prezesa Rady Ministrów w zakresie obronności, bezpieczeństwa i porządku publicznego, Olsztyn 2017, s. 109–137; M. Karpiuk, K. Chałubińska-Jentkiewicz, Prawo bezpieczeństwa informacyjnego, Warszawa 2015, s. 151–173; M. Czuryk, Informacja w administracji publicznej. Zarys problematyki, Warszawa 2015, s. 161–177; K. Chałubińska-Jentkiewicz, M. Karpiuk, Informacja i informatyzacja w administracji publicznej, Warszawa 2015, s. 33–40. 20 Art. 4 ust. 1 ustawy z dnia 5 sierpnia 2010 r. o ochronie informacji niejawnych (t.j. Dz.U. z 2019 r., poz. 742). Ustawodawca zawęża dostęp do informacji niejawnych w zakresie podmiotowym – wyłącznie do osób, które dają rękojmię zachowania tajemnicy, czyli tych, które spełniają ustawowe wymogi dla zapewnienia ochrony informacji niejawnych przed ich nieuprawnionym ujawnieniem, potwierdzone w wyniku przeprowadzonego postępowania sprawdzającego oraz w zakresie przedmiotowym – do informacji niejawnych, które są niezbędne do wykonywania przez te osoby pracy lub pełnienia służby na zajmowanym stanowisku albo wykonywania czynności zleconych, I. Stankowska, Ustawa o ochronie informacji niejawnych. Komentarz, LEX 2014. Bibliography Literature Bojarski K., Współdziałanie administracji publicznej z organizacjami pozarządowymi w sferze bezpieczeństwa wewnętrznego w ujęciu administracyjno-prawnym, Warszawa–Nisko 2017. Bożek M., Czuryk M., Karpiuk M., Kostrubiec J., Służby specjalne w strukturze władz publicznych. Zagadnienia prawnoustrojowe, Warszawa 2014. Bożek M., Karpiuk M., Kostrubiec J., Zasady ustroju politycznego państwa, Poznań 2012. Chałubińska-Jentkiewicz K., Cyberodpowiedzialność, Toruń 2019. Chałubińska-Jentkiewicz K., Karpiuk M., Informacja i informatyzacja w administracji publicznej Warszawa 2015. , Chałubińska-Jentkiewicz K., Karpiuk M., Prawo nowych technologii. Wybrane zagadnienia, Warszawa 2015. Chałubińska-Jentkiewicz K., Karpiuk M., Zalasińska K., Prawo bezpieczeństwa kulturowego, Siedlce 2016. Czuryk M., Bezpieczeństwo jako dobro wspólne, „Zeszyty Naukowe KUL" 2018, nr 3. Czuryk M., Informacja w administracji publicznej. Zarys problematyki, Warszawa 2015. Czuryk M., Właściwość Rady Ministrów oraz Prezesa Rady Ministrów w zakresie obronności, bezpieczeństwa i porządku publicznego, Olsztyn 2017. Czuryk M., Drabik K., Pieczywok A., Bezpieczeństwo człowieka w procesie zmian społecznych, kulturowych i edukacyjnych, Olsztyn 2018. Czuryk M., Dunaj K., Karpiuk M., Prokop K., Bezpieczeństwo państwa. Zagadnienia prawne i administracyjne, Olsztyn 2016. Czuryk M., Dunaj K., Karpiuk M., Prokop K., Prawo zarządzania kryzysowego. Zarys systemu , Olsz- tyn 2016. Czuryk M., Kostrubiec J., The legal status of local self-government in the field of public security, „Studia nad Autorytaryzmem i Totalitaryzmem" 2019, nr 1. Hoffman I., Fazekas J., Rozsnyai K., Concentrating or Centralising Public Services? The Changing Roles of the Hungarian Inter-Municipal Associations in the Last Decades, „Lex localis – Journal of Local Self-Government" 2016, nr 3. Karpiuk M., Konstytucyjna właściwość Sejmu w zakresie bezpieczeństwa państwa, „Studia Iuridica Lublinensia" 2017, nr 4. Karpiuk M., Miejsce bezpieczeństwa osobowego w systemie ochrony informacji niejawnych, „Studia nad Autorytaryzmem i Totalitaryzmem" 2018, nr 1. Karpiuk M., Miejsce samorządu terytorialnego w przestrzeni bezpieczeństwa narodowego, Warszawa 2014. Karpiuk M., Odmowa wydania poświadczenia bezpieczeństwa przez polskie służby ochrony państwa, „Secretum" 2015, nr 2. Karpiuk M., Ograniczenie wolności uzewnętrzniania wyznania ze względu na bezpieczeństwo państwa i porządek publiczny, „Przegląd Prawa Wyznaniowego" 2017, t. 9. Karpiuk M., Pomoc Sił Zbrojnych Rzeczypospolitej Polskiej udzielana Policji, „Wojskowy Przegląd Prawniczy" 2018, nr 1. Karpiuk M., Pomoc społeczna jako instytucja umożliwiająca rodzinom przezwyciężanie trudnych sytuacji życiowych i jej miejsce w sferze bezpieczeństwa socjalnego, „Społeczeństwo i Rodzina" 2017, nr 1. Karpiuk M., Prezydent Rzeczypospolitej Polskiej jako organ stojący na straży bezpieczeństwa państwa, „Zeszyty Naukowe AON" 2009, nr 3. Karpiuk M., Samorząd terytorialny a państwo. Prawne instrumenty nadzoru nad samorządem gminnym, Lublin 2008. Karpiuk M., Służba funkcjonariuszy Służby Kontrwywiadu Wojskowego i Służby Wywiadu Wojskowego oraz żołnierzy zawodowych wyznaczonych na stanowiska służbowe w tych formacjach, Olsztyn 2017. Karpiuk M., Służba wojskowa żołnierzy zawodowych, Olsztyn 2019. Karpiuk M., Tereny zamknięte ze względu na obronność i bezpieczeństwo państwa ustanawiane przez organy administracji rządowej, „Ius Novum" 2016, nr 4. Karpiuk M., Ubezpieczenie społeczne rolników jako element bezpieczeństwa społecznego. Aspekty prawne, „Międzynarodowe Studia Społeczno-Humanistyczne. Humanum" 2018, nr 2. Karpiuk M., Właściwość wojewody w zakresie zapewnienia bezpieczeństwa i porządku publicznego oraz zapobiegania zagrożeniu życia i zdrowia, „Zeszyty Naukowe KUL" 2018, nr 2. Karpiuk M., Zadania administracji publicznej w zakresie bezpieczeństwa społecznego dotyczące wspierania rodziny przeżywającej trudności w wypełnianiu funkcji opiekuńczo-wychowawczych i odnoszące się do systemu pieczy zastępczej, „Społeczeństwo i Rodzina" 2018, nr 3. Karpiuk M., Zadania i kompetencje samorządu terytorialnego w czasie stanów nadzwyczajnych [w:] M. Karpiuk, M. Mazuryk, I. Wieczorek (red.), Zadania i kompetencje samorządu terytorialnego w zakresie porządku publicznego i bezpieczeństwa obywateli, obronności oraz ochrony przeciwpożarowej i przeciwpowodziowej, Łódź 2017. Karpiuk M., Zadania i kompetencje zespolonej administracji rządowej w sferze bezpieczeństwa narodowego Rzeczypospolitej Polskiej. Aspekty materialne i formalne, Warszawa 2013. Karpiuk M., Chałubińska-Jentkiewicz K., Prawo bezpieczeństwa informacyjnego , Warszawa 2015. Karpiuk M., Kostrubiec J., Rechtsstatus der territorialen Selbstverwaltung in Polen , Olsztyn 2017. Karpiuk M., Kostrubiec J., The Voivodeship Governor's Role in Health Safety, „Studia Iuridica Lublinensia" 2018, nr 2. Karpiuk M., Prokop K., Sobczyk P., Ograniczenie korzystania z wolności i praw człowieka i obywatela ze względu na bezpieczeństwo państwa i porządek publiczny, Siedlce 2017. Karpiuk M., Szczęch N., Bezpieczeństwo narodowe i międzynarodowe , Olsztyn 2017. Kitler W., Czuryk M., Karpiuk M. (red.), Aspekty prawne bezpieczeństwa narodowego RP. Część ogólna, Warszawa 2013. Kostrubiec J., Samorząd terytorialny [w:] L. Dubel, J. Kostrubiec, G. Ławnikowicz, Z. Markwart, Elementy nauki o państwie i polityce, Warszawa 2011. Kostrubiec J., Status of a Voivodship Governor as an Authority Responsible for the Matters of Security and Public Order, „Barometr Regionalny" 2018, nr 5. Kostrubiec J., Zadania i kompetencje samorządu terytorialnego w zakresie administracji rezerw osobowych dla celów powszechnego obowiązku obrony [w:] M. Karpiuk, M. Mazuryk, I. Wieczorek (red.), Zadania i kompetencje samorządu terytorialnego w zakresie porządku publicznego i bezpieczeństwa obywateli, obronności oraz ochrony przeciwpożarowej i przeciwpowodziowej, Łódź 2017. Lis W., Bezpieczeństwo wewnętrzne i porządek publiczny jako sfera działania administracji publicznej, Lublin 2015. Tyrawa D., Gwarancje bezpieczeństwa osobistego w polskim administracyjnym prawie drogowym Lublin 2018. , Legal acts Konstytucja Rzeczypospolitej Polskiej z dnia 2 kwietnia 1997 r. (Dz.U. nr 78, poz. 483 ze zm.). Dyrektywa 2002/21/WE Parlamentu Europejskiego i Rady z dnia 7 marca 2002 r. w sprawie wspólnych ram regulacyjnych sieci i usług łączności elektronicznej (dyrektywa ramowa) (Dz.Urz. UE L 108, s. 33 ze zm.). Dyrektywa 2018/1972/UE Parlamentu Europejskiego i Rady z dnia 11 grudnia 2018 r. ustanawiającej Europejski kodeks łączności elektronicznej (Dz.Urz. UE L 321, s. 36– 242 ze zm.). Ustawa z dnia 16 lipca 2004 r. Prawo telekomunikacyjne (t.j. Dz.U. z 2018 r., poz. 1954 ze zm.). Ustawa z dnia 26 kwietnia 2007 r. o zarządzaniu kryzysowym (t.j. Dz.U. z 2019 r., poz. 1398). Ustawa z dnia 5 czerwca 1998 r. o samorządzie powiatowym (t.j. Dz.U. z 2019 r., poz. 511 ze zm.). Ustawa z dnia 5 czerwca 1998 r. o samorządzie województwa (t.j. Dz.U. z 2019 r., poz. 512 ze zm.). Ustawa z dnia 5 sierpnia 2010 r. o ochronie informacji niejawnych (t.j. Dz.U. z 2019 r., poz. 742). Ustawa z dnia 7 maja 2010 r. o wspieraniu rozwoju usług i sieci telekomunikacyjnych (t.j. Dz.U. z 2017 r., poz. 2062 ze zm.). Ustawa z dnia 8 marca 1990 r. o samorządzie gminnym (t.j. Dz.U. z 2019 r., poz. 506 ze zm.). Działalność jednostek samorządu terytorialnego w zakresie telekomunikacji Streszczenie Sferą publiczną znajdującą się najbliżej mieszkańców zarządza samorząd terytorialny. Ustawodawca powierzył mu szereg zadań, które z pewnością należy określić jako podstawowe z punktu widzenia lokalnych i regionalnych społeczności. Wśród tego rodzaju zadań, mających charakter użyteczności publicznej, znajduje się również te, które dotyczą telekomunikacji. Jednostki samorządu terytorialnego jako podmioty finansowane w zdecydowanym zakresie ze środków publicznych mogłyby nadużywać swojej pozycji rynkowej, konkurując z przedsiębiorstwami telekomunikacyjnymi, w związku z czym zostały one przez prawodawcę zobowiązane do przestrzegania reguł gry rynkowej, w tym uczciwej konkurencji. Nie mogą więc one w zakresie działalności telekomunikacyjnej, czy też w przypadku budowy infrastruktury telekomunikacyjnej i jej udostępniania, nadużywać swojej pozycji. Słowa kluczowe: samorząd terytorialny, telekomunikacja, użyteczność publiczna, infrastruktura telekomunikacyjna, sieci telekomunikacyjne, przedsiębiorca telekomunikacyjny, usługi cyfrowe, operator sieci
Reduced T helper and B lymphocytes in Parkinson's disease Author/Contributor: Stevens, Claire H; Rowe, Dominic; Morel-Kopp, Marie-Christine; Orr, Carolyn; Ranola, Madelaine; Ward, Christopher; Halliday, Glenda; Russell, Tonia Publication details: Journal of Neuroimmunology v. 252 Chapter No. 1-2 pp. 95-99 0165-5728 (ISSN) Publication Date: 2012 Publisher DOI: http://dx.doi.org/10.1016/j.jneuroim.2012.07.015 License: https://creativecommons.org/licenses/by-nc-nd/3.0/au/ Link to license to see what you are allowed to do with this resource. Downloaded from http://hdl.handle.net/1959.4/53347 in https:// unsworks.unsw.edu.au on 2023-03-21 Resubmitted as an original article to the Journal of Neuroimmunology, 24 July 2012 Title: Reduced T helper and B lymphocytes in Parkinson's disease Authors: Claire H Stevens a,1 , Dominic Rowe b,1 , Marie-‐Christine Morel-‐Kopp c , Carolyn Orr b , Tonia Russell d , Madelaine Ranola b , Christopher Ward c and Glenda M Halliday a,2 a School of Medical Sciences, The University of New South Wales, and Neuroscience Research Australia, Sydney, Australia b Australian School of Advanced Medicine, Macquarie University, Sydney, Australia c Northern Blood Research Centre, Kolling Institute, The University of Sydney and Department of Haematology and Transfusion Medicine, Royal North Shore Hospital, Sydney, Australia d The Ramaciotti Centre, The University of New South Wales, Sydney, Australia 1 Equal contribution 2 Corresponding author at: Neuroscience Research Australia, Hospital Road Randwick, NSW, 2031, Australia. Tel.: +61 2 9399 1704; fax: + +61 2 9399 1105. Abstract Gene association withHLA suggests involvement of immune mediated mechanisms in the pathogenesis of Parkinson's disease (PD). Only a small number of studies have found differences between circulating leukocyte populations in PD patients compared to controls, with conflicting results. To clarify whether there is a circulating leukocyte PD phenotype, we assessed the numbers of T, B and natural killer cells, and monocytes and found a small reduction (15-‐25%) in CD4+ T and CD19+ B cells in PD. These findings suggest some compromise in immune cells in PD and have potential implications for immune function and the progression of PD. Keywords Parkinson's disease; T lymphocytes; B lymphocytes 1. Introduction Parkinson's disease (PD) is the most common neurodegenerative movement disorder and recent genome-‐wide association studies (GWAS) have shown an increased risk for PD with variation in theHLA(human leukocyte antigen) region of chromosome 6 (Hamza et al., 2010; Do et al., 2011; Nalls et al., 2011; Simon-‐Sanchez et al., 2011). This region contains a number of genes involved in inflammation and immunosurveillance, strongly supporting an involvement of the immune system in the pathogenesis of PD. In addition, large studies show that regular long-‐term use of the anti-‐inflammatory drug ibuprofen significantly reduces the risk of developing PD (Samii et al., 2009; Gagne and Power, 2010; Gao et al., 2011). Of the variants identified, a strong association has been found within a region ofHLAthat encodes the major histocompatibility complex Class II receptor, HLA-‐DR (Hamza et al., 2010). This cell surface receptor is expressed on antigen presenting cells such as microglia, and increased numbers of HLA-‐DR positive microglia have been found in close proximity to dead or dying neurons in affected brain regions in PD (McGeer et al., 1988; Imamura et al., 2003). HLA-‐DR also interacts with receptors on T lymphocytes and both CD4+ and CD8+ T lymphocytes have been identified post-‐ mortem in the brains of PD patients (McGeer et al., 1988; Brochard et al., 2009). Studies in animal models clearly demonstrate a role for T lymphocytes in the development and progression of PD (Benner et al., 2008; Cao et al., 2011). The involvement of the immune system in PD pathogenesis suggests that populations of circulating blood leukocytes may also differ between PD patients and controls. There have been a small number of studies assessing changes in circulating leukocyte populations in PD patients with conflicting results. In PD, CD4+ T helper cells are reported as both unchanged and decreased (Chiba et al., 1995; Bas et al., 2001; Hisanaga et al., 2001; Baba et al., 2005; Niwa et al., 2012), CD8+ cytotoxic T cells are reported as both unchanged and increased (Chiba et al., 1995; Bas et al., 2001; Hisanaga et al., 2001; Baba et al., 2005) and B cells are reported as decreased in PD compared to controls using both CD19+ (Bas et al., 2001) and CD20+ activation markers (Niwa et al., 2012). To our knowledge, circulating CD3-‐CD56+ natural killer and TCRγδ cells have only been examined in single papers with the authors reporting an increase in both cell types (Fiszer et al., 1994b; Mihara et al., 2008), and CD14+ monocytes have not been examined in this disease. In order to verify these findings and resolve any discrepancies, this study has assessed the major populations of circulating blood leukocytes in a cohort of PD patients and controls to determine whether there is a typical PD phenotype. 2. Material and Methods 2.1 Subjects Eighty-‐eight (56 male, 32 female) PD patients were recruited for this study with informed consent. All PD patients had a tremor-‐dominant phenotype and were levodopa responsive. No patient or control subject had a haematological, immune or inflammatory disorder, or was taking immunosuppressive medications. Any patient with a neurologic or psychiatric condition other than PD, strong family history of PD or relative with young onset PD was excluded. The mean (±standard deviation) age of the PD group was 69±9 years and the mean disease duration was 6±5 years. Clinical severity was assessed by the Hoehn and Yahr (H&Y) scale (Hoehn and Yahr, 1967) and Unified Parkinson's Disease Rating Scale part three (UPRDS) (Fahn et al., 1987). The mean (±standard deviation) H&Y score was 2±0.7and the mean UPDRS score was 21±10. Seventy-‐seven (39 male, 38 female) age and gender matched healthy controls were recruited for comparison to the PD group. The mean (±standard deviation) age of the control group was 67±10 years. Independent samples T tests and chi-‐squared tests were performed to confirm that the PD and control groups did not differ by age (t=1.06,p=0.3) or gender (χ 2 =2.84,p=0.09). As a number of studies have suggested that dopamine replacement therapy affects leukocyte populations in peripheral blood (Fiszer et al., 1994a; Blandini et al., 2004; Rajda et al., 2005), medication use was noted and levodopa equivalent dose calculated (Tomlinson et al., 2010). Eight PD patients were assessed pre and post the onset of levodopa medication. All patients were on 300 mg of levodopa for three months before retesting. This study was approved by the Northern Sydney Central Coast Area Health Service Human Research Ethics Committee (Harbour) (EC00333). 2.2 Analysis of human leukocyte populations Venous blood was collected in sodium EDTA tubes (Becton Dickinson, San Jose, CA) from subjects between 9-‐11am to minimise the influence of diurnal fluctuation between leukocyte populations. Blood was taken for both a full blood count and flow cytometric quantitation of white cell subsets and specific activation markers. A full blood count was performed using a Coulter counter (Beckman Coulter, Gladesville, NSW, Australia) to allow calculation of absolute numbers from population percentages determined by flow cytometry. The cells were stained with fluorochrome-‐conjugated (fluorescein isothiocyanate – FITC; peridinin chlorophyll protein complex -‐ Per-‐CP; allophycocyanin – APC; phycoerythrin -‐ PE) antibodies within 10 minutes of blood collection. All the antibodies were from Becton Dickinson Biosciences (BD Biosciences, San Jose, CA) and used undiluted as recommended. A broad panel of antibodies was used to identify cellular subsets and activation markers as outlined in Table 1. The cellular subsets included T lymphocytes, B lymphocytes, helper, memory and cytotoxic T lymphocytes, monocytes, natural killer (NK) cells and gamma-‐delta T lymphocytes, with activation markers as appropriate for the cell population. The samples were analysed within two hours of preparation by a four colour FACScan flow cytometer (BD Biosciences). Ten thousand mononuclear events (lymphocytes and monocytes) were acquired per sample. Flow cytometric data were analysed using the Cell-‐Quest software. Cell subsets were isolated by selective gating using side and forward scatter parameters and specific antibodies (experimental design shown in Supplementary Table 1). For the activation markers expressed only on activated cells, the results were expressed as percentage of positive cells for that particular marker. The increase in surface antigen expression following activation was measured using the mean of fluorescence for the considered cell subset. * Table 1 about here * 2.3 Statistical analysis All analyses were performed in SPSS (18.0, IBM, Chicago, USA) with a p value < 0.05. Means and standard errors are provided as appropriate. To determine differences in absolute counts and proportions of lymphocyte/monocyte populations between control and PD groups, multivariate analyses covarying for age and gender were performed. Nonparametric correlations (Spearman's rho) were performed to determine relationships between cell populations and disease duration, H&Y and UPDRS stage. For cell populations that differed significantly between groups, the effect of pre and post levodopa treatment was assessed using paired t tests. Stepwise regression modeling was used to determine which factor (disease duration, H&Y stage, UPDRS stage or levodopa equivalent dose) was the strongest predictor of these changes in PD. 3. Results For each subject, 10 000 cells were sampled and the absolute numbers of major cell populations determined across the groups. The average numbers of the lymphocyte populations examined were; T cell receptorαβ (TCRαβ)(1145±425), T cell receptorγδ (TCRγδ) (47.9±54), CD4+ T cells (780±296), CD8+ T cells (351±215), CD4+CD8+ T cells (18±32), CD19 B cells (185±110) and CD56+CD3-‐ natural killer cells (240±130). The average number of CD14+ monocytes was 2488±157. Multivariate analysis of these cell populations co-‐factoring in age and gender, showed no changes in the numbers of sampled cells labeled for CD14+ (monocytes), CD8+ (cytotoxic T cells), CD56+ (natural killer cells), TCRγδ+ or CD4+CD8+ cells in patients with PD. However, in PD there were significant decreases in TCRαβ+, CD4+ (T helpers) and CD19+ (B) cells compared to controls. For these cell types a decrease of approximately 15-‐25% in the numbers of sampled cells was observed in the patients with PD (Table 2 and Figure 1). * Table 2 and Figure 1 about here * Although there were no significant differences between PD and controls in age or gender (see methods), the cell populations varied with both age and gender in the same way in both groups (no group by gender effects, p>0.95). Age had a larger effect but was not universal, with the number of CD4+ T helper cells (p≤0.03) and CD19+ B cells (p<0.0001) decreasing with age. In contrast, the number of CD14+ monocytes slightly increased with age (p<0.0001). The smaller effect of gender was only observed when cell types were assessed by proportion. There were less CD4+ T helper cells in males (9±3% difference, p=0.04) but less CD14+ monocytes in females (11±3% difference, p=0.016). This confirms literature showing age and gender differences in these peripheral blood cell populations, although published results for CD14+ monocytes are inconsistent (Bouman et al., 2004; Kaszubowska, 2008; Agarwal and Busse, 2010; Nyugen et al., 2010). Differences in subsets of the CD4+ T helper cell population (contributing 9% of the total 10,000 cells analysed) were assessed further. In controls 89% of cells expressed the integrinβ1 adhesion marker CD29+, 64% had expression of the memory marker CD45RO+, 28% expressed the IL-‐2 receptor CD25+ and 19% had expression of the death ligand CD95 (Fas)(Figure 1). When assessing these activation markers in PD, there were significant decreases in the numbers of CD4+ cells expressing CD29+ (19% decrease) and CD45RO+ (14% decrease) between PD patients and controls (Figure 1). However, the proportion of these cells (expressed as a percentage of total CD4+ cells) was increased in PD (CD4+CD29+ increased 2%, CD4+CD45RO+ increased 6%, Figure 1). There was no difference in the numbers or proportion of CD4+ T cells expressing CD25+ or CD95+ (Table 3 and Figure 1). * Table 3 about here * Differences in subsets of the CD19+ B cell population (contributing 2% of the 10,000 cells sampled) were also analysed. In controls 98% of CD19+ B cells expressed the adhesion marker CD29+, the lipid antigen-‐presenting molecule CD1d+ and the intracellular adhesion molecule CD54+ suggesting that these markers are expressed on the majority of CD19+ B cells (Figure 1) and should not be independently assessed further. Approximately 1% of CD19+ cells in controls expressed the death ligand CD95+ (Fas) with no difference in their numbers or proportion in PD (Table 3 and Figure 1). Effect of clinical severity, disease duration and levodopa on peripheral blood cell populations that are altered in Parkinson's disease Clinical severity was assessed using the H&Y scale as well as the more sensitive UPDRS scale. Both UPDRS and H&Y negatively correlated with the numbers of CD4+ (p<0.004) cells, but only H&Y stage negatively correlated with CD19+ cells (p=0.036). When assessing the activation markers there was a negative correlation between both clinical severity scores and the numbers of CD4+ cells expressing CD45RO+ (p<0.003) and CD29+ (p<0.005), and between H&Y stage and the numbers of CD19+ cells (p≤0.008). Overall, this suggests that as the disease progresses there is an ongoing loss of CD4+ T and CD19+ B cells. The small increases observed in the proportion of CD4+ cells expressing either CD29+ or CD45RO+ activation markers did not vary with clinical severity. A reduction in the numbers of CD4+CD45RO+ (p=0.009) and total CD19+ cells (p=0.036) was observed with increasing disease duration. The average decrease in these populations per year was 2% for CD4+CD45RO+ cells and 4% for CD19+ cells. Again, the small increases observed in the proportion of CD4+ cells expressing either CD29+ or CD45RO+ activation markers did not vary with disease duration. The assessment of eight PD patients before and after the onset of levodopa treatment showed a significant reduction in the numbers of CD19+ cells (15±14% decrease, p=0.007) post commencement of medication. This was not observed in cells expressing CD95+. No effect of medication was observed for the other populations. Stepwise regression modeling revealed that H&Y stage (but not disease duration, UPDRS score or levodopa equivalent dose) was the strongest predictor of the PD changes in all but one of the cell populations (CD4+CD45RO+ memory T cells). There was an average decrease over each H&Y stage of 5.5% and 5% for the number of CD4+ and CD4+CD29+ respectively (p=0.004), and 6% for the CD19+ B cell populations (p=0.007). The change in CD4+CD45RO+ memory T cells was predicted by both H&Y stage and disease duration (p<0.0001). The average decrease in these cells for each H&Y stage was 3.5% and for each progressing year was 2%. 4. Discussion This study has assessed changes in circulating leukocyte populations in patients with PD versus controls and addresses conflicts in the literature by also assessing the potential impact of clinical variables on such data. We confirm a reduction in CD4+ T helper and B cells in PD patients (Bas et al., 2001; Baba et al., 2005; Niwa et al., 2012) with no change to the numbers of the other major peripheral blood cell types assessed. We found that the decline in CD4+ T helper and CD19+ B cells varied with the clinical stage of disease. Such variability is likely to explain the differences in the effect sizes observed in previous studies. In our study of patients with an average of 6 years duration and a severity stage of H&Y 2, the effect size for the decline in the peripheral blood cell populations was on average 20-‐25% compared to controls. Assessment of activation markers revealed a more targeted cell-‐type effect of PD, with some cell types also influenced by disease duration and/or the introduction of levodopa therapy. Of the CD4+ T helper cells, there was a more selective decrease in the numbers of CD4+CD29+ cells and CD4+CD45RO+ memory T cells. The decrease in numbers of CD4+CD29+ cells has been shown in a single study before, but only in untreated patients with the suggestion that the reduction in this subtype is reversed with treatment (Bas et al., 2001). Our data show that this effect is observed in treated patients and correlates with the clinical stage of the disease, with an average 5% reduction in CD4+CD29+ cells for each increasing H&Y stage of disease (assuming a linear disease model). Overall, this data suggests that larger populations of patients (34 in previous study, 88 in current study) may need to be studied to see any early effect on this cell type in treated patients with PD. We did observe a slight increase (2%) in the proportion of remaining CD4+ cells expressing the CD29+ activation marker, however given the larger overall decrease in this population compared with controls, it is uncertain what clinical relevance this small proportionate increase may have. Only one study has examined CD4+CD45RO+ memory T cells in PD with the authors reporting an increase in the proportion of this cell type (Fiszer et al., 1994a). It should be noted that the comparison group in the Fiszeret al. study were people suffering from tension headache (Fiszer et al., 1994a) with some evidence that such patients may have peripheral blood cell abnormalities similar to multiple sclerosis (Mix et al., 1990). In agreement with Fiszeret al., our study found a 6% increase in the proportion of remaining CD4+CD45RO+ cells, however we did find a greater 19% decrease in the numbers of this cell population compared to a normal control group. This suggests either a more selective loss of another CD4+ population (possibly CD4+CD45RA+ (Bas et al., 2001)) or that a small proportion of remaining CD4+ cells shift to a memory cell phenotype. Our data also show that the CD4+CD45RO+ memory T cells vary with the clinical severity and disease duration of PD, with an average 2% decline in numbers per year. Clinical variability in the case types examined and compared will need to be considered for future studies analysing the effect of PD on this cell population. Studies have reported changes to other CD4+ T helper cell populations, which we were unable to replicate. One study examined the proportion of CD95+ (Fas) expression on CD4+ T cells reporting an increase in PD (Calopa et al., 2010), while several studies report changes in CD4+CD25+ T cells (Bas et al., 2001; Baba et al., 2005; Niwa et al., 2012). The numbers of CD4+CD25+ T cells have been reported to be increased (Bas et al., 2001), and their proportion reported to be increased (Bas et al., 2001), decreased (Baba et al., 2005) or unchanged (Niwa et al., 2012), which may suggest some small transient changes to different functional populations. Although CD4+CD25+ is often used to identify regulatory T cells, this combination also detects effector T cells. Future studies should consider whether additional markers, such as Foxp3+, could improve the accuracy of these results, in addition to looking at the effects of clinical variables. We did not observe an increase in CD95+ expression on CD19+ B cells, suggesting that the reduction in this population is not due to apoptosis. However, we did find an effect of initial levodopa treatment on CD19+ B cells in patients with PD. There was a 15% decrease in total CD19+ B cells within three months of the initiation of levodopa treatment, but not a strong cumulative effect of treatment on any of the examined cell populations. This supports observations by Baset al.who found similar decreases between treated and untreated PD patients (Bas et al., 2001). It is well known that B cells express dopamine receptors and that even low doses of levodopa (or apomorphine) reduces their proliferation (Meredith et al., 2006), consistent with our findings. In the present study, we found a further reduction in the numbers of CD19+ B cells over the disease course that correlated with clinical severity (6% reduction per H&Y stage, again assuming a linear disease model). As expected, there was no correlation between increasing H&Y stage and levodopa equivalent dose in our cohort (Spearman Rho=0.12, p=0.3) suggesting that the ongoing reduction in peripheral B cell numbers is a PD effect. A larger cohort of patients tested before and after the onset of levodopa medication is required to confirm the separate effect of PD to that observed following dopamine replacement, and more consideration given to the impact of these factors in any future work on B cells in such patient cohorts. Interactions between CD4+T and B cells are critical for antibody mediated immunity, and any alterations in these cell populations may compromise immune function in PD. Recent work in experimental autoimmune encephalomyelitis (EAE) suggests that B cells are capable of controlling numbers of circulating CD4+Foxp3+ regulatory T cells (Ray et al., 2012). Depletion of B cells in EAE resulted in reduced numbers of regulatory T cells and increased susceptibility to disease, which was reversed by replacement of B cells using adoptive transfer methods (Ray et al., 2012). In particular, B cells expressing glucocorticoid-‐induced TNF ligand were crucial to recovery (Ray et al., 2012) and in PD patients, altered glucorticoid – glucocorticoid receptor signaling has been shown in peripheral blood and brain tissue (Ros-‐Bernal et al., 2011). Reduced CD4+ T cells in PD is one of the more well-‐studied and consistent findings in the literature (see above) and although one study has reported no difference in CD4+Foxp3+ regulatory T cells between PD and age-‐matched controls (Rosenkranz et al., 2007), given the low frequency of this population (0.1-‐0.7% of leukocytes), larger cohorts may be required in order to have significant power to detect small changes. Furthermore, studies in animal models of PD show that increasing the numbers of regulatory T cells provides protection to the nigrostriatal system (Reynolds et al., 2007). These studies suggest that changes in these cell populations may play an important role in the immune system depression we have observed in PD. The present study has detailed changes in circulating leukocyte populations in PD and importantly, how they are influenced by clinical severity, disease duration, and the initiation and cumulative impact of dopamine replacement therapies. We found a reduction in both CD4+ T helper and CD19+ B cells that worsened with increasing clinical severity. Our data suggest that clinical variability is likely to account for differences between studies in the literature to date, and it will be necessary to consider these factors further in future studies. Fortunately, the long-‐term use of therapeutically-‐ beneficial medication did not strongly influence the deficits in these peripheral lymphocyte populations in PD, although a reduction in B cells was observed following the initiation of treatment, as previously reported. Overall, more work is now required to determine the timing and consequences of changes in these cell populations over the course of PD. Acknowledgements We thank all study participants. The study was funded by the National Health & Medical Research Council of Australia (NHMRC) and GH receives a NHMRC Senior Principal Research Fellowship. The authors have no conflicts of interest concerning this research. References Agarwal, S. and Busse, P.J. 2010. Innate and adaptive immunosenescence.Ann. Allergy Asthma Immunol. 104, 183-‐190; quiz 190-‐182, 210. Baba, Y., Kuroiwa, A., Uitti, R.J., Wszolek, Z.K. and Yamada, T. 2005. Alterations of T-‐ lymphocyte populations in Parkinson disease.Parkinsonism Relat. Disord. 11, 493-‐498. Bas, J., Calopa, M., Mestre, M., Mollevi, D.G., Cutillas, B., Ambrosio, S. and Buendia, E. 2001. Lymphocyte populations in Parkinson's disease and in rat models of parkinsonism.J. Neuroimmunol. 113, 146-‐152. Blandini, F., Cosentino, M., Mangiagalli, A., Marino, F., Samuele, A., Rasini, E., Fancellu, R., Tassorelli, C., Pacchetti, C., Martignoni, E., Riboldazzi, G., Calandrella, D., Lecchini, S., Frigo, G. and Nappi, G. 2004. Modifications of apoptosis-‐related protein levels in lymphocytes of patients with Parkinson's disease. The effect of dopaminergic treatment.J. Neural Transm. 111, 1017-‐1030. Benner, E.J., Banerjee, R., Reynolds, A.D., Sherman, S., Pisarev, V.M., Tsiperson, V., Nemachek, C., Ciborowski, P., Przedborski, S., Mosley, R.L. and Gendelman, H.E. 2008. Nitrated alpha-‐synuclein immunity accelerates degeneration of nigral dopaminergic neurons.PLoS One 3, e1376. Bouman, A., Schipper, M., Heineman, M.J. and Faas, M.M. 2004. Gender difference in the non-‐specific and specific immune response in humans.Am. J. Reprod. Immunol. 52, 19-‐26. Calopa, M., Bas, J., Callen, A. and Mestre, M. 2010. Apoptosis of peripheral blood lymphocytes in Parkinson patients.Neurobiol. Dis. 38, 1-‐7. Brochard, V., Combadiere, B., Prigent, A., Laouar, Y., Perrin, A., Beray-‐Berthat, V., Bonduelle, O., Alvarez-‐Fischer, D., Callebert, J., Launay, J.M., Duyckaerts, C., Flavell, R.A., Hirsch, E.C. and Hunot, S. 2009. Infiltration of CD4+ lymphocytes into the brain contributes to neurodegeneration in a mouse model of Parkinson disease.J. Clin. Invest. 119, 182-‐192. Cao, J.J., Li, K.S. and Shen, Y.Q. 2011. Activated immune cells in Parkinson's disease.J. Neuroimmune Pharmacol. 6, 323-‐329. Chiba, S., Matsumoto, H., Saitoh, M., Kasahara, M., Matsuya, M. and Kashiwagi, M. 1995. A correlation study between serum adenosine deaminase activities and peripheral lymphocyte subsets in Parkinson's disease.J. Neurol. Sci. 132, 170-‐173. Do, C.B., Tung, J.Y., Dorfman, E., Kiefer, A.K., Drabant, E.M., Francke, U., Mountain, J.L., Goldman, S.M., Tanner, C.M., Langston, J.W., Wojcicki, A. and Eriksson, N. 2011. Web-‐based genome-‐wide association study identifies two novel loci and a substantial genetic component for Parkinson's disease.PloS Genetics 7. Fahn, S., Elton, R. and Members of the UPDRS development committee 1987. Unified Parkinson's disease rating scale. In: S. Fahn, C. D. Marsden, D. B. Calne and M. Goldstein (Ed.),Recent Developments in Parkinson's Disease, Macmillan Health Care Information, Florham Park, NJ, pp. 153-‐163, 293-‐304. Fiszer, U., Mix, E., Fredrikson, S., Kostulas, V. and Link, H. 1994a. Parkinson's disease and immunological abnormalities: increase of HLA-‐DR expression on monocytes in cerebrospinal fluid and of CD45RO+ T cells in peripheral blood.Acta Neurol. Scand. 90, 160-‐166. Fiszer, U., Mix, E., Fredrikson, S., Kostulas, V., Olsson, T. and Link, H. 1994b. gamma delta+ T cells are increased in patients with Parkinson's disease.J. Neurol. Sci. 121, 39-‐45. Gagne, J.J. and Power, M.C. 2010. Anti-‐inflammatory drugs and risk of Parkinson disease: a meta-‐analysis.Neurology 74, 995-‐1002. Gao, X., Chen, H., Schwarzschild, M.A. and Ascherio, A. 2011. Use of ibuprofen and risk of Parkinson disease.Neurology 76, 863-‐869. Hamza, T.H., Zabetian, C.P., Tenesa, A., Laederach, A., Montimurro, J., Yearout, D., Kay, D.M., Doheny, K.F., Paschall, J., Pugh, E., Kusel, V.I., Collura, R., Roberts, J., Griffith, A., Samii, A., Scott, W.K., Nutt, J., Factor, S.A. and Payami, H. 2010. Common genetic variation in the HLA region is associated with late-‐onset sporadic Parkinson's disease.Nature Genetics 42, 781-‐U775. Hisanaga, K., Asagi, M., Itoyama, Y. and Iwasaki, Y. 2001. Increase in peripheral CD4 bright+ CD8 dull+ T cells in Parkinson disease.Arch. Neurol. 58, 1580-‐1583. Hoehn, M.M. and Yahr, M.D. 1967. Parkinsonism: onset, progression and mortality. Neurology 17, 427-‐442. Imamura, K., Hishikawa, N., Sawada, M., Nagatsu, T., Yoshida, M. and Hashizume, Y. 2003. Distribution of major histocompatibility complex class II-‐positive microglia and cytokine profile of Parkinson's disease brains.Acta Neuropathol. 106, 518-‐526. McGeer, P.L., Itagaki, S., Boyes, B.E. and McGeer, E.G. 1988. Reactive microglia are positive for HLA-‐DR in the substantia nigra of Parkinson's and Alzheimer's disease brains.Neurology 38, 1285-‐1291. Kaszubowska, L. 2008. Telomere shortening and ageing of the immune system.J. Physiol. Pharmacol. 59 Suppl. 9, 169-‐186. Meredith, E.J., Holder, M.J., Rosen, A., Lee, A.D., Dyer, M.J., Barnes, N.M. and Gordon, J. 2006. Dopamine targets cycling B cells independent of receptors/transporter for oxidative attack: Implications for non-‐Hodgkin's lymphoma.Proc. Natl. Acad. Sci. U. S. A. 103, 13485-‐13490. Mix, E., Olsson, T., Correale, J., Kostulas, V. and Link, H. 1990. CD4+, CD8+, and CD4-‐ CD8-‐ T cells in CSF and blood of patients with multiple sclerosis and tension headache. Scand. J. Immunol. 31, 493-‐501. Mihara, T., Nakashima, M., Kuroiwa, A., Akitake, Y., Ono, K., Hosokawa, M., Yamada, T. and Takahashi, M. 2008. Natural killer cells of Parkinson's disease patients are set up for activation: a possible role for innate immunity in the pathogenesis of this disease.Parkinsonism Relat. Disord. 14, 46-‐51. Nalls, M.A., Plagnol, V., Hernandez, D.G., Sharma, M., Sheerin, U.M., Saad, M., Simon-‐ Sanchez, J., Schulte, C., Lesage, S., Sveinbjornsdottir, S., Arepalli, S., Barker, R., Ben-‐ Shlomo, Y., Berendse, H.W., Berg, D., Bhatia, K., de Bie, R.M.A., Biffi, A., Bloem, B., Bochdanovits, Z., Bonin, M., Bras, J.M., Brockmann, K., Brooks, J., Burn, D.J., Charlesworth, G., Chen, H.L., Chinnery, P.F., Chong, S., Clarke, C.E., Cookson, M.R., Cooper, J.M., Corvol, J.C., Counsell, C., Damier, P., Dartigues, J.F., Deloukas, P., Deuschl, G., Dexter, D.T., van Dijk, K.D., Dillman, A., Durif, F., Durr, A., Edkins, S., Evans, J.R., Foltynie, T., Gao, J.J., Gardner, M., Gibbs, J.R., Goate, A., Gray, E., Guerreiro, R., Gustafsson, O., Harris, C., van Hilten, J.J., Hofman, A., Hollenbeck, A., Holton, J., Hu, M., Huang, X.M., Huber, H., Hudson, G., Hunt, S.E., Huttenlocher, J., Illig, T., Jonsson, P.V., Lambert, J.C., Langford, C., Lees, A., Lichtner, P., Limousin, P., Lopez, G., Lorenz, D., McNeill, A., Moorby, C., Moore, M., Morris, H.R., Morrison, K.E., Mudanohwo, E., O'Sullivan, S.S., Pearson, J., Perlmutter, J.S., Petursson, H., Pollak, P., Post, B., Potter, S., Ravina, B., Revesz, T., Riess, O., Rivadeneira, F., Rizzu, P., Ryten, M., Sawcer, S., Schapira, A., Scheffer, H., Shaw, K., Shoulson, I., Sidransky, E., Smith, C., Spencer, C.C.A., Stefansson, H., Stockton, J.D., Strange, A., Talbot, K., Tanner, C.M., Tashakkori-‐Ghanbaria, A., Tison, F., Trabzuni, D., Traynor, B.J., Uitterlinden, A.G., Velseboer, D., Vidailhet, M., Walker, R., van de Warrenburg, B., Wickremaratchi, M., Williams, N., Williams-‐Gray, C.H., Winder-‐Rhodes, S., Stefansson, K., Martinez, M., Hardy, J., Heutink, P., Brice, A., Gasser, T., Singleton, A.B., Wood, N.W., Int Parkinson Dis Genomics Consort and Wellcome Trust Case-‐ Control Consort. 2011. Imputation of sequence variants for identification of genetic risks for Parkinson's disease: a meta-‐analysis of genome-‐wide association studies.Lancet 377, 641-‐649. Niwa, F., Kuriyama, N., Nakagawa, M. and Imanishi, J. 2012. Effects of peripheral lymphocyte subpopulations and the clinical correlation with Parkinson's disease. Geriatr. Gerontol. Int. 12, 102-‐107. Rajda, C., Dibo, G., Vecsei, L. and Bergquist, J. 2005. Increased dopamine content in lymphocytes from high-‐dose L-‐Dopa-‐treated Parkinson's disease patients. Neuroimmunomodulation 12, 81-‐84. Nyugen, J., Agrawal, S., Gollapudi, S. and Gupta, S. 2010. Impaired functions of peripheral blood monocyte subpopulations in aged humans.J. Clin. Immunol. 30, 806-‐813. Ray, A., Basu, S., Williams, C.B., Salzman, N.H. and Dittel, B.N. 2012. A novel IL-‐10-‐ independent regulatory role for B cells in suppressing autoimmunity by maintenance of regulatory T cells via GITR ligand.J. Immunol. 188, 3188-‐3198. Reynolds, A.D., Banerjee, R., Liu, J., Gendelman, H.E. and Mosley, R.L. 2007. Neuroprotective activities of CD4+CD25+ regulatory T cells in an animal model of Parkinson's disease.J. Leukoc. Biol. 82, 1083-‐1094. Ros-‐Bernal, F., Hunot, S., Herrero, M.T., Parnadeau, S., Corvol, J.C., Lu, L., Alvarez-‐Fischer, D., Carrillo-‐de Sauvage, M.A., Saurini, F., Coussieu, C., Kinugawa, K., Prigent, A., Hoglinger, G., Hamon, M., Tronche, F., Hirsch, E.C. and Vyas, S. 2011. Microglial glucocorticoid receptors play a pivotal role in regulating dopaminergic neurodegeneration in parkinsonism.Proc. Natl. Acad. Sci. U. S. A. 108, 6632-‐6637. Rosenkranz, D., Weyer, S., Tolosa, E., Gaenslen, A., Berg, D., Leyhe, T., Gasser, T. and Stoltze, L. 2007. Higher frequency of regulatory T cells in the elderly and increased suppressive activity in neurodegeneration.J. Neuroimmunol. 188, 117-‐ 127. Samii, A., Etminan, M., Wiens, M.O. and Jafari, S. 2009. NSAID use and the risk of Parkinson's disease: systematic review and meta-‐analysis of observational studies.Drugs Aging 26, 769-‐779. Tomlinson, C.L., Stowe, R., Patel, S., Rick, C., Gray, R. and Clarke, C.E. 2010. Systematic review of levodopa dose equivalency reporting in Parkinson's disease.Mov. Disord. 25, 2649-‐2653. Simon-‐Sanchez, J., van Hilten, J.J., van de Warrenburg, B., Post, B., Berendse, H.W., Arepalli, S., Hernandez, D.G., de Bie, R.M.A., Velseboer, D., Scheffer, H., Bloem, B., van Dijk, K.D., Rivadeneira, F., Hofman, A., Uitterlinden, A.G., Rizzu, P., Bochdanovits, Z., Singleton, A.B. and Heutink, P. 2011. Genome-‐wide association study confirms extant PD risk loci among the Dutch.European Journal of Human Genetics 19, 655-‐661.
Documento de Informação Fundamental Finalidade O presente documento fornece-lhe a informação fundamental sobre este produto de investimento. Não constitui um elemento de promoção comercial. A informação nele contida é exigida por lei para o ajudar a entender a natureza, os riscos, os custos e os ganhos e perdas potenciais do produto, e para o ajudar a compará-lo com outros produtos. Produto Nome: Certificado Estratégia de Alocação Moderada Código ISIN: PTBIT8YM0042 Produtor do PRIIP/Emitente: Banco Comercial Português, S.A. (abreviadamente designado por “Millennium bcp”) Contactos da Instituição: Para informações adicionais contacte o seu Gestor de Cliente ou telefone 707 50 24 24, 91 827 24 24, 93 522 24 24 ou 96 599 24 24 ou aceda a www.millenniumbcp.pt Autoridade de Supervisão: Comissão do Mercado de Valores Mobiliários (CMVM) Data de produção do Documento de Informação Fundamental: 4 de dezembro de 2020 Data da última atualização: 5 de fevereiro de 2021 Está prestes a adquirir um produto que não é simples e cuja compreensão poderá ser difícil. Em que consiste este produto? Tipo: Os Certificado Estratégia de Alocação Moderada são valores mobiliários, escriturais e nominativos, emitidos pelo Millennium bcp representativos de dívida sénior que replicam a evolução dos índices subjacentes nas proporções correspondentes aos respetivos pesos, fixados nas Datas de Rebalanceamento semestrais. Objetivos: O preço do Certificado reflete a evolução do valor dos seguintes índices com os seguintes pesos fixados nas Datas de Rebalanceamento, deduzido do Custo de Gestão abaixo referido: \| Ativos Subjacentes \| \| \| Cód. \| Abreviatura \| \| \| Classe \| Moeda \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| Bloomberg \| \| \| \| Ativos \| \| \| \| \| \| Índices de Ações: \| \| \| \| \| \| \| \| \| \| \| \| MSCI All Country World Index Net Total Return EUR \| \| NDEEWNR \| \| MSCI All Country \| \| Ações \| \| EUR \| 35% \| \| \| Índices de Obrigações: \| \| \| \| \| \| \| \| \| \| \| \| Bloomberg Barclays Euro-Aggregate Corporate Total \| LECPTREU \| LECPTREU \| \| EURO CORP \| Obrigações \| Obrigações \| EUR \| EUR \| 65% \| \| \| Return Index \| \| \| \| BOND \| \| \| \| \| \| O MSCI All Country World Index Net Total Return EUR é um índice de ações de retorno total líquido constituído pelas ações das maiores empresas a nível mundial, quer de países desenvolvidos quer de países emergentes, ponderado pelas suas capitalizações bolsistas. O índice está cotado em Euros e é afetado pela variação dos câmbios das ações componentes relativamente ao Euro. É publicado pela MSCI Inc. (www.msci.com/end-of-day-data-search), que é simultaneamente o seu Agente de Cálculo. O índice Bloomberg Barclays Euro-Aggregate Corporate Total Return é um índice de obrigações de retorno total líquido constituído por obrigações denominadas em Euros emitidas por entidades privadas de elevada qualidade de crédito (Investment Grade). É publicado pela Bloomberg Index Services Limited (www.bloomberg.com/professional/product/indices/bloomberg-barclays-indices/#/), que é simultaneamente o seu Agente de Cálculo. O Valor do Certificado, tudo o resto constante, vai caindo ao longo do tempo refletindo o Custo de Gestão e o prazo do investimento. Semestralmente, é feito o Rebalanceamento, voltando a fixar os pesos nos valores fixados na tabela de Ativos Subjacentes acima referida. Entre duas Datas de Rebalanceamento o peso dos Ativos Subjacentes pode aumentar ou diminuir conforme o comportamento dos mercados. Os Certificados estão cotados em Bolsa na Euronext Paris e podem ser transacionados em mercado contínuo, atuando o Millennium bcp como fornecedor de liquidez. A compra do Certificado não é equivalente à compra dos Ativos Subjacentes. Pode ocorrer uma perda de parte ou da totalidade do capital investido. Custo de Gestão: É um custo que visa cobrir os custos em que incorre o Emitente na gestão do produto, nomeadamente na cobertura de risco de mercado. O Custo de Gestão é atualmente de 1,25% por ano. O Emitente define em cada Data de Reembolso o Custo de Gestão a vigorar até à próxima Data de Reembolso, tendo em conta as condições de mercado. Custo de Gestão Semestral: Corresponde ao Custo de Gestão para o período semestral, sendo igual ao Custo de Gestão a dividir por dois. Datas de Referência: Primeiro Dia de Cálculo de abril e outubro de cada ano. Em caso de reembolso da totalidade da emissão dos Certificados os cinco primeiros Dias de Cálculo de abril e outubro de cada ano. Data de Reembolso: Dois dias úteis depois da Data de Referência. Caso esta data não seja um Dia Útil de Liquidação, a Data de Reembolso correrá no primeiro Dia Útil de Liquidação subsequente. Datas de Rebalanceamento: Primeiro Dia de Cálculo de abril e outubro de cada ano. Preços de Referência: Os Preços de Referência serão calculados pelo Agente de Cálculo com base nos preços médios diários dos Ativos Subjacentes publicados pelos Agentes de Cálculo dos Ativos Subjacentes em cada Data de Referência ou, caso não seja publicado o preço médio diário de algum dos Ativos Subjacentes, com base no valor de fecho do Ativo Subjacente em causa nas Datas de Referência. Em caso de reembolso da totalidade da emissão de Certificados, o Preço de Referência de cada Ativo Subjacente será o correspondente à média aritmética simples dos respetivos Preços de Referência para as cinco Datas de Referência supra referidas. Valor do Reembolso: Os Certificados serão reembolsados, em Euros na Data de Reembolso, de acordo com a seguinte fórmula: Valor de Reembolso = (35% × Performance MSCI All Country + 65% × Performance EURO CORP BOND +1) x × Valor de Reembolso Anterior × (1 - Custo de Gestão Semestral) × 1 Euro Em que Valor de Reembolso Anterior na primeira Data de Reembolso = Preço de Emissão Preço de Emissão: 10 € A Performance de cada Ativo Subjacente corresponde à variação percentual do seu Preço de Referência entre a Data de Referência em que é apurado o Valor de Reembolso e a Data de Referência anterior. Exercício do Direito de Reembolso: Os Certificados não têm maturidade, mas podem ser reembolsados semestralmente nas Datas de Reembolso, ao Valor de Reembolso, por iniciativa do investidor, com um pré-aviso de três dias úteis, ou por iniciativa do emitente, com um pré-aviso de seis meses relativamente à Data de Referência, que deve proceder à divulgação no Sistema de Difusão de Informação da Comissão do Mercado de Valores Mobiliários (CMVM) ou em outro meio de difusão de informação equivalente. Tipo de investidor não profissional ao qual se destina: * Possuam conhecimento e experiência dos mercados financeiros, nomeadamente dos mercados de obrigações, ações e cambial, que lhes permitam compreender os benefícios e riscos do investimento neste produto; * Pretendam valorizar o seu capital; * Tenham capacidade para assumir perdas; * Pretendam investir de forma diversificada; * Pretendam investir com um horizonte superior a 3 anos. Quais são os riscos e qual poderá ser o meu retorno? Indicador de Risco Risco mais baixo Risco mais elevado O indicador sumário de risco pressupõe que o produto é detido durante 3 anos. O risco efetivo pode variar significativamente em caso de resgate antecipado, podendo ser recebido um valor inferior. - O indicador sumário de risco constitui uma orientação sobre o nível de risco deste produto quando comparado com outros produtos. Mostra a probabilidade de o produto sofrer perdas financeiras, no futuro, em virtude de flutuações dos mercados ou da nossa incapacidade para lhe pagar. - Este indicador avalia as possíveis perdas resultantes de um desempenho futuro com um nível médio-alto, e é provável que condições de mercado desfavoráveis tenham um impacto na nossa capacidade para pagar a sua retribuição. - Classificamos este produto na classe de risco 5 numa escala de 1 a 7, que corresponde a uma média-alta classe de risco. - Atenção ao risco cambial. Receberá pagamentos em Euros mas o retorno obtido depende da taxa de câmbio entre o Euro e as moedas em que estão cotadas as ações componentes do índice MSCI All - Este produto não prevê qualquer proteção contra o comportamento futuro do mercado, pelo que poderá perder uma parte ou a totalidade do seu investimento. - Country. Este risco é considerado no indicador acima indicado. - Se não pudermos pagar o que lhe é devido, poderá perder todo o seu investimento. - As diferentes funções, assumidas pelo Banco Comercial Português, S.A. nos Certificados, podem ser geradoras de potenciais conflitos de interesse, designadamente pelo facto de acumular as funções de Emitente e de Agente de Cálculo. \| \| Investimento \| \| 1 ano \| 3 anos \| \| \|---\|---\|---\|---\|---\|---\| \| \| 10.000 € \| \| \| \| 3 anos \| \| Cenários \| \| \| \| \| (Período de \| \| \| \| \| \| \| detenção \| \| \| \| \| \| \| recomendado) \| \| Cenário de stress \| \| Valor que poderá receber após dedução dos custos Retorno médio anual \| 4 710 € 6 779 € -52,90% -12,15% \| \| \| \| Cenário desfavorável \| \| Valor que poderá receber após dedução dos custos Retorno médio anual \| 9 658 € 10 074 € -3,42% 0,25% \| \| \| \| Cenário moderado \| \| Valor que poderá receber após dedução dos custos Retorno médio anual \| 10 482 € 11 632 € 4,82% 5,17% \| \| \| \| Cenário favorável \| \| Valor que poderá receber após dedução dos custos Retorno médio anual \| 11 318 € 13 350 € 13,18% 10,11% \| \| \| Este quadro mostra o montante que pode receber ao longo dos próximos 3 anos, em diferentes cenários, pressupondo que investe 10.000 €. Os cenários apresentados ilustram qual poderá ser o desempenho do seu investimento. Pode compará-los com os cenários de outros produtos. Os cenários apresentados são uma estimativa do desempenho futuro com base na experiência do passado sobre a forma como varia o valor deste investimento, não são um indicador exato. O valor que recebe poderá variar em função do comportamento do mercado e do tempo durante o qual detém o investimento. O cenário de stress mostra o que poderá receber numa situação extrema dos mercados, e não inclui a situação em que não estamos em condições de lhe pagar. Os valores apresentados incluem todos os custos do próprio produto e incluem as despesas do seu distribuidor, caso seja o Millennium bcp. Os valores não têm em conta a sua situação fiscal pessoal, que pode também influenciar o montante que obterá. 2 Cenários de Desempenho O que sucede se o Millennium bcp não puder pagar? Os Certificados estão sujeitos ao risco de crédito do Banco Comercial Português, S.A. e não são objeto de qualquer garantia. No âmbito da eventual aplicação de medidas de salvaguarda da solidez financeira do Emitente, poderá ser promovida pela autoridade de resolução competente a alteração dos termos e condições dos Certificados (por exemplo o cancelamento de parte ou da totalidade do valor do capital investido e respetiva remuneração), a conversão dos Certificados noutro tipo de instrumento financeiro ou em capital social (ações ordinárias) do Emitente, a redução do capital social para a cobertura de prejuízos, o aumento do capital social, a alienação da atividade ou a criação de uma instituição de transição. A opção pela recapitalização interna (bail-in) permite à autoridade de resolução aplicar medidas que visem a recapitalização de uma instituição insolvente através da alocação das perdas aos acionistas e aos credores não garantidos. Na implementação de medidas de resolução sobre instituições de crédito, a autoridade de resolução pode aplicar à presente Emissão de Certificados os seus poderes de resolução, incluindo os de redução do seu valor e os de conversão noutro instrumento financeiro, o que poderá implicar que o Valor de Reembolso dos Certificados seja significativamente abaixo do valor nominal, podendo mesmo ser nulo. Os titulares dos Certificados emitidos ao abrigo da presente Emissão poderão ter direitos limitados de impugnação de qualquer decisão que a autoridade de resolução venha a implementar. As eventuais perdas decorrentes do investimento na presente Emissão de Certificados não estão cobertas por um regime de indemnização ou garantia do investidor. Quais são os custos? Custos ao longo do tempo A redução do rendimento (RIY) mostra o impacto que o total dos custos pagos terá sobre o retorno do investimento que pode obter. O total dos custos inclui os custos pontuais, os custos recorrentes e os custos acessórios. Os montantes aqui apresentados são os custos acumulados do próprio produto para dois períodos de detenção diferentes. Os valores pressupõem que investe 10.000 €. \| Investimento 10.000 € \| \| Em caso de venda \| Em caso de venda após 3 anos \| \|---\|---\|---\|---\| \| \| \| após 1 ano \| (período recomendado) \| \| Total dos custos \| 186,52 € \| \| \| \| Impacto no retorno anual (RIY) \| \| \| \| Composição dos custos O quadro a seguir indica: * O impacto anual dos diferentes tipos de custos no retorno do investimento que poderá obter no final do período de detenção recomendado; * O significado das diferentes categorias de custos. \| \| Este quadro mostra o impacto no retorno anual \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| Custos pontuais \| \| \| Custos de entrada \| \| 0,07% \| Comissões de transação \| \| \| \| Custos de saída \| \| 0,14% \| \| Comissões de transação e spread Bid/Mid \| \| \| \| \| \| \| \| estimado \| \| Custos recorrentes \| \| \| Custos de transação \| n.a. \| \| O impacto dos custos de comprarmos e \| \| \| \| \| da carteira \| \| \| vendermos investimentos subjacentes ao produto. \| \| \| \| \| Outros custos \| 1,38% \| \| Custo de Gestão com base nos cenários de \| \| \| \| \| recorrentes \| \| \| desempenho \| \| \| \| Comissões de desempenho \| \| n.a. \| \| O impacto da comissão de desempenho. \| \| \| \| \| \| \| \| Cobramo-la ao seu investimento caso o \| \| \| \| \| \| \| \| desempenho do produto supere o seu valor de \| \| \| \| \| \| \| \| referência. \| O investidor poderá incorrer em custos adicionais caso transacione os Certificados através de outro Intermediário Financeiro que não o Millennium bcp. Por quanto tempo devo manter o Produto? E posso fazer mobilizações antecipadas de capital? Período de detenção recomendado: 3 anos Este produto não tem um período de detenção mínimo, mas foi concebido para investimentos de médio prazo, por forma a aproveitar o rendimento e as valorizações decorrentes da evolução dos mercados de obrigações e ações. O investidor pode, a qualquer momento, proceder à venda dos Certificados na Bolsa Euronext Paris, recebendo o preço de mercado. O Millennium bcp assegura o mercado secundário diariamente, durante a vida do produto, com um spread máximo de 2% entre a compra e a venda em condições normais de mercado. Como posso apresentar queixa? Em caso de reclamação poderá contactar o seu balcão, ou o Centro de Atenção ao Cliente através do e-mail firstname.lastname@example.org, ou o Centro de Contactos através do telefone 707 50 24 24. Pode ainda contactar a Provedoria do Cliente, sita na Praça Dom João I, nº 28 - Piso 4, 4000-295 Porto através do e-mail email@example.com. Podem também ser apresentadas reclamações junto da CMVM. Outras informações relevantes Agente de Cálculo e Agente Pagador: Banco Comercial Português, S.A.. Locais de Consulta de outra Documentação Relevante: Não dispensa a consulta da Ficha Técnica e da Nota Técnica de Admissão à Negociação dos Certificados no Sistema de Negociação Multilateral Euronext Access da Euronext Paris, que se encontram à disposição para consulta no sítio de Internet www.millenniumbcp.pt, juntamente com o Documento de Informação Fundamental atualizado. Poderá solicitar uma cópia gratuita deste documento em papel. Key Information Document (Binding Version in Portuguese, this English translation is for convenience only) Purpose This document provides you with key investor information about this investment product. It is not marketing material. This information is required by law to help you understand the nature, risks, costs, potential gains and losses of this product and to help you compare it with other products. Product Name: Certificates Allocation Strategy Moderate ISIN Code: PTBIT8YM0042 PRIIP Manufacturer/Issuer: Banco Comercial Português, S.A. (abbreviated as “Millennium bcp”) Contacts: For further information, please contact your account manager or call 707 50 24 24, 91 827 24 24, 93 522 24 24 or 96 599 24 24 or go to www.millenniumbcp.pt Supervision Authority: Comissão do Mercado de Valores Mobiliários (CMVM) Key Information Document prepared on 4 December 2020 Last updated on 05 February 2021 You are about to purchase a product that is not simple and may be difficult to understand. What is this product? Type: Certificates Allocation Strategy Moderate are book entry and nominative securities, issued by Millennium bcp representative of senior debt, which replicate the evolution of the value of the underlying indices in the proportions correspondent to the respective weights, fixed in the semi-annual Rebalancing Dates. Objectives: The price of the Certificate reflects the evolution of the value of the following indices with the following weights fixed in the Rebalancing Dates, deducted of the Management Cost referred below: \| \| Bloomberg \| \| Assets \| \| \| \|---\|---\|---\|---\|---\|---\| \| Underlying Assets \| \| Abbreviation \| \| Currency \| Weight \| \| \| Code \| \| Class \| \| \| \| Stock Index: \| \| \| \| \| \| \| MSCI All Country World Index Net Total Return EUR \| NDEEWNR \| MSCI All Country \| Stocks \| EUR \| 35% \| \| Bond Index: \| \| \| \| \| \| \| Bloomberg Barclays Euro-Aggregate Corporate \| LECPTREU \| EURO CORP \| Bonds \| EUR \| 65% \| \| Total Return Index \| \| BOND \| \| \| \| MSCI All Country World Index Net Total Return EUR is an equity net total return index composed by the shares of the largest worldwide companies, both from developed and emerging countries, weighted by their market capitalizations. The index is quoted in Euros and is affected by changes in the exchange rates of component shares against the Euro. It is published by MSCI Inc. (www.msci.com/end-of-day-data-search), which is simultaneously its Calculation Agent. The Bloomberg Barclays Euro-Aggregate Corporate Total Return is a net total return bonds index composed of Bonds denominated in Euros, issued by private entities of high credit quality (Investment Grade). It is published by Bloomberg Index Services Limited (www.bloomberg.com/professional/product/indices/bloomberg-barclays-indices/#/), which is also its Calculation Agent. The Value of the Certificate, holding the remaining elements constant, will diminish as time passes, reflecting the Management Cost and the investment period. Rebalancing is carried out every six months, restoring the weights to the values set in the table of Underlying Assets mentioned above. Between two Rebalancing Dates the weight of the Underlying Assets may increase or decrease according to the behavior of the markets. The Certificates are listed on the exchange at Euronext Paris and can be traded continuously on the market, where Millennium bcp acts as liquidity provider. The purchase of Certificate is not equivalent to the purchase of the underlying assets. It may occur a partial or total loss of the invested capital. Management Cost: It is a cost that intends to cover the costs in which the Issuer incurs when managing the product, namely when hedging market risk. The Management Cost on the Issue Date is 1,25% per year. The Issuer defines in each Rebalancing Date the Management Cost applicable until the next Rebalancing Date, taking into account the market conditions. Semi-annual Management Cost: It corresponds to the Management Cost for each semester between the two Rebalancing Dates, being equal to the Management Cost divided by two. Reference Dates: First Calculation Day of April and October of each year. In case of redemption of the entire issue of the Certificates, the first five Calculation Days of April and October of each year. Redemption Date: Two business days after Reference Date. In the event this date is not a Settlement Business Day, the Redemption Date will be on the first subsequent Settlement Business Day. Rebalancing Dates: First Calculation Day of April and October of each year. Reference Prices: The Reference Prices will be calculated by the Calculation Agent based on the average daily prices of the Underlying Assets published by the Calculation Agents of the Underlying Assets on each Reference Date or, if the average daily price of any of the Underlying Assets is not published, based on the closing value of the Underlying Asset in question on the Reference Dates. In case of redemption of the entire issue of Certificates, the Reference Price of each Underlying Asset will be the one corresponding to the simple arithmetic average of the respective Reference Prices for the five Reference Dates mentioned above. Redemption Value: The Certificates shall be repaid, in Euros on the Redemption Date, according to the following formula: Redemption Value = (35% × Performance MSCI All Country + 65% × Performance EURO CORP BOND +1) x × Previous Redemption Value × (1 - Semi-annual Management Cost) × 1 Euro Issue Price: EUR 10 The Performance of each Underlying Asset corresponds to the percentual variation of its Reference Price between the Reference Date in which the Redemption Value is fixed and the previous Reference Date. Performance Scenarios: Exercise of the Right to Redemption: The Certificates have no maturity, but can be redeemed semi-annually on the Redemption Dates, at the Redemption Value, at the initiative of the investor, with a notice of three business days, or at the initiative of the issuer, with a notice of six months prior to the Reference Date, that should disclose the redemptions by mean of an advertisement to be published at the CMVM's Information Disclosure System or any other equivalent disclosure mean. Intended retail investor: * Have knowledge and experience on financial markets, namely the debt, equities and foreign exchange markets, which allows them to understand the benefits and risks of the investment in this product; * Want to increase the value of their capital; * Have the capacity to undertake losses; * Want to invest in a diversified way; * Want to invest beyond a 3 years' time horizon. What are the risks and what could I get in return? Summary Risk Indicator Lower Risk Higher Risk! The risk indicator assumes you keep the product for 3 years. The actual risk can vary significantly if you cash in at an early stage and you may get back less. - The summary risk indicator is a guide to the level of risk of this product compared to other products. It shows how likely it is that the product will lose money, in the future, because of movements in the markets or because we are not able to pay you. - We have classified this product as 5 out of 7, which is a medium-high risk class. - This rates the potential losses from future performance at a medium-high level, and poor market conditions will likely impact our capacity to pay you. - Be aware of currency risk. You will receive payments in Euros, but the return depends on the exchange rate between the Euro and the other currencies in which the shares of MSCI All Country Index are quoted. This risk is considered in the indicator shown above. - This product does not include any protection from future market performance, so you could lose some or all of your investment. - If we are not able to pay you what is owed, you could lose your entire investment. - The different roles undertaken by Banco Comercial Português, S.A. in the Certificates may result in potential conflicts of interest, namely by the fact of cumulating duties as Issuer and Calculation Agent. \| \| Investment \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| \| 3 years \| \| \| 10.000 € \| \| \| \| \| \| \| \| \| \| \| 1 year \| \| \| \| \| \| \| \| \| \| (recommended \| \| \| Scenarios \| \| \| \| \| holding period) \| \| Stress Scenario \| \| What you might get back after costs Average return each year \| 4,710 € -52.90% \| \| 6,779 € -12.15% \| \| \| Unfavourable Scenario \| \| What you might get back after costs Average return each year \| 9,658 € -3.42% \| \| 10,074 € 0.25% \| \| \| Moderate Scenario \| \| What you might get back after costs Average return each year \| 10,482 € 4.82% \| \| 11,632 € 5.17% \| \| This table shows the money you could get back over the next 3 years under different scenarios, assuming that you invest 10,000 Euro. The scenarios shown illustrate how your investment could perform. You can compare them with the scenarios of other products. The scenarios presented are an estimate of future performance based on evidence from the past on how the value of this investment varies, and are not an exact indicator. What you get will vary depending on how the market performs and how long you keep the investment. The stress scenario shows what you might get back in extreme market circumstances, and it does not take into account the situation where we are not able to pay you. The figures shown include all the costs of the product itself and include the costs of your distributor, if it is Millennium bcp. The figures do not take into account your personal tax situation, which may also affect how much you get back. What happens if Millennium bcp is unable to pay out? Certificates are subject to the credit risk of Banco Comercial Português, S.A. and are not object of any kind of guarantee. Regarding the eventual application of safeguard measures for the financial stability of the Issuer, the authorized resolution authority may promote changes to the terms and conditions of Certificates (for example the cancellation of part or the total amount of capital invested and correspondent remuneration), conversion of Certificates in other type of financial instrument or share capital (ordinary shares) of the Issuer, the reduction of share capital to cover for losses incurred, the increase in share capital, alienation of activity or the creation of a transition institution. The option of internal recapitalization (bail-in) allows the resolution authority to apply measures in order to recapitalize an insolvent institution throughout the allocation of losses to shareholders and non-guaranteed creditors. In the implementation of resolution measures in credit institutions, the resolution authority may apply its resolution power to the present Issuance of Certificates, including the decrease of Certificates' value and conversion in other financial instrument, which may imply that Reimbursement Value of Certificates is fairly below the nominal value, with the possibility of being nule. Holders of Certificates of the present Emission may have limited rights of impugnation of any decision the resolution authority is to implement. Eventual losses related to the investment made in the present Emission of Certificates are not covered by any indemnity regime neither investor guarantee. What are the costs? Costs over time The Reduction in Yield (RIY) shows what impact the total costs you pay will have on investment return you might get. The total costs take into account one-off, ongoing and incidental costs. The amounts shown here are the cumulative costs of the product itself for two different holding periods. The figures assume you invest 10,000 Euro. \| \| \| \| In case of sale \| \| In case of sale after 3 years \| \|---\|---\|---\|---\|---\|---\| \| \| Investment 10.000 € \| \| \| \| \| \| \| \| \| after 1 year \| \| (recommended period) \| \| Total costs \| \| 186.52 € \| \| 472.02 € \| \| \| Impact on return (RIY) per year \| \| 1.87% \| \| 1.60% \| \| Composition of the costs The following table indicates: * The impact each year of the different types of costs on the investment return you may obtain at the end of the recommended holding period; * The meaning of the different costs categories. The investor may incur in additional costs if he trades the Certificates through another Financial Intermediary other than Millennium bcp. \| This table shows the impact on annual return \| \| \| \| \|---\|---\|---\|---\| \| One-off \| Entry costs \| 0.07% \| Transaction fees \| \| Costs \| Exit costs \| 0.14% \| Transaction fees and estimated Bid/Mid spread \| \| \| Portfolio transaction \| \| The impact of the costs of us buying and selling \| \| \| \| n.a. \| \| \| Ongoing \| costs \| \| underlying investments for the product. \| \| Costs \| \| \| The impact of the costs that we take each year \| \| \| Other ongoing costs \| 1.38% \| \| \| \| \| \| for managing your investments. \| \| \| \| \| The impact of the performance fee. We take \| \| Incidental \| Performance fees \| n.a. \| these from your investment it the product \| \| Costs \| \| \| outperforms its benchmark. \| \| \| Carried interest \| n.a. \| The impact of the carried interests. \| How long should I hold the product and can I take money out early? Recommended holding period: 3 years This product does not have a minimum holding period, but it was designed for medium-term investments, in order to take advantage of possible income and valuations arising from the debt and stock markets evolution. The investor may, at any time, sell the Certificates on the Euronext Paris stock market and thus receive the market price. Millennium bcp daily ensures the secondary market during the certificate's lifetime, with a maximum spread of 2% between the purchase and the sale, under regular market conditions. How can I complain? In the event of a complaint, you can contact your Bank Branch, or the Customer Services by e-mail firstname.lastname@example.org, or the Contact Center through phone number 707 50 24 24. You can also contact the Client Ombudsman's Office, at Praça Dom João I, nº 28 - Piso 4, 4000-295 Porto by email email@example.com. Complaints can also be filed with CMVM. Other relevant information Calculation Agent and Paying Agent: Banco Comercial Português, S.A.. Locations for consultation of other Relevant Documents: This does not exempt the consultation of the Term Sheet and the Technical Note for the Certificates' Admission to Trading in the Euronext Access Multilateral Negotiation System of Euronext Paris, which are available for consultation at the website www.millenniumbcp.pt, together with the updated Key Information Document. You may ask for a free paper copy of this document.
This is an electronic reprint of the original article. This reprint may differ from the original in pagination and typographic detail. Author(s): Balajewicz, Maciej; Toivanen, Jari Title: Reduced Order Models for Pricing European and American Options under Stochastic Volatility and Jump-Diffusion Models Year: 2017 Version: Please cite the original version: Balajewicz, M., & Toivanen, J. (2017). Reduced Order Models for Pricing European and American Options under Stochastic Volatility and Jump-Diffusion Models. Journal of Computational Science, 20, 198-204. https://doi.org/10.1016/j.jocs.2017.01.004 All material supplied via JYX is protected by copyright and other intellectual property rights, and duplication or sale of all or part of any of the repository collections is not permitted, except that material may be duplicated by you for your research use or educational purposes in electronic or print form. You must obtain permission for any other use. Electronic or print copies may not be offered, whether for sale or otherwise to anyone who is not an authorised user. Title: Reduced Order Models for Pricing European and American Options under Stochastic Volatility and Jump-Diffusion Models Author: Maciej Balajewicz Jari Toivanen PII: S1877-7503(17)30056-X DOI: http://dx.doi.org/doi:10.1016/j.jocs.2017.01.004 Reference: JOCS 604 To appear in: Received date: 15-9-2016 Revised date: 28-12-2016 Accepted date: 12-1-2017 Please cite this article as: Maciej Balajewicz, Jari Toivanen, Reduced Order Models for Pricing European and American Options under Stochastic Volatility and Jump-Diffusion Models, <![CDATA[Journal of Computational Science]]> (2017), http://dx.doi.org/10.1016/j.jocs.2017.01.004 This is a PDF file of an unedited manuscript that has been accepted for publication. As a service to our customers we are providing this early version of the manuscript. The manuscript will undergo copyediting, typesetting, and review of the resulting proof before it is published in its final form. Please note that during the production process errors may be discovered which could affect the content, and all legal disclaimers that apply to the journal pertain. Reduced Order Models for Pricing European and American Options under Stochastic Volatility and Jump-Diffusion Models Maciej Balajewicz\textsuperscript{a,}, Jari Toivanen\textsuperscript{b,c} \textsuperscript{a}University of Illinois at Urbana-Champaign, Champaign, Illinois, U.S.A. \textsuperscript{b}Stanford University, Stanford, California, U.S.A. \textsuperscript{c}University of Jyväskylä, Jyväskylä, Finland Abstract European options can be priced by solving parabolic partial(-integro) differential equations under stochastic volatility and jump-diffusion models like the Heston, Merton, and Bates models. American option prices can be obtained by solving linear complementary problems (LCPs) with the same operators. A finite difference discretization leads to a so-called full order model (FOM). Reduced order models (ROMs) are derived employing proper orthogonal decomposition (POD). The early exercise constraint of American options is enforced by a penalty on subset of grid points. The presented numerical experiments demonstrate that pricing with ROMs can be orders of magnitude faster within a given model parameter variation range. Keywords: reduced order model, option pricing, European option, American option, linear complementary problem 1. Introduction European options can be exercised only at expiry while American options can be exercised anytime until expiry. Due to this additional flexibility the American options can be more valuable. In order to avoid arbitrage the price must be always at least the same as the available payoff. A put option gives the right to sell the underlying asset for a specified strike price while a call option gives the right to buy the asset for a strike price. The seminal paper [1] by Black and Scholes employs a geometrical Brownian motion with a constant volatility as a model for the price of the underlying asset. The market prices of options show that the implied volatility varies depending on the strike price and expiry of option. Several more generic models for the asset prices have been developed. Corresponding author Email addresses: firstname.lastname@example.org (Maciej Balajewicz), email@example.com, firstname.lastname@example.org (Jari Toivanen) which are more consistent with market prices. Merton proposed adding log-normally distributed jumps to this model [2]. Heston [3] made the instantaneous variance to be a mean reverting stochastic process. Bates [4] combined the Heston stochastic volatility model and Merton jump-diffusion model. There are many methods for pricing options. The Monte Carlo method simulates asset price paths to compute the option price. This is an intuitive and flexible method. For many high dimensional models, it is the only available method. For low dimensional models, it can be slow when high precision is required and it is more complicated and less efficient for American options. Instead in this paper, the pricing is based on partial(integro) differential equation (P(I)DE) formulations. Another approach is based on numerical integration techniques. One benefit of these formulations is that for many options they can provide a highly accurate price much faster than the Monte Carlo method. Here the European options are priced by solving a P(I)DE and the American options by solving an LCP with the same operator. These operators are two-dimensional with a stochastic volatility and one-dimensional otherwise. The potential integral part of the model results from the jumps. The most common way to discretize the differential operators is the finite difference method. For European and American options the discretization leads to a system of linear equations and an LCP, respectively, at each time step. Under stochastic volatility models efficient PDE based methods for American options have been considered in [5, 6, 7, 8], for example. A penalty approximation is employed for the resulting LCPs in [8] and an operator splitting method in [6, 7]. An alternating direction implicit (ADI) method is used in [6] while iterative methods are used for resulting linear systems in [5, 7, 8]. Under jump-diffusion models PIDE methods lead to a system with a full matrix at each time step and their efficient solution for American options has been considered in [9, 10, 11, 12, 13], for example. A penalty method together with an FFT-based fast method for evaluating the jump integral was used in [9]. An iterative method was proposed for LCPs with full matrices in [11]. An implicit-explicit (IMEX) method was proposed in [10] to treat the integral term explicitly and the same approach was studied in [13]. Generalizations of the above methods for the combined Bates model have been developed and studied in [14, 15, 16, 17, 18]. Unfortunately, such high-fidelity simulations are still too expensive for many practical applications. Reduced order modeling (ROM) is a promising tool for significantly alleviating computational costs [19, 20]. Most existing ROM approaches are based on projection. In projection-based reduced order modeling the state variables are approximated in a low-dimensional subspace. Bases for this subspace are typically constructed by Proper Orthogonal Decomposition (POD) [21] of a set of high-fidelity solution snapshots. While many approaches have already been developed for the efficient reduction of linear computational models three main strategies have been explored so far for efficiently reducing nonlinear computational models. The first one is based on linearization techniques [22, 23]. The second one is based on the notion of precomputations [24, 25, 26, 27, 28], but is limited to polynomial nonlinearities. The third strategy relies on the concept of hyper-reduction — that is, the approximation of the reduced operators underlying a nonlinear reduced-order model (ROM) by a scalable numerical technique based on a reduced computational domain [29, 30, 31, 32, 33, 34, 35, 36]. In the case where the governing equations include a constraint equation it is often beneficial to construct a basis that satisfies these constraints a priori [37]. For example, in the case of non-negativity constraints, a non-negative basis can be constructed via non-negative matrix factorization (NNMF) [38]. This approach was employed for option pricing in [39]. For pricing European options ROMs have been developed in [40, 41]. Only recently ROMs have been applied for pricing American options in [37, 42]. A common problem associated with option pricing is the calibration of model parameters to correspond to the market prices of options. This is typically formulated as a least squares -type optimization problem. The calibration is computationally expensive as it requires pricing a large number of options with varying parameters. The use of ROMs to reduce this computational cost has been studied in [43, 44, 45]. The main contribution of the present work is the development of a cheap and accurate hyper-reduction approach for the early exercise constraint of American options. Our proposed approach is based on the fact that accurate price predictions do not necessarily require accurate approximations of the Lagrange multipliers. This has been observed in practice for the reduction of structural contact problems [38]. Our numerical experiments summarized in this paper suggest that using the binary matrix as the basis for the Lagrange multipliers performs remarkably well for all reproductive and predictive simulations considered. This approach is simpler, faster, and comparable in accuracy to previous approaches based on the NNMF [39]. This paper is organized as follows. In Section 2, the full order models considered in this work are overviewed. In Section 3 the proposed new ROM approach is laid out. In Section 4 the proposed approach is applied to several problems. Finally in Section 5, conclusions are offered and prospects for future work are summarized. 2. Full Order Models Merton [2] proposed the price $s \geq 0$ of an underlying asset to follow the stochastic differential equation $$ds = (g - \mu\xi)sdt + \sigma_s sdw_s + sdJ,$$ where $t$ is the time, $g$ is the growth rate of the asset price, $\sigma_s$ is its volatility, $w_s$ is the Wiener process, and $J$ is the compound Poisson process with the jump intensity $\mu$ and the log-normal jump distribution $$p(y) = \frac{1}{y\delta\sqrt{2\pi}} \exp\left(-\frac{(\log y - \gamma)^2}{2\delta^2}\right).$$ The relative expected jump is $ \xi = \exp \left( \gamma + \frac{1}{2} \delta^2 \right) - 1 $. The Black–Scholes model is obtained by setting the jump intensity $ \mu $ to zero. Under the Merton model the price $ u(s, \tau) $ of a European option can be obtained by solving the one-dimensional PIDE \[ \frac{\partial u}{\partial \tau} = \frac{1}{2} \sigma_s^2 s^2 \frac{\partial^2 u}{\partial s^2} + (r - \mu \xi)s \frac{\partial u}{\partial s} - (r + \mu)u + \mu \int_0^\infty u(sy, \tau)p(y)dy =: L^M u, \] where $ \tau = T - t $ is the time until expiry, $ T $ is the expiry time, $ r $ is the interest rate. Bates [4] proposed the price $ s $ and its instantaneous variance $ v \geq 0 $ to follow the stochastic differential equations \[ ds = (g - \mu \xi)sd\tau + \sqrt{v}s dw_s + sdJ \\ dv = \kappa(\theta - v)d\tau + \sigma_v \sqrt{v}dw_v, \] where $ \theta $ is the mean level of $ v $, $ \kappa $ is the rate of the mean-reversion, $ \sigma_v $ is the volatility of $ \sqrt{v} $, and $ w_v $ is the Wiener process. The Wiener process $ w_s $ and $ w_v $ have the correlation $ \rho $. Under the Bates model the price $ u(s, v, \tau) $ of a European option can be obtained by solving the two-dimensional PIDE \[ \frac{\partial u}{\partial \tau} = \frac{1}{2} vs^2 \frac{\partial^2 u}{\partial s^2} + \rho \sigma_v vs \frac{\partial^2 u}{\partial s \partial v} + \frac{1}{2} \sigma_v^2 v \frac{\partial^2 u}{\partial v^2} + (r - \mu \xi)s \frac{\partial u}{\partial s} + \kappa(\theta - v) \frac{\partial u}{\partial v} \\ - (r + \mu)u + \mu \int_0^\infty u(sy, v, \tau)p(y)dy =: L^B u, \] The Heston model is obtained by setting the jump intensity $ \mu $ to zero. In the following, put options are considered. Their price at the expiry is given by the pay-off function $ g(s) = \max\{K - s, 0\} $. As the equations are solved backward in time, this leads to the initial condition \[ u(s, 0) = g(s) \quad \text{and} \quad u(s, v, 0) = g(s) \] for one-dimensional and two-dimensional models, respectively. For computing an approximate solution the infinite domain is truncated at $ s = s_{\text{max}} $ and $ v = v_{\text{max}} $, where $ s_{\text{max}} $ and $ v_{\text{max}} $ are sufficiently large so that the error due to the truncation is negligible. The price $ u $ of a European put option satisfies the Dirichlet boundary conditions \[ u = Ke^{-r\tau} \text{ at } s = 0 \quad \text{and} \quad u = 0 \text{ at } s = s_{\text{max}}. \] For a non-negative interest rate $ r \geq 0 $, the price $ u $ of an American put option satisfies the Dirichlet boundary conditions \[ u = K \text{ at } s = 0 \quad \text{and} \quad u = 0 \text{ at } s = s_{\text{max}}. \] Under the stochastic volatility models, the Neumann boundary condition $ \frac{\partial u}{\partial v} = 0 $ is posed at $ v = v_{\text{max}} $. The coefficients of the second derivatives in (5) vanish on the boundary $ v = 0 $. It is shown in [46] that this degenerated form defines an appropriate boundary condition at $ v = 0 $. Due to early exercise possibility the price $ u $ of an American option satisfies the LCP \[ \frac{\partial u}{\partial r} - Lu = \lambda, \quad u \geq g, \quad \lambda \geq 0, \quad \lambda(u - g) = 0, \] where the operator $ L $ is either $ L^M $ or $ L^B $ depending on the model and $ \lambda $ is a Lagrange multiplier; see [47], for example. For an easier numerical solution, the P(I)DE for European options and the LCP for American options are reformulated for $ w $ which satisfies the homogeneous Dirichlet boundary condition $ w = 0 $ at $ s = 0 $. Furthermore, $ w $ for American options is chosen so that it satisfies the positivity constraint $ w \geq 0 $ instead of the more complicated constraint $ u \geq g $. For European options $ w $ is chosen to be $ w = u - e^{-rT}g $ while for American options it is chosen to be $ w = u - g $. For European options the choice $ w = u - e^{-rT}g $ leads to the P(I)DE \[ \frac{\partial w}{\partial r} - Lw = e^{-rT}(L + r)g. \] For American options the choice $ w = u - g $ leads to the LCP \[ \frac{\partial w}{\partial r} - Lw = \lambda + Lg, \quad w \geq 0, \quad \lambda \geq 0, \quad \lambda w = 0. \] For American options a quadratic penalty formulation is obtained by choosing the Lagrange multiplier to be \[ \lambda = -\frac{1}{2} \max \{-w, 0\} w. \] This leads to the nonlinear P(I)DE \[ \frac{\partial w}{\partial r} - Lw + \frac{1}{2} \max \{-w, 0\} w = Lg. \] For the finite difference discretization, a grid is defined by $ s_i, i = 0, 1, 2, \ldots, N_s $, for the interval $[0, s_{\text{max}}]$. The spatial partial derivatives with respect to $ s $ are discretized using central finite difference \[ \frac{\partial w}{\partial s}(s_i) \approx \frac{1}{\Delta s_{i-1} + \Delta s_i} \left[ -\frac{\Delta s_i}{\Delta s_{i-1}} w_{i-1} + \left( \frac{\Delta s_i}{\Delta s_{i-1}} - \frac{\Delta s_{i-1}}{\Delta s_i} \right) w_i + \frac{\Delta s_{i-1}}{\Delta s_i} w_{i+1} \right] \] and \[ \frac{\partial^2 w}{\partial s^2}(s_i) \approx \frac{2}{\Delta s_{i-1} + \Delta s_i} \left[ \frac{1}{\Delta s_{i-1}} w_{i-1} - \left( \frac{1}{\Delta s_{i-1}} + \frac{1}{\Delta s_i} \right) w_i + \frac{1}{\Delta s_i} w_{i+1} \right], \] where $ \Delta s_i = s_{i+1} - s_i $. Similarly for the interval $[0, v_{\text{max}}]$, a grid is defined $ v_j, j = 0, 1, 2, \ldots, N_v $. The spatial partial derivatives with respect to $ v $ are discretized using the above central finite differences. A nine-point finite difference stencil for $ \frac{\partial^2 w}{\partial s \partial v} $ is obtained by employing the central finite differences in both directions. While this approximation can be unstable with high correlations $ \rho $ it is stable for numerical experiments presented in Section 4. On the boundary $ v = 0 $, a one-sided finite difference approximation is used for $\frac{\partial w}{\partial v}$. The integrals can be discretized using a second-order accurate quadrature formula. Here the linear interpolation is used for $w$ between grid points and exact integration; see [11], for details. Under the Merton model the discretization of the integral leads to a full matrix while under the Bates model it leads to full diagonal blocks. Under models without jumps the time discretization is performed by taking the first time steps using the implicit Euler method and after using the second-order accurate BDF2 method. Under jump models the integral is treated explicitly. In the first time step using the explicit Euler method and in the following time steps using the linear extrapolation based on the two previous time steps. This IMEX-BDF2 method is described in [13]. With the explicit treatment of the integral it is not necessary to solve systems with dense matrices. At the time $(k+1)\Delta \tau$, the grid point values contained in the vector $w^{k+1}$ are obtained by solving the system $$\left( I + \frac{2}{3} \Delta \tau D \right) w^{k+1} = \left( \frac{4}{3} w^k - \frac{1}{3} w^{k-1} \right) + \Delta \tau J \left( \frac{4}{3} w^k - \frac{2}{3} w^{k-1} \right) + \frac{2}{3} \Delta \tau f$$ \hspace{1cm} (16) for European options and $$\left( I + \frac{2}{3} \Delta \tau D + \frac{1}{\varepsilon} \text{diag} \left( \max \left\{ -w^{k+1}, 0 \right\} \right) \right) w^{k+1}$$ $$= \left( \frac{4}{3} w^k - \frac{1}{3} w^{k-1} \right) + \Delta \tau J \left( \frac{4}{3} w^k - \frac{2}{3} w^{k-1} \right) + \frac{2}{3} \Delta \tau f$$ \hspace{1cm} (17) for American options, where the matrices $J$ and $D$ corresponds to the terms due to the jumps and the rest, respectively. The vector $f$ contains the grid point values of $e^{-r\tau}(L+r)g$ and $Lg$. The operator $\text{diag}(\cdot)$ gives a diagonal matrix with the diagonal entries defined by the argument vector. The maximum is taken componentwise. The systems (16) and (17) can be expressed more compactly as $$A w^{k+1} = r^{k+1}$$ \hspace{1cm} (18) and $$\left( A + \frac{1}{\varepsilon} \text{diag} \left( \max \left\{ -w^{k+1}, 0 \right\} \right) \right) w^{k+1} = r^{k+1}$$ \hspace{1cm} (19) with suitably defined $A$ and $r^{k+1}$. The discrete counterpart of the Lagrange multiplier $\lambda$ in (12) reads $$\lambda^{k+1} = -\frac{1}{\varepsilon} \text{diag} \left( \max \left\{ -w^{k+1}, 0 \right\} \right) w^{k+1}.$$ \hspace{1cm} (20) ### 3. Reduced Order Models Let $U \in \mathbb{R}^{N \times n}$ be the basis for $w$ with $n \ll N$. These basis are constructed by applying POD to a collection of solution snapshots. A solution snapshot, or simply a snapshot, is defined as a state vector $w^h$ computed as the solution of (17) for some instance of its parameters. A solution matrix is defined as a matrix whose columns are individual snapshots. To construct $U$, the following optimization problem is solved $$\minimize_{U \in \mathbb{R}^{N \times n}, V \in \mathbb{R}^{n \times K}} \\| X - UV \\|_F^2,$$ \hspace{1cm} (21) where $K$ is the number of solution snapshots. Hence, the basis $\mathbf{U}$ is comprised of the first $n$ left singular vectors of the snapshot matrix $\mathbf{X}$ and $\mathbf{V} = \Sigma \mathbf{W}^T$, where $\Sigma$ is the diagonal matrix of the first $n$ singular values of $\Sigma$, and $\mathbf{W}$ is the matrix of its first $n$ right singular vectors. For European options the reduced solution $\mathbf{w} = \mathbf{U}\mathbf{w}_r$ is governed by $$\mathbf{U}^T \mathbf{A} \mathbf{U} \mathbf{w}_r^{k+1} = \mathbf{U}^T \mathbf{r}^{k+1}. \quad (22)$$ This ROM has the form $$\mathbf{A}_r \mathbf{w}_r^{k+1} = \mathbf{r}_r^{k+1}, \quad (23)$$ where $\mathbf{A}_r = \mathbf{U}^T \mathbf{A} \mathbf{U}$ is precomputed offline while the right-hand side $\mathbf{r}_r^{k+1} = \mathbf{U}^T \mathbf{r}$ can be computed efficiently online with the number of operations depending on $n$. Thus, the online computational cost of forming and solving the problems (23) scales with the size $n$ of the reduced basis and it does not depend on the size $N$ of FOM. For American options the reduced solution $\mathbf{w} = \mathbf{U}\mathbf{w}_r$ is governed by $$\left( \mathbf{U}^T \mathbf{A} \mathbf{U} + \frac{1}{\varepsilon} \mathbf{U}^T \text{diag} \left( \max \left\{ -\mathbf{U} \mathbf{w}_r^{k+1}, 0 \right\} \right) \mathbf{U} \right) \mathbf{w}_r^{k+1} = \mathbf{U}^T \mathbf{r}^{k+1}. \quad (24)$$ The product $\mathbf{U}^T \text{diag} \left( \max \left\{ -\mathbf{U} \mathbf{w}_r^{k+1}, 0 \right\} \right) \mathbf{U}$ is the only product in (24) that cannot be precomputed offline. Since the cost of evaluating this product scales with the size of the full order model, Eq. (24) does not offer major computational savings. To attain computational savings, the traditional approach involves including a second layer of approximation, sometimes called “hyper-reduction”. One of the most popular hyper-reduction approaches is the Discrete Empirical Interpolation Method (DEIM) [31]. We recapitulate the traditional DEIM algorithm as a starting point for our innovation. Let $\mathbf{U}_\lambda \in \mathbb{R}^{N \times n_\lambda}$ be basis for $\max \left\{ -\mathbf{U} \mathbf{w}_r^{k+1}, 0 \right\}$, thus $$\mathbf{U}_\lambda \mathbf{h}_r \approx \max \left\{ -\mathbf{U} \mathbf{w}_r^{k+1}, 0 \right\}, \quad (25)$$ where $\mathbf{h}_r$ is the corresponding coefficient vector. The vector $\mathbf{h}_r$ can be determined by selecting $m$ unique rows from the overdetermined system $\mathbf{U}_\lambda \mathbf{h}_r \approx \max \left\{ -\mathbf{U} \mathbf{w}_r^{k+1}, 0 \right\}$. Specifically, consider a binary matrix $\mathbf{P} \in \{0, 1\}^{N \times n_\lambda}$ satisfying $\mathbf{P}^T \mathbf{P} = \mathbf{I}_{n_\lambda}$. Assuming $\mathbf{P}^T \mathbf{U}$ is nonsingular, the coefficient vector $\mathbf{h}_r$ can be determined uniquely from $$\mathbf{P}^T \max \left\{ -\mathbf{U} \mathbf{w}_r^{k+1}, 0 \right\} = (\mathbf{P}^T \mathbf{U}_\lambda) \mathbf{h}_r \quad (26)$$ and the final approximation is $$\max \left\{ -\mathbf{U} \mathbf{w}_r^{k+1}, 0 \right\} \approx \mathbf{U}_\lambda \mathbf{h}_r = \mathbf{U}_\lambda (\mathbf{P}^T \mathbf{U}_\lambda)^{-1} \mathbf{P}^T \max \left\{ -\mathbf{U} \mathbf{w}_r^{k+1}, 0 \right\} \quad (27)$$ $$= \tilde{\mathbf{U}}_\lambda \max \left\{ -\mathbf{C} \mathbf{w}_r^{k+1}, 0 \right\}, \quad (28)$$ where $\tilde{\mathbf{U}}_\lambda = \mathbf{U}_\lambda (\mathbf{P}^T \mathbf{U}_\lambda)^{-1}$, and $\mathbf{C} = \mathbf{P}^T \mathbf{U}$. Thus, the product $ U^T \text{diag} \left( \max \left\{ -Uw_r^{k+1}, 0 \right\} \right) U $ in Eq. (24) is approximated by $ U^T \text{diag} \left( \tilde{U}_\lambda \max \left\{ -Cw_r^{k+1}, 0 \right\} \right) U $ that, unlike its predecessor, can be computed efficiently online. In particular \[ U^T \text{diag} \left( \tilde{U}_\lambda \max \left\{ -Cw_r^{k+1}, 0 \right\} \right) U = \sum_{i=1}^{n_\lambda} K_i \max \left\{ -[Cw_r^{k+1}]_i, 0 \right\}, \] where $ K_i = U^T \text{diag} \left( \left[ \tilde{U}_\lambda \right]_{:,i} \right) U $ and $ \left[ \tilde{U}_\lambda \right]_{:,i} $ refers to the $ i $th-column of $ \tilde{U}_\lambda $. The matrices $ K_i $ can be computed offline, once and for all, while $ \max \left\{ -[Cw_r^{k+1}]_i, 0 \right\} $ can be computed efficiently online since $ C \in \mathbb{R}^{s_h \times n} $ does not scale with the size of the full order model. Although this straightforward implementation of DEIM succeeds in reducing the computational complexity of the ROM, this approach cannot be expected to yield accurate price predictions because DEIM does not enforce non-negativity. Even if the basis $ U_\lambda $ are constructed to be non-negative a priori, using, for example, NNMF, non-negativity is still not guaranteed because $ U_\lambda = U_\lambda (P^T U_\lambda)^{-1} $ is not guaranteed to be non-negative. One possible remedy is use instead a non-negative variation of the DEIM, called NNDEIM [48]. Yet another remedy involves an angle-greedy procedure for constructing the non-negative bases [37]. In this work, we introduce an alternative approach that does not require computation of non-negative basis for the Lagrange multipliers. Our proposed approach is based on the fact that accurate price predictions do not necessarily require accurate approximations of the Lagrange multipliers. In particular, requiring that $ \tilde{U}_\lambda h_r \approx \max \left\{ -Uw_r^{k+1}, 0 \right\} $ may not be necessary. This has been observed in practice for the reduction of structural contact problems [38]. Our numerical experiments summarized in this paper suggest that using the binary matrix $ P $ as the basis for the Lagrange multipliers performs remarkably well for all reproductive and predictive simulations considered. With this approximation, the reduced order model simplifies considerably. In particular, with $ U_\lambda = P $, $ \tilde{U}_\lambda = P $ and thus, the product $ U^T \text{diag} \left( \max \left\{ -Uw_r^{k+1}, 0 \right\} \right) U $ in Eq. (24) is approximated by the relatively simple product $ C^T \text{diag} \left( \max \left\{ -Cw_r^{k+1}, 0 \right\} \right) C $. Thus, the final form of the ROM is as follows \[ (\Lambda_r + \frac{1}{2} C^T \text{diag} \left( \max \left\{ -Cw_r^{k+1}, 0 \right\} \right) C) w_r^{k+1} = r_r^{k+1}, \] where $ \Lambda_r = U^T \Lambda U $, and $ r_r = U^T r $. All components in Equation (30) scale with the size of the reduced order model. Finally, to construct the selection matrix $ P $, the standard DEIM algorithm for selecting the interpolation indices is utilized [31]. However, in our proposed approach, the DEIM algorithm is applied to $ m \odot U_{j,i} $, for $ i = 1, 2, \ldots, n $, where $ m \in \{0, 1\}^{N \times 1} $ is a binary mask vector. The non-zero elements of the mask vector $ m $, correspond to elements in the snapshots where early exercise has occurred at least once, that is, elements $ j $ such that $ U_{j,i} \leq 0 $ for any $ i $. The binary mask vector ensures consistency with the nonlinear function that is being approximated, i.e. $ \max \left\{ -Uw_r^{k+1}, 0 \right\} $. 4. Numerical Experiments All numerical examples considered here price a European put option and an American put option with the strike price $K = 100$ and the expiry $T = 0.5$. Only at the money options are considered, that is, the value of $u$ at $s = K$ is sought. Under the stochastic volatility models the value of $u$ is computed at the instantaneous variance $v = \theta$. The full order models are discretized using quadratically refined spatial grids similar to ones employed by the FD-NU method in [49]. The $s$-grid is defined by $s_i = \left\lfloor \left( \frac{i}{\alpha N_s} - 1 \right) \left\| \frac{1}{\alpha N_s} - 1 \right\| + 1 \right\rfloor K$, $i = 0, 1, \ldots, N_s$ with $\alpha = \frac{3}{2}$. For the stochastic volatility models the variance grid is defined by $v_j = \left( \frac{j}{N_v} \right)^2 v_{\text{max}}$ with $v_{\text{max}} = 1$. The uniform time steps are given by $\Delta r = \frac{1}{N_r} T$. In the experiments the number of spatial and temporal steps are chosen to be $N_s = 128$, $N_v = 64$, and $N_r = 32$. With this choice and the employed parameter ranges the absolute discretization error is about $10^{-2}$ or less. In the case of the American option, an iteration reduces the penalty parameter $\varepsilon$ with the five values $10^{-1}$, $10^{-2}$, $10^{-3}$, $10^{-4}$, and $10^{-5}$. This is the main reason for higher run times with the American option. The snapshot matrix $\mathbf{X}$ is given by all vectors $\mathbf{w}^k$, $k = 1, 2, \ldots, N_r$, in all training runs. For these training runs each model parameter is sampled at its extreme values and at the midpoint between them. Thus, with two, five, and eight model parameters there are $3^2 = 9$, $3^5 = 243$, and $3^8 = 6561$ training runs, respectively. In the predictive ROM simulations, each parameter has two values which are the midpoint values between the values used in the training. Thus, with two, five, and eight model parameters there are $2^2 = 4$, $3^5 = 32$, and $2^8 = 256$ prediction runs, respectively. The sizes of the two reduced basis given by $n$ and $n_\lambda$ are chosen to be the same. The measured error is the absolute difference between the prices given by the reduced order model and the full order model. All errors shown in Figures 1–4 are computed for the predictive simulations. That is, for simulations with parameters not included in the training simulations used to generate the ROMs. 4.1. Black–Scholes Model The model parameters for the Black–Scholes model are varied in the range: $$ (r, \sigma_s) \in [0.025, 0.035] \times [0.35, 0.45]. $$ The price of the European and American options vary roughly in the ranges $[8.91, 11.94]$ and $[9.06, 12.04]$, respectively. Figure 1 shows the reduction of the maximum and mean errors of the price of these options with the growth of the reduced basis sizes $n = n_\lambda$. 4.2. Merton Model The model parameters for the Merton model are varied in the range: \[ (r, \sigma_s, \mu, \delta, \gamma) \in [0.025, 0.035] \times [0.35, 0.45] \times [0.15, 0.25] \times [0.3, 0.5] \times [-0.7, -0.3]. \] (32) The price of the European and American options vary roughly in the ranges $[9.50, 13.97]$ and $[9.65, 14.08]$, respectively. Figure 2 shows the reduction of the maximum and mean errors of the price of these options with the growth of the reduced basis sizes $n = n_\lambda$. 4.3. Heston Model The model parameters for the Heston model are varied in the range: \[ (r, \kappa, \theta, \sigma_v, \rho) \in [0.025, 0.035] \times [3, 5] \times [0.35^2, 0.45^2] \times [0.35, 0.45] \times [-0.75, -0.25]. \] (33) The price of the European and American options vary roughly in the ranges $[8.72, 11.88]$ and $[8.87, 11.98]$, respectively. Figure 3 shows the reduction of the maximum and mean errors of the price of these options with the growth of the reduced basis sizes $n = n_\lambda$. 4.4. Bates Model The model parameters for the Bates model are varied in the range: \[ (r, \kappa, \theta, \sigma_v, \rho, \mu, \delta, \gamma) \in [0.025, 0.035] \times [3, 5] \times [0.35^2, 0.45^2] \times [0.35, 0.45] \times [-0.75, -0.25] \times [0.15, 0.25] \times [0.3, 0.5] \times [-0.7, -0.3]. \] (34) The price of the European and American options vary roughly in the ranges $[9.38, 13.95]$ and $[9.53, 14.07]$, respectively. Figure 4 shows the reduction of the maximum and mean errors the price of these options with the growth of the reduced basis sizes $n = n_\lambda$. We note that for this model essentially the same errors can be obtained based only on $2^8 = 256$ training runs sampling the extreme values of the model parameters. 4.5. Computational Speed-up For each problem considered, the speed-up factor delivered by its ROM for the online computations is reported in Table 1 for the European option and in Table 2 for the American option. All models are solved in MATLAB on a Intel Xeon 2.6GHz CPU and all CPU times were measured using the tic-toc function on a single computational thread via the -singleCompThread start-up option. A ROM is integrated in time using the same scheme and time-step used to solve its corresponding FOM; see Section 2 for details. The online speed-up is calculated by evaluating the ratio between the time-integration of the FOM and the time-integration of the ROM. Figure 3: Under the Heston model the error with respect to the reduced basis size $n = n_\lambda$ Table 1: For the European option CPU times in seconds for online computations. \| Model \| FOM unknowns \| FOM CPU time \| ROM unknowns \| ROM CPU time \| speed-up \| \|-----------\|--------------\|--------------\|--------------\|--------------\|----------\| \| Black–Scholes \| 127 \| 0.0011 \| 16 \| 0.00064 \| 1.7 \| \| Merton \| 127 \| 0.0022 \| 16 \| 0.00084 \| 2.6 \| \| Heston \| 8255 \| 0.16 \| 40 \| 0.0011 \| 145 \| \| Bates \| 8255 \| 0.36 \| 40 \| 0.0015 \| 240 \| 4.6. Summary In numerical experiments, from two to eight model parameters are varied in a given range. For the one-dimensional Black–Scholes and Merton models about 16 ROM basis vectors were enough to reach 0.1% accuracy for the considered American option. For the European option about 8 basis vectors lead to this accuracy. For the two-dimensional Heston and Bates models about 40 basis vectors were needed to reach the same accuracy for the American option. Slightly less basis vectors lead to the same accuracy for the European option. For these two-dimensional models the computational speed-up was over 200 when the full order model (FOM) and ROM have roughly the same 0.1% accuracy level for the American option. For the European option the solution of the FOM and the ROM under the Bates model required about 0.36 and 0.0015 seconds, respectively. For the American option the solution of the FOM and the ROM for two-dimensional models required about 8 and 0.034 seconds, respectively. Performance of the proposed ROM approach is quite similar to previous Figure 4: Under the Bates model the error with respect to the reduced basis size $n = n_\lambda$ Table 2: For the American option CPU times in seconds for online computations. \| Model \| FOM unknowns \| FOM CPU time \| ROM unknowns \| ROM CPU time \| speed-up \| \|-------------\|--------------\|--------------\|--------------\|--------------\|----------\| \| Black–Scholes \| 127 \| 0.026 \| 16 \| 0.025 \| 1.0 \| \| Merton \| 127 \| 0.027 \| 16 \| 0.026 \| 1.0 \| \| Heston \| 8255 \| 7.9 \| 40 \| 0.034 \| 232 \| \| Bates \| 8255 \| 8.0 \| 40 \| 0.034 \| 235 \| approaches based on the NNMF. For example, the maximum ROM price error using 40 basis vectors under the Heston model using the proposed approach and the previous approach based on NNMF is $2.9 \times 10^{-3}$, and $4.2 \times 10^{-3}$, respectively. While for the Bates model, the maximum ROM price error using 40 basis vectors using the proposed approach and the previous approach based on NNMF is $6.8 \times 10^{-3}$, and $4.0 \times 10^{-3}$ respectively. 5. Conclusions Reduced order models (ROMs) were constructed for pricing European and American options under jump-diffusion and stochastic volatility models. For American options they are based on a penalty formulation of the linear complementarity problem. The finite difference discretized differential operator is projected using basis resulting from a proper orthogonal decomposition. The grid points for the penalty term are chosen using the discrete empirical interpolation method. For the two-dimensional Heston and Bates models for pricing American options, a computational speed-up of over 200 was demonstrated. The performance of the proposed ROM approach is also quite similar to previous approaches based on the NNMF. A potential application for these ROMs is the calibration of the model parameters based on market data. With a least squares calibration formulation, option prices and their sensitivities can be computed quickly and accurately for varying parameters by employing ROMs. References [1] F. Black, M. Scholes, The pricing of options and corporate liabilities, J. Political Economy 81 (1973) 637–654. doi:10.1086/260062. [2] R. C. Merton, Option pricing when underlying stock returns are discontinuous, J. Financial Econ. 3 (1976) 125–144. doi:10.1016/0304-405X(76)90022-2. [3] S. Heston, A closed-form solution for options with stochastic volatility with applications to bond and currency options, Rev. Financial Stud. 6 (1993) 327–343. doi:10.1093/rfs/6.2.327. [4] D. S. Bates, Jumps and stochastic volatility: Exchange rate processes implicit Deutsche mark options, Review Financial Stud. 9 (1) (1996) 69–107. doi:10.1093/rfs/9.1.69. [5] N. Clarke, K. Parrott, Multigrid for American option pricing with stochastic volatility, Appl. Math. Finance 6 (1999) 177–195. doi:10.1080/13504869934528. [6] T. Haentjens, K. J. in ’t Hout, ADI schemes for pricing American options under the Heston model, Appl. Math. Finance 22 (3) (2015) 207–237. doi:10.1080/1350486X.2015.1009129. [7] S. Ikonen, J. Toivanen, Efficient numerical methods for pricing American options under stochastic volatility, Numer. Methods Partial Differential Equations 24 (1) (2008) 104–126. doi:10.1002/num.20239. [8] R. Zvan, P. A. Forsyth, K. R. Vetzal, Penalty methods for American options with stochastic volatility, J. Comput. Appl. Math. 91 (2) (1998) 199–218. doi:10.1016/S0377-0427(98)00037-5. [9] Y. d’Halluin, P. A. Forsyth, G. Labahn, A penalty method for American options with jump diffusion processes, Numer. Math. 97 (2) (2004) 321–352. doi:10.1007/s00211-003-0511-8. [10] Y. Kwon, Y. Lee, A second-order tridiagonal method for American options under jump-diffusion models, SIAM J. Sci. Comput. 33 (4) (2011) 1860–1872. doi:10.1137/100806552. [11] S. Salmi, J. Toivanen, An iterative method for pricing American options under jump-diffusion models, Appl. Numer. Math. 61 (7) (2011) 821–831. doi:10.1016/j.apnum.2011.02.002. [12] S. Salmi, J. Toivanen, A comparison and survey of finite difference methods for pricing American options under finite activity jump-diffusion models, Int. J. Comput. Math. 89 (9) (2012) 1112–1134. doi:10.1080/00207160.2012.669475. [13] S. Salmi, J. Toivanen, IMEX schemes for pricing options under jump-diffusion models, Appl. Numer. Math. 84 (2014) 33–45. doi:10.1016/j.apnum.2014.05.007. [14] J. Toivanen, A componentwise splitting method for pricing American options under the Bates model, in: Applied and numerical partial differential equations, Vol. 15 of Comput. Methods Appl. Sci., Springer, New York, 2010, pp. 213–227. doi:10.1007/978-90-481-3239-3_16. [15] L. V. Ballestra, C. Sgarra, The evaluation of American options in a stochastic volatility model with jumps: an efficient finite element approach, Comput. Math. Appl. 60 (6) (2010) 1571–1590. doi:10.1016/j.camwa.2010.06.040. [16] S. Salmi, J. Toivanen, L. von Sydow, Iterative methods for pricing American options under the Bates model, in: Proceedings of 2013 International Conference on Computational Science, Vol. 18 of Procedia Computer Science Series, Elsevier, 2013, pp. 1136–1144. doi:10.1016/j.procs.2013.05.279. [17] S. Salmi, J. Toivanen, L. von Sydow, An IMEX-scheme for pricing options under stochastic volatility models with jumps, SIAM J. Sci. Comput. 36 (5) (2014) B817–B834. doi:10.1137/130924905. [18] L. von Sydow, J. Toivanen, C. Zhang, Adaptive finite differences and IMEX time-stepping to price options under Bates model, Int. J. Comput. Math. 92 (12) (2015) 2515–2529. doi:10.1080/00207160.2015.1072173. [19] A. Antoulas, Approximation of large-scale dynamical systems, Vol. 6 of Advances in Design and Control, Society for Industrial and Applied Mathematics (SIAM), Philadelphia, PA, 2005. doi:10.1137/1.9780898718713. [20] P. Benner, S. Gugercin, K. Willcox, A survey of projection-based model reduction methods for parametric dynamical systems, SIAM Rev. 57 (4) (2015) 483–531. doi:10.1137/130932715. [21] L. Sirovich, Turbulence and the dynamics of coherent structures. I. Coherent structures, Quart. Appl. Math. 45 (3) (1987) 561–571. [22] M. Rewiński, J. White, Model order reduction for nonlinear dynamical systems based on trajectory piecewise-linear approximations, Linear Algebra Appl. 415 (2) (2006) 426–454. doi:10.1016/j.laa.2003.11.034. [23] C. Gu, J. Roychowdhury, Model reduction via projection onto nonlinear manifolds, with applications to analog circuits and biochemical systems, in: 2008 IEEE/ACM International Conference on Computer-Aided Design, IEEE, 2008, pp. 85–92. doi:10.1109/ICCAD.2008.4681556. [24] J. Barbić, D. L. James, Real-time subspace integration for St. Venant-Kirchhoff deformable models, in: ACM Transactions on Graphics (TOG), Vol. 24, ACM, 2005, pp. 982–990. doi:10.1145/1186822.1073300. [25] M. Balajewicz, E. Dowell, B. Noack, Low-dimensional modelling of high-Reynolds-number shear flows incorporating constraints from the Navier-Stokes equation, J. Fluid Mech. 729 (2013) 285–308. doi:10.1017/jfm.2013.278. [26] M. Balajewicz, I. Tezaur, E. Dowell, Minimal subspace rotation on the Stiefel manifold for stabilization and enhancement of projection-based reduced-order models for the compressible Navier-Stokes equations, J. Comput. Phys. 321 (2016) 224–241. doi:10.1016/j.jcp.2016.05.037. [27] M. Balajewicz, E. Dowell, Stabilization of projection-based reduced-order models of the Navier-Stokes equations, Nonlinear Dynam. 70 (2) (2012) 1619–1632. doi:10.1007/s11071-012-0561-5. [28] L. Cordier, B. Noack, G. Tissot, G. Lehnaasch, J. Delville, M. Balajewicz, G. Daviller, R. Niven, Identification strategies for model-based control, Exp. Fluids 54 (8) (2013) 1–21. doi:10.1007/s00348-013-1580-9. [29] D. Ryckelynck, A priori hyperreduction method: an adaptive approach, J. Comput. Phys. 202 (1) (2005) 346–366. doi:10.1016/j.jcp.2004.07.015. [30] S. S. An, T. Kim, D. L. James, Optimizing cubature for efficient integration of subspace deformations, in: ACM Transactions on Graphics (TOG), Vol. 27, ACM, 2008, p. 165. doi:10.1145/1409060.1409118. [31] S. Chaturantabut, D. C. Sorensen, Nonlinear model reduction via discrete empirical interpolation, SIAM J. Sci. Comput. 32 (5) (2010) 2737–2764. doi:10.1137/090766498. [32] K. Carlberg, C. Bou-Mosleh, C. Farhat, Efficient non-linear model reduction via a least-squares Petrov-Galerkin projection and compressive tensor approximations, Int. J. Numer. Meth. Eng. 86 (2) (2011) 155–181. doi:10.1002/nme.3050. [33] D. Amsallem, C. Farhat, Stabilization of projection-based reduced-order models, Int. J. Numer. Meth. Eng. 91 (4) (2012) 358–377. doi:10.1002/nme.4274. [34] C. Farhat, P. Avery, T. Chapman, J. Cortial, Dimensional reduction of nonlinear finite element dynamic models with finite rotations and energy-based mesh sampling and weighting for computational efficiency, Int. J. Numer. Meth. Eng. 98 (9) (2014) 625–662. doi:10.1002/nme.4668. [35] D. Amsallem, M. J. Zahr, Y. Choi, C. Farhat, Design optimization using hyper-reduced order models, Struct. Multidiscip. O. 51 (4) (2014) 919–940. doi:10.1007/s00158-014-1183-y. [36] C. Farhat, T. Chapman, P. Avery, Structure-preserving, stability, and accuracy properties of the energy-conserving sampling and weighting method for the hyper reduction of nonlinear finite element dynamic models, Int. J. Numer. Meth. Eng. 102 (5) (2015) 1077–1110. doi:10.1002/nme.4820. [37] O. Burkovska, B. Haasdonk, J. Salomon, B. Wohlmuth, Reduced basis methods for pricing options with the Black-Scholes and Heston models, SIAM J. Financial Math. 6 (1) (2015) 685–712. doi:10.1137/140981216. [38] M. Balajewicz, D. Amsallem, C. Farhat, Projection-based model reduction for contact problems, Int. J. Numer. Meth. Eng. 106 (8) (2016) 644–663. doi:10.1002/nme.5135. [39] M. Balajewicz, J. Toivanen, Reduced order models for pricing American options under stochastic volatility and jump-diffusion models, in: Proceedings of 2016 International Conference on Computational Science, Vol. 80 of Procedia Computer Science Series, Elsevier, 2016, pp. 734–743. doi:10.1016/j.procs.2016.05.360. [40] R. Cont, N. Lantos, O. Pironneau, A reduced basis for option pricing, SIAM J. Financial Math. 2 (1) (2011) 287–316. doi:10.1137/10079851X. [41] E. W. Sachs, M. Schu, A priori error estimates for reduced order models in finance, ESAIM Math. Model. Numer. Anal. 47 (2) (2013) 449–469. doi:10.1051/m2an/2012039. [42] B. Haasdonk, J. Salomon, B. Wohlmuth, A reduced basis method for the simulation of American options, in: Numerical mathematics and advanced applications 2011, Springer, Heidelberg, 2013, pp. 821–829. [43] O. Pironneau, Calibration of options on a reduced basis, J. Comput. Appl. Math. 232 (1) (2009) 139–147. doi:10.1016/j.cam.2008.10.070. [44] E. W. Sachs, M. Schu, Reduced order models in PIDE constrained optimization, Control Cybernet. 39 (3) (2010) 661–675. [45] E. W. Sachs, M. Schneider, M. Schu, Adaptive trust-region POD methods in PIDE-constrained optimization, in: Trends in PDE constrained optimization, Vol. 165 of Internat. Ser. Numer. Math., Birkhäuser/Springer, Cham, 2014, pp. 327–342. doi:10.1007/978-3-319-05083-6_20. [46] E. Ekström, J. Tysk, The Black-Scholes equation in stochastic volatility models, J. Math. Anal. Appl. 368 (2) (2010) 498–507. doi:10.1016/j.jmaa.2010.04.014. [47] K. Ito, J. Toivanen, Lagrange multiplier approach with optimized finite difference stencils for pricing American options under stochastic volatility, SIAM J. Sci. Comput. 31 (4) (2009) 2646–2664. doi:10.1137/07070574X. [48] D. Amsallem, J. Nordström, Energy stable model reduction of neurons by nonnegative discrete empirical interpolation, SIAM J. Sci. Comput. 38 (2) (2016) B297–B326. doi:10.1137/15M1013870. [49] L. von Sydow, L. Höök, E. Larsson, E. Lindström, S. Milovanović, J. Persson, V. Shcherbakov, Y. Shpolyanskiy, S. Sirén, J. Toivanen, J. Walden, M. Wiktorsson, J. Levesley, J. Li, C. Oosterlee, M. Ruijter, A. Toropov, Y. Zhao, BENCHOP – The BENCHmarking project in option pricing, Int. J. Comput. Math. 92 (12) (2015) 2361–2379. doi:10.1080/00207160.2015.1072172. Dear esteemed reviewers, Please find enclosed a manuscript entitled: “Reduced Order Models for Pricing European and American Options under Stochastic Volatility and Jump-Diffusion Models” which I am submitting for exclusive consideration of publication as an article in the Journal of Computational Science. High-fidelity options simulations are still too expensive for many practical applications and reduced order modeling (ROM) is a promising tool for significantly alleviating computational costs. Most existing ROM approaches are based on projection. In projection-based reduced order modeling the state variables are approximated in a low-dimensional subspace. Basis for this subspace are typically constructed by proper orthogonal decomposition (POD). Straightforward projection however cannot be expected to reduce American options accurately because these equations include inequality constraints. Inequality constraints can be reduced by constructing basis that satisfy these constraints a priori. This can be accomplished using non-negative matrix factorization (NNMF), a non-negative variation of the discrete empirical interpolation method (NNDEIM), or via an angle-greedy procedure. In this manuscript, we introduce an alternative approach for reducing inequality constraints that does not require computation of non-negative basis for the Lagrange multipliers. We have successfully applied this approach to the reduction of several one and two-dimensional models. For the two-dimensional models the computational speed-up was over 200. With Best Regards, Dr. Maciej Balajewicz Assistant Professor Department of Aerospace Engineering University of Illinois at Urbana-Champaign
Vegetable Side Dishes Rice and Accompaniments GARLIC CHICKEN RICE £5.00 Marinated, diced chicken cooked with COCONUT RICE Basmati rice with coconut flour, sweet. basmati rice. KEEMA RICE Mince Lamb cooked with Basmati rice. SPECIAL RICE Basmati rice with egg ribbons, peas, shallots and herbs. MUSHROOM RICE £5.00 £4.00 £4.00 Basmati rice with mushrooms and herbs. BOILED RICE(steamed) PULAO RICE Delicately spiced with delicious aromas PAPADOM SPICED PAPADOM CHUTNEY SELECTION £4.00 £3.00 £3.00 £0.50 £0.50 (per tub) £0.50 Breads TRADITIONAL DISHES CHICKEN £9.00 LAMB £10.00 KING PRAWN £15.00 MADRAS / VINDALOO / DANSAK / KORMA / DOPIAZA / ROGAN / PATHIA / BHUNA TERMS AND CONDITIONS 10% discount from your total bill when collecting orders above £10.00. Cannot see your favourite dish? Please let us know and we will endeavour to prepare your order. We do not use food colourings. Some products may contain nuts or nut traces. Please advise us if you have any food allergies when placing your order. £2.00 cost added per delivery within a 3 mile radius. £1 per mile thereafter. Minimum orders apply to qualify delivery. £25.00 within 3 miles. £35.00 above 4 miles. 16 Packhorse Road, Shop 5 Marsham Way Entrance Gerrards Cross Buckinghamshire SL9 8AB T: 01753 889634\|T: 01753 267519 www.maliks.co.uk EXCLUSIVE TAKE AWAY SERVICE ONLY OPENING HOURS Monday Closed Tuesday - Saturday 5.00pm - 10.00pm Sunday & Bank Holidays 4.00pm - 9.30pm Delivery service available 16 Packhorse Road \| Shop 5 \| Marsham Way Entrance Gerrards Cross \| Buckinghamshire SL9 8AB T: 01753 889634 \| T: 01753 267519 www.maliks.co.uk Appetisers MALIK'S SPECIALS per person (minimum of two) A selection of starters consisting of £6.50 Pancake Kebab, Aloo Chaat, King Prawn Suka, Marrechi Ponir and Nazakat. KING PRAWN PUREE(spicy) JHINGHA GARLIC £7.00 £8.00 Skewered king prawns grilled in the Tandoor with garlic and herbs. TANDOORI KING PRAWNS £8.00 KING PRAWNS BUTTERFLY £7.00 NAZAKAT £6.00 Delicately spiced succulent chicken skewered and grilled in the Tandoor. SHEEK KABAB MARRECHI PONIR Fresh whole chilli stuffed with mild cheese, covered in breadcrumbs and deep fried. HAASH POURA Duck breast marinated and grilled over charcoal. MURGH LIVER Sauteed chicken liver lightly spiced and served on a bed of salad. KING PRAWN SUKA King prawns cooked in a sweet and sour tamarind sauce. PANCAKE KEBAB A pancake stuffed with delicious spicy lamb. CHAT SUPREME Top quality chat massala used on chicken, potato or chick peas to produce original flavour. ONION BHAJEE / PAKORA / SAMOSA CHICKEN TIKKA LAMB TIKKA Any dishes not listed can be cooked to order BANQUETS SUPER BANQUET £20.00 per person (minimum of four) APPETISER Maliks specials MAIN COURSES Chiken Tikka Massala Chicken Rezala Halim Seafood Bhuna ACCOMPANIED BY: Mushroom Sag Mattar Ponir Pulao Rice Chana Sag Rice Plain Naan Peshwari Naan £5.00 £5.00 £6.00 £6.00 £7.00 £5.00 £5.00 £4.50 £5.00 £6.00 Poultry MURGH TIKKA MASSALA £9.00 Breast of chicken marinated in mild spices, grilled, then cooked in massala sauce. MURGH KORAI £9.00 Spring chicken cooked with shallots, pepper, tomato and onions in a selection of medium spices and fresh herbs. HAASH SHUGANDA £11.00 Breast of duckling with onion, ginger and garlic, cooked in a creamy coconut milk with light ground spice, garam massala. ANNANS HAASH £11.00 Succulent roasted duck breast cooked in a creamy coconut milk, blended with aromatic spices and complimented with fresh pineapple. MURGHI MASSALAM Spring chicken cooked with medium spice, fresh herbs and minced lamb. GREEN CHICKEN CURRY A strip of chicken breast cooked with broccoli, baby aubergine, coconut milk and aromatic ground spices. Meat LAMB HALIM Lamb cooked in lentils, fried ginger and garlic. £10.00 LAMB BIRIYANI Lamb cooked with basmati rice, fresh herbs and spices, served with curried vegetables. £14.00 TETUL LAMB(medium) £10.00 With tamarind. LAMB REZALA(hot) £10.00 Lamb cooked in a tangy lemon sauce and fresh chillies. LAMB PASANDA(mild) £10.00 Lamb cooked in almond sauce and cream. MURGH BIRIANY £11.00 Chicken cooked with basmati rice, fresh herbs, spices, served with curried vegetables. KOLA MURGH £9.00 Chicken cooked with banana in almond and creamy sauce. MURGH JALFRAIZI (hot) £9.00 Chicken strips in hot spices with shallots, capsicum, fresh chilli, fresh herbs and coriander. KORAI KABAB KHYBERI £9.00 MMarinated chicken cooked with exotic highly flavoured spices yet a medium taste. HAASH JALFRAIZI Sauteed duckling marinated in subtle spices, grilled, then cooked with hot spices, shallots, capsicum, fresh chilli, fresh herbs and coriander. £11.00 BUTTER CHICKEN Chicken cooked in very mild and rich creamy sauce with honey, pure ghee. MURGH REZALA (hot) Chicken cooked in a tangy lemon sauce and fresh chillies. KORAI LAMB (medium) Tender lamb cooked with shallots, pepper, tomato and onions in a selection of medium spices and fresh herbs. SIKANDARI LAMB Lamb shank cooked with the Chef's own secret recipe, marinated for 48 hours and roasted in the oven. METHI SAG GOSTH Lamb with spinach, fenugreek and herbs. LAMB JALFRAIZI (hot) Tender lamb cooked in hot spices with shallots, capsicum, fresh chilli, fresh herbs and coriander. £10.00 ALLERGY ADVICE: OUR DISHES ARE PREPARED IN AREAS WHERE ALERGENIC INGREDIENTS ARE PRESENT. WE CANNOT GUARANTEE THAT DISHES ARE 100% FREE OF THESE INGREDIENTS. SOME DISHES MAY CONTAIN TRACES OF NUTS, WHEAT, GLUTEN OR OTHER ALLERGEN INGREDIENTS. PLEASE ASK OUR STAFF BEFORE PLACING YOUR ORDER £9.50 £9.50 £10.00 £13.00 £10.00 £9.50 £9.50 Sea Food £15.00 RED MULLET BIRAAN Fresh red mullet, marinated with light spices and delicate herbs, pan-fried with cayenne pepper and onion. MASSALA MONK FISH Grilled and cooked in massala sauce. £15.50 KING PRAWN JALFRAIZI (hot) £15.00 KING PRAWN MOGLAI £15.00 Grilled king prawns cooked in medium spices with cashew nuts. GOAN FISH CURRY £15.50 Tandoori monkfish cooked in coconut milk. CHINGRI JOHL King prawns cooked in a medium sauce, delicately flavoured with oriental herbs and spices. Tandoori TANDOORI MIXED GRILL £13.00 Consisting of Lamb Tikka, Chicken Tikka, Sheek Kekab and Tandoori Chicken. TANDOORI MURGH £9.00 Spring chicken marinated in herbs and grilled over charcoal (on the bone). NAZAKAT £11.00 Delicately spiced succulent chicken skewered and grilled in the Tandoor. HAASH SHASHLIK Duck breast cooked with tomato, onions and capsicum. £11.00 MURGH SHASHLIK £9.00 Selected pieces of chicken, capsicum, tomato and onion marinated in a fragrant spice, skewered and grilled in the Tandoor. KING PRAWN BIRIANY £16.00 King prawns cooked with basmati rice, served with curried vegetables. KING PRAWN TANDOORI MASSALA £15.00 King prawns marinated in mild spices, grilled, then cooked in a special massala sauce. KING PRAWN ACHARI (mild) £15.00 King prawns cooked in a homemade chutney with cashew nuts. MAS KORAI £15.50 Grilled Monkfish cooked with shallots, pepper, tomato and onions in a selection of medium spices and fresh herbs CHILLI MONKFISH Grilled Monkfish cooked in hot spices with shallots, capsicum, fresh chilli, fresh herbs and coriander £15.50 LAMB SHASHLIK £10.00 Selected pieces of lamb, capsicum, tomato and onion marinated in a fragrant spice, skewered and grilled in the Tandoor. CHICKEN TIKKA £9.00 LAMB TIKKA £10.00 TANDOORI KING PRAWNS£15.00 King prawns marinated in special sauce skewered and flamed. KING PRAWN SHASHLIK £15.00 King prawns delicately spiced and skewered with capsicum, tomato, onions and garnished with fresh coriander. TANDOORI MONK FISH £15.50 Monkfish marinated in medium spices, cooked in the Tandoor. Vegetarian (main course) SABZI SHASHLIK £8.00 Spiced vegetables roasted in a clay oven, glazed with cheese. PONIR SHASHLIK Cubes of vegetarian cheese grilled in the Tandoor. £8.00 SABZI MASSALA Seasonal Bangladeshi and continental vegetables cooked in massala sauce and almond flour. £8.00 SABZI REZALLA Stir fried mixed vegetables cooked in tangy lemon sauce and fresh chili. £8.00 SABZI KORAI Seasonal fresh vegetables cooked with shallots, capsicum and tomato in a light medium blend of spice. £8.00 VEGETABLE GREEN CURRY Mixed vegetables cooked with aromatic ground spices and coconut milk. £9.00 SABZI BIRIANY Stir fried spiced vegetables with basmati rice, fresh herbs, spices and almond flour, served with curried vegetables. £9.00 £15.00
Disconnected Dyads: the Distressed Dynamics of the Coach/Athlete Relationship in Lesbian, Gay, and Bisexual Intercollegiate Athletes Lauren Miranda Karen Murphy, Janie Long, Greg Dale Duke University Department of Psychology and Neuroscience Abstract Lesbian, gay, and bisexual (LGB) athletes face a complex and heterosexist culture in athletics, maintained by stereotypes and harassment, that impacts them negatively: physically, mentally, and emotionally. Theories of social change suggest that their coaches can play an invaluable role in remedying this culture—starting with forging meaningful and supportive relationships with the athlete themselves. This study explored coach-‐athlete dynamics in various domains and in comparison to ideals as reported by a sample of LGB-‐identified, intercollegiate athletes using the Coach Athlete Relationship Questionnaire (CART-‐Q) and interview questions. It was hypothesized that the relationships between LGB-‐identified athletes and their coaches would be weakened and would show a significant disconnect between the athlete's reported ideal coaching relationship and their actual relationship. Results provide evidence to support these hypotheses, and show that LGB-‐identified athletes show weaker relationships with their coaches than other coach-‐athlete dyads. These athletes feel that they are missing various components of an ideal coach-‐athlete relationship as it pertains to trust, respect, and understanding of their identity. They suggest that this impacts their personal well-‐being, their performance as athletes, and their overall satisfaction on their team and in their sport. These findings imply that coaches need to take a more active role in creating an inclusive culture on their team through building more effective relationships and attempting to understand the different challenges that face their LGB-‐identified athletes. Disconnected Dyads: the Distressed Dynamics of the Coach/Athlete Relationship in Lesbian, Gay, and Bisexual Intercollegiate Athletes Athletics is is a multi-‐billion dollar industry, with a considerable portion of that money going towards research that strives to make athletes more competitive (Klatell & Marcus, 1988). We push for them to be better, faster, stronger, and strive to get them in the optimal environment in order to maximize their potential. But, sport sciences frequently neglect to address a massive variable: who the athlete is, what their identity is, and whether or not this optimal training environment is supporting the athlete as a whole person. In light of these findings, experts started turning to coach-‐athlete relationships in order to better understand sport psychology and the goal climate that help drives performance. Following a case study done by Gould, Guinan, Greenlead, Medbery, and Peterson at the 1996 Olympics, Wylleman (2000) was the first to explore the concept that understanding what makes a hospitable and functional coach-‐athlete dyad is key to understanding athlete motivation and psychological motivations that may drive performance. A study by Gould and colleagues included interviews from teams and athletes that failed to perform as expected at the 1996 Summer Olympics. Through interviews, athletes cited that their preparation (physically and mentally) was affected by a poor coach-‐athlete relationship, characterized by a fundamental lack of trust, support, communication, and feeling of mutual respect from their coaches (1999). Bloom, Durant-‐Bush, Schinke, and Samela have written and contributed to analyses of coach-‐athlete dyads from as early as 1998, stressing the importance of mentorship in a successful relationship. In one paper, they write about the element of care on the coach's part as being essential to developing a meaningful coach-‐athlete relationship (1998). Supporting this, additional research is comprised of athlete reports that claim their coach needs to be close, friendly, and understanding; there needs to be a high An athlete is subject to a host of social and motivational influences across their entire career span. These influences create an environment referred to by experts as the "goal climate", and research by Ames has found that the goal climate is instrumental (1992) in determining the degree of overall success, enjoyment, development, and well being of an athlete over their lifetime. A goal climate consists of a variety of needs that support and develop an athlete in three major categories: emotional support, sport specific instruction, and understanding of identity and personal experience. The goal climate is constructed by three key groups of people: an athlete's parents, peers, and coaches (Keegan et al., 2010). These domains and subsequent influences act at different levels from these three different groups as an athlete progresses through their career, from phases of initiation, to specialization, and eventually to the elite few that make it to an investment mastery stage, where athletes specialize in a singular sport and focus on elite performance rather than enjoyment (Cote, Baker, and Abernethy 2003 & Wylleman, Alfermann, and Lavallee, 2004). Work by Keegan and colleagues has shown that as an athlete approaches the investment mastery stage, peer and parent influence gets squeezed out and the goal climate is dictated almost entirely by the coach (Keegan, Spray, Harwood, Lavallee, 2014). degree of emotional understanding, or relatedness, in order for optimal motivation on and off the field (Keegan, Spray, Harwood, Lavallee, 2014). From this point in sports psychology, many experts sought to create a system of measurement for coach-‐athlete dyads based on previous work that effectively incorporated the field's complete knowledge of interpersonal relationships and performance (Ogilvie & Tutko, 1966, Conroy & Benjamin, 2001, Carron & Bennett 1977, Carron & Chelladuria, 1978, Mageau & Vallerand, 2003). The gold standard emerged when Jowett and her colleagues (Jowett, 2001, Jowett & Meek, 2000, Jowett & Ntoumanis 2003) created a model of measurement for the coach-‐athlete dyad based on a Kelley et al. (1983) exploration and definition of fundamental components to interpersonal relationships. This article defined a dyadic relationship as a situation in which "two people's behaviours, emotions, and thoughts are mutually and causally interdependent" (p.3). From here, they selected three interpersonal constructs, Complementarity (Kiesler, 1997), Closeness (Berschied, Snyder, & Omoto, 1989), and Co-‐orientation (Newcomb, 1953) from literature on successful interpersonal relationships in order to serve as operationalizing variables in determining the functionality of a coach-‐athlete dyad (Jowett & Cockerill, 2003). Jowett and Ntoumanis published this scale as the "Coach-‐ Athlete Relationship Questionnaire", or the CART-‐Q (2003). This scale was later adjusted to replace co-‐orientation with commitment, which explores the coaches' and athletes' mutual intention to maintain their relationship and implies cognitive orientation for the future. Upon the understanding that interpersonal relationships between coaches and athletes undoubtedly play an effect on athletic performance and goal achievement, experts have searched for ways to define the optimal set of coach behaviors. In 1989, Smoll and Smith published a landmark article based on their work with Curtis and Hunt (1979) that sought to re-‐invent the practice of coaching. They urged professionals to focus more on enjoyment and the quality of the effort that athletes were bringing to practice and performance, proper reinforcement for goal-‐directed behaviors, corrective but constructive instruction, and to provide encouragement. This required coaches to move away from a punishment-‐based regimenting structure of behavior, and this shift resulted in a host of positive psychological outcomes for the athletes receiving it, such as increased self-‐worth, motivation, self-‐efficacy, and degree of trust and respect with their coach (Poczwardowski, Barott, Jowett, 2006). While this study changed how we viewed productive coaching behavior for a while, thoughtful criticisms of this model provided points that showed Smoll, Smith, and their colleague's work as being limited (Jowett & Cockerill, 2003). Vanden and colleagues (2000) criticized the nature in which sport psychology researchers characteristically ignore theories, concepts, and methods from other areas of psychology that have to do with relationships and their influence, and Poczwardowski et al. (2006) added that focusing on one participant in an interpersonal relationship causes us to miss and misrepresent some of the more complex issues that are present in a dyad. These criteria of closeness, co-‐orientation/commitment, and complementarity have been used not only in the CART-‐Q but also as variables in many studies that look to the coach-‐athlete relationship as a window into what defines and drives an athlete's goal climate (Keegan, Spray, Harwood, Lavallee, 2014, Jowett & Cockerill, 2003). A study of twelve Olympic medalists showed closeness as an especially important variable in characterizing successful coach-‐ athlete dyads. Athletes who reported experiencing a negative closeness climate explain feeling frustrated, like they could no longer perform well, and distant from and used by their coach due to their lack of interest in them personally. This interview data is a testament to an athlete's need and desire to be instructed by a coach who is competent not only in their practical mastery of the sport, but also in their interpersonal skills and ability to show care for and interest in their athletes (Jowett & Cockerill, 2003). Keegan, among other experts, found that the component of care and closeness was the only dimension that could effectively differentiate between self-‐reported "compatible" and "incompatible" coach-‐athlete dyads (Keegan, Spray, Harwood, Lavallee, 2014). An athlete who described having a positive closeness climate and therefore successful relationship with her coach stated that her coach knew her better than anyone in her life, and fundamentally understood her. This is a theme observed in accordance with research done by Bloom et al. (1998), Hemery (1986), and Lyle (1999) that describes two sides to the practice of coaching: the personal and humanist. The humanistic side is development focused, and has the opportunity to create an understanding and accepting environment between the athlete and coach where they connect in an enriching way (Rogers, 1967). This enriching environment is critical to the coach-‐athlete relationship, as understanding of identity has been cited as an extremely desirable trait when athletes are prompted to describe their ideal coach. A gymnast in a study by Balaque (1999) that investigated value and meaning in elite athlete's identities and careers reported: "People see me as a pair of legs and think that this is all that I am. I need a coach who will see me as a whole person" (p. 93). Are we in spaces where athletes can be a "whole person"? Unfortunately, the framework of athletics allows many athletes to fall through the cracks, and doesn't create a space that is welcoming for them. Governing bodies of sport and increased visibility recruits a larger number of to-‐be athletes every year. Consequently, the population of people that consider themselves athletes is becoming increasingly more diverse in areas such as gender, race, age, religion, and sexual orientation (Ingram, 2015). Experts are uneasy about this fact, though, because many claim that the framework and structure of athletics, especially the professionals directing it, are not equipped to properly welcome and include a more diverse group of athletes that inherently follows increased participation (Naoi et. al, 2011). For the purpose of this paper, we'll focus on the sexual orientation piece of the puzzle—and the lesbian, gay, and bisexual (LGB) identified athletes that are starting to be open about their identities while on their teams and competing. Considerable research has described the heterosexist climate of sports culture maintained by stereotypes, harassment, comments, discrimination, isolation, and media attention that leads lesbian, gay, and bisexual athletes to remain silent about their identities or avoid athletics entirely (Griffin 1998, Roper & Halloran 2007). While society is priding itself on increase acceptance of LGB-‐identified individuals, there seems to be a lag in athletics that is causing severe psychological distress for those it affects (Ingram, 2015). Openly LGB athletes exist at a fraction of what statistics would predict for them based on general population numbers, and the prevailing culture of sports is seemingly at fault for maintaining that. Out in the Field, the first international survey on homophobia in sports, representing over 9,500 participants, helped to describe the hostile environment LGB athletes face. This study found that while participating in athletics, one in four gay men have been threatened, fifteen percent have been physically assaulted, eighty percent of people say they've witnessed homophobia, eighty-‐one percent of men and seventy-‐four percent of women reported being closeted to their teammates, and only one percent of the 9,500 participants said they believed that LGB people are completely accepted in sporting culture (Denison, 2015). In athletics, LGB athletes are frequently labeled as "other", and often experience a status loss within an athletic context. Extensive research shows evidence that parents (Sartore & Cunningham, 2009), prospective student-‐athletes (Gill, Morrow, Collins, Lucey, & Schultz, 2006), and employees of athletic departments (Sartore & Cunningham, 2010) maintain these prejudices and are biased against LGB athletes. This research, combined with the legal, emotional, and mental struggles of the few LGB athletes that do choose to live authentically serve as a chilling reminder that athletics has a long way to go in upholding its principles of fairness, inclusion, and equality (Anderson, 2005). Many organizations and activists are approaching this problem of a non-‐ inclusive culture in athletics in a variety of different ways. Little research has been conducted to evaluate the effectiveness of these various approaches, but theories of social change can help identify a key player in remedying this problem: coaches. den Hond and de Bakker write about social change in a way that focuses on activist groups and distinctions that can be made between them. They define two major labels for groups involved, the first being the activist group, an organization from the outside of a problem that questions the institution of the situation and is more likely to adopt a narrative that is more radical and challenging as compared to others. The other group den Hond and de Bakker explore is the role of the reformative group, an agent acting from the inside of a problem to explore their own shortcomings and how they can deinstitutionalize practices that contribute to it (den Hond & de Bakker, 2007). In terms of LGB inclusion in athletics, this would be the difference between an activist group questioning the entire institution and system that allows athletics to be heterosexist as compared to an athletic department observing their seemingly heterosexist-‐behavior and seeking to adopt more inclusive practices while prompting other athletic departments to do the same (Cunningham, 2015). Interestingly enough, the reformative groups are shown to be more effective in creating social change, likely because organizations within a given field are more likely to resemble one another than they are to differ (Washington & Patterson, 2011). Instead of looking at athletics as whole, and athletic departments as the agents leading culture change, we will scale down to look at coaches as agents of social change for the unit that they have control over: their team. The influence a coach has on their team is unparalleled by any other force, and that their values and beliefs that they set forth are often mimicked by their players and directly influence team culture and cohesion (Gilbert & Trudel 2014, Turman, 2003). Given their influence over team dynamics, it would seem that their relationship and interaction (or lack thereof) with an LGB-‐identified athlete could set the standard for the climate of the team and therefore the experience of the athlete. In this framework, this study seeks to explore the three C's, Closeness, Co-‐ Orientation/Commitment, and Complementarity set forth by the CART-‐Q in coach-‐ athlete dyads consisting of an openly LGB athlete and their coach. Based on previous research, it is expected that these coach-‐athlete dyads will score lower than the CART-‐Q has observed in the general population due to the prevailing culture of silence about sexual orientation in athletics (Griffin, 1998) and therefore athletes feeling like they can not share their authentic selves and full identities with their teams and coaches. This study will also provide suggestions for creating inclusive and successful coach-‐athlete relationships through open-‐ended interview questions with the athlete. These will come in the form of open-‐ended interview questions developed by Jowett and Cockerill (2003) that seek to explore the congruency between an athlete's ideal relationship with their actual coach-‐athlete relationship. It is hypothesized that these answers will describe a relationship that is less than ideal characterized by the potential lack of communication about an athlete's identity and consequentially, a wavering of trust and disconnect in understanding. It's important to note that this study only explores the coach/athlete relationship as it may be affected by the sexual orientation of the athlete. This study does not investigate the affect of an athlete's gender identity, and therefore can't make any claims about the experience of transgender student-‐athletes and their relationship dynamics. This was a deliberate choice, as the background, challenges, and attitudes towards transgender athletes differ considerably from those who identify as LGB. Methods Participants Collegiate athletes were contacted via email addresses found in media articles and through their involvement in activist groups. Sixteen athletes consented and completed the survey, which was approved by the Duke University Institutional Review Board. All participants were current or less than five years post-‐graduate student-‐athletes at an institution accredited by the National Collegiate Association of Athletics (NCAA). This is an important criterion, because as research describes, the investment-‐mastery stage is where an athlete's goal climate and subsequent experience relies entirely on their coach (Keegan et al., 2010). They received no financial compensation for their participation in this study. Of these sixteen athletes, eight are male-‐identified and eight are female-‐identified (mean age= 20.67; range= 19-‐25). Thirteen identify as white, two as black, and one as Hispanic using the text entry option. Procedure Participants were introduced to the study through an email or social media script prompting them to take part in a study on coach-‐athlete dynamics. The script provided a link, which took them to an online survey client that walked them through the informed consent process. Participants then filled out the full twenty-‐ five question CART-‐Q, or Coach Athlete Relationship Questionnaire as shown in Appendix A (Jowett & Ntoumanis, 2003). The athlete was then prompted to answer open-‐ended questions developed by Jowett and Cockerill (2003) to further probe into the assessed domains of their relationship (Appendix C). The questionnaire then asked for demographic information along with a quick description of their perceived team culture, and then prompted athletes to enter a contact for their coach so they could be reached to fill out a CART-‐Q describing their relationship with their participating athlete. Due to extremely low response rates, and lack of participation from coaches, the pursuit of data collection from coaches was stopped. Approximately two weeks into administration of the survey, the questions that were to collect contact information from the coach and send a recruitment message via email were eliminated from the survey. The survey was then distributed and framed as a study solely requiring the participation of LGB-‐identified athletes, and response rates improved. Analysis The survey collected quantitative data from the CART-‐Q and qualitative data from the interview probe questions. With the quantitative data, descriptive statistics were run in order to describe the sample, and unpaired t-‐tests were run to observe the difference between data from LGB athletes collected in this study and a larger-‐ scale CART-‐Q collection of the general population from Jowett and Ntoumanis' 2003 study. The qualitative data from the interview questions was subjected to content analysis (Weber, 1990) to search for recurring themes that either support or undermine the hypotheses of disconnected coach/athlete relationships based on past literature. Previous CART-‐Q analyses revealed a pattern in factor analysis that led later versions of the scale to replace the construct of co-‐orientation with that of commitment, so this study followed the same pattern in order to make relevant comparisons. In this study, athlete's responses will be divided into categories of closeness, complementarity, and commitment in their coaching relationship (Appendix B). Results and Discussion The CART-‐Q Comparison It was hypothesized that LGB-‐identified athletes' scores on the CART-‐Q would provide lower scores and overall means than previous studies that implemented this same scale. The responses were coded into an abbreviated eleven-‐ measure scale identical to the scale used in previous studies to explore coach-‐ athlete dyads (Appendix B). All mean scores were above the midpoint (above 4 on a 7-‐point scale). The skewness of the individual answers suggests a negative skew of the distribution, and the kurtosis scores ranging from -‐1.43-‐2.63 support the evidence that the distribution may be abnormal. This data is shown in Table 1. Table 1. Descriptive Statistics for the 11-‐item CART-‐Q in LGB athletes These athletes reported the strongest relationship dynamics in closeness (M= 5.77, SD= .38), followed by commitment (M=5.27, SD=.68) and complementarity (M=5.27, SD=.38). Comparisons were made from Jowett's study in which they ran the same 11-‐question CART-‐Q scale on 214 British participants. This study reported higher means and smaller standard deviations in all three domains, as illustrated in Tables 2 and 3. Table 2. Mean and Standard Deviation from J&N Table 3. Mean and Standard Deviation from Miranda Items Mean SD Unpaired t-‐tests were performed to calculate differences between means observed in Jowett's study as compared to the data collected from LGB athletes. Answers from LGB athletes reported a lower degree of closeness, t(228)=3.40, p<.01, and complementarity, t(228)=25.59, p<.01, with their coaches than did the larger pool of athletes from Jowett and Ntoumanis' 2003 study. T-‐tests of the mean differences in perceived closeness just missed the cutoff of .01 for statistical significance, t(228)=1.87, p=.062. The differences in means can be observed in Figure 1. These tests support the hypotheses that LGB-‐identified athletes would report lower scores on the CART-‐Q than what has been previously observed in the general population. This observed phenomenon of lower scores in LGB athletes can be brought back to Griffin's proposed "culture of silence" in athletics surrounding sexual orientation (1998), and how this takes a toll on an athlete's well-‐being and impacts their relationships and experience within these contexts (Anderson, 2005). Limitations It's important to note the limitations of the comparison of these two data sets. The sample of LGB-‐identified athletes consisted only of collegiate athletes ranging from ages 19-‐25. The sample used in Jowett's study represented all levels of sport: recreational (8%), club (47%), collegiate (20%), national (16%), and international (9%). As previously mentioned, the socio-‐cultural influences in sport career and the support systems in which we seek those from change dramatically as an athlete ages and moves towards the investment-‐mastery stage (Keegan et al., 2010). Therefore, this broad analysis of all sport levels may not provide the best comparison to a group of NCAA-‐eligible, collegiate athletes that are at an extremely advanced level. Additionally, Jowett and Ntoumanis' data set included 214 participants: 139 athletes and 75 coaches. Our study attempted to collect coach data as well, but we were unable to do so because some athletes failed to provide coach contact info, and in the cases of those who did, the coaches failed to complete the survey. This might also skew results seeing as that one data set consists of both coach and athlete perception of their relationship, while the other consists of only athlete responses. While this is an obstacle in making significant comparisons between the two data sets, it can also serve as a testament to the stigmatization of conversations about sexual orientation in athletic culture, the hesitation LGB-‐identified athletes experience, or the self-‐imposed disinterest of coaches in their athlete's broader identities. A final note for consideration: sexual orientation was not collected in Jowett and Ntoumanis' data set. While the sexual orientation of these coaches and athletes can't be assumed, it's likely this data set consists of LGB participants observed at a number closer to Britain's estimated averages of anywhere from 1-‐5% of the population (Chalabi, 2013). No previous research or data exists to determine the interaction of an athlete's sexual orientation on dynamics of the coach-‐athlete dyad they exist in, so this problem cannot yet be remedied. Open-‐ended Responses Through the exploration of sport as a problematic and heterosexist institution, it's clear how LGB-‐identified athletes are subject to a host of obstacles and challenges that impact them in their career. The coach-‐athlete relationship is an extremely powerful point to connect with these athletes and offer support and a positive relationship to foster productive athletic and personal growth (Turman 2003). Interdependence theory, the idea that closeness is the key to a rewarding relationship (Kelley et. al, 2003), can describe how a successful and meaningful relationship with a coach is instrumental to an athlete's growth, success, and overall satisfaction not only in sports, but also in the grander scheme of their lives (Jowett & Nezlek 2011). Additionally, complex dynamics of the coach-‐athlete relationship have been predicted to impact an athlete's goal climate, and therefore their self-‐ worth, motivation, and self-‐concept (Jowett, 2008). In order to better describe what effective coaching strategies help create inclusive and meaningful environments for LGB-‐identified athletes and discover what may be causing a weakened relationship, a series of open-‐ended interview questions from Jowett and Cockerill's 2003 study were analyzed for their content (Appendix C). Out of the sixteen athletes, eleven of them provided complete responses to these questions. These eleven athletes include six men (marked B) and five women (marked A). The title of each section is the question that the athlete was presented with. It's important to keep in mind that these responses describe both positive and negative coach-‐athlete interactions. Additionally, these questions didn't seek to explore only domains related to sexual orientation, but rather exist to help characterize and explore potential roots for the weakened coach-‐athlete relationship observed in LGB-‐identified athletes. What characterizes your relationship with coach? What reinforces it? Athletes were asked about what features characterized and reinforced their athletic relationship with their primary collegiate coach. Ninety-‐one percent of the responses were positive overall, and a common theme was mutual appreciation and respect. Some example responses are as follows from participants A1, B3, and B5 respectively: "[Our relationship is characterized by] mutual contribution and respect: his respect for my perspective and ideas as a player, which then drive me to be very open minded with what he might have to suggest." "There was always respect between us….I knew that my coach was not just my coach but also my friend. There was trust between us and I knew I could tell him anything. I also felt that my coach always had my back… he would always be there to support and defend me." "Communication between me and my coach is important. Understanding how I function and how he functions both mentally and physically." These responses support various accounts of the coach-‐athlete relationship that stress trust and respect as cornerstones (Bloom et., al 1998). However, these accounts may also suggest the existence of an additional domain that may be of importance of LGB-‐identified athletes—the idea that the coach understands their perspective and is willing to defend them. In what ways did your relationship with coach contribute to your success? Your performance? Athletes were asked to describe how their relationship with their coach impacted and affected them in their sport career, either positively or negatively. Eighty-‐one percent of the responses were overall positive. Highlights are as follows from participants A6, B1, B2, B5, and B6 respectively: "Being able to be authentic around my coach was invaluable for me, not only as an athlete, but as a person. I felt like I could bring everything I had to games." "I feel comfortable to be myself around him. I know he isn't going to judge me… all that matters is how much effort I put forth." "I always knew that he would have my back and be there for me which encouraged me to want to try harder. I think that since we respected each other I never wanted to let him down so I was always willing to work had and compete at my best. Because of our friendship, I was able to really perform well." "Creating trust and a positive relationship is pertinent. My coach and I lacked that relationship and trust to an extent after certain interactions, and I would say my performance declined because of it." "I have found that I am improving the more confident I am with my coach, and the more comfortable I am with my coach." These responses illustrate the dramatic effect that the coach-‐athlete relationship has on performance at the most basic level. Athletes that alluded to an open and authentic relationship cited improved performance and increased effort in their sport, whereas the athlete who described a lack of trust mentioned declining performance. Any moments where working with your coach was ineffective? Was there conflict? Disagreement? Here, athletes were asked to explore their relationship with their coach in terms of potential hardships and roadblocks that occurred. Every athlete but one was able to provide an example of a conflict in their relationship. Many responses articulate disconnect of understanding between athletes their coach about their complex identities or willingness to have conversations. These are responses from participants A1, A4, A6, B1, and B6 respectively: "He isn't always the best at recognizing how our off-‐field lives are all different and how different struggles can create unique situations we have to deal with. I am not like many of my teammates and we shouldn't be lumped into one stereotype." "[There was conflict in] almost every conversation, I was always worried about hurting feelings and how she'd react." "I never really talked to him about things happening in my life… outside of sport, like my sexual orientation. There was just never a time where it felt relevant to bring up… that made things feel weird and uncomfortable. It was kind of like an elephant in the room for me…sometimes I didn't feel entirely comfortable with him for this reason. It felt like I was hiding something, even though I wasn't actively." "Sometimes, I would not want to tell coach about things in my personal life that were bothering me because he always encouraged the team to leave drama at the door so we could focus on training. But sometimes that wouldn't work for me. I would all of the sudden not want to be at practice or I wouldn't want to listen or be coached, and if I held it in I would always perform poorly, however as soon as I talked about it with him I would feel better." "I think most disagreements come from when I don't necessarily fit the plan most athletes have. This is because of anxiety and mental struggles I have had in the past and still struggle with." These responses support Griffin's idea of a prevailing culture of silence in athletics, where conversations about sexual orientation are swept under the rug due to a heterosexist status quo maintained by stereotypes, harassment, comments, discrimination, isolation, and media attention (1998). Athletes report either a lack of understanding from their coaches about how their identities impact them as a player and make their situation different from other members of the team, and a fear of beginning this conversation due to the potential reactions and discomfort of their coach. There doesn't seem to be a "relevant context" to discuss broader aspects of identities in athletics, and this is something a coach can control and dictate about their culture (Turman, 2003). How would you describe an effective coach-‐athlete relationship? Ideally, how would your relationship have been? In this section, athletes were asked to describe what they believe is a successful coach-‐athlete relationship, and what dynamics characterize that. A common theme was an open line of communication, mutual understanding, and respect for one another. Many athletes also cited their wishes of being able to be authentic and honest with their coach about their personal lives and build a strong friendship in addition to their athletic relationship. Responses from participants A5, A6, B1, and B2 follow: "I think an athlete should feel comfortable with a coach knowing who they are dating, knowing when they are dealing with something hard that could impact them." "Similar to mine, but with more open lines of communication. I wish we could have conversations that normally don't take part at practice or seemingly have a lot of 'athletic merit'." "[An ideal coach is] someone I can be myself around and therefore be able to compete at my best each and every day." "An ideal coach-‐athlete relationship is one where the coach and athlete can get to know one another outside of a practice setting. Your coach is a coach, but also a friend/mentor." Through these responses, it's clear where LGB-‐identified student athlete is compelled to have a strong relationship dynamic with their coach where conversations about their sexual orientation are welcomed. These athletes express the necessity of feeling understood and being able to be authentic around their coach—and again bring up the frustration of feeling like conversations that can facilitate this are not welcomed in athletics. How would you describe your relationship with your coach in comparison to this ideal? How is it different? Here, athletes were asked to compare and contrast their actual relationship with their coach to the ideal they communicated in the previous question. Only sixty-‐three percent of the responses stated that overall, the athlete's relationship with their coach was generally very close to the ideal that they communicated. The positive responses frequently mentioned a deep and personal relationship based on respect and understanding. The athletes that responded negatively mainly cited a disconnect in communication and trust. Both positive and negative responses are highlighted from participants A4, A5, A6, B2, B5, and B6: "My real relationship was way off from ideal… an ideal relationship is based on respect and communication, in which both parties give 100% of their time, talent, and energy." "We don't talk about my dating life, but we are close about everything else. Not because he would disapprove, but I'm hesitant." "Just the communication thing stands. I really like and respect my coach, and he reciprocates it, but I always have that problem with feeling like he doesn't really understand me because I never feel it's appropriate to disclose my identity to him." "My relationship is just like what I mentioned above… I can go to him at any time with any problem. He respects me as a person." "I'd like constant open communication. After I shared my opinions, I felt like my coach was unresponsive to them." "I think we come pretty close to this ideal. I respect my coach, and he respects me. The main difference is my coach is still working to fully understand how I function." These excerpts illustrate the disconnect that LGB-‐identified athletes may feel with their coaches and the ways that their relationships differ from their ideals. Many common themes that have been highlighted in the previous four questions appear here: the need for open communication, the feeling of a respectful mentor/friendship, a space for athletes to be authentic, and the coach's pursuit of understanding an identity and experience that may be different from theirs. Limitations These descriptions of coach/athlete relationships may be positively skewed due to the recruitment strategy used. Contacts were obtained through their media presence and activist groups, which may recruit a sample of athletes that are very public about their sexual orientation. The degree of openness about their identity could either be due to an already inclusive environment, or could have created one through contact theory. Contact theory states that exposure to a person of a different identity creates more accepting and tolerant attitudes towards individuals that belong to that group (Roper & Halloran, 2007). It's very hard to get perspectives, data, and experiences from athletes that may still be silent about their identities, because we can't discern who they are and therefore can't contact them. A sample of athletes that are public enough about their sexual orientations to have a media presence may not be entirely representative of the true experience for all LGB-‐identified individuals in athletics. Conclusions and Future Directions A coach is an instrumental part of an athlete's development, satisfaction, and success not only in their sport but also in the broader context of their life (Keegan, Spray, Harwood & Lavallee, 2014). Components such as trust, respect, friendship, understanding, care, and closeness are imperative in any positive coach-‐athlete relationship, and coaches should strive to incorporate these values into their team culture and philosophies (Turman, 2003). Lesbian, gay, and bisexual athletes are no exception to this rule, but may require coaches to approach their relationships in ways they haven't considered before. A heterosexist framework in athletics full of biases and prejudice maintained by parents (Sartore & Cunningham, 2009), prospective student-‐athletes (Gill, Morrow, Collins, Lucey, & Schultz, 2006), and employees of athletic departments (Sartore & Cunningham, 2010) provides a challenging landscape and sets these athletes at a mental and emotional disadvantage to their heterosexual peers (Denison, 2015). den Hond and de Bakker's research on reformative groups suggests that coaches can play a valuable role in shaping this problematic culture from the inside out, and that their relationships with these athletes can serve as a catalyst to achieving true equality and respect for them in athletics (2007). This study employed the CART-‐Q and various opened ended questions developed from it in order to explore relationship dynamics in LGB athlete-‐coach dyads. It was hypothesized that when compared with the initial responses recorded during development of the CART-‐Q, the responses collected in this study would show significant reductions in average assessment of closeness, commitment, and complementarity than normally observed in coach-‐athlete relationships. The data mostly supported this claim, showing a significant deficit for LGB-‐ identified athletes in the domains of commitment and complementarity as compared to the data collected in Jowett's study. Closeness just missed the cutoff for significance (with p=.06), but still showed a smaller mean. As mentioned in the results and discussion section, there are a variety of limitations to this analysis. The lack of coach participation, differing samples, and absence of sexual orientation data in Jowett's data set could have skewed these results. Nonetheless, it shouldn't be overlooked that the data in this study suggest a less meaningful and weaker relationship when strictly LGB-‐identified athletes are participants. Expecting this finding, we also believed it would be meaningful to use open ended interview questions to further explore these relationships and see what dynamics may be contributing to this trend. Five questions explored the coach-‐ athlete dyads in terms of what the athlete considered ideal and if/how their actual relationship fell short of that. Research by Bloom et al (1998), Hemery (1986), and Lyle (1999) suggest that coaches have to create an understanding and accepting environment between them and their athletes where they have the opportunity to connect in an enriching way. This can be particularly hard for LGB-‐identified athletes, since the culture of athletics doesn't create space for conversations about their identities and as a consequence, they often choose to remain silent and suffer (Griffin 1998, Roper & Halloran, 2007). In order to support this theory, it was hypothesized that the answers from this study will cite a relationship that isn't congruent with the communicated ideal due to potential lack of communication about an athlete's identity and a wavering of trust and understanding as a consequence. Responses from the interview questions partially supported this hypothesis. Not all cases included athletes that felt a disconnect and that they had a negatively characterized relationship with their coach, but a few did and cited the reasons that we expected them to given previous research and theories about heterosexist culture in athletics. Furthermore, these questions also provided an insight to what characterizes positive coach-‐athlete relationships for LGB-‐identified athletes. Regardless of whether these components were described as being present or lacking, the most important and recurring themes that athletes described are as follows: an open line of communication, a coach's attempt to understand their identity and how it may influence them differently, a space in which they can be authentic and seek advice, and the pursuit of a powerful friend/mentorship that is pervasive across all areas of their life—athletic and personal. These themes were present in both positively and negatively described coach-‐athlete relationships, as either a strength of their relationship or a detriment due to the lack thereof. Athletes also cited being frustrated that they remained silent to their coaches about their sexual orientation because they never felt it was a relevant conversation to have. Like Griffin (1998), Anderson (2005), and Ingram (2015) describe, athletic culture isn't conducive to conversations about broader aspects of identity, including sexual orientation. This takes a negative toll on the athletes, and they report it affecting their mental health, trust in the team, and overall physical performance. A common argument for coaches is that facilitating these conversations have no place in sports, and serve as a distraction and detriment to what could be training time (Roper & Halloran 2007). However, research from Keegan and his colleagues report that relatedness and understanding within a team in all contexts is imperative for optimal athlete motivation and performance on and off the field (Keegan, Spray, Harwood, Lavallee, 2014) Not only do the responses from athletes in this study support these findings, they actually even show how performance can decline in the absence of this understanding culture. Various case studies show that teams and athletes that failed to perform in the past cite that their preparation (physically and mentally) was affected by a fundamental lack of trust, support, communication, and mutual respect from their coaches (Gould et al, 1999). It's clear that athletes are becoming more diverse and visible in terms of their sexual orientation, and also that the prevailing culture of sports isn't conducive to supporting them effectively (Anderson, 2005). Coaches need to take responsibility in creating inclusive environments on their teams, starting directly with the athlete themselves. The data from this study shows that there are a variety of identity-‐specific dynamics that athletes desire in their coach-‐athlete relationships, and an overall weakened relationship between LGB athletes and their coaches than is normally observed that may come consequentially from the omission of these dynamics. Previous research about coach-‐athlete relationships and formation of the goal climate suggests that they directly influence one another at the mastery level (Conroy & Benjamin, 2011), and therefore we see how an LGB-‐ identified athlete could be struggling in athletics in physical, personal, emotional, and mental domains due to their lack of an affirming culture coming from their coach. As mentioned in the limitations, the CART-‐Q comparison drawn between this data and the data collected from Jowett & Ntoumanis' (2003) study isn't perfect. This data set was chosen due to its pervasiveness in literature, but it didn't collect data about the sexual orientation of the coaches and athletes included. There was also an extremely small sample size in the data set from LGB athletes, which was devoid of coach responses. This could also influence results, because as Poczwardowski et al. (2006) stated, focusing on one participant in an interpersonal relationship can cause us to miss and misrepresent some of the more complex issues that are present in a dyad. Additionally, the results from both the CART-‐Q and interview questions may be skewed in a positive direction due to a recruitment strategy that could only contact athletes who are open enough about their sexual orientation to have a media presence as a result of it. Keeping these limitations in mind, various future directions emerge from this research. Since the study is the first of it's kind, repetition of its methods is strongly encouraged to explore whether or not these hypotheses are continually supported, and to make the literature about identity and sports psychology more robust. Other future directions could include the inclusion of heterosexual athletes for direct, between-‐groups comparison, differing recruitment strategies in order to capture a more representative sample, the inclusion of transgender athletes, exploration into the effect a coach's sexual orientation has, or a broader range of career-‐stages to discern whether or not the coach is as pervasive of a force outside of the investment-‐mastery stage. Generally speaking, casting a wider net in order to recruit a larger sample size, which may include heterosexual athletes, more diverse levels of sport, athletes that aren't publicly out, and more coaches would remedy a lot of limitations about this study and begin to tackle the future of this research. This study provides a strong foundation for the implication that LGB-‐identified athletes show a weakened relationship with their coaches, perhaps due to identity specific relationship components and conversations that aren't likely to occur in athletics. This weak relationship has the power to produce an insufficient goal climate to support the athlete, and can lead to a host of physical, mental, and emotional problems for them. Further research is required, but this data suggests that in order to begin to level the playing field for lesbian, gay, and bisexual athletes, coaches may need to take a more active role in inclusion—starting with fostering meaningful relationships with the athlete themselves based on the themes suggested in this paper: open communication, attempted understanding of an athlete's identity and how it impacts them, the creation of authentic spaces, and an enduring friend and mentorship. Appendix A The twenty-‐five item Coach Athlete Relationship Questionnaire used in the survey. This initially sought to characterize coach-‐athlete dynamics in terms of closeness, complementarity, and co-‐orientation. Closeness Do you feel close to your coach/athlete? Do you like your coach/athlete? Do you trust your coach/athlete? Do you respect your coach's/athlete's efforts? Do you feel committed to your coach/athlete? Do you appreciate the 'sacrifices' your coach/athlete has experienced in order to improve his/her performance? Do you feel that your sport/coaching career with your coach/athlete is promising? Complementarity Do you think that both of you work appropriately in achieving the goals set? Do you think that both of you work well in achieving the goals set? When I coach my athlete/am coached by my coach, I feel competent. When I coach my athlete/am coached by my coach, I feel interested. When I coach my athlete/am coached by my coach, I am understood. When I coach my athlete/am coached by my coach, I am ready to do my best. When I coach my athlete/am coached by my coach, I feel at ease. When I coach my athlete/am coached by my coach, I feel responsive. When I coach my athlete/am coached by my coach, I adopt a friendly stance. Co-‐orientation Do you communicate enough with your athlete/coach about training? Do you agree with your athlete's/coach's views? Do you know your athlete's/coach's strong points? Do you know your athlete's/coach's weak points? Do you communicate well with your athlete/coach? Do you strive to achieve similar goals with your athlete/coach? Do you feel there is understanding between your athlete/coach and yourself? Appendix B The eleven-‐item Coach Athlete Relationship Questionnaire that emerged after multiple studies performed factor analyses, principal components analyses, and tested the validation of the CART-‐Q. It was found that the questions frequently loaded onto a category better described as commitment, and therefore commitment replaced co-‐orientation in the scale. These are the items used to calculate the means that were used for comparison between LGB coach-‐athlete dyads and the group from Jowett & Ntoumanis' 2003 study. Closeness Do you like your coach/athlete? Do you trust your coach/athlete? Do you respect your coach's/athlete's efforts? Do you appreciate the 'sacrifices' your coach/athlete has experienced in order to improve his/her performance? Complementarity When I coach my athlete/am coached by my coach, I am ready to do my best. When I coach my athlete/am coached by my coach, I feel at ease. When I coach my athlete/am coached by my coach, I feel responsive. When I coach my athlete/am coached by my coach, I adopt a friendly stance. Commitment Do you feel close to your coach/athlete? Do you feel committed to your coach/athlete? Do you feel that your sport/coaching career with your coach/athlete is promising? Appendix C The five item scripted interview questions used to collect open-‐ended data characterizing the coach-‐athlete relationship in terms of ideals and potential disconnect. This was developed and used in Jowett and Cockerill's 2003 study. Athletes were given this prompt and told to answer in as much or as little text as they felt appropriate. 1. What were the main features that characterized your athletic relationship with coach? What features reinforced your relationship with your coach? 2. In what ways did the relationship you and your coach had developed contributed to your athletic success? How did you relationship with your coach have an impact on your performance? 3. Can you think of any instances where you felt that working with your coach was ineffective? Were there any moments of conflict or disagreement? 4.How would you describe an effective, or ideal, coach–athlete relationship? Ideally, how would you have liked your relationship with coach to have been? 5.How do you describe your relationship in comparison with this ideal? How was the relationship with your coach different from your ideal athlete–coach relationship? References Anderson, E. (2005).In the game: Gay athletes and the cult of masculinity. Albany, NY: State University of New York Press. Berschied, E., Snyder, M., & Omoto, A. M. (1989). Issues in studying close relationships: Conceptualizing and measuring closeness. Bloom, G.A., Durant-‐Bush, N., Schinke, R.J., Samela, J.H. (1998). The importance of mentoring in the development of coaches and athletes.International Journal of Sport Psychology.29(1). 267-‐281. Carron, A.V., Bennett, B.B. (1977). Compatibility in the coach-‐athlete dyad.The Research Quarterly. 48(1). 671-‐679. Carron, A.V., Chelladuria, P. (1978). Psychological factors and athletic success: An analysis of coach-‐athlete interpersonal behaviour.Canadian Journal of Applied Sport Sciences.3(1). 43-‐50. Chalabi, M. (2013). Gay Britian: What do the statistics say? Retrieved April 04, 2016, from http://www.theguardian.com/politics/reality-‐ check/2013/oct/03/gay-‐britain-‐what-‐do-‐statistics-‐say Conroy, D.E., Benajmin, L.S. (2011). Psychodynamics in sport performance enhancement consultation: Application of an interpersonal theory.The Sport Psychologist.15. 103-‐117. Cross, J.L., Lyle, J. (1999).The coaching process: Principles and practice for sport. Oxford:Butterworth-‐Heineman. 25-‐46. Cunningham, G. (2015). LGBT Inclusive Athletic Departments as Agents of Social Change.Journal of Intercollegiate Sport. 8(1). 43-‐56. Cunningham, G. B., Sartore, M. B., & McCullough, B. P. (2010). The influence of applicant sexual orientation, applicant gender, and rater gender on ascribed attributions and hiring recommendations of personal trainers.Journal of Sport Management,24(4), 400-‐415. den Hond, F., & de Bakker, F.G. (2007). Ideologically motivated activism: How activist groups influence corporate social change activities.Academy of Management Review.(32) 901–924. Denison, E., & Kitchen, A. (2015).Out in The Fields (Vol. 1). Sydney: Repucom. Gill, D. L., Morrow, R. G., Collins, K. E., Lucey, A. B., & Schultz, A. M. (2006). Attitudes and sexual prejudice in sport and physical activity.Journal of Sport Management,20(4), 554. Gilbert, W., Trudel, P. (2014). Applied Research Role of the Coach: How Model Youth Team Sport Coaches Frame Their Roles.Kinetics Journals. 18(1). Gould, D., Guinan, D., Greenleaf, C., Medbery, R., Peterson, K. (1999). Factors affecting Olympic performance: perceptions of athletes and coaches from more and less successfulteams.The Sport Psychologist, 13(1). 371–394 Griffin, P. (1998). Strong women, deep closets: Lesbians and homophobia in sport. Champaign, IL: Human Kinetics Hemery, D. (1986). The pursuit of sporting excellence: A study of sport's highest achievers. London:Willow Books. Hendry, L.B. (1969). A personality study of high successful and 'ideal' swimming coaches.Research Quarterly.40. 299-‐305. Ingram, M. (Director). (2015).Out To Win [Motion picture on DVD]. Jowett, S. (2008). Moderator and mediator effects of the association between the quality of the coach-‐athlete relationship and athletes' physical self-‐ concept.International Journal of Coaching Science,2(1), 1-‐20. Jowett, S., Cockerill, I.M. (2003). Olympic medallists' perspective of the athlete-‐coach relationship.Psychology of Sport and Exercise4(4). 313-‐331 Jowett, S., & Nezlek, J. (2011). Relationship interdependence and satisfaction with important outcomes in coach-‐athlete dyads.Journal of Social and Personal Relationships.29(3). 287-‐301. Jowett, S. & Ntoumanis, J. (2003). The coach-‐athlete relationship questionnaire (CART-‐Q): development and initial validation.Scandinavian Journal of Medicine & Science in Sports.14. 245-‐257. Kelley, H. H., Berschied, E., Christensen, A., Harvey, H. H., Huston, T. L., Levinger, G., McClintock, E., Peplau, L. A., Peterson, D. R. (1983).Close relationships. New York: Freeman. Keegan, R. Spray, C., Harwood, C., Lavallee, D. (2013). A qualitative synthesis of research into social motivation influences across the athletic career span. Qualitative Research in Sport, Exercise, and Health.6(4). 537-‐567. Kiesler, D. J. (1997). Contemporary interpersonal theory and research: Personality, psychopathology, and psychotherapy.The Journal of psychotherapy practice and research,6(4), 339. Klatell, D. A., & Marcus, N. (1988).Sports for sale: Television, money, and the fans. Mageau, G.A., Vallerand, R.J. (2003). The coach-‐athlete relationship: A motivational model.Journal of Sport Sciences. 21(1). 883-‐904. Naoi, A., Watson, J., Deaner, H., Sato, M. (2009). Multicultural issues in sport psychology and consultation.International Journal of Sport and Exercise Psychology. 9(2). 111-‐124. Newcomb, T. M. (1953). An approach to the study of communicative acts.Psychological review,60(6), 393. Ogilvie, B.C., Tutko, T.A. (1966).Problem athletes and how to handle them.London: Pelham Books. Poczwardowski, A., Barott, J., Jowett, S. (2006). Diversifying approaches to research on athlete-‐coach relationships.Psychology of Sport and Exercise. 7(2). 125-‐ 142. Rogers, C.R. (1967).On becoming a person: A therapist's view of psychotherapy. London: Constable. Roper, A., Halloran, E., (2007). Attitudes Toward Gay Men and Lesbians among Heterosexual Male and Female Student-‐Athletes.Sex Roles.57(11). 919-‐928. Sartore, M. L., & Cunningham, G. B. (2009). Gender, sexual prejudice and sport participation: Implications for sexual minorities.Sex Roles,60(1-‐2), 100-‐113. Smoll, F.L., Smith, R.E. (1989). Leadership behaviors in sport: A theoretical model and research paradigm.Journal of Applied Social Psychology. 19(1). 1522-‐ 1551. Smoll, F.L., Smith, R.E., Curtis, B., Hunt, E. (1978). Towards a mediational model of coach-‐player relationships.Research Quarterly. (49). 528-‐541. Turman, P. (2003). Coaches and cohesion: The impact of coaching techniques on team cohesion in the small group sport setting.Journal of Sport Behavior. 26(1). 86-‐103. Washington, M. and Patterson, K.D.W. (2011) Hostile takeover or joint venture? Connections between institutional theory and sport management research. Sport Management Review.14(1): 1–12. Wylleman, P. (2000). Interpersonal relationships in sport: Uncharted territory in sport psychology.International Journal of Sport Psychology.31. 555-‐572.
52 Weeks Of Passionate Sex We Only Smile When We're Drunk Gavin Chapman 2012-08-23 "It was a typical Wednesday night at The Lodge." So begins the journey of Pete, a young warehouse employee living in a suburban town. We follow Pete through his addictions to alcohol and drugs, and also his predilection for the finer sex. Pete remains in a relationship with his now taken ex-girlfriend, while picking up whatever he can along the way. From laughter to sorrow, we see the world through the eyes of a young alcoholic, and the trials and tribulations of substance abuse. Friendship on Fire Linda Miles 2008 Maintaining a lasting, loving relationship starts by accepting that "happily ever after" is a myth. Friendship on Fire is a reality tale that gives practical and spiritual strategies for a passionate connection that lasts. Love is a fire; like a fire it explodes then when the fuel is gone it starts to die. You hold the matches needed to keep that fire aglow but under control. You are responsible for your relationship; build it on a Friendship on Fire. You need passion to keep the sparks flying and friendship for to keep them under control. Therapist Dr. Linda Miles shares secrets to successful and lasting relationships based on real life. She uses her more than thirty years of experience and research to explain what really works to keep the flames alive in simple, yet inspiring language. Friendship on Fire is loaded with tips that couples can implement to be more loving. It's up to you what you do with your matches. Ebony Man 1989-11 52 Weeks Of Passionate Sex Melanie Votaw 2004-01-20 You've seen the ads in many popular magazines and newspapers: Great Lovers are Made, not Born™. Here's an easy and thoroughly enjoyable way for couples to transform themselves -- and each other -- into better lovers. This kit, which provides creative inspiration for a whole year's worth of fresh and imaginative approaches to sex, comes from The Sinclair Intimacy Institute, the home of the best-selling sex education videos for adults. The 96 page book contains 52 quick and fun ideas, tips, and techniques for busy couples, plus a dozen suggestions for more leisurely approaches to lovemaking—each designed to inspire tremendous sensual creativity. The kit also features a variety of tasteful accessories, including silk rose petals, a scented candle, a feather, a slim volume of erotic stories, a blindfold, and a "Do Not Disturb" sign for the door. The Art of Chinese Calligraphy Melanie Votaw 2003-02-21 Instructions and tools for practicing the ancient art of Chinese calligraphy have never been easier or more affordable. Growing interest in Asian arts, coupled with a trend toward creative self-expression, make this a timely how-to kit. Contains everything needed: pot, ink, stone, spoon, brushes, paper, and an instruction book. Weekly World News 1996-09-24 Rooted in the creative success of over 30 years of supermarket tabloid publishing, the Weekly World News has been the world's only reliable news source since 1979. The online hub www.weeklyworldnews.com is a leading entertainment news site. Stories Revived ...: Georgina's reasons. A passionate pilgrim. A landscape-painter. Rose-Agathe Henry James 1885 52 Naughty and Sexy Coupons for Couples Craga's Publishing 2020-12-13 Do you want to improve your relationship? Are you looking for something that will excite your partner? A fun way to explore each other's bodies & boundaries to find out what really turns each other on. Enjoy these well thought out tried and tested passionate sex coupons, designed to dramatically turn up the heat in & out of the bedroom. These coupons contain activities you may usually be too shy to do or ask to do with your partner. Talk together and set your boundaries. They are meant to let unleash your creativity and surprise you with your sexual desires. It is a perfect gift for... her and for him on the occasion of Christmas, Anniversary, Valentine's Day or Birthday. Inside: 52 Sexual coupons for couples to redeem whenever you wants, 1 a week for a whole year for best results A collection of kinky activities and sexy foreplay acts for all levels. Places to do sex, sex games (sometimes even risky) and ideas (skip some if you do not feel comfortable). Guarenteed to bring you both closer together and inject some excitement and passion into your relationship 3 blank coupons for your partner pleasure, and 3 blank coupons to suit your own fantasies or fetishes at the end of book. Click the cover to see what's inside! Book Features: Premium Glossy Finish Cover Size: 8.25' x 6' and 110 Pages Beautiful Original Designs Printed on High Quality Interior Stock Paper We are sure that our sex coupons will fulfill your partner's sexual fantasies and you both will get a lot of pleasure using this book. Scroll up and BUY NOW! Destination Elk Pond H.D. Nels 2016-05-14 No sooner does flight service specialist Sam Hare take up his post in Elk Pond than he’s warned to watch out for handsome pilot brothers Brett and Randy Edmond. As he settles into his new job and gets to know Brett better, his meddlesome landlady is taking bets on which brother he’ll fall for. When Sam finds out about the wager, he’s furious and humiliated and decides to resign. But a serious accident sends him and the brothers on a rescue mission, drawing them closer together. Then Sam’s best friend Mike comes to visit and falls in love with Randy. In the meantime, Brett’s relationship with Sam deepens. Suddenly it isn’t so easy for Sam to leave town. With clear skies ahead, will Sam stay grounded in Elk Pond or will he take flight? Re-energise your relationship Infinite Ideas 2011-12-16 How can you recapture those golden moments when your relationship was new and exciting? Would you both rather now watch the TV or read a good book than talk, cuddle or even kiss? If your roaring fire of a relationship has been reduced to a smoulder and you’re... beginning to feel stuck in a rut, Re-energise your relationship could be just what you need to help you recapture the magic. Re-energise your relationship contains over 50 inspiring and practical ideas to help you rekindle that flame and help even the most distant of couples to recapture the rapture. From finding time to be together to rediscovering what makes each other tick in every room in the house not just the bedroom, you will be truly inspired by the ideas in this book and you'll have a lot of fun putting them into practice too. A Year of Questions Ashley Kusi 2020-03 A Year of Questions: A 52-Week Q&A Book for Couples to Complete Together, Connect, and Have Meaningful Conversations A Year of Questions is the perfect Q&A book for couples to spend quality time together, connect, and have meaningful conversations. With this Q&A journal for couples, you'll be able to: 1. Spend quality time with your significant other, so you can connect and strengthen intimacy in your relationship. More specifically, there are 52 engaging and thought-provoking questions for couples to complete together. 2. Create a new weekly date night activity; a fun thing for couples to do together. 3. Have exciting/interesting conversations about your relationship, appreciate, and understand your partner better. 4. Open up to each other, communicate your needs, share your dreams and memories. 5. Learn new things about your partner and reflect on your relationship. What's more, the questions that cover topics such as communication, gratitude, life experiences, money, sex, and much more. You can even use them as conversation starters. Plus, this question and answer journal for couples is simple, easy to use, and has enough room to comfortably write your answers. If you don't like writing, you can simply discuss your answers. Lastly, A Year of Questions makes a great engagement, relationship anniversary, bridal shower, Christmas, birthdays, holidays, or wedding gift for your friends and family. Now: Get your copy of this Q&A book for couples today. The Wizard of Wuz Richard H. Tobias 2003-10-12 The story of a young, orphaned boy who, through many travails and illnesses, was able to reach a degree of success both financially and personally. Now in his retirement, he is able to enjoy the rewards of his wife, Shelley, and their two children and grandchildren's exploits. Pursuit of Passion Jeffrey Murphy 2015-12-01 Have you allowed skewed views and bad theology to hijack the question, "What does sex mean to our marriage?" In "Pursuit of Passion," we offer you detailed suggestions on building your sexual connection and pleasure, as well as overcoming common struggles that rob couples of authentic sexual intimacy. This book equips engaged and married couples to replace misinformation with God's truth - that sex is His idea, and that God designed sex to be an essential and passionate place of bonding in your marriage. This book comprehensively looks at the spiritual, emotional and physical aspects of your sexual intimacy, tackles some of the toughest questions that couples face and includes discussion questions that will foster deeper communication for you as a couple. This book also includes an extensive list of marriage-building resources. Get ready to take your intimacy to a whole new level 52 Dirty Sex Coupons for Her Alison O'connor Publishing 2020-10-24 Enjoy these well thought out tried and tested passionate sex coupons, designed to dramatically turn up the heat in & out of the bedroom. A fun way to explore each other's bodies & boundaries to find out what really turns each other on. I appreciate that people have different boundaries and preferences, so if you don't agree with a certain coupon please skip it and don't feel bad about it, we are all at different levels on our sexual journey. Book Details & Features: 52 Sexual coupons for the lady to redeem whenever she wants, 1 a week for a whole year for best results. A range of raunchy challenges and prompts for all levels, ranging from beginner to advanced. (skip some if you do not feel comfortable) Guaranteed to bring you both closer together and inject some excitement and passion into your relationship. The perfect gift for newlyweds, anniversaries, birthdays, Christmas and more. 5 blank coupons for his pleasure, and 5 blank coupons to suit your own fantasies or fetishes. Love, Sex, and Intimacy Elaine Hatfield 1993 Reclaiming Pleasure Holly Richmond 2021-10-01 Go beyond surviving to reclaim your sexual self. If you have experienced sexual abuse, assault, harassment, or rape, you may feel disconnected from your sexual self—even if you’ve overcome the initial trauma of your experience. You are a survivor; but surviving is just the beginning. This book explores what comes next. Written by a psychotherapist and grounded in cutting-edge research, Reclaiming Pleasure picks up where other sexual trauma recovery books leave off. It offers practical tools to help you cultivate a sense of safety, security and trust in order to reclaim the vitality, pleasure and great sex you deserve. The book will also serve as your compass on a journey toward the rediscovery of desire, letting you explore what you want from others and for yourself. This groundbreaking book will help you: Understand the lasting mental, physical, sexual, and relational impacts of sexual trauma Move beyond feelings of shame Reclaim pleasure and reignite passion in your life Surviving is merely the first step in the process of recovery from sexual trauma. With this sex-positive and empowering guide, you are invited to take your recovery to the next level. You’ll feel emboldened by the desire for better sex, healthier relationships, and a more connected, pleasurable life. Water dreams Jeanne McDonald 2003 After nearly dying in an attempt to save a drowning man, Miller Sharp plunges headlong into a personal crisis--fueled by his own guilt--that threatens to derail his marriage and his job as his attempts to protect the dead man's widow turns into an unpleasant affair. A first novel. (General Fiction) Little Coupon Book 52 SEXY Vouchers for Him Craga's Are you looking for something that will excite your partner? Do you want to improve your relationship? A fun way to explore each other's bodies & boundaries to find out what really turns each other on. Enjoy these well thought out tried and tested passionate sex coupons, designed to dramatically turn up the heat in & out of the bedroom. These coupons contain activities you may usually be too shy to do or ask to do with your partner. Talk together and set your boundaries. They are meant to let unleash your creativity and surprise you with your sexual desires. It is a perfect gift for him on the occasion of Christmas, Anniversary, Valentine's Day or Birthday. Inside: - 52 Sexual coupons for him to redeem whenever you wants, 1 a week for a whole year for best results - A collection of kinky activities and sexy foreplay acts for all levels. - Places to do sex, sex games (sometimes even risky) and ideas (skip some if you do not feel comfortable). - Guaranteed to bring you both closer together and inject some excitement and passion into your relationship - 5 blank coupons for his pleasure, to suit his fantasies or fetishes at the end of book. Click the cover to see what's inside! Book Features: - Premium Matte Finish Cover - Size: 8.25' x 6' and 108 Pages - Beautiful Original Designs - Printed on High Quality Interior Stock Paper We are sure that our sex coupons will fulfill your partner's sexual fantasies and you both will get a lot of pleasure using this book. Scroll up and BUY NOW! A Tired Woman's Guide to Passionate Sex Laurie B. Mintz 2009-09-18 Shows how women can reenergize their sex lives by using a "Five T's" plan consisting of thoughts, talk, time, touch, and trysts. Teen Study Bible for Girls Denise Gilmore 2021-06-19 You wish to have your teen girl explore God's Word. And, Despite the best of intentions, reading the Holy Bible seems difficult. "Teen Study Bible for Girls" provides Teen relatable themes from the Bible that can give guidance at a critical juncture in their lives. Developing an intimate and long-lasting bond with the Lord. Key Features of this study bible: Weekly theme-based NIV™ Bible Study Plan written for modern-day teenagers Relatable explanations of Bible scriptures with life application morality Reflection questions for thought-provoking responses from teen girls. Powerful prayers to generate positive energy. A refreshing Bible Study for teen girls from the Best Selling Author of "Devotionals for Women" - Denise Gilmore No More Fighting Alicia Muñoz 2018-12-04 All couples fight—but a little guidance goes a long way to tackling the issues that trigger fights in the first place. No More Fighting offers couples fast and effective strategies to overcome common relationship problems and build lasting love together. In just 20 minutes per week, couples will learn how to effectively speak and listen to each other as they confront critical relationship issues. From reconciling different values to navigating intimacy issues and everything in between, No More Fighting gives you the skills you need to fight less and love each other more. The Art of Belly Dancing Melanie Votaw 2004-06-16 Part ancient art form, part sensuous entertainment, and part fun, sexy way to increase physical fitness while exploring a ritual of self-expression, belly dancing is today enjoying an exciting renaissance. There's nothing quite like it for toning your abs—and it provides a real aerobic workout! At a fraction of the price of a how-to video or a dance-class series, this ingenious kit has everything you need to get started: an illustrated, 64 page book with detailed instructions for all the basic moves and rhythmic undulations, a pair of zills (finger cymbals), a veil, paste-on jewels, and a CD with exotic dance music to enhance the experience. Self-Help That Works John C. Norcross Ph.D. 2013-03-05 Self-help is big business, but alas, not always a scientific one. Self-help books, websites, and movies abound and are important sources of psychological advice for millions of Americans. But how can you sift through them to find the ones that work? Self-Help That Works is an indispensable guide that enables readers to identify effective self-help materials and distinguish them from those that are potentially misleading or even harmful. Six scientist-practitioners bring careful research, expertise, and a dozen national studies to the task of choosing and recommending self-help resources. Designed for both laypersons and mental-health professionals, this book critically reviews multiple types of self-help resources, from books and autobiographies to films, online programs, support groups, and websites, for 41 different behavioral disorders and life challenges. The revised edition of this award-winning book now features online self-help resources, expanded content, and new chapters focusing on autism, bullying, chronic pain, GLB issues, happiness, and nonchemical addictions. Each chapter updates the self-help resources launched since the previous edition and expands the material. The final chapters provide key strategies for consumers evaluating self-help as well as for professionals integrating self-help into treatment. All told, this updated edition of Self-Help that Works evaluates more than 2,000 self-help resources and brings together the collective wisdom of nearly 5,000 mental health professionals. Whether seeking self-help for yourself, loved ones, or patients, this is the go-to, research-based guide with the best advice on what works. Kama Sutra 52 Lisa Schrader 2009-09-01 “Toss out all other sex manuals. Meditate on not just the positions but the philosophy in Kama Sutra 52. Think of it as a manual for your mind, not just your body. See how thoughtful sex can bring you to the edge where the sacred reveals itself. With this beautiful book, discover how pleasure is a doorway to spirit.” –Thomas Moore, author of Care of the Soul and The Soul of Sex “Lisa Schrader has written a sumptuous and reverent modern interpretation of the Kama Sutra, showing lovers the full range of what is possible in the passionate embrace. She conveys a knowledge and love of these teachings that tantalizes and inspires. Read and enjoy.” –Johanina Wikoff, Ph.D., author of The Complete Idiot’s Guide to the Kama Sutra “Lisa Schrader's Kama Sutra 52 gives us a celebration of what's possible in sexual intimacy when we invite the sacred back into the bedroom.” –Susan Crain Bakos, bestselling author of The Sex Bible, The Sex Bible for Women, The Orgasm Bible, and many more “A burning ‘yes’ to this book of ancient sexual wisdom made exquisitely engaging for today's lovers. More than a position book, Kama Sutra 52 inspires an eternal flow of heat, healing, and intentful loving between partners.” – Charla Hathaway, author of Erotic Massage and 8 Erotic Nights, www.howintimacyworks.com “In Kama Sutra 52, Schrader has crafted a work of art that marries the ancient Kama Sutra with a modern take on lovemaking. May her words instruct and inspire you as they did me!” –Eric Marlowe Garrison, author of Mastering Multiple Position Sex The best year of your life has arrived with Kama Sutra 52. Reach new levels of exotic and erotic bliss with a hot new position to try every week for 52 weeks! Each position, inspired by the ancient text of the Kama Sutra, maximizes pleasure and fun. Scintillating, full-color photographs illustrate all 52 positions and step-by-step instructions guide you through each move and pose. And with four fiery sections to choose from—Spark, Flame, Fire, and Wild Fire—you’ll find positions to suit your every mood and inclination, from slow and sensual to red hot and ready to go. Are you ready to start the next chapter of your sex life? Are you ready to start your Kama Sutra year? Boundless Energy Elisabeth Wilson 2007-07-23 Tired of feeling tired? Bored of feeling blue? This work presents tips and ideas to feel awake, alert and at the top of your game, all day, every day. Men without Maps John Ibson 2019-10-22 In Men without Maps, John Ibson uncovers the experiences of men after World War II who had same-sex desires but few affirmative models of how to build identities and relationships. Though heterosexual men had plenty of cultural maps—provided by nearly every engine of social and popular culture—gay men mostly lacked such guides in the years before parades, organizations, and publications for queer persons. Surveying the years from shortly before the war up to the gay rights movement of the late 1960s and early '70s, Ibson considers male couples, who balanced domestic contentment with exterior repression, as well as single men, whose solitary lives illuminate unexplored aspects of the queer experience. Men without Maps shows how, in spite of the obstacles they faced, midcentury gay men found ways to assemble their lives and senses of self at a time of limited acceptance. The Culture of the Babylonian Talmud Jeffrey L. Rubenstein 2005-08-17 In this pathbreaking study Jeffrey L. Rubenstein reconstructs the cultural milieu of the rabbinic academy that produced the Babylonian Talmud, or Bavli, which quickly became the authoritative text of rabbinic Judaism and remains so to this day. Unlike the rabbis who had earlier produced the shorter Palestinian Talmud (the Yerushalmi) and who had passed on their teachings to students individually or in small and informal groups, the anonymous redactors of the Bavli were part of a large institution with a distinctive, isolated, and largely undocumented culture. The Culture of the Babylonian Talmud explores the cultural world of these Babylonian rabbis and their students through the prism of the stories they included in the Bavli, showing how their presentation of earlier rabbinic teachings was influenced by their own values and practices. Among the topics explored in this broad-ranging work are the hierarchical structure of the rabbinic academy, the use of dialectics in teaching, the functions of violence and shame within the academy, the role of lineage in rabbinic leadership, the marital and family lives of the rabbis, and the relationship between the rabbis and the rest of the Jewish population. This book provides a unique and new perspective on the formative years of rabbinic Judaism and will be essential reading for all students of the Talmud. -- Michael Satlow, Brown University Media, Sex, and the Adolescent Bradley S. Greenberg 1993 Do you want to improve your relationship? Are you looking for something that will excite your partner? A fun way to explore each other's bodies & boundaries to find out what really turns each other on. Enjoy these well thought out tried and tested passionate sex coupons, designed to dramatically turn up the heat in & out of the bedroom. These coupons contain activities you may usually be too shy to do or ask to do with your partner. Talk together and set your boundaries. They are meant to let unleash your creativity and surprise you with your sexual desires. It is a perfect gift for her and for him on the occasion of Christmas, Anniversary, Valentine's Day or Birthday. Inside: - 52 Sexual coupons for couples to redeem whenever you wants, 1 a week for a whole year for best results - A collection of kinky activities and sexy foreplay acts for all levels. Places to do sex, sex games (sometimes even risky) and ideas (skip some if you do not feel comfortable). - Guaranteed to bring you both closer together and inject some excitement and passion into your relationship - 3 blank coupons for your partner pleasure, and 3 blank coupons to suit your own fantasies or fetishes at the end of book. Click the cover to see what's inside! Book Features: - Premium Matte Finish Cover - Size: 8.25' x 6' and 110 Pages - Beautiful Original Designs - Printed on High Quality Interior Stock Paper We are sure that our sex coupons will fulfill your partner's sexual fantasies and you both will get a lot of pleasure using this book. Scroll up and BUY NOW! Desire Susan Cheever 2009-10-06 We've all felt the giddy flutter of excitement when our new lover walks into the room. Waited by the phone, changed our plans...But are we in love, or is there something darker at work? In Desire: Where Sex Meets Addiction, Susan Cheever explores the shifting boundaries between the feelings of passion and addiction, desire and need, and she raises provocative and important questions about who we love and why. Elegantly written and thoughtfully composed, Cheever's book combines unsparing and intimate memoir, interviews and stories, hard science and psychology to explore the difference between falling in love and falling prey to an addiction. Part one defines what addiction is and how it works -- the obsession, the betrayals, the broken promises to oneself and others. Part two explores the possible causes of addiction -- is it nature or nurture, a permanent condition or a temporary derangement? Part three considers what we can do about it, including a provocative suggestion about how we describe and treat addiction, and a look at the importance of community and storytelling. In the end, there are no easy answers. "A straight look about some crooked feelings," Desire shows us the difference between the addiction that cripples our emotions, and healthy, empowering love that enhances our lives. Hummingbirds Melanie Votaw 2007-01-29 These glittering fragments of the rainbow, jewels of the air, have fascinated anyone lucky enough to see one Handbook of the Sociology of Gender Barbara J. Risman 2018-06-05 This handbook provides a comprehensive view of the field of the sociology of gender. It presents the most important theories about gender and methods used to study gender, as well as extensive coverage of the latest research on gender in the most important areas of social life, including gendered bodies, sexuality, carework, paid labor, social movements, incarceration, migration, gendered violence, and others. Building from previous publications this handbook includes a vast array of chapters from leading researchers in the sociological study of gender. It synthesizes the diverse field of gender scholarship into a cohesive theoretical framework, gender structure theory, in order to position the specific contributions of each author/chapter as part of a complex and multidimensional gender structure. Through this organization of the handbook, readers do not only gain tremendous insight from each chapter, but they also attain a broader understanding of the way multiple gendered processes are interrelated and mutually constitutive. While the specific focus of the handbook is on gender, the chapters included in the volume also give significant attention to the interrelation of race, class, and other systems of stratification as they intersect and implicate gendered processes. Georgina's reasons. A passionate pilgrim. A landscape-painter. Rose-Agathe Henry James 1885 Passionate Communities Marilyn R. Schuster 1999-06 In this new full-length study of Jane Rule's life and work, Marilyn Schuster argues that Rule's novels provide a way of "writing and reading lesbian" that resists and subverts dominant discourses of gender and sexuality—both those of mainstream culture and of political and sexual subcultures. From her earliest novel, Desert of the Heart (1964), Rule's fiction has provided a challenge to the concept of a fixed identity and to the identity politics founded on such a concept. Incorporating all of Jane Rule's early work—including unpublished manuscripts, letters, magazine and newspaper columns, as well as fan mail she received—Schuster also draws on interviews, conversations, and personal encounters with the author to elicit the ways in which Rule interrogates the meanings and politics of sexuality, the relationship between sexuality and language, and the stakes of communities in individual claims on identity. Passionate Communities is a thorough, engaging, and long-overdue study of an important voice in lesbian literature and gay and lesbian politics. Be incredibly sexy Helena Frith Powell 2006-02-28 Provides 52 ideas to bring out your inner sex-god. Forthcoming Books Rose Arny 2004 Communication In Love And Marriage Jonathan Mira 2019-04-15 If you've always wanted to rekindle your passionate and loving relationship with your partner but kids, work or "a lack of communication" have gotten in the way, then keep reading... Are you sick and tired of arguing with your spouse? Have you tried endless other solutions (like "date nights") but nothing seems to work for more than a few weeks? Do you finally want to say goodbye to arguments about "nothing" and discover something which works for you? If so, then you've come to the right place. You see, creating and keeping a loving, passionate marriage doesn't have to be difficult. Even if you've tried everything (including therapy!), and nothing has worked for you so far. It can still be easier than you think. A study out of NYU demonstrated that couples that can communicate effectively are 52% more likely to stay together and 64% less likely to argue. Which means you can have a loving marriage, without the arguments. Here's just a tiny fraction of what you'll discover: The 10 things you should know about effective communication Why talking about your feeling is hurting your progress - and what to do instead How to have more sex without trying 5 harmful myths the media tell you about how you should communicate How you can save your marriage with just one simple change in your routine The biggest mistake people make in marriage ...and much, much more! Take a second to imagine how you'll feel when your marriage is loving, caring and full of passion again - and how your family and friends will react when they see you and your spouse more in love than ever. So even if you're constantly arguing, fed up and can't see how things could ever get better, you can create a more loving and passionate marriage than you every thought possible with Communication In Love And Marriage: A Couples Guide And if you have a burning desire to create the marriage of your dreams and create more love, laughs and sex in your life then scroll up and click "add to cart" A Couple's Love Journal Lori Ann Davis 2019-11-05 This year, fall in love all over again with this powerful relationship journal A Couple’s Love Journal is designed to open new lines of communication and create a ritual of meaningful and lasting connection between you and your partner. By devoting time every week with your partner as your work through the book, you’ll address relevant and compelling questions designed to touch on every aspect of your relationship, from day-to-day issues to long-term plans. It’s kind of like getting to know one another all over again and reveling in that magical feeling. With this love journal, you and your partner will be inspired to: Open a lively dialogue and increase your connection over the course of a year with 52 heartfelt and thought-provoking weekly prompts. Put your weekly words into action with relevant and thoughtful suggestions for activities you can share. Indulge in time for appreciation and reflection by following the book's helpful structure. Begin your yearlong journey to a deeper and more rewarding relationship. 52 Weeks and Counting... Ebony Webster 2012-05-16 China is a businesswoman who worked her way to the top the old-fashioned way; through hard-work, dedication and the retirement of her most precious sexual gem. But she meets Malcolm and he puts her loyalty to the test. Tabitha is a little girl trapped in the body of her imaginary friend, Bobby. But is Bobby really her friend or her abuser? Trampled by love over and over, and bearing the emotional scars to prove it, a women finally finds Mr. Perfect and love but is stood up by the man of her dreams. Will she let this dream be a reality of her former nightmares? And due to checkout at any time, a man's wife is battling cancer. In his mind, she will not be here much longer to hold him and love him the way she had for so many years. Who will be there to love him and motivate him and even console him when she is gone? He lets other ladies ease his mind and stroke his ego among other things. At last my love has come along. He just knew they were going to be the next first family until the unthinkable happens. The wife of an over-worked politician has an affair, has a baby outside the marriage and the family is falling apart. In a church world, many secrets surround the sanctuary, primarily in the pulpit. Boggled by guilt, Bishop McFoster wants to reveal his secret, right before offering time, but is shot to death before he can. These collections of short stories, plus more, reveal what happens next in their lives one year later. Heteronormativity, Passionate Aesthetics and Symbolic Subversion in Asia Saskia E Wieringa 2015-09-01 This book examines life trajectories among three categories of women living beyond the bounds of heteronormativity in Jakarta and Delhi, two major cities with substantively different religious and social values: women who have lost their husbands, either through divorce or death; sex workers; and young, urban lesbians. Delhi has a large Hindu majority and a sizeable Muslim minority, amongst other religious and cultural pluralities. The Indian state is constitutionally committed to secularism and equal respect to all regions despite right-wing Hindu fundamentalism. Jakarta is the capital of a sprawling archipelago with a large variety of ethnic cultures, Indonesia having the largest Muslim population of the world, as well as sizeable ethnic and religious minorities comprising Christians, Hindus, Buddhists and others. The Indonesian state is constitutionally secular, but religion plays a large role in public life and is embedded in regulations that strongly impact people's private lives. Recently, there have been strong political currents to impose stricter Islamic codes. The public arena of sexual politics, in which the media play an important role, is explored in both cities. Hot sex is a major media selling point, particularly in Indonesia. Heteronormativity entails a system of symbolic violence in the sense that it punishes those that it excludes and polices those that it includes; the ways its powers are subverted are likewise symbolic. Passionate aesthetics refers to the dynamics, motivations, codes of behavior and presentation, subjectivities and identities that together make up the complex workings of erotic attraction, sexual relations and partnerships patterns. By charting the lives of women who live beyond the boundaries of the heteronormative, commonalities are revealed; boundaries and regulatory mechanisms in the context of symbolic violence are delineated; and the issue of the struggle for sexual rights for marginalised groups, and their open rebellion, brought to the fore. At the heart of the book lies elaboration of the ways Asian families are constructed -- their social, economic, sexual and religious agency, and how these engage with state-led values. 52 Weeks Of Passionate Sex 52 Weeks Of Passionate Sex: In today's digital age, eBooks have become a staple for both leisure and learning. The convenience of accessing 52 Weeks Of Passionate Sex and various genres has transformed the way we consume literature. Whether you are a voracious reader or a knowledge seeker, read 52 Weeks Of Passionate Sex or find the best eBook that aligns with your interests and needs is crucial. This article delves into the art of finding the perfect eBook and explores the platforms and strategies to ensure an enriching reading experience. Table of Contents 52 Weeks Of Passionate 1. Understanding the eBook 52 Weeks Of Passionate Sex - The Rise of Digital Reading 52 Weeks Of Passionate Sex - Advantages of eBooks Over Traditional Books 2. Identifying 52 Weeks Of Passionate Sex - Exploring Different Genres - Considering Fiction vs. Non-Fiction - Determining Your Reading Goals 3. Choosing the Right eBook Platform - Popular eBook Platforms - Features to Look for in an 52 Weeks Of Passionate Sex 4. Exploring eBook Recommendations from 52 Weeks Of Passionate Sex - Personalized Recommendations - 52 Weeks Of Passionate Sex User Reviews and Ratings - 52 Weeks Of Passionate Sex and Bestseller Lists 5. Accessing 52 Weeks Of Passionate Sex Free and Paid eBooks - 52 Weeks Of Passionate Sex Public Domain eBooks - 52 Weeks Of Passionate Sex eBook Subscription Services - 52 Weeks Of Passionate Sex Budget-Friendly Options 6. Navigating 52 Weeks Of Passionate Sex eBook Formats - ePub, PDF, MOBI, and More 7. Enhancing Your Reading Experience - Adjustable Fonts and Text Sizes of 52 Weeks Of Passionate Sex - Highlighting and Note-Taking 52 Weeks Of Passionate Sex - Interactive Elements 52 Weeks Of Passionate Sex 8. Staying Engaged with 52 Weeks Of Passionate Sex - Joining Online Reading Communities - Participating in Virtual Book Clubs - Following Authors and Publishers 52 Weeks Of Passionate Sex 9. Balancing eBooks and Physical Books 52 Weeks Of Passionate Sex 10. Overcoming Reading Challenges - Dealing with Digital Eye Strain - Minimizing Distractions - Managing Screen Time 11. Cultivating a Reading Routine - Setting Reading Goals - Carving Out Dedicated Reading Time 12. Sourcing Reliable Information - Fact-Checking eBook Content - Distinguishing Credible Sources 13. Promoting Lifelong Learning - Utilizing eBooks for Skill Development - Exploring Educational eBooks 14. Embracing eBook Trends - Integration of Multimedia Elements - Interactive and Gamified eBooks Find 52 Weeks Of Passionate Sex Today! In conclusion, the digital realm has granted us the privilege of accessing a vast library of eBooks tailored to our interests. By identifying your reading preferences, choosing the right platform, and exploring various eBook formats, you can embark on a journey of learning and entertainment like never before. Remember to strike a balance between eBooks and physical books, and embrace the reading routine that works. best for you. So why wait? Start your eBook 52 Weeks Of Passionate Sex FAQs About Finding 52 Weeks Of Passionate Sex eBooks How do I know which eBook platform to Find 52 Weeks Of Passionate Sex? Finding the best eBook platform depends on your reading preferences and device compatibility. Research different platforms, read user reviews, and explore their features before making a choice. Are 52 Weeks Of Passionate Sex eBooks of good quality? Yes, many reputable platforms offer high-quality 52 Weeks Of Passionate Sex eBooks, including classics and public domain works. However, make sure to verify the source to ensure the eBook credibility. Can I read 52 Weeks Of Passionate Sex without an eReader? Absolutely! Most eBook platforms offer web-based readers or mobile apps that allow you to read eBooks on your computer, tablet, or smartphone. How do I avoid digital eye strain while reading 52 Weeks Of Passionate Sex? To prevent digital eye strain, take regular breaks, adjust the font size and background color, and ensure proper lighting while reading eBooks. What is the advantage of interactive eBooks? Interactive eBooks incorporate multimedia elements, quizzes, and activities, enhancing reader engagement and providing a more immersive learning experience. 52 Weeks Of Passionate Sex is one of the best books in our library for free trial. We provide copies of 52 Weeks Of Passionate Sex in digital format, so the resources you find are reliable. There are also many eBooks related with 52 Weeks Of Passionate Sex. Where to download 52 Weeks Of Passionate Sex online for free? Are you looking for 52 Weeks Of Passionate Sex PDF? This is definitely going to save you time and cash in something you should think about. If you trying to find then search around for online. Without a doubt there are numerous these available and many of them have the freedom. However without doubt you receive whatever you purchase. An alternate way to get ideas is always to check another 52 Weeks Of Passionate Sex. This method for see exactly what may be included and adopt these ideas to your book. This site will almost certainly help you save time and effort, money and stress. If you are looking for free books then you really should consider finding to assist you try this. Several of 52 Weeks Of Passionate Sex are for sale to free while some are payable. If you aren't sure if the books you would like to download works with for usage along with your computer, it is possible to download free trials. The free guides make it easy for someone to free access online library for download books to your device. You can get free download on free trial for lots of books categories. Our library is the biggest of these that have literally hundreds of thousands of different products categories represented. You will also see that there are specific sites catered to different product types or categories, brands or niches related with 52 Weeks Of Passionate Sex. So depending on what exactly you are searching, you will be able to choose e books to suit your own need. Need to access completely for 52 Weeks Of Passionate Sex book? Access Ebook without any digging. And by having access to our ebook online or by storing it on your computer, you have convenient answers with 52 Weeks Of Passionate Sex To get started finding 52 Weeks Of Passionate Sex you are right to find our website which has a comprehensive collection of books online. Our library is the biggest of these that have literally hundreds of thousands of different products represented. You will also see that there are specific sites catered to different categories or niches related with 52 Weeks Of Passionate Sex So depending on what exactly you are searching, you will be able to choose ebook to suit your own need. Thank you for reading 52 Weeks Of Passionate Sex. Maybe you have knowledge that, people have search numerous times for their favorite readings like this 52 Weeks Of Passionate Sex, but end up in harmful downloads. Rather than reading a good book with a cup of coffee in the afternoon, instead they juggled with some harmful bugs inside their laptop. 52 Weeks Of Passionate Sex is available in our book collection an online access to it is set as public so you can download it instantly. Our digital library spans in multiple locations, allowing you to get the most less latency time to download any of our books like this one. Merely said, 52 Weeks Of Passionate Sex is universally compatible with any devices to read. You can find 52 Weeks Of Passionate Sex in our library or other format like: - mobi file - doc file - epub file You can download or read online 52 Weeks Of Passionate Sex pdf for free. 52 Weeks Of Passionate Sex Introduction In the ever-evolving landscape of reading, eBooks have emerged as a game-changer. They offer unparalleled convenience, accessibility, and flexibility, making reading more enjoyable and accessible to millions around the world. If you're reading this eBook, you're likely already interested in or curious about the world of eBooks. You're in the right place because this eBook is your ultimate guide to finding eBooks online. The Rise of 52 Weeks Of Passionate Sex The transition from physical 52 Weeks Of Passionate Sex books to digital 52 Weeks Of Passionate Sex eBooks has been transformative. Over the past couple of decades, 52 Weeks Of Passionate Sex have become an integral part of the reading experience. They offer advantages that traditional print 52 Weeks Of Passionate Sex books simply cannot match. Imagine carrying an entire library in your pocket or bag. With 52 Weeks Of Passionate Sex eBooks, you can. Whether you're traveling, waiting for an appointment, or simply relaxing at home, your favorite books are always within reach. 52 Weeks Of Passionate Sex eBooks have broken down barriers for readers with visual impairments. Features like adjustable font size and text-to-speech functionality have made reading accessible to a wider audience. In many cases, 52 Weeks Of Passionate Sex eBooks are more cost-effective than their print counterparts. No printing, shipping, or warehousing costs mean lower prices for readers. 52 Weeks Of Passionate Sex eBooks contribute to a more sustainable planet. By reducing the demand for paper and ink, they have a smaller ecological footprint. Why Finding 52 Weeks Of Passionate Sex Online Is Beneficial The internet has revolutionized the way we access information, including books. Finding 52 Weeks Of Passionate Sex eBooks online offers several benefits: The online world is a treasure trove of knowledge, allowing you to discover new authors and genres without leaving your home. trove of 52 Weeks Of Passionate Sex eBooks. You can discover books from every genre, era, and author, including many rare and out-of-print titles. Gone are the days of waiting for 52 Weeks Of Passionate Sex book to arrive in the mail or searching through libraries. With a few clicks, you can start reading immediately. 52 Weeks Of Passionate Sex eBook collection can accompany you on all your devices, from smartphones and tablets to eReaders and laptops. No need to choose which book to take with you; take them all. Online platforms often have robust search functions, allowing you to find 52 Weeks Of Passionate Sex books or explore new titles based on your interests. 52 Weeks Of Passionate Sex are more affordable than their printed counterparts. Additionally, there are numerous free eBooks available online, from classic literature to contemporary works. This comprehensive guide is designed to empower you in your quest for eBooks. We'll explore various methods of finding 52 Weeks Of Passionate Sex online, from legal sources to community-driven platforms. You'll learn how to choose the best eBook format, where to find your favorite titles, and how to ensure that your eBook reading experience is both enjoyable and ethical. Whether you're new to eBooks or a seasoned digital reader, this 52 Weeks Of Passionate Sex eBook has something for everyone. So, let's dive into the exciting world of eBooks and discover how to access a world of literary wonders with ease and convenience. Understanding 52 Weeks Of Passionate Sex Before you embark on your journey to find 52 Weeks Of Passionate Sex online, it's essential to grasp the concept of 52 Weeks Of Passionate Sex eBook formats. 52 Weeks Of Passionate Sex come in various formats, each with its own unique features and compatibility. Understanding these formats will help you choose the right one for your device and preferences. Different 52 Weeks Of Passionate Sex eBook Formats Explained 1. EPUB (Electronic Publication): EPUB is one of the most common eBook formats, known for its versatility and compatibility across a wide range of eReaders and devices. Features include reflowable text, adjustable font sizes, and support for images and multimedia. EPUB3, an updated version, offers enhanced interactivity and multimedia support. 2. MOBI (Mobipocket): MOBI was originally developed for Mobipocket Reader but is also supported by Amazon Kindle devices. It features a proprietary format and may have limitations compared to EPUB, such as fewer font options. 3. PDF (Portable Document Format): PDFs are a popular format for eBooks, known for their fixed layout, preserving the book's original design and formatting. While great for textbooks and graphic-heavy books, PDFs may not be as adaptable to various screen sizes. 4. AZW/AZW3 (Amazon Kindle): These formats are exclusive to Amazon Kindle devices and apps. AZW3, also known as KF8, is an enhanced version that supports advanced formatting and features. 5. HTML (Hypertext Markup Language): HTML eBooks are essentially web pages formatted for reading. They offer interactivity, multimedia support, and the ability to access online content, making them suitable for textbooks and reference materials. 6. TXT (Plain Text): Plain text eBooks are the simplest format, containing only unformatted text. They are highly compatible but lack advanced formatting features. Choosing the right 52 Weeks Of Passionate Sex eBook format is crucial for a seamless reading experience on your device. Here's a quick guide to format compatibility with popular eReaders: EPUB: Compatible with most eReaders, except for some Amazon Kindle devices. Also suitable for reading on smartphones and tablets using dedicated apps. MOBI: Primarily compatible with Amazon Kindle devices and apps. PDF: Readable on almost all devices, but may require zooming and scrolling on smaller screens. AZW/AZW3: Exclusive to Amazon Kindle devices and apps. HTML: Requires a web browser or specialized eBook reader with HTML support. TXT: Universally compatible with nearly all eReaders and devices. Understanding 52 Weeks Of Passionate Sex eBook formats and their compatibility will help you make informed decisions when choosing where and how to access your favorite eBooks. In the next chapters, we'll explore the various sources where you can find 52 Weeks Of Passionate Sex eBooks in these formats. 52 Weeks Of Passionate Sex eBook Websites and Repositories One of the primary ways to find 52 Weeks Of Passionate Sex eBooks online is through dedicated eBook websites and repositories. These platforms offer an extensive collection of eBooks spanning various genres, making it easy for readers to discover new titles or access classic literature. In this chapter, we'll explore 52 Weeks Of Passionate Sex eBook and discuss important considerations of 52 Weeks Of Passionate Sex. Popular eBook Websites 1. Project Gutenberg: Project Gutenberg is a treasure trove of over 60,000 free eBooks, primarily consisting of classic literature. It offers eBooks in multiple formats, including EPUB, MOBI, and PDF. All eBooks on Project Gutenberg are in the public domain, making them free to download and read. 2. Open Library: Open Library provides access to millions of eBooks, both contemporary and classic titles. Users can borrow eBooks for a limited period, similar to borrowing from a physical library. It offers a wide range of formats, including EPUB and PDF. 3. Internet Archive: The Internet Archive hosts a massive digital library, including eBooks, audio recordings, and more. It offers an "Open Library" feature with borrowing options for eBooks. The collection spans various genres and includes historical texts. 4. BookBoon: BookBoon focuses on educational eBooks, providing free textbooks and learning materials. It's an excellent resource for students and professionals seeking specialized content. eBooks are available in PDF format. 5. ManyBooks: ManyBooks offers a diverse collection of eBooks, including fiction, non-fiction, and self-help titles. Users can choose from various formats, making it compatible with different eReaders. The website also features user-generated reviews and ratings. 6. Smashwords: Smashwords is a platform for independent authors and publishers to distribute their eBooks. It offers a wide selection of genres and supports multiple eBook formats. Some eBooks are available for free, while others are for purchase. 52 Weeks Of Passionate Sex Legal Considerations While these 52 Weeks Of Passionate Sex eBook websites provide valuable resources for readers, it's essential to be aware of legal considerations: Copyright: Ensure that you respect copyright laws when downloading and sharing 52 Weeks Of Passionate Sex eBooks. Public domain 52 Weeks Of Passionate Sex eBooks are generally safe to download and share, but always check the copyright status. Terms of Use: Familiarize yourself with the terms of use. and licensing agreements on these websites. 52 Weeks Of Passionate Sex eBooks may have specific usage restrictions. Support Authors: Whenever possible, consider purchasing 52 Weeks Of Passionate Sex eBooks to support authors and publishers. This helps sustain a vibrant literary ecosystem. Public Domain eBooks Public domain 52 Weeks Of Passionate Sex eBooks are those whose copyright has expired, making them freely accessible to the public. Websites like Project Gutenberg specialize in offering public domain 52 Weeks Of Passionate Sex eBooks, which can include timeless classics, historical texts, and cultural treasures. As you explore 52 Weeks Of Passionate Sex eBook websites and repositories, you'll encounter a vast array of reading options. In the next chapter, we'll delve into the world of eBook search engines, providing even more ways to discover 52 Weeks Of Passionate Sex eBooks online. 52 Weeks Of Passionate Sex eBook Search eBook search engines are invaluable tools for avid readers seeking specific titles, genres, or authors. These search engines crawl the web to help you discover 52 Weeks Of Passionate Sex across a wide range of platforms. In this chapter, we'll explore how to effectively use eBook search engines and uncover eBooks tailored to your preferences. Effective Search 52 Weeks Of Passionate Sex To make the most of eBook search engines, it's essential to use effective search techniques. Here are some tips: 1. Use Precise Keywords: Be specific with your search terms. Include the book title 52 Weeks Of Passionate Sex, author's name, or specific genre for targeted results. 2. Utilize Quotation Marks: To search 52 Weeks Of Passionate Sex for an exact phrase or book title, enclose it in quotation marks. For example, "52 Weeks Of Passionate Sex." 3. 52 Weeks Of Passionate Sex Add "eBook" or "PDF": Enhance your search by including "eBook" or "PDF" along with your keywords. For example, "52 Weeks Of Passionate Sex eBook." 4. Filter by Format: Many eBook search engines allow you to filter results by format (e.g., EPUB, PDF). Use this feature to find 52 Weeks Of Passionate Sex in your preferred format. 5. Explore Advanced Search Options: Take advantage of advanced search options offered by search engines. These can help narrow down your results by publication date, language, or file type. Google Books and Beyond Google Books: Google Books is a widely used eBook search engine that provides access to millions of eBooks. You can preview, purchase, or find links to free 52 Weeks Of Passionate Sex available elsewhere. It's an excellent resource for discovering new titles and accessing book previews. Project Gutenberg Search: Project Gutenberg offers its search engine, allowing you to explore its extensive collection of free 52 Weeks Of Passionate Sex. You can search by title 52 Weeks Of Passionate Sex, author, language, and more. Internet Archive's eBook Search: The Internet Archive's eBook search provides access to a vast digital library. You can search for 52 Weeks Of Passionate Sex and borrow them for a specified period. Library Genesis (LibGen): Library Genesis is known for hosting an extensive collection of 52 Weeks Of Passionate Sex, including academic and scientific texts. It's a valuable resource for researchers and students. eBook Search Engines vs. eBook Websites It's essential to distinguish between eBook search engines and eBook websites: Search Engines: These tools help you discover eBooks across various platforms and websites. They provide links to where you can access the eBooks but may not host the content themselves. Websites: eBook websites host eBooks directly, offering downloadable links. Some websites specialize in specific genres or types of eBooks. Using eBook search engines allows you to cast a wider net when searching for specific titles 52 Weeks Of Passionate Sex or genres. They serve as powerful tools in your quest for the perfect eBook. 52 Weeks Of Passionate Sex eBook Torrenting and Sharing Sites 52 Weeks Of Passionate Sex eBook torrenting and sharing sites have gained popularity for offering a vast selection of eBooks. While these platforms provide access to a wealth of reading material, it's essential to navigate them responsibly and be aware of the potential legal implications. In this chapter, we'll explore 52 Weeks Of Passionate Sex eBook torrenting and sharing sites, how they work, and how to use them safely. Find 52 Weeks Of Passionate Sex Torrenting vs. Legal Alternatives 52 Weeks Of Passionate Sex Torrenting Sites: 52 Weeks Of Passionate Sex eBook torrenting sites operate on a peer-to-peer (P2P) file-sharing system, where users upload and download 52 Weeks Of Passionate Sex eBooks directly from one another. While these sites offer 52 Weeks Of Passionate Sex eBooks, the legality of downloading copyrighted material from them can be questionable in many regions. 52 Weeks Of Passionate Sex Legal Alternatives: Some torrenting sites host public domain 52 Weeks Of Passionate Sex eBooks or works with open licenses that allow for sharing. Always prioritize legal alternatives, such as Project Gutenberg, Internet Archive, or Open Library, to ensure you're downloading 52 Weeks Of Passionate Sex eBooks legally. Staying Safe Online to download 52 Weeks Of Passionate Sex When exploring 52 Weeks Of Passionate Sex eBook torrenting and sharing sites, it's crucial to prioritize your safety and follow best practices: 1. Use a VPN: To protect your identity and online activities, consider using a Virtual Private Network (VPN). This helps anonymize your online presence. 2. Verify 52 Weeks Of Passionate Sex eBook Sources: Be cautious when downloading 52 Weeks Of Passionate Sex from torrent sites. Verify the source and comments to ensure you're downloading a safe and legitimate eBook. 3. Update Your Antivirus Software: Ensure your antivirus software is up-to-date to protect your device from potential threats. 4. Prioritize Legal Downloads: Whenever possible, opt for legal alternatives or public domain eBooks to avoid legal complications. 5. Respect Copyright Laws: Be aware of copyright laws in your region and only download 52 Weeks Of Passionate Sex eBooks that you have the right to access. 52 Weeks Of Passionate Sex eBook Torrenting and Sharing Sites Here are some popular 52 Weeks Of Passionate Sex eBook torrenting and sharing sites: 1. The Pirate Bay: The Pirate Bay is one of the most well-known torrent sites, hosting a vast collection of 52 Weeks Of Passionate Sex eBooks, including fiction, non-fiction, and more. 2. 1337x: 1337x is a torrent site that provides a variety of eBooks in different genres. 3. Zoople: Zoople offers a wide range of eBooks and is known for its user-friendly interface. 4. LimeTorrents: LimeTorrents features a section dedicated to eBooks, making it easy to find and download your desired reading material. A Note of Caution While 52 Weeks Of Passionate Sex eBook torrenting and sharing sites offer access to a vast library of reading material, it's important to be cautious and use them responsibly. Prioritize legal downloads and protect your online safety. In the next chapter, we'll explore eBook subscription services, which offer legitimate access to 52 Weeks Of Passionate Sex eBooks. 52 Weeks Of Passionate Sex: church and politics in renaissance italy k j p lowe chinese language study in american higher education peter a eddy chromatin transcriptional tango on the immune dance floor ananda l roy chronicles of the world tree patricia anne dye clabical and quantum black holes p fre clab with the counteb luann de lebeps civil war nurse hannah anderson ropes christians and jews in the ottoman arab world bruce masters choosing americas destiny james jay madison cicero speech on behalf of publius sestius robert a kaster chinas climate policy gang chen cigars whiskey and winning al kaltman citizens and the state takashi inoguchi clab status and power reinhard bendix childs talk jerome seymour bruner christian ethics rubell a morris cities in the developing world josef gugler chinese urban life under reform wenfang tang clabics of personnel management thomas henry patten civility religious pluralism and education vincent biondo christopher lee and peter cushing and horror cinema mark a miller circc study guide 2016 edition zhealth documentation ck 12 middle school math grade 6 volume 1 of 2 ck 12 foundation clab caste and color wilmot godfrey james clean energy diary ahilan raman christian mibions in africa reinhard henkel christmas favorites for beginner piano volume 1 a silver tonalities clabrooms for distance teaching learning michael hegarty christmas craft printable activities quickcraft sally faust choice or chance stephen nowicki clabroom abebment in mathematics george w bright circulation in third world countries r mansell prothero chinese tax law and international treaties lorenzo riccardi clabical southern cooking damon fowler chinese for beginners yi ren chinese language education in the united states jiening ruan cisco avvid and ip telephony design implementation wayne lawson christian mibion in the modern world john stott citizenship and welfare state reform in europe jet bubemaker christlike parenting glenn i latham choice of force david last christian childbirth marianne manley rn cnm citrix acceb gateway vpx 504 ebestials andrew mallett clabic rubian idylls proctor jones clabic martian stories poul anderson choosing a school deirdre raftery chinese middlebrow fiction john minford christmas texas style tina leonard cima official exam practice kit financial operations jo watkins chocolate for a womans soul kay allenbaugh christ and history frederick e crowe sj chomsky on democracy education noam chomsky christmas a very peculiar history fiona macdonald chiricahua apache enduring power trudy griffin pierce christmas bride to be alison roberts clabic collection frankenstein saviour pirotta chinese older people wai kam yu choose the life you want tal ben shahar christian wicca nancy chandler pittman christos tsiolkas and the fiction of critique andrew mccann china review 1993 joseph cheng yu shek civil war west duane shaw city baby and star don stannard friel christmas carols for children pamela coopere chronicles of the eighteenth century mrs maud mary lyttelton wyndham hon clab list for english prose fiction boston public library civil society and the internet in japan isa ducke chinas industrial reform gene tidrick clab 3 4 6 hydrolases lyases isomerases ligases dietmar schomburg chips crisps and french fries jonathan clark christmas at cardwell ranch bj daniels china after the sixteenth party congreb te yu wang civil humor stephen w delchamps chronicles of er da jeffrey redmond chinese herbal remedies megan croley city girls the nisei social world in los angeles 1920 1950 valerie j matsumoto city scratch off map new york christina henry de teban christmas on the range winter roses cattlemans choice diana palmer clabical traditions in renaissance philosophy jill kraye claim number one george w ogden circus fists robert ervin howard clabes of monomial ideals anda olteanu choosing authenticity richard n southworth clean like a man tom mcnulty civil war on the mibouri kansas border donald gilmore civil war arkansas 1863 mark k christ christian singles wheres my mate bethany k scanlon circabian history kadir i natho cisco networking academy program ccnp1 cisco systems inc cisi cmp combating financial crime syllabus bpp learning media clean coal technology barry leonard chinas sent down generation helena k rene christianity truth and weakening faith gianni vattimo chloe the kitten lily small clabical music top 40 anthony rudel choose costa rica john howells clabical and modern social theory heine anderson circle of succeb monique mclean circuit the circuit tom perry ciw server administration study guide james stanger clean car wars yozo hasegawa civil commitment of sexually dangerous persons nathan james christmas with billy and me giovanna fletcher cisco ccna routing and switching 200 120 exam cram michael valentine circles in the sky richard g weingardt christmas in his royal bed heidi betts circumpolar health atlas t kue young clabic one shots weird mysteries pasttime publications chromium doped tio2 sputtered thin films anouar hajjaji clabic recipes of morocco ghillie basan clabic duets for two oboes of intermediate standard amanda oosthuizen civil society and legitimate european governance stijn smismans christ the warrior king phillip rob bethancourt christian social reconstruction virgil george michel church conflict charles h cosgrove city of light and shadow ian whates christines philosophical journey to san diego frank kyle clab v family life gail arlene felcyn claimed the crew verity vixxen circus of dreams siren publishing clabic manlove kelly conrad circularity nell s van becker city of light keri arthur choice and coercion johanna schoen chinese television in the twenty first century ruoyun bai china review 1998 ling hin li clabical greek architecture alexander tzonis christ beyond reason joel r baseley christmas at wayfarer inn shari anton christmas favorites for easy piano volume 2 c silver tonalities christianity in the kitchen mary tyler peabody mann christian faith and the problem of evil peter van inwagen chiquicuentos collection volume 2 patricia franco christian jewish relations 1000 1300 anna sapir abulafia chinese economic reform gerald segal chinas modern economy in historical perspective dwight perkins chinese and americans xu guoqi city of thieves david benioff chretien de troyes and the dawn of arthurian romance william farina choosing the republic glenn patmore citizenship and language learning audrey osler chronicles of a nomad a a alvarez christian hermetic astrology robert powell church law and bantu music stephen b g mbunga christianity in the modern world dr elijah obinna christian theology for a secular society mark g mckim chinas sacred sites shun xun nan cisco router firewall security richard a deal christianity under islam in jerusalem oded peri clab and news don heider clabic recipes mexican cooking wendy hobson christian unity in effort clabic reprint frank j firth chinese energy security ryan clarke civil war songs and ballads for guitar jerry silverman citizenship education great britain parliament house of commons education and skills committee ciceros de provinciis consularibus oratio luca grillo christianity in britain laurenson l chinese identity in post suharto indonesia chang yau hoon chinese link intermediate level 2 part 2 sue mei wu christian bioethics c ben mitchell chirurgie de pierre franco e nicaise circle of the moon barbara hambly claiming our footprints denise ackermann chinas south south relations bettina gransow chivalry in twelfth century germany w h jackson chronicle of alfonso x shelby thacker clabical and modern interactions karl galinsky china study diet speedy publishing llc chinese language thought and culture p j ivanhoe ciaphas cain defender of the imperium sandy mitchell clavis calendaria john henry brady china during the cultural revolution 1966 1976 tony h chang city of towers keith baker civility and its discontents christine t sistare china s role in afghanistan a capitalist peace approach nerkez opacin chronic and terminal illneb sheila payne clabic one shots pretty boy floyd on the spot fawcett publications citizenship and the european community elizabeth m meehan christian responsibility and communicative freedom wolfgang huber christmas delights journal karen jean matsko hood chinese women living and working anne mclaren christian unity through gods starter kit jesus william mccracken citizenship and crisis detroit arab american study group civil war as a crisis in gender leeann whites christmas songs a to z cigarettes for two tom fugate churchill eden and indo china 1951 1955 nong v n dan cities surround the countryside robin viber claiming the stones naming the bones elazar barkan clabroom math games grades 3 4 tommy hall chimp supremacy clifford e lewin clabification disease and evidence philippe huneman chu gar mantis roger d hagood cibp for dummies lawrence miller civil society and social movements arthur l domike christian mibion dana l robert chopin complete preludes piano sheet music frederic chopin circuit designers companion ron schmitt christ formed in you brian g hedges clabic one shots worlds beyond fawcett publications christmas through our eyes rebecca burgey clarendon and the rhetoric of historical form martine watson brownley civil war recipes lily may spaulding chronicle of a silence endured guido verona cholecystokinin and its antagonists in pain management gary mccleane clabic carousel carving h leroy marlow chinese ethics in a global context karl heinz pohl christmas gift a family barbara hannay chili dawgs always bark at night lewis grizzard christmas at tiffanys karen swan clean eating for busy families michelle dudash christians feminists and the culture of pornography arthur j mielke china dreams 20 visions of the future william a callahan chiquicuentos collection volume 3 patricia franco clean living paleo basics luke hines chinas second revolution harry harding church debts and the way to pay them charles l miel choose your college major in a day laurence shatkin citizenship and moral education mark halstead city of god cecelia holland clabics feminism barbara f mcmanus chronicles of tao ming dao deng clabrooms in the crobfire robert m o'neil china in an era of transition reza hasmath christian formation james riley estep clay bottom creek jake spurgeon clabics contemporaries john w aldridge city of the queen shuqing shi christmas stars david g hartwell cities and cemeteries of etruria george dennis clabic home cooking mary frances berry christianity without fairy tales jim rigas china europe and international security frans paul van der putten chiropractic technologies robert d mootz cider beans wild greens and dandelion jelly joan e aller cirque du freak manga ediiton darren shan clabic horror stories charles a coulombe cisco qos exam certification guide ip telephony self study wendell odom chromosome identification medicine and natural sciences torbjoern casperbon chinese new year for kids baby profebor clabroom critters and the scientific method sally kneidel citizens who care inge bleijenbergh city of villains eric mylonas chili recipes 365 brandy thomas chronicon paschale 284 628 ad michael whitby civil rights in american law history and politics austin sarat cities as sustainable ecosystems peter newman civilian or combatant anicee van engeland christmas in illinois james ballowe clabical mythology in english literature geoffrey miles chitty chitty bang bang and the race against time frank cottrell boyce clabical greek and roman drama robert j forman christian college christian calling steve wilkens choosing and using fiction and non fiction 3 11 margaret mallett cinema is 100 years old emmanuelle toulet clairvoyance for those in the desert joanna frueh christ in the life and teaching of gregory of nazianzus andrew hofer circuits of visibility radha sarma hegde china goes west joel backaler clabworks literacy year 6 paula rob clabico e moderno michael white cities disaster risk and adaptation christine wamsler choking on the silver spoon gary w buffone civil society and government nancy l rosenblum chocolate is better lynn vern choosing a career made easy patty marler cibp boxed set shon harris chlorophyll biosynthesis and technological applications constantin a rebeiz claiming his own her little secret his hidden heir olivia gates citizenship education through the social studies robert wendell frederick cisa review manual 2013 isaca christian education robert e clark choice against chance john aitchison christian identity in corinth v henry t nguyen christmas blackout maggie k black cholesterol wont kill you but trans fat could fred august kummerow christian paths to health and wellneb 2nd edition walters peter christian faith and public choices robin w lovin christian and islamic spirituality maria jaoudi choosing a bible translation john j pilch clabic motorcycle electrics manual james smith christmas thyme at oak hill farm marge clark civil engineering review manual michael r lindeburg church religion and society in early modern spain helen rawlings chip hilton basketball bundle clair bee chivalry and the perfect prince braden frieder city of dreadful night lee siegel chronicles of the county wexford george griffiths chocolate for a womans soul volume ii kay allenbaugh christmas with the rancher mary leo clabrooms as learning communities chris watkins church and society george p liacopulos chronicles of the red king 3 leopards gold jenny nimmo christian family and contemporary society nicu dumitrascu church and society in england 1000 1500 andrew brown civic innovation in america carmen sirianni christian interpretation of american history garrett heyns clabical myth and psychoanalysis vanda zajko chinese immigration in its social and economical aspects george frederick seward choosing and using a new cat rod mollise city of dragons robin hobb Related with 52 Weeks Of Passionate Sex: # the magic of you lynette leckie clark : click here
COMMUNICATOR February 2010 NASDTEC Officers and Board Members President: Vance Rugaard (TN) Vice President: George Maurer (IA) Regional Directors Northeastern: Brian Devine (MA) Southern: Michael Carr (KY) Central: Ted Gillispie (OK) Western: Dale Janssen (CA) Committee Chairs Associate Member Committee: Meredith Curley (Univ of Phoenix) Interstate Committee: Elizabeth Keller (MT) Professional Practices Committee: Marian Lambeth (FL) Professional Preparation and Continuing Development: Marta Cambra (VT) Technology Committee David LaJeunesse (FL) Staff Executive Director: Roy Einreinhofer Corporate Counsel: Carolyn Angelo (PA) National Association of State Directors of Teacher Education and Certification 1225 Providence Road PMB 116 Whitinsville, MA 01588 Tel: 508/380-1202 Fax: 508/278-5342 E-mail: firstname.lastname@example.org Website: www.nasdtec.org PRESIDENT'S REPORT Vance Rugaard (TN) We are on the downhill side of what has been an "interesting" winter, to say the least. NASDTEC has kept its profile visible at the national level by having representation at several important meetings. In early December, Mike Carr joined a team from Kentucky and I went representing both Tennessee and NASDTEC to the World Language Teacher Certification Summit in Alexandria, VA. We made an effort to inform the participants about NASDTEC's mission and our willingness to partner with their efforts to increase the supply of World Language Teachers. [World Language is the new, "politically correct" phrase for what we usually refer to as "foreign language".] Shortly after the first of January, Roy Einreinhofer and several of our state members from the west represented NASDTEC's interests at the Western States Conference held in San Diego, CA. Although this is an independent conference, the western region of NASDTEC meets in conjunction with this gathering. On January 26-29, 2010, the National Association for Alternative Certification (NAAC) held their annual meeting at the Red Rock Resort and Convention Center in Summerlin, NV. Ted Gillespie, the regional director from the Central Region of NASDTEC and I attended this meeting and again promoted the interests of NASDTEC within a national forum. As a result of that meeting, NAAC, NCTAF, and CCSSO have invited us to partner with them on an upcoming project. The next Executive Board meeting will be held the end of February, 2010 in Nashville. The two major items for consideration are: 1) the developing search for a new Executive Director and 2) the reauthorization of the NASDTEC Interstate Agreement. The search for an Executive Director by the upcoming deadline of June 30, 2012 will cause the Board to study the entire staffing needs for the organization. This consideration may result in splitting the position, with one person focused on the advancement of the mission of the organization at the national level, with a supplementary staff position that may serve the role of meeting planner. There is much to be discussed and decided. The economy continues to plague travel plans for state members. If any states have found creative ways to finance travel that will circumvent state travel restrictions, we would appreciate having you share them with the group. We are looking forward to the June Conference in Indianapolis, scheduled for June 13-16, 2010. We encourage associate members to come and join us at this important conference. ____________________________________ Vice President's Report George Maurer (IA) The Southern Regional held its annual meeting in Nashville on January 29 and 30. Braving a formidable snow storm in Tennessee, representatives from five states along with representation from associate members as well, the group had a productive meeting. Among the topics discussed were: the election of the Southern Region Director in June, the upcoming NASDTEC Interstate Agreement approval process, alternative The It's hard to believe we are just a few months away from the June conference. As you review the conference agenda that appears later in this newsletter, I'm sure you will feel, as the conference development committee does, that we've been very fortunate and are very excited about the quality and expertise of the presenters that have agreed to participate. I believe we have an agenda that will address all aspects of what NASDTEC represents. I know with budgets as tight as they are, it may be difficult to secure funding for additional attendees, but I would encourage you to select this conference as the one to attend since it will address many of the national issues that you will need to work on during the Obama administration. Also, the conference is at a great location (Indianapolis, IN). It has something for everyone and if you bring family there is an opportunity for shopping and a variety of restaurants for you to consider. NASDTEC conferences have always provided an opportunity to start or renew professional relationships, have fun and to expand your knowledge. We look forward to seeing you in June in Indianapolis. Southern Region Report Mike Carr (KY) Southern Regional held its annual meeting in Nashville on January 29 and 30. Braving a formidable snow storm in Tennessee, representatives from five states along with representation from associate members as well, the group had a productive meeting. Among the topics discussed were: the election of the Southern Region Director in June, the upcoming NASDTEC Interstate Agreement approval process, alternative route changes in the region, educator misconduct issues, changes in technology, and preparation programs/testing. Roy Einreinhofer and Vance Rugaard gave comprehensive updates on the June conference, the proposed NASDTEC budget for the next two years, and the process for hiring a new executive director in future years. While travel restrictions and the weather situation did prevent more states from sending representative, all members there agreed that face-to-face meeting were most effective in having strong dialogue on the issues of interest, and they hope that this format may be continued. ___________________________________ Executive Director's Report Roy Einreinhofer As we enter the second decade of the 2000s, NASDTEC can look back upon a history of achievement and solid work in many areas. But the new decade also offers an opportunity for the association to look ahead and to define the role it will play over the next decade. The Executive Board is working to define the role of the next Executive Director, and how NASDTEC will interface with other players on the national scene. This is an important step for the association and one in which we welcome input from the membership. We hear much from the corporate world about "rebranding" or "reinventing" companies. It may not be as common in the association world, but the exercise of attempting to redefine the role of NASDTEC so that we may continue to be relevant in the world of education is an important step in revitalizing the membership. With many of our jurisdictional members reaching the age of retirement, we need to be sure that the goals and objectives of NASDTEC are clearly presented so that the new folks stepping into those jurisdictional leadership roles understand the reasons that being an active participant in NASDTEC is important to them and to their organizations. Take some time to look around your organization. Are there folks who should be introduced to NASDTEC and what we stand for? With the current budget situation in most jurisdictions, this may not be the best time to try to get others involved, but we should all be planning for the time when budgets loosen up a bit, and when out-ofstate travel is again permitted. Let's be sure that this next decade will be one of growth for NASDTEC. It's up to you. __________________________________ June 2010 – Indianapolis Why should you attend the 2010 Conference? Sunday, June 13: Penny Earley – What's new in Washington Paige Kowalski – Data Quality Campaign –State Reports Kathleen Paliokas – What's new with CCSSO and INTASC Monday, June 14: Julie Ewart, USDOE – Update on the administration's education policies Jesse Solomon – Boston Teacher Residency Program Elizabeth Dabney – Title II Update Jeanne Rothenberger – E-transcript Exchange for Certification/Licensure Tom Carroll – What's new at NCTAF Vickie Chamberlain – Navigating a Major Teacher Licensure Exam Transition Michelle McLaughlin – Teaching as Leadership Tuesday, June 15: Dennis van Roekel – Update on the NEA David LaJeunesse - Assessments, Evaluations, and Standards for On-line Education Pamela Coleman – The Teacher Leader Donna Goldnick - NCATE Panel on Transformation and Continuous Improvement Wednesday, June 16: Stephanie Hirsh – Recruitment, Retention, and Staffing Elizabeth Keller – New Interstate Agreement for 2010 – 2015 The full conference agenda and registration form are included for your convenience. You may also download these forms from the conference website (www.nasdtec.com) ______________________________________________________________________________ Future Conference Dates and Sites: 2010 Professional Practices Institute October 6 – 8, 2010 Renaissance Pittsburgh Pittsburgh, Pennsylvania 2011 Annual Conference June 5 – 8, 2011 Hyatt Regency at Capitol Park Sacramento, California 2012 Annual Conference 2011 Professional Practices Institute October 19 – 21, 2011 Doubletree Hotel Little Rock, Arkansas 2012 Professional Practices Institute June 24 – 27, 2012 Hyatt Regency Inner Harbor Baltimore, Maryland October 17 – 19, 2012 Hilton Netherland Plaza Cincinnati, Ohio ______________________________________________________________________________ June 2010 Conference Agenda and Registration Information See next page. NASDTEC June 2010 Conference Preliminary Agenda Drivers for Change: The Race to Quality February 2010 Sunday, June 13, 2010 \| 7:30 – 8:30 7:30 – 8:30 \| General Breakfast First-Timer Breakfast, Sponsored by ETS \| \| \|---\|---\|---\| \| 8:45 – 9:30 \| Opening Remarks NASDTEC President and Vice President Welcome to Indiana \| Vance Rugaard (TN) George Maurer (IA) Dr. Tony Bennett, Indiana State Superintendent of Public Instruction \| \| 9:30 – 9:45 \| BREAK \| \| \| 9:45 – 11:00 \| GENERAL SESSION #1 Washington Update \| Penny Earley, George Mason University \| \| 11:00 – 11:15 \| BREAK \| \| \| 11:15 – 12:00 \| GENERAL SESSION #2 Data Quality Campaign Update \| Paige Kowalski, Data Quality Campaign \| \| 12:00 – 1:00 \| LUNCH \| \| \| 1:15 – 2:30 \| GENERAL SESSION #3 CCSSO/INTASC \| Kathleen Paliokas, CCSSO \| \| 2:35 – 3:00 \| Introduction to cultural event \| \| \| 3:30 - \| Cultural Event Sponsored by Evaluation Systems group of Pearson \| \| \| \| Monday, June 14, 2010 \| \| \| 7:30 – 9:30 \| Regional Meetings Breakfast Sponsored by ETS \| \| \| 9:30 – 9:45 \| BREAK \| \| 11:15 – 12:15 CONCURRENT SESSIONS BLOCK A A-1–Boston Teacher Residency Jesse Solomon, Boston \| 12:15 – 1:15 \| LUNCH \| \|---\|---\| \| 1:30 – 3:00 \| GENERAL SESSION #5 Title II Update \| \| 3:00 – 3:15 \| BREAK \| \| 3:15 – 4:30 \| CONCURRENT SESSIONS BLOCK B B-1 – NCTAF B-2 – Navigating a Major Teacher Licensure Examination Transition B-3 – E-transcript Exchange for Certification/Licensure \| \| 5:30 – 7:00 \| President’s Reception Sponsored by ETS \| \| \| Tuesday, June 15, 2010 \| \| 7:30 – 8:30 \| General Breakfast \| \| 8:45 – 10:00 \| GENERAL SESSION #6 NEA Update \| \| 10:00 -10:15 \| BREAK \| \| 10:15 -11:45 \| CONCURRENT SESSIONS BLOCK C C-1- Associate Member Committee Themed Meeting C-2 -Clearinghouse System Changes \| C-3-Assessments, Evaluations, and Standards for On-line Speaker TBA \| 11:45 – 1:15 \| LUNCH Sponsored by Evaluation Systems group of Pearson \| Doug Bates Award \| \|---\|---\|---\| \| 1:15 – 2:30 \| CONCURRENT SESSIONS BLOCK D D-1 – Teacher Leader D-2 –PP&CD Committee Themed Meeting D-3 – Will Testing Ethics for Licensure Improve Professional Practices? \| Pamela Coleman (KS) Katherine Bassett (ETS) PP&CD Committee Vickie Chamberlain (OR) \| \| 2:30 – 2:45 \| BREAK \| \| \| 2:45 – 3:45 \| GENERAL SESSION # 7 NCATE Panel on Transformation and Continuous Improvement \| Donna Goldnick, NCATE Shane Martin, Loyola Marymount University \| \| 4:00 – 5:00 \| GENERAL SESSION #8 NASDTEC Business Meeting \| NASDTEC Executive Board \| \| 5:00 - 6:00 \| Independent Standards Board ad hoc committee meeting \| Dale Janssen (CA) \| \| \| Wednesday, June 16, 2010 \| \| \| 7:30 – 9:00 8:00 – 9:00 \| NASDTEC Board Breakfast General Breakfast \| \| \| 9:00 – 10:15 \| GENERAL SESSION #9 Recruiting and Retaining Highly Qualified Educators \| Stephanie Hirsh, National Staff Development Council \| \| 10:15 – 10:30 \| BREAK \| \| \| 10:30 – 12:00 \| GENERAL SESSION #10 2010 – 2015 Interstate Agreement: A New Approach to Facilitating Educator Movement \| Interstate Agreement Committee \| \| 12:00 -12:30 \| Conference Wrap-up \| \| 82nd Annual Meeting and Conference Annual Meeting and Conference Annual Meeting and Conference June 13 June 13 June 13 June 13 ----16, 2010 16, 2010 16, 2010 16, 2010 Hyatt Regency, Hyatt Regency, Indianapolis, Indiana Indianapolis, Indiana 1109 Registration Name: Title: Organization/Agency: Address: City, State, ZIP: Phone: Fax: E-Mail: Name to appear on Badge (nickname): Members: Early registration fee of $445 accepted until May 25, 2010 after that the registration fee is $485. Non-Members: Early registration fee of $465 accepted until, May 25, 2010 after that the registration fee is $495. One Day Registrations: $175 per day: Please circle day attending: Sun Mon Tues Wed The registration includes breakfast and lunch Sunday through Tuesday and breakfast only on Wednesday. The fee does not include hotel room costs. Payment method: Check enclosed: NASDTEC Federal ID #: 94-2967408 Purchase Order: PO#: (Please enclose copy of Purchase Order) Credit Card: [ ] American Express [ ]Discover [ ] Master Card[ ] Visa Card Number: Exp Date: Name on Card: Street Address and Zip: Make checks payable to NASDTEC and mail this form and your payment to: NASDTEC Annual Conference 1225 Providence Road, PMB # 116 Whitinsville, Massachusetts 01588 Fax: 508/278-5342 Refund policy: All refund checks will be mailed out after the conference ♦ No refund if written cancellation is received 15 or fewer days prior to the first day of the conference. ♦ Refund of registration fee, less $75 processing and handling fee, if the request is received more than 15 calendar days prior to the first day of the event. NOTE: To make hotel reservations, please contact the Hyatt Regency Indianapolis directly. Be sure to mention that you are a part of the NASDTEC Conference so you get our special room rate of $129. Call: 317/632-1234 for reservations. We suggest that you make your reservations early as we expect to completely fill our room block.
Large-eddy simulation (LES) of a wind- and wave-forced water column based on the Craik–Leibovich (C–L) vortex force is used to understand the structure of small-scale Langmuir circulation (LC) and associated Langmuir turbulence. The LES also serves to understand the role of the turbulence in determining molecular diffusive scalar flux from a scalar-saturated air side to the water side and the turbulent vertical scalar flux in the water side. Previous laboratory experiments have revealed that small-scale LC beneath an initially quiescent air–water interface appears shortly after the initiation of wind-driven gravity–capillary waves and provides the laminar–turbulent transition in wind speeds between 3 and 6 m s$^{-1}$. The LES reveals Langmuir turbulence characterized by multiple scales ranging from small bursting eddies at the surface that coalesce to give rise to larger (centimetre-scale) LC over time. It is observed that the smaller scales account for the bulk of the near-surface turbulent vertical scalar flux. Although the contribution of the larger (centimetre-scale) LC to the near-surface turbulent flux increases over time as these scales emerge and become more coherent, the contribution of the smaller scales remains dominant. The growing LC scales lead to increased vertical scalar transport at depths below the interface and thus greater scalar transfer efficiency. Simulations were performed with a fixed wind stress corresponding to a 5 m s$^{-1}$ wind speed but with different wave parameters (wavelength and amplitude) in the C–L vortex force. It is observed that longer wavelengths lead to more coherent, larger centimetre-scale LC providing greater contribution to the turbulent vertical scalar flux away from the surface. In all cases, the molecular diffusive scalar flux at the water surface relaxes to the same statistically steady value after transition to Langmuir turbulence occurs, despite the different wave parameters in the C–L vortex force across the simulations. This implies that the small-scale turbulence intensity and the molecular diffusive scalar flux at the surface scale with the wind shear and not with the wave parameters. Furthermore, it is seen that the Langmuir (wave) forcing (provided by the C–L vortex force) is necessary. † Email address for correspondence: firstname.lastname@example.org to trigger the turbulence that induces elevated molecular diffusive scalar flux at the water surface relative to wind-driven flow without wave forcing. Key words: air/sea interactions, turbulent mixing, turbulent boundary layers 1. Introduction In low wind speeds of between 3 and 6 m s$^{-1}$, interaction between wind-driven gravity–capillary waves and the wind-driven shear current leads to the generation of small-scale (centimetre-scale) Langmuir circulation (LC) in the water side of an air–water interface (Melville, Shear & Veron 1988; Veron & Melville 2001). These eddies consist of parallel counter-rotating vortices roughly aligned in the direction of the wind and waves. Small-scale LC structures were first observed by Langmuir (1938), and subsequently by Scott et al. (1969) and Kenney (1993), and first studied quantitatively in the laboratory experiments of Melville et al. (1988) and later Veron & Melville (2001). In the experiments of Veron & Melville (2001), initiation of laminar LC (Li & Garrett 1993; McWilliams, Sullivan & Moeng 1997) was followed by a sudden transition to turbulence in which the growing cells were characterized by irregularity while nonlinearly interacting with each other. More recently, such a transition has also been observed in the direct numerical simulation (DNS) of Hafsi, Tejada-Martínez & Veron (2017) following the Veron & Melville (2001) experiment. The presence of aqueous turbulence serves to enhance near-surface vertical mixing resulting in a thinning of the molecular scalar diffusion sublayer and thus a greater scalar concentration gradient across the sublayer. The latter gives rise to an increase in scalar transfer across the air–water interface via molecular diffusion. Recently, various highly resolved numerical simulations have been performed investigating the role of turbulence underneath gravity–capillary waves in determining scalar transport (either dissolved gas or heat transport) (e.g. see Komori et al. 2010; Tsai et al. 2013; Takagaki et al. 2015; Kurose et al. 2016; Hafsi et al. 2017). Takagaki et al. (2015), in a DNS configuration similar to that of Komori et al. (2010) and Hafsi et al. (2017), observed that the aqueous turbulence underneath wind-driven, growing gravity–capillary waves is composed of two principal scales consisting of small intermittent surface motions embedded within larger growing scales. The latter grow in depth and width over time with the growing wave field. These larger eddies were identified as wind- and wave-driven centimetre-scale LC while the smaller scales were identified as purely shear-driven bursting motions characteristic of classical boundary layer turbulence. Furthermore, this small-scale shear-driven turbulence (and not the larger LC scales) was seen as controlling the near-surface turbulent scalar transport and thus responsible for setting the molecular diffusive scalar flux at the air–water interface. However, the role of the waves and associated LC in determining molecular diffusive scalar flux should be further investigated/clarified in light of the laboratory experiments of Veron & Melville (2001) and the DNS results of Komori et al. (2010) and Hafsi et al. (2017). In particular, the DNS of Hafsi et al. (2017) and the earlier DNS of Komori et al. (2010) suggest that the waves play a significant role by triggering the turbulence that leads to elevated values of molecular diffusive scalar flux at the air–water interface relative to DNS in which the sheared interface is intentionally held flat. In the latter case, the flow does not transition to turbulence. Veron & Melville (2001) also show that waves are the trigger to the laminar–turbulent transition in their physical experiments. Langmuir turbulence is known to be comprised of a hierarchy of Langmuir cells, with smaller and more irregular cells occurring between stronger, more organized larger cells (Leibovich 1983). A connection should be made between this hierarchy of cells and the small-scale bursting motions at the water surface identified by Takagaki et al. (2015). In this paper, the DNS of Hafsi et al. (2017) which follows closely that of Komori et al. (2010) is revisited, highlighting the small-scale and larger-scale turbulence and the impact of the wave forcing on molecular diffusive scalar flux at the interface. Subsequently, large-eddy simulation (LES) of the water side is presented with the water surface taken as a rigid lid sheared by a constant wind stress with inclusion of the Craik–Leibovich (C–L) vortex force in the momentum equation parameterizing the effect of the waves and thus the LC-generating mechanism. This approach reveals similar structures highlighted in the DNS with a freely deforming air–water interface. Wave parameters (wavelength and amplitude) in the Stokes drift velocity in the C–L vortex force are varied in order to understand the effect of the wave forcing on the turbulence and ultimately the molecular diffusive scalar flux at the water surface and the turbulent vertical flux of the scalar throughout the water column. Analysis highlights the relationship between the small bursting surface motions and the larger scales of the turbulence and their impact on turbulent scalar transport, leading to the conclusion that the entire range of scales is dictated by the combined effect of the wind and wave forcing and is thus categorized as Langmuir turbulence. 2. Numerical set-up 2.1. The DNS and LES equations The DNS is that of an air flow driving a water flow beneath (figure 1) with governing equations for both air and water consisting of the incompressible continuity and Navier–Stokes equations for the velocity $(u, v, w)$ and pressure. The components $u$, $v$ and $w$ denote the velocity in the streamwise (or downwind) $(x)$, spanwise (or crosswind) $(y)$ and vertical $(z)$ directions, respectively. The interface between the air and water is tracked via a volume-of-fluid method. In addition to the continuity and momentum (Navier–Stokes) equations to predict air and water flow velocities and pressures, the concentration of dissolved scalar (e.g. gas), $C$, in air and in water is predicted via an advection–diffusion equation. In this study, as is routinely done, the Schmidt number or ratio of kinematic viscosity to scalar diffusivity $(\nu/\kappa)$ is set to 1 because this does not affect the fundamental turbulent mechanisms promoting scalar transfer and transport. The interested reader is directed to Hafsi et al. (2017) for the DNS equations, and details of the volume-of-fluid method tracking the interface and the finite-volume-based numerical discretization. In the case of LES, the domain consists of only the water side with the water surface taken as a rigid lid driven by a constant wind stress in the $x$-direction (figure 1). The wind stress is equal to the mean shear stress exerted by the air flow on the water surface in the DNS. The LES incompressible continuity and momentum equations are, respectively, as follows: \[ \frac{\partial u_i}{\partial x_i} = 0, \] \[ \frac{\partial u_i}{\partial t} + u_j \frac{\partial u_i}{\partial x_j} = -\frac{\partial \Pi}{\partial x_i} + \nu \frac{\partial^2 u_i}{\partial x_j^2} + \frac{\partial \tau_{ij}}{\partial x_j} + \epsilon_{ijk} V_j^s \omega_k, \] where $\epsilon_{ijk}$ is the totally antisymmetric third-rank tensor, $u_i$ and $\omega_i$ are the $i$th components of the LES (resolved) velocity and vorticity, respectively, in the Cartesian coordinate system $(x_1, x_2, x_3)$, $t$ is time and $\nu$ is kinematic viscosity. For ease of notation, the downwind, crosswind and vertical velocities are denoted as $u_1 = u$, $u_2 = v$ and $u_3 = w$, respectively. Furthermore, coordinates $x_1$, $x_2$ and $x_3$ are taken as $x$ (downwind), $y$ (spanwise) and $z$ (vertical), respectively. The C–L vortex force is the last term on the right-hand side of the momentum equation above, where $V_j^s$ is the Stokes drift velocity. The C–L vortex force consists of the cross-product between the Stokes drift velocity induced by the unresolved air–water interface waves and the flow vorticity (Craik & Leibovich 1976; McWilliams et al. 1997; Fujiwara, Yoshikawa & Matsumara 2018). The C–L vortex force arises from wave-phase-averaging the momentum equation with the vertical shear of the Stokes drift velocity in this force serving to tilt vertical vorticity into streamwise vorticity and thus creating LC. Note that recent wave-phase-resolved formulations also exhibit this tilting mechanism (e.g. see Texeira & Belcher 2002; Guo & Shen 2013). Wave-phase-averaging also introduces a modified pressure (divided by constant density), $\Pi$, appearing in the momentum equation. Pressure $\Pi$ is given in terms of the static pressure and the Stokes drift; when the Stokes drift is zero $\Pi$ reverts to the original static pressure. The definition of $\Pi$ can be obtained from McWilliams et al. (1997). The Stokes drift velocity profile used for the present LES is based on the deep water wave approximation (Phillips 1977) taken with non-zero component in the downwind ($x$) direction and zero components in the crosswind ($y$) and vertical ($z$) directions. Specifically, the downwind Stokes drift velocity is set as $$V_1^s = u^s = \left( \frac{2\pi A}{\lambda} \right)^2 \sqrt{\frac{g\lambda}{2\pi}} \exp \left[ -4\pi \frac{(H-z)}{\lambda} \right], \quad (2.3)$$ where $\lambda$ and $A$ are the wavelength and amplitude, respectively, $g$ is gravitational acceleration and $H$ is the vertical length of the domain with $z$ extending from $z=0$ at the base (or bottom) to $z=H$ at the top (i.e. the water surface). The LES advection–diffusion equation for scalar concentration is $$\frac{\partial C}{\partial t} + (u_j + V^s_j) \frac{\partial C}{\partial x_j} = \kappa \frac{\partial^2 C}{\partial x_j^2} + \frac{\partial q_j}{\partial x_j},$$ \hspace{1cm} (2.4) where $C$ is the LES (filtered) scalar concentration and $\kappa$ is the diffusivity of the scalar in water. The term $\tau_{ij}$ appearing on the right-hand side of the momentum equation in (2.2) and the term $q_j$ appearing on the right-hand side of the scalar transport equation in (2.4) are the LES subgrid-scale (SGS) stress and SGS scalar flux, respectively. Both the SGS stress and SGS scalar flux are modelled based on the well-known dynamic Smagorinsky model. These SGS models implemented for the present study are described in detail by Tejada-Martínez & Grosch (2007) and Akan et al. (2013). The LES numerical discretization solving the continuity, momentum and scalar transport equations numerically consists of a fractional step scheme together with a hybrid spectral/(fifth- and sixth-order) finite-difference scheme for spatial derivatives. This discretization is presented by Tejada-Martínez & Grosch (2007) and Tejada-Martínez et al. (2009). ### 2.2. Computational domain: mesh and boundary and initial conditions The DNS flow domain shown in figure 1 consists of a rectangular box with height $3\delta$ and streamwise (downwind) and spanwise (crosswind) lengths of $8\delta$ and $4\delta$, respectively, where $\delta=1.25$ cm. The air side occupies the upper portion of the domain with height $\delta$ and the water side occupies the lower portion with depth $2\delta$. Streamwise and spanwise directions are given by the $x$-axis and the $y$-axis, respectively, while the $z$-axis spans the air and water depths. The unperturbed air–water interface is located at $z=0$. The DNS mesh and boundary conditions are summarized in figure 1. The water side was started from rest with a flat air–water interface driven from above by the sudden imposition of a precomputed, fully developed boundary layer air flow driven by a pressure gradient in the $x$-direction. This boundary layer air flow was precomputed (as a first step) in a separate simulation with a no-slip bottom and a zero-shear-stress condition on top while maintaining periodic boundary conditions elsewhere (along $x$- and $y$-directions). The precomputed air flow was characterized by free-stream mean velocity $U_\infty=5$ m s$^{-1}$, which is the same as the final free-stream wind speed in one of the experiments of Veron & Melville (2001). For consistency, the computational domain and mesh to run the preliminary air flow simulation were identical to those of the air-side portion of the coupled air–water flow domain in figure 1. The precomputed air flow with $U_\infty=5$ m s$^{-1}$ imposed as an initial condition results in a nominal air friction velocity ($u'_\tau$) of 0.25 m s$^{-1}$ and a nominal water friction velocity ($u'_w$) of 0.0087 m s$^{-1}$ in DNS of the air–water coupled boundary layers. Hence for the air side, the friction Reynolds number is $Re'_\tau = u'_\tau \delta / \nu_a = 208$ based on the height of the air domain with the kinematic viscosity for air ($\nu_a$) taken as $1.5 \times 10^{-5}$ m$^2$ s$^{-1}$. For the water side, the friction Reynolds number is $Re'_w = u'_w 2\delta / \nu_w = 217$ based on the height of the water domain with kinematic viscosity for water ($\nu_w$) taken as $10^{-6}$ m$^2$ s$^{-1}$. The initial condition for scalar concentration was $C = 1$ mol m$^{-3}$ in the air side and $C = 0$ in the water side. At the top of the domain (at the top of the air side) $C$ was set to 1 mol m$^{-3}$ and at the bottom of the domain (the bottom of the water side) $C$ was set to 0, ensuring an air side saturated with scalar and thus a flux of scalar from the air side to the water side. In the DNS, the air side of the computational mesh shown in figure 1(a) consists of 200 points in the $x$-direction, 100 points in the $y$-direction and 60 points in the $z$-direction (200 by 100 by 60). Meanwhile the water side consists of 200 by 100 by 120 grid points. Mesh sizes along $x$ and $y$, $\Delta x$ and $\Delta y$, respectively, are uniform, with $\Delta x = \Delta y = 0.05$ cm. Refinement is applied in $z$ such that vertical mesh size $\Delta z$ decreases in the approach to the air–water interface from either the water side or the air side. The refinement in the vertical allows resolution of the air–water interface including millimetre-scale interfacial deformations in the case of DNS as well as the molecular sublayers in the air and water sides. Vertical grid resolution is between approximately 0.006 cm (near the air–water interface) and 0.05 cm (near the top and bottom of the domain). Normalizing the grid resolutions above by appropriate viscous length scales results in the following mesh sizes. For the air side, $\Delta x^+ = \Delta x u_\tau^a / \nu_a$ and $\Delta y^+ = \Delta y u_\tau^a / \nu_a$ are both 16.6. Also for the air side, $\Delta z^+ = \Delta z u_\tau^a / \nu_a$ varies from 1 at the interface to 8.32 at the top of the air domain. Meanwhile for the water side, $\Delta x^+ = \Delta x u_\tau^w / \nu_w$ and $\Delta y^+ = \Delta y u_\tau^w / \nu_w$ are both 4.34. Furthermore, for the water side, $\Delta z^+ = \Delta z u_\tau^a / \nu_a$ varies from 0.52 at the interface to 4.33 at the bottom of the water domain. The LES was performed without resolution of waves at the air–water interface; hence the domain (shown in figure 1c) was taken to be solely the water-side portion of the DNS domain in figure 1(b) with $z$ extending from 0 at the bottom of the domain to $z = 0.025$ m at the top of the domain (i.e. the water surface). The water surface was taken as a rigid lid driven by a constant wind stress in the $x$-direction. The latter results in the same friction Reynolds number as noted earlier for the water side of the DNS, i.e. $Re_\tau^w = 217$. The scalar concentration was fixed at $C = 1$ mol m$^{-3}$ at the rigid lid, mimicking a scalar-saturated air side as in the DNS. The boundary conditions at the bottom of the LES domain were the same as those for the DNS domain (see figure 1). The scalar concentration was set to zero as the initial condition for the LES. The water flow was initialized from rest but for small random perturbations of the downwind velocity at the surface in order to facilitate transition to turbulence. The initial state was suddenly forced by the constant wind stress mentioned above in all of the LES cases and wave forcing through the C–L vortex force in the LES momentum equation in the flows with LC. The near-rest initial condition shared by all LES cases consisted of zero scalar concentration, zero pressure and zero velocity everywhere, except at the surface where a perturbation of the downwind velocity was given as $0.001\xi$ m s$^{-1}$, with $\xi$ a pseudo randomly generated integer between 0 and 1. Note that this perturbation is an order of magnitude smaller than the surface downwind velocity fluctuations associated with LC obtained in the LES (to be shown later in figures 9a,b and 12a,b). The LES mesh was coarser than the DNS mesh of the water side. The LES mesh consisted of 33 and 65 points in $x$ and $y$, respectively, resulting in $\Delta x^+ = 27.2$ and $\Delta y^+ = 6.78$. A variable mesh size was adopted in the vertical direction with $\Delta z^+_1 = 1$ being the surface-normal distance between the surface and the first grid point below the surface. The LES discretization and resolution employed have been shown by Tejada-Martínez et al. (2009) to yield good agreement with DNS for turbulent channel flows at relatively low friction Reynolds number similar to that considered here ($Re_\tau^w = 217$). 3. Results 3.1. Direct numerical simulation Soon after the DNS started, at time $t = 1.5$ s, short capillary interfacial waves as small as 1 cm in wavelength and 0.25 mm in height were present accompanied by small ripples with length scales of approximately 1 to 2 mm. These waves grew in amplitude and wavelength in time reaching the gravity–capillary regime, and after 6.5 s the simulation was stopped once the wave amplitude reached a size comparable to the height of the air-side domain. Details of the gravity–capillary waves obtained including the good agreement with the gravity–capillary waves simulated by Komori et al. (2010) and Takagaki et al. (2015) are provided by Hafsi et al. (2017) (for example, see figure 5 of Hafsi et al.). Here, presentation of results is limited in terms of the aqueous turbulent structures obtained and the associated scalar transfer across the air–water interface. 3.1.1. Turbulent scales Soon after the appearance of capillary waves, the flow underneath transitioned to turbulence at $t \sim 2$ s, and following Takagaki et al. (2015), the turbulent structures resolved can be observed via instantaneous scalar concentration distribution over a cross-sectional spanwise–vertical ($y-z$) plane at a fixed $x$, as shown in figure 2. The turbulence is characterized by two principal structures: (1) centimetre-scale LC which at $t = 6.5$ s occupies most of the water side of the domain and (2) smaller bursting motions at the surface embedded within the centimetre-scale LC. Initially the centimetre-scale Langmuir cells are smaller than those shown in figure 2, and over time grow in depth and spanwise length. As seen in figure 2, by time $t = 6.5$ s, the largest scale consists of two pairs of centimetre-scale LC spanning the width of the domain. In this figure, it can be seen that the downwelling limbs of the centimetre-scale LC bring high-concentration fluid from the surface to depths below, while the upwelling limbs bring low-concentration fluid close to the surface. The activity of the smaller-scale bursting motions at the surface embedded within the centimetre-scale LC can be observed in figure 2 through small filaments of... high-concentration fluid ejected from the surface within the larger-scale vertical scalar transport pattern induced by the downwelling and upwelling limbs of the centimetre-scale LC. The ejections of high-concentration fluid from the surface are transported further down by the downwelling limbs of the large LC. As noted by Takagaki et al. (2015), these ejections serve to peel the molecular diffusive boundary layer of the scalar, thereby helping to set the gradient of scalar across the boundary layer and thus the transfer of scalar across the air–water interface via molecular diffusion. Takagaki et al. (2015) showed that the small-scale bursting motions are characterized by high- and low-speed streaks in the downwind velocity fluctuations on the air–water interface coinciding with low and high scalar flux streaks, respectively, on the interface. The high- and low-speed streaks were shown to possess similar characteristics to the well-known high- and low-speed streaks in classical shear-dominated boundary layers (Smith & Metzler 1983). This suggests that the small-scale bursting motions were purely driven by the wind shear. The distinct size of the centimetre-scale LC from the rest of the turbulence seen in figure 2 enabled Takagaki et al. (2015) to perform a scale decomposition to determine the contribution of this LC scale to the turbulent vertical scalar flux compared to that of the smaller-scale turbulence. For their DNS they concluded that in general the near-surface turbulent vertical transport of the scalar is controlled by the small-scale turbulence, i.e. the wind-shear-driven small-scale bursting motions, and not by the wind- and wave-driven larger-scale LC. This implies that the small-scale wind-shear-driven turbulence also controls the scalar diffusive flux across the air–water interface. ### 3.1.2. Molecular diffusive scalar flux at the surface and transition to turbulence Molecular diffusive flux of the scalar at the air–water interface is defined as $F = \kappa \nabla C \cdot n$, where $\kappa$ is the scalar molecular diffusivity, the gradient of concentration, $\nabla C$, is evaluated at the air–water interface and $n$ is the normal to the interface. Transition to turbulence in the water side of the DNS occurs at about $t=2$ s and is accompanied by a spike of approximately an order of magnitude in $F$ averaged over the interface, i.e. $\langle F \rangle_{\text{interface}}$, shown in figure 3. As can be seen in this figure, the spike in $\langle F \rangle_{\text{interface}}$ is noticeably absent in a DNS run repeated but with the air–water interface intentionally held flat (i.e. DNS without waves/LC) suggesting strong dependence of the flux on wave forcing. As can also be seen in figure 3, after transition to turbulence occurs, the DNS with waves/LC exhibits a statistically steady value in the time series of $\langle F \rangle_{\text{interface}}$ about eight times greater than in the DNS with air–water interface held flat, suggesting the importance of the wave forcing and associated LC for the molecular diffusive flux across the air–water interface. A similar result was obtained by Komori et al. (2010) in terms of transfer velocity (a measure of scalar transfer efficiency across the air–water interface) averaged over the air–water interface. The previous comparison between DNS with and without waves suggests the importance of wave forcing in determining $\langle F \rangle_{\text{interface}}$. However, this stands in contrast with the conclusion of Takagaki et al. (2015) that $\langle F \rangle_{\text{interface}}$ is determined solely by the purely wind-shear-driven small bursting motions at the water surface and not by the wind- and wave-driven LC motions. The LES results are presented next, further exploring the effect of the wind and wave forcing on the turbulence and ultimately on $\langle F \rangle_{\text{interface}}$ and the turbulent vertical flux of the scalar throughout the water column. 3.2. Large-eddy simulation The LES was performed with the domain configuration and mesh introduced earlier. In LES of small-scale LC, the momentum equation was augmented with the C–L vortex as given in (2.2) with the water surface taken as a wind-sheared rigid lid. Additionally, the advecting velocity in the transport equation for scalar concentration was augmented with the Stokes drift as seen in (2.4). The C–L vortex force represents the generating mechanism of the LC scales (i.e. the wave–current interaction) without the need to resolve the interfacial waves. The formulation allows direct input of the Stokes drift velocity in (2.3) facilitating study of the impact of wave forcing parameters on the turbulent structures and ultimately the scalar transfer across the air–water interface via molecular diffusion. Three LESs were performed characterized by different wavelengths ($\lambda$) and amplitudes ($A$) in (2.3): LES-A, LES-B and LES-C. In LES-A, $\lambda = 1$ cm and $A = 0.0707$ cm, values that are characteristic of the waves at the onset of the turbulence in the DNS of Komori et al. (2010) and Hafsi et al. (2017). Obtaining the Stokes drift velocity at the water surface (denoted as $u_o^s$) from (2.3), the turbulent Langmuir number defined as $La_t = \sqrt{u_w^w/u_o^s}$ (McWilliams et al. 1997) is calculated as $La_t = 0.63$. Here $La_t$ is inversely proportional to the strength of wave forcing relative to wind forcing, and thus the turbulence in LES-A is expected to be Langmuir-dominated. The wave parameters in LES-B and LES-C represent idealized variations of the parameters in LES-A in order to highlight the impact of the wave forcing and thus LC on the turbulent scalar transport. Case LES-B is characterized by the same surface Stokes drift value ($u_o^s$) as LES-A (and thus has $La_t = 0.63$), but with a longer wavelength $\lambda = 10$ cm. Simulation LES-C was performed with $\lambda = 10$ cm and $La_t = 0.4$. The Stokes drift and Stokes drift vertical shear are plotted in figure 4 for LES-A, LES-B and LES-C. The Stokes drift shear serves to promote the growth of LC (Holm 1996), and LES-B and LES-C are expected to be characterized by more vigorous LC deeper into the water column given their greater Stokes drift shear at depths below the water surface compared to LES-A. Finally, a fourth simulation denoted as LES-D was performed without the C–L vortex force in (2.2) and without the advecting Stokes drift velocity in (2.4); thus this case was purely wind-driven. Table 1 presents a summary of the LES and DNS simulations performed. 3.2.1. Molecular diffusive scalar flux at the surface and transition to turbulence Similar to the DNS, the flows in LES-A, LES-B and LES-C undergo transition to turbulence starting from near rest driven by the wind and wave forcing. This can be seen in figure 5 by the sudden spikes in the time series of turbulent kinetic energy (defined as $(u^2) + (v^2) + (w^2))/2$ near the surface and the average molecular diffusive scalar flux (defined as $\kappa \frac{d\langle C \rangle}{dz}$) at the surface. In these expressions, the angle brackets denote averaging over downwind (x) and crosswind (y) directions. The transition to turbulence in LES-B is delayed relative to LES-A and LES-C, which is attributed to the lower surface Stokes drift shear in this case (see figure 4b). Meanwhile, transition to turbulence in LES-A occurs the earliest because of the stronger surface Stokes drift shear in this case (see figure 4b). \| Case \| $\lambda$ (cm) \| $La_t$ \| \|-----------------------------\|------------------\|----------\| \| LES-A \| 1 \| 0.63 \| \| LES-B \| 10 \| 0.63 \| \| LES-C \| 10 \| 0.4 \| \| LES-D (no wave forcing) \| NA \| NA \| \| DNS with deforming interface\| NA \| NA \| \| DNS with flat interface \| NA \| NA \| Table 1. Summary of the wave conditions in the LES and DNS performed. Wave amplitude and wavelength in DNS with deforming interface are time-dependent. These wave parameters are constant in LES-A, LES-B and LES-C and are given through wavelength $\lambda$ and turbulent Langmuir number $La_t$. After transition to turbulence occurs, the molecular diffusive scalar fluxes averaged over the surface in LES-A, LES-B and LES-C relax towards the same value of approximately 0.9 mol m$^{-2}$ s$^{-1}$, which is in good agreement with the DNS value observed in figure 3. Furthermore, the spike in flux caused by transition to turbulence in LES-A, LES-B and LES-C is roughly the same relative to LES-D in which the C–L vortex (wave) forcing was turned off resulting in the flow not transitioning to turbulence. These results suggest that the jump in flux (relative to the no-wave forcing case, LES-D) and the statistically steady flux after transition to turbulence scale with the wind speed (which is constant in all LES cases) and not with the wave characteristics. However, the wave forcing is needed to trigger the turbulence impacting the time required for the flows to transition to turbulence. The flux scaling with the wind speed is consistent with popular parameterizations based on empirical relationships linked to the wind speed (Zappa et al. 2007). The fact that the statistically steady-state value of the surface-averaged molecular diffusive scalar flux scales with the wind speed (and not the wave characteristics) might indicate that the near-surface turbulence inducing this flux is purely driven by wind shear. However, there have been numerous recordings in the field in which the intensity of Langmuir turbulence has been found to scale solely with the wind speed and not the wave parameters (e.g. see D’Asaro 2001; Gargett & Grosch 2015). As observed by D’Asaro (2001), vertical velocity fluctuations associated with Langmuir turbulence can scale with wind stress friction velocity, as they do in the absence of waves (in the case of purely wind-shear-driven turbulence), but with a much higher turbulence level in the case of Langmuir turbulence. Thus, the fact that the surface-averaged molecular diffusive scalar flux scales with the wind speed does not preclude dependence of the flux on Langmuir turbulence. The wave forcing independence of the statistically steady molecular diffusive scalar flux at the surface obtained in LES is consistent with the DNS. In the DNS, a statistically steady flux is observed after transition to turbulence despite the growing gravity–capillary waves throughout the simulation. Note that in the LES, the wave forcing (i.e. the amplitude and wavelength) of the waves is constant in each case (LES-A, LES-B and LES-C), whereas the wave forcing is dependent on time in the DNS. Finally note that in the case of LES-D, the initial condition and the wind shear imposed were not sufficient to trigger turbulence (in the absence of C–L vortex force). This is consistent with the DNS without waves (i.e. with flat air–water interface) of Hafsi et al. (2017) (presented earlier) and Komori et al. (2010) in which air flow was suddenly imposed on a water side at rest. In these simulations, the water side turbulence did not fully develop during the roughly 7 s of simulation. This can be seen in figure 3 where the spike in scalar molecular diffusive flux in the DNS with deforming interface (indicative of a transition to turbulence) is absent in the DNS with flat interface. Furthermore in the DNS of Komori et al. (2010) with flat interface, neither crosswind nor spanwise velocity fluctuations developed in the water side during the time of simulation (see their figure 17). In LES-D, the friction Reynolds number was $Re_t^w = 217$. A case similar to LES-D, i.e. without C–L vortex forcing, but with greater wind stress resulting in $Re_t^w = 320$, did lead to transition to turbulence. Thus increasing shear, either through the wind stress or through the Stokes drift shear (via the addition of C–L vortex force), was necessary to result in turbulence with the initial condition given earlier. Recall that the C–L vortex force represents the generation of LC via the tilting of vertical vorticity into streamwise vorticity by the vertical shear of the Stokes drift. In all of the LES cases simulated, vertical vorticity is available initially due to the random fluctuations of surface downwind velocity set as the initial condition. Thus in cases with C–L vortex forcing (LES-A, LES-B and LES-C), the Stokes drift shear takes effect immediately at the beginning of the simulations helping to trigger the turbulence. ### 3.2.2. Turbulent scales Figure 6 shows instantaneous distributions of vertical velocity fluctuations ($w'$) over a crosswind–vertical ($y$–$z$) cross-section of the domain at different times throughout the transition to turbulence in LES-A. Prior to transition, $w'$ in figure 6(a) reveals highly organized alternating regions of negative and positive values indicative of the upwelling and downwelling limbs of counter-rotating laminar LC aligned in the $x$-direction (i.e. the direction of the wind and waves). As the flow transitions to turbulence, these vortices become irregular with some of the downwells (viz. upwells) intermittently extending deeper into the water column and coalescing with neighbouring downwells (viz. upwells) to form larger scales (see figure 6b–d). Figures 7(a) and 7(b) show cross-sectional $y$–$z$ distributions of $w'$ and scalar concentration $C$, respectively, in LES-A at $t = 4.63$ s, several seconds after the transition to turbulence had occurred. The vertical velocity fluctuation $w'$ reveals small-scale upwells and downwells embedded at the surface within larger upwelling and downwelling limbs of centimetre-scale LC that extend deeper into the water column. Looking at the downward-pointing arrows in figures 7(a) and 7(b), it can be seen that bursting of the small-scale surface downwells in figure 7(a) causes the ejections of small-scale filaments of high-concentration fluid from the surface seen... Figure 6. Cross-sectional (crosswind–vertical, $y-z$) snapshot distributions of vertical velocity fluctuations ($\text{m s}^{-1}$) in LES-A. The crosswind–vertical distributions are shown at the $x$ location halfway along the streamwise length of the domain. in figure 7(b). Note that these filaments are captured by the developing downwelling limbs of the centimetre-scale LC. The centimetre-scale LC pattern is made clearer after averaging $w'$ and $C$ over the downwind direction $x$, as can be seen in figures 7(c) and 7(d). The developing downwelling and upwelling limbs of the centimetre-scale LC are highlighted by downward-pointing and upward-pointing arrows. Overall the activity of the centimetre-scale LC and smaller scales captured by the LES is similar to that in DNS seen in figure 2. Figure 8 shows the small scales and the larger centimetre-scale LC for LES-A at $t = 7.41 \text{ s}$. In terms of downwind-averaged $w'$ and $C$ shown in figures 8(c) and 8(d), respectively, it can be seen that the centimetre-scale LC extends deeper into the water column at $t = 7.41 \text{ s}$ than at $t = 4.63 \text{ s}$ (in figures 7c and 7d). Furthermore, in figures 8(a) and 8(b), it can be seen that the small-scale surface scalar ejections tend to conglomerate above larger-scale downwelling limbs. Thus the small-scale ejections feed more directly into the larger downwells (figure 8b), as the small-scale downwells (figure 8a) incorporate into the larger-scale downwells. This suggests that in time the larger scales begin to play a more significant role in the near-surface vertical transport of the scalar. The behaviour of the small-scale ejections conglomerating above larger-scale downwelling limbs is also observed in the DNS of Takagaki et al. (2015). Figure 9 shows instantaneous maps of downwind velocity fluctuation, $u'$, and molecular scalar flux, $\kappa \frac{\partial C}{\partial z}$, at the surface in LES-A at $t = 4.63 \text{ s}$ and at $t = 7.41 \text{ s}$. Figure 9(a,b) shows that the downwind velocity fluctuation at the surface is characterized by downwind-elongated positive streaks or high-speed streaks serving to locally enhance the downwind current. Note that the positive streaks generally coincide with the small-scale downwelling limbs and associated small-scale (filament) ejections of scalar observed in figures 7 and 8. In other words, the small-scale downwelling limbs and associated scalar ejections are generally located underneath the positive streaks of $u'$. Figure 7(c,d) shows that the molecular diffusive scalar flux at the surface is characterized by low-flux streaks coinciding with the positive streaks in $u'$ in figure 9(a,b). At $t = 4.63$ s, a characteristic spacing between low-flux streaks (i.e. positive $u'$ streaks) is seen to be $l = 0.01$ m. The corresponding spacing in dimensionless viscous length units is $l^+ = lu_w/v_w = 87$. At $t = 7.41$ s, the spacing is greater with a characteristic value of about $l^+ = 130$. These spacings are close to the spacing of 100 between low-speed wall streaks in classical wall-bounded, shear-dominated turbulence reported by Smith & Metzler (1983). A similar spacing was observed between low-flux streaks in the DNS of Takagaki et al. (2015). Figures 10–12 present the previously described turbulent structures corresponding to LES-B. Comparing figures 10–11 with 7–8, it can be seen that in LES-B the development of centimetre-scale LC is more prominent with coherent limbs extending closer to the surface and engulfing the small-scale eddy activity (e.g. see two leftmost downward-pointing arrows in figure 11a). In LES-B the centimetre-scale LC is also seen to extend deeper into the water column than in LES-A. Furthermore, during a simulation time of about 6.5 s, in LES-B, the larger LC scales can grow to occupy the entire spanwise extent of the domain, as can be seen through the single upward-pointing arrow and the single downward-pointing arrow in figures 11(c) and 11(d). This is in contrast with figure 8(c,d) showing that in LES-A, the largest LC does not grow as fast, with the spanwise extent of the domain able to capture two pairs of centimetre-scale LC. The development of larger centimetre-scale LC in LES-B than in LES-A is attributed to the Stokes drift shear extending deeper into the water column in LES-B than in LES-A, as can be seen in figure 4(b). Comparing figures 9 and 12, it can be seen that the downwind-elongated streaks of positive $u'$ and corresponding downwind-elongated streaks of low scalar flux... Figure 8. Cross-sectional (crosswind–vertical, $y-z$) distributions of (a) instantaneous and (c) downwind-averaged vertical velocity fluctuations ($\text{m s}^{-1}$), and (b,d) corresponding scalar concentration fields ($\text{mol m}^{-3}$) in LES-A at $t = 7.41 \text{ s}$. The crosswind–vertical distributions in (a,b) are shown at the $x$ location halfway along the streamwise length of the domain. Figure 9. Surface downwind velocity fluctuations ($\text{m s}^{-1}$) at (a) $t = 4.63 \text{ s}$ and (b) $t = 7.41 \text{ s}$, and (c,d) corresponding scalar concentration fields ($\text{mol m}^{-3}$) in LES-A. Figure 10. Cross-sectional (crosswind–vertical, $y-z$) distributions of $(a)$ instantaneous and $(c)$ downwind-averaged vertical velocity fluctuations ($\text{m s}^{-1}$), and $(b,d)$ corresponding scalar concentration fields ($\text{mol m}^{-3}$) in LES-B at $t = 4.44 \text{ s}$. The crosswind–vertical distributions in $(a,b)$ are shown at the $x$ location halfway along the streamwise length of the domain. are coarser in LES-B than in LES-A. This can be attributed to the lower surface Stokes drift shear in LES-B, evidence of the impact of the waves on the small-scale turbulence structure at the surface. In figures 12$(b)$ and 12$(d)$, it can be seen that in LES-B, by $t = 6.48 \text{ s}$ the positive $u'$ streaks and corresponding low-flux streaks have conglomerated in the region $y < 0.03 \text{ m}$. This corresponds to the fact that the small-scale surface eddy activity has conglomerated along the top of the single downwelling limb of the centimetre-scale LC captured by the domain. This single downwelling limb can be seen occupying the region $y < 0.03 \text{ m}$ in figures 11$(a)$ and 11$(c)$. As noted earlier, the behaviour of the small-scale ejections conglomerating above larger-scale downwelling limbs is also observed in the DNS of Takagaki et al. (2015). Furthermore, this conglomerating behaviour is consistent with field observations of Langmuir turbulence. As noted by Leibovich (1983), in Langmuir turbulence ‘the small scales continually form and are slowly swept up into the more permanent larger scales’. Overall, the small-scale surface eddy activity described above for LES-A and LES-B possesses similarities with the small-scale motions in classical wall-bounded shear-driven turbulent boundary layers, for example, in terms of their corresponding low-speed streaks and their spacing. As such, this small-scale turbulence has been considered distinct from the larger centimetre-scale LC motions by Takagaki et al. (2015). However, given the observations above, specifically the coalescing of bursting small-scale motions engendering larger-scale motions and ultimately the centimetre-scale LC, as well as the correspondence between conglomerating small-scale surface eddy activity and associated surface streaks and the small-scale Figure 11. Cross-sectional (crosswind–vertical, $y-z$) distributions of (a) instantaneous and (c) downwind-averaged vertical velocity fluctuations ($\text{m s}^{-1}$), and (b,d) corresponding scalar concentration fields ($\text{mol m}^{-3}$) in LES-B at $t = 6.48 \text{ s}$. The crosswind–vertical distributions in (a,b) are shown at the $x$ location halfway along the streamwise length of the domain. Figure 12. Surface downwind velocity fluctuations ($\text{m s}^{-1}$) at (a) $t = 4.44 \text{ s}$ and (b) $t = 6.48 \text{ s}$, and (c,d) corresponding scalar concentration fields ($\text{mol m}^{-3}$) in LES-B. and large-scale Langmuir motions noted by Leibovich (1983), here the small-scale bursting eddy activity at the surface is interpreted as part of the LC scale range and thus part of the Langmuir turbulence regime. Furthermore, note that the small-scale bursting motions in the LES have been triggered by the combined effect of the wind and waves through the C–L vortex force (LES-A, LES-B and LES-C) as these motions and the overall turbulence are absent in the LES without the C–L vortex force (LES-D). 3.2.3. Lumley invariants and turbulence structure In order to further investigate the turbulent structure, we consider the Lumley invariants of the anisotropy tensor defined as \[ b_{ij} = \frac{\langle u'_i u'_j \rangle}{2q} - \frac{\delta_{ij}}{3}, \] (3.1) where $ \langle u'_i u'_j \rangle $ is the instantaneous resolved Reynolds stress tensor with the angle brackets denoting averaging over $ x $ and $ y $ and with $ u'_1 = u' $, $ u'_2 = v' $ and $ u'_3 = w' $. Furthermore, $ q $ is the instantaneous resolved turbulent kinetic energy defined earlier and $ \delta_{ij} $ is Kronecker’s delta. In particular, the map of the square root of the second invariant ($ II = b_{ij} b_{ij} $) versus the cube root of the third invariant ($ III = b_{ij} b_{jk} b_{ki} $) should lie inside the so-called Lumley triangle for a realizable turbulent flow (see figure 13 for the shape of the Lumley triangle). Furthermore, the location of the map inside of the triangle corresponds to the structure of the turbulence. For example, if the map falls close to the right-hand edge of the triangle, the turbulence is cigar-shaped. An example of this type is shear-dominated turbulence in which the streamwise component of the velocity fluctuations is dominant over the other two components. If the map falls closer to the left-hand edge of the triangle, the turbulence corresponds to two-component turbulence such as stably stratified turbulence in which the horizontal components of the velocity fluctuations dominate over the vertical component. The uppermost vertex of the triangle, the lowermost vertex and the left-hand vertex correspond to one-component turbulence, three-component isotropic turbulence and two-component isotropic turbulence, respectively. Figure 13 plots the Lumley invariant map ($ III^{1/3}, II^{1/2} $) at depths in the upper-third portion of the water column for LES-A and LES-B at various times after transition to turbulence had occurred. It can be seen that regardless of the state of the small-scale motions and the centimetre-scale LC, the trajectories of the Lumley invariant maps for LES-A and B consistently move from the right-hand edge of the triangle towards the interior and left-hand vertex with decreasing distance from the surface. Thus, the turbulence may be considered two-component in the upper-third portion of the water column approaching nearly two-component isotropic at the surface. This two-component structure is due to elevated near-surface crosswind velocity fluctuations which together with strong downwind velocity fluctuations serve to dominate over the vertical velocity fluctuations. This structure is characteristic of Langmuir turbulence near the surface observed in previous LC computational studies of Tejada-Martínez & Grosch (2007) and field studies of Gargett & Wells (2007). This result further supports the conclusion reached earlier that the small-scale surface turbulence is part of the Langmuir turbulence regime. 3.2.4. Vertical scalar flux The impact of the centimetre-scale LC and near-surface small-scale motions on scalar flux throughout the water column is investigated through figure 14. This figure plots instantaneous depth profiles of the molecular diffusive scalar flux, $\kappa \frac{d(C)}{dz}$, and the resolved turbulent vertical flux of the scalar, $-(C'w')$, in LES-A and LES-B. Recall that the angle bracket notation denotes averaging over horizontal directions $x$ and $y$. Following Akan et al. (2013), the contribution of the larger LC scales resolved (corresponding to centimetre-scale LC) to $-(C'w')$ may be defined as $-\langle\langle C'\rangle_x \langle w'\rangle_x\rangle$. This contribution is also plotted in figure 14 for the LES-A and LES-B cases. In the previous expression, the notation $\langle\cdot\rangle_x$ denotes averaging in the streamwise direction. In figure 14, it can be seen that in both LES-A and LES-B, the scalar is distributed to greater depths with time as the centimetre-scale LC grows and becomes more coherent. In figure 14, as expected, the molecular diffusive flux decays rapidly with depth given the strong vertical mixing present in all cases. In all cases shown in figure 14, in the near-surface region at $z \sim 0.024$ m (corresponding to a distance $z^+ = 8.7$ from the surface which is just outside of the viscous sublayer for which $z^+ < 5$), the molecular diffusive flux is negligible and the turbulent scalar flux $-(C'w')$ is nearly equal to the molecular diffusive scalar flux at the surface. In LES-A at $t = 4.63$ s (figure 14a) at $z = 0.024$ m, the turbulent scalar flux is 88% larger than the viscous scalar flux. Furthermore in LES-A at $t = 4.63$ s, at $z = 0.024$ m, the contribution from the centimetre-scale (larger-scale) LC to the total turbulent flux is 15%. By $t = 7.41$ s (figure 14b), although the contribution from the centimetre-scale LC to the total turbulent flux is now 25%, this contribution is still small. In LES-B (figure 14c,d) the contribution of the centimetre-scale LC at $z = 0.024$ m to the turbulent flux is greater than in LES-A. This is expected, given that in LES-B the larger scales become more predominant (coherent) with time, as shown earlier. However, note that in LES-B the wind and wave forcing parameters (i.e. $La_t$ and $\lambda$) were idealized variations of the realistic $La_t$ and $\lambda$ values chosen for LES-A, as discussed in §3.2. Overall, in the more realistic LES-A case the contribution from the centimetre-scale LC is small, and thus it may be concluded that the smaller-scale turbulence (smaller than the centimetre-scale LC) contributes the bulk of the flux, thereby strongly influencing the gradient of the scalar concentration at the surface and the corresponding molecular diffusive scalar flux at the surface. This conclusion is in agreement with the conclusion reached by Takagaki et al. (2015) from their DNS that the smaller-scale turbulence controls the scalar flux across the air–water interface. Finally, it should be mentioned that the contribution of centimetre-scale LC to a fluctuation such as $w'$ has been computed by Takagaki et al. (2015) as $w'_{LC} = \langle w' \rangle_x$. In this expression, the hat notation $\hat{}$ denotes application of a low-pass filter along the crosswind direction $y$ with filter width set to the characteristic distance between downwelling limbs of the centimetre-scale LC. Meanwhile, in the present work, the contribution by centimetre-scale LC has been computed as $w'_{LC} = \langle w' \rangle_x$, i.e. without the application of the low-pass filter. The difference between these two approaches for computing $w'_{LC}$ is interpreted as follows. If the low-pass filter is taken as the spectral cut-off filter such that the filtered field retains the largest Fourier mode associated with LC, then $\widehat{w'_{LC}} = \langle \widehat{w'} \rangle_x$ represents the largest LC scale (singular) present. In contrast, $w'_{LC} = \langle w' \rangle_x$ represents the largest LC scales (plural) present, corresponding to a multiple of the largest Fourier modes. Computation of the contribution of centimetre-scale LC to $-\langle C'w' \rangle$ as $-\langle \langle \widehat{C'} \rangle_x \langle \widehat{w'} \rangle_x \rangle$ (not shown) leads to the same trends observed in figure 14 and thus the same conclusions reached above for which the centimetre-scale LC contribution was computed as $-\langle \langle C' \rangle_x \langle w' \rangle_x \rangle$. 4. Conclusion Large-eddy simulations of a wind- and wave-driven shear flow were conducted to investigate the structure of LC and associated Langmuir turbulence resulting from the interaction between the wind-driven shear and the Stokes drift induced by wind-driven gravity–capillary waves. Simulation results were also analysed to understand turbulent scalar transport and turbulence-enhanced molecular diffusive scalar flux at the surface. Wave–current interaction generating the LC was represented through the C–L vortex force consisting of the cross-product between the inputted Stokes drift velocity and the flow vorticity. Simulations started from near rest with the sudden imposition of the C–L vortex force and a wind stress corresponding to a 5 m s$^{-1}$ wind speed. The LES with the C–L vortex force showed good agreement with previous DNS of coupled air–water boundary layers with deforming air–water interface characterized by gravity–capillary waves (Komori et al. 2010; Takagaki et al. 2015; Hafsi et al. 2017). The good correlation was seen in terms of (1) downwind-elongated streaks characterizing the downwind velocity fluctuations and the molecular diffusive scalar flux at the water surface, (2) the near-surface turbulent scalar transport characterized by intermittent ejections of high-concentration fluid from the surface by small-scale bursting motions, (3) the growth of centimetre-scale LC emanating from small-scale eddy activity at the surface and (4) the spike in molecular diffusive scalar flux at the surface induced by transition to turbulence and subsequent relaxation to a statistically steady-state value. Various cases, namely LES-A, LES-B and LES-C (with different wave parameters (amplitude and wavelength) in the C–L vortex force and with the same wind stress as the DNS), were simulated in order to investigate the influence of the wave forcing on the turbulence and scalar transport. It was seen that surface Stokes drift shear combined with the wind-driven shear through the C–L vortex force are responsible for triggering turbulence serving to enhance molecular diffusive scalar flux at the surface with respect to a simulation without C–L vortex forcing which did not transition to turbulence. The enhancement is independent of the wave parameters implying that it is only a function of wind shear (wind speed). Features of the small-scale turbulence triggered are similar to the classical shear-driven turbulence next to a wall characterized by so-called high- and low-speed, streamwise-elongated ‘wall streaks’ with the high-speed streaks corresponding to bursting motions emanating from the wall or the rigid-lid surface in the present case. Initially, bursting motions emanating from the surface coalesce to form larger scales with the growth and coherency of these scales controlled by the Stokes drift shear. A Stokes drift shear extending deeper into the water column, such as in LES-B, promotes the rapid development of larger, more coherent motions, i.e. centimetre-scale LC, fed by the small scales at the surface as these scales conglomerate at the top of the downwelling limbs of the larger-scale motions. A shallower Stokes drift shear, such as in LES-A, promotes the same process but at a slower rate. The range of eddies in this process starting from the small-scale bursting motions at the surface through the larger, coherent centimetre-scale LC is categorized as Langmuir turbulence and is consistent with field observations of this turbulence regime described by Leibovich (1983). Control of the near-surface turbulent scalar transport and the molecular diffusive scalar flux at the surface is shared between larger-scale motions and the smaller-scale surface activity. Initially, the smaller-scale bursting motions tend to control the near-surface scalar transport and the molecular scalar flux at the surface. As time progresses and the larger-scale motions become more prominent, greater control is transferred to these scales, although their influence on the molecular scalar flux at the surface remains small compared to that of the smaller scales. The transfer of control depends on the Stokes drift shear, as Stokes drift shear extending deeper into the water column tends to drive faster formation of coherent larger scales and faster transfer of control to these scales. Regardless of this partitioning of control, and thus regardless of the wave parameters determining the Stokes drift shear depth profile, the intensity of the surface turbulence scales with the wind-driven shear, i.e. the wind speed. Thus, it is concluded that the Langmuir turbulence and the scalar flux induced at the surface by the Langmuir turbulence scale with the wind speed. This result explains why the scalar flux across the air–water interface reaches a statistically steady value despite growing, wind-driven gravity–capillary waves in previous DNS of coupled air–water molecular boundary layers. The independence of the turbulence intensity and thus the molecular diffusive scalar flux at the surface from wave parameters could potentially be a low-Reynolds-number effect. Akan et al. (2013) has shown that increasing Stokes drift shear at the surface enhances the small-scale turbulence at the surface and ultimately the flux at the surface in wind- and wave-driven flows at Reynolds number approximately twice the Reynolds number simulated here. Recall that the Reynolds number of the wind- and wave-driven water flows in the present study was $Re_{\tau}^{\nu} = 217$ based on wind stress friction velocity and vertical length of the water domain. The flows of Akan et al. (2013) were simulated in a shallow-water column setting where the Langmuir cells engulf the entire water column and interact with the bottom boundary layer. Furthermore, the results of Akan et al. (2013) were obtained with the turbulence under statistical equilibrium and thus the transition of the flows to turbulence was not explored. Small-scale LC occurs frequently in lakes and lagoons. As noted by Veron & Melville (2001), in the ocean, large gravity waves and breaking waves will tend to disrupt the gravity–capillary wave field, and thus small-scale LC is not expected often. In the DNS and LES presented in the paper as well as in physical experiments of Veron & Melville (2001), inception of small-scale LC accompanied by transition to Langmuir turbulence caused a spike in scalar flux characterized by an order-of-magnitude increase. These flux increases, if linked to episodic gusts and unsteadiness in the wind field, are expected to be an important contributor in determining the long-term average of the air–water fluxes in lakes and lagoons. Thus, future research should exploit DNS and LES to develop improved parameterizations of scalar transfer during transition to Langmuir turbulence across different wind speeds (Reynolds numbers). Acknowledgements This work was supported in part through US National Science Foundation grants 1235039 and 1233808 to A.E.T.-M. and F.V., respectively. A.H. also acknowledges support from a Sloan Foundation fellowship. REFERENCES AKAN, C., TEJADA-MARTÍNEZ, A. E., GROSCH, C. E. & MARTINAT, G. 2013 Scalar transport in large-eddy simulation of Langmuir turbulence in shallow water. Cont. Shelf Res. 55, 1–16. CRAIK, A. D. D. & LEIBOVICH, S. 1976 A rational model for Langmuir circulations. J. Fluid Mech. 73, 401–426. D’ASARO, E. A. 2001 Turbulent vertical kinetic energy in the ocean mixed layer. J. Phys. Oceanogr. 31, 3530–3537. FUJIWARA, Y., YOSHIKAWA, Y. Y. & MATSUMARA, Y. 2018 A wave-resolving simulation of Langmuir circulations with a nonhydrostatic free-surface model: comparison with Craik–Leibovich theory and an alternative Eulerian view of the driving mechanism. J. Phys. Oceanogr. 48, 1691–1708. GARGETT, A. E. & GROSCH, C. E. 2015 Turbulence process domination under the combined forcings of wind stress, the Langmuir vortex force, and surface cooling. J. Phys. Oceanogr. 44, 44–67. GARGETT, A. E. & WELLS, J. R. 2007 Langmuir turbulence in shallow water. Part 1. Observations. J. Fluid Mech. 576, 27–61. GUO, X. & SHEN, L. 2013 Numerical study of the effect of surface waves on turbulence underneath. Part 1. Mean flow and turbulence vorticity. J. Fluid Mech. 733, 558–587. HAFSI, A., TEJADA-MARTÍNEZ, A. E. & VERON, F. 2017 DNS and measurements of scalar transfer across an air–water interface during inception and growth of Langmuir circulation. Comput. Fluids 58, 40–56. HOLM, D. D. 1996 The ideal Craik–Leibovich equations. Physica D 98, 415–441. KENNEY, B. C. 1993 Observations of coherent bands of algae in a surface shear layer. Limnol. Oceanogr. 38, 1059–1067. KOMORI, S., KUROSE, R., IWANO, K., UKAI, T. & SUZUKI, N. 2010 Direct numerical simulation of wind-driven turbulence and scalar transfer at sheared gas–liquid interfaces. J. Turbul. 11, 1–20. KUROSE, R., TAKAGAKI, N., KIMURA, A. & KOMORI, S. 2016 Direct numerical simulation of turbulent heat transfer across a sheared wind-driven gas–liquid interface. J. Fluid Mech. 804, 646–687. LANGMUIR, I. 1938 Surface motion of water induced by wind. Science 87, 119–123. LEIBOVICH, S. 1983 The form and dynamics of Langmuir circulations. Annu. Rev. Fluid Mech. 15, 391–427. LI, M. & GARRETT, C. 1993 Cell merging and the jet/downwelling ratio in Langmuir circulation. J. Mar. Res. 51, 737–769. MCWILLIAMS, J. C., SULLIVAN, P. P. & MOENG, C.-H. 1997 Langmuir turbulence in the ocean. J. Fluid Mech. 334, 1–30. MELVILLE, W. K., SHEAR, R. & VERON, F. 1988 Laboratory measurements of the generation and evolution of Langmuir circulations. J. Fluid Mech. 364, 31–58. PHILLIPS, O. M. 1977 The Dynamics of the Upper Ocean. Cambridge University Press. SCOTT, J. T., MEYER, G. E., STEWART, R. & WALThER, E. G. 1969 On the mechanism of Langmuir circulations and their role in epilimnion mixing. Limnol. Oceanogr. 14, 493–503. SMITH, C. R. & METZLER, S. P. 1983 The characteristics of low speed streaks in the near-wall region. J. Fluid Mech. 129, 27–54. TAKAGAKI, N., KUROSE, R., TSUJIMOTO, Y., KOMORI, S. & TAKAHASHI, K. 2015 Effects of turbulent eddies and Langmuir circulations on scalar transfer in a sheared wind-driven liquid flow. Phys. Fluids 27, 016603. TEJADA-MARTÍNEZ, A. E. & GROSCH, C. E. 2007 Langmuir turbulence in shallow water. Part 2. Large-eddy simulation. J. Fluid Mech. 576, 63–108. TEJADA-MARTÍNEZ, A. E., GROSCH, C. E., GARGETT, A. E., POLTON, J. A., SMITH, J. A. & MACKINNON, J. A. 2009 A hybrid spectral/finite-difference large-eddy simulator of turbulent processes in the upper ocean. Ocean Model. 30, 115–142. TEXEIRA, M. A. C. & BELCHER, S. E. 2002 On the distortion of turbulence by a progressive wave. J. Fluid Mech. 458, 229–267. TSAI, W.-T., CHEN, S.-M., LU, G.-H. & GARBE, C. S. 2013 Characteristics of interfacial signatures on a wind-driven gravity-capillary wave. J. Geophys. Res. 118, 1715–1735. VERON, F. & MELVILLE, W. K. 2001 Experiments on the stability and transition of wind-driven water surfaces. J. Fluid Mech. 446, 22–65. ZAPPA, C. J., MCGILLIS, W. R., RAYMOND, P. A., EDSON, J. B., HINTSA, E. J., ZEMMELINK, H. J., DACEY, J. W. H. & HO, D. T. 2007 Environmental turbulent mixing controls on air–water gas exchange in marine and aquatic systems. Geophys. Res. Lett. 34, L10601.
Monetary Base Rules: The Currency Caveat R. W. Hafer Department of Economics Southern Illinois University Joseph H. Haslag, Senior Economist Federal Reserve Bank of Dallas and Department of Economics Southern Methodist University Scott E. Hein Department of Finance Texas Tech University June 1994 RESEARCH DEPARTMENT WORKING PAPER 94-11 Federal Reserve Bank of Dallas Monetary Base Rules: The Currency Caveat June 1994 R. W. Hafer Department of Economics Southern Illinois University Joseph H. Haslag Research Department Federal Reserve Bank of Dallas and Department of Economics Southern Methodist University Scott E. Hein Department of Finance Texas Tech University Abstract: Monetary policy rules that rely on the monetary base have been forwarded by Meltzer (1984) and McCallum (1988). They claim that following monetary base rules would minimize fluctuations around the target growth rate for nominal GNP. Critics of such rules contend that currency has not been properly accounted for in their simulations. This paper examines the properties of several monetary base rules, explicitly taking the demand for currency into account. Assuming that currency is supplied elastically, our investigation quantities changes in the composition of the monetary base under these rules and provide an estimate of how these compositional changes might affect the variability around the target nominal GNP growth rate. The views expressed in this article are solely those of the authors and should not be attributed to the Federal Reserve Bank of Dallas or to the Federal Reserve System. I. Introduction Support for the monetary base as the central bank's chief policy instrument gained momentum in the mid-1980s with the research findings of Meltzer (1984, 1987) and McCallum (1987, 1988). Both Meltzer and McCallum urged that the Fed adopt a rule to guide the movements of monetary base over time. McCallum (1988, 1993) provided empirical evidence to support his policy prescription for the United States and Japan. With regard to the U.S., McCallum claimed that his proposed rule "would, if it had been in effect, have kept nominal GNP for the United States close to a smooth target growth path over the period 1954-88 despite the regulatory and financial turmoil that occurred during the latter part of that period" (McCallum (1988), p.173). Critics such as B. Friedman (1988), are skeptical that simple base rules would substantially smooth fluctuations of nominal income around a target path. Arguments against adopting the base often center on the fact that currency has become an increasingly large component of the monetary base. For example, as of December 1991, currency represented roughly 80 percent of the monetary base.$^1$ Concerns over the "currency problem" and its effect on the use of a base rule generally falls into two categories. One is that currency is not related to conventional measures of macroeconomic activity. That is, because currency is frequently used in unreported economic transactions—for example, drug trade or exchange in foreign countries—it is suspected that changes in currency are less reliably related to a measure of domestic economic activity, such as GNP. In short, critics of base rules argue that the composition of the change in the monetary base matters, because the effect of changes in the base on nominal GNP will differ depending on the distribution of base money between currency $^1$ These figures come from the February 1994 issue of the Federal Reserve Bulletin. Currency data are reported in Table 1.21 and the monetary base (not adjusted for changes in reserve requirements) is reported in line 15 of Table 1.20. and reserves. The second argument invokes Gresham's Law: The Federal Reserve has always been willing to supply currency to meet whatever quantity is demanded, so that currency will not trade at a premium above its face value. The conjecture is that targeting the base is incongruent with elastic currency supply since the Fed controls only a portion of the base. Moreover, changes in currency may require offsetting movements in reserves. The contribution of this paper is to quantify the behavior of currency under a base rule regime: To facilitate comparability with earlier work, we use estimation and simulation procedures used by McCallum. We offer two approaches to exploring the role that currency may play if one adopts one of these monetary base rules. First, we generate an implied path for the monetary base and currency under the base rules studied. This simulation exercise reveals, within the confines of our experimental design, whether the fraction of currency relative to base is relatively constant in a setting in which a base rule dictates the quantity of monetary base supplied. The underlying assumption, consistent with historical Fed behavior, is that the supply of currency is elastic. If the currency-to-base ratio were to rise in a base rule setting, however, then some economic adjustment would be required. For example, interest rates likely would rise, restoring the equilibrium currency-to-base ratio, or financial intermediation would decline. Both scenarios suggest that financial instability may be greater under a base rule than base advocates claim.$^2$ Either way, a strong version of the criticism would contend that a rising currency-to-base ratio renders the base rule unusable. A weaker version would suggest that adopting a base rule requires careful consideration of the currency issue than presented to date. Second, we briefly examine total reserves rules, thereby "eliminating" the possible problems associated with currency. Chief among the questions associated with such a rule is, $^2$ Interest rate instability might not be that surprising in a world in which a quantity target is employed. As we discuss later in the paper, however, the fluctuations in interest rates consistent with the base rule may be quite large. "Could the Fed achieve a target inflation rate only by influencing deposit creation?" Our simulation results suggest that under a "total reserves" rule, total reserves decline when zero-inflation is the explicit policy goal. If the policymaker relaxes the zero-inflation restriction, however, we show that it is possible to generate a total reserves rule that mimics that which actually occurred during the past 30 years. The format of the paper is as follows. Section 2 specifies the model of nominal GNP behavior. With the simple specification for nominal GNP growth used in this paper, we characterize the behavior of the monetary base in steady state. The simulations generated under alternative base rules are presented in Section 3. Section 4 examines the role of currency as a base rule setting. A total reserves rule is specified and simulated in Section 5 with Section 6 summarizing our results. II. A Model of Nominal GNP McCallum (1988, 1993) considered the robustness of his evidence by comparing different empirical models relating base growth and economic activity. Using data for the U.S. and Japan, he found that his simulation results were not very sensitive to the model linking base and income. We adopt the simplest reduced-form specification used in McCallum as our data-generating mechanism for nominal GNP growth. This simple specification allows us to characterize the steady-state growth rate of the monetary base. 2.1 Results Base growth and nominal GNP growth are linked by the following equation: \[ \Delta Y_t = \alpha_0 + \alpha_1 \Delta Y_{t-1} + \alpha_2 \Delta B_{t-1} + \varepsilon_t, \] where $Y$ is log nominal GNP, $B$ is the log of the monetary base, $\varepsilon$ denotes a stochastic error term, $\Delta$ is the difference operator ($\Delta x_t = x_t - x_{t-1}$), and the $\alpha$'s are parameters to be estimated. Equation (1) is estimated using seasonally adjusted, quarterly observations of nominal GNP and the monetary base, the latter adjusted for changes in reserves requirements using the St. Louis methodology. The data span the period 1954:1 - 1991:3. The estimation results are (standard errors reported in parentheses): (2) $$\Delta Y_t = 0.008 + 0.271 \Delta Y_{t-1} + 0.360 \Delta B_{t-1}$$ (0.002) (0.077) (0.106) adj $R^2 = 0.19$ SEE = 0.010 BG = 1.24. The estimates are quite close to those reported in McCallum (1988) for the period 1954-85. The coefficients on both logged GNP and the base are statistically significant at the 5-percent level. The Breusch-Godfrey test for serial correlation yields a F-statistic of 1.24, well below the critical value of 2.02. Thus, serial correlation is not a significant problem with this regression. This simple model captures about 20 percent of the variation in GNP growth. It is important to investigate the temporal stability of the relationship since the estimates in equation (2) are used in subsequent simulations. If the estimates are unstable, the simulation outcomes would be clearly unreliable. We employed a battery of stability tests, always assuming that a break point is unknown a priori. In finite samples, Andrews (1992) suggests imposing boundaries between which the break may have occurred. When the break point is unknown, the asymptotic distribution theory is well specified when one does not search over the entire sample. Following Andrews, we test for break points between 1961:1 and 1985:4, eliminating roughly 15 percent of the sample from consideration as possible break points. The results from the different tests are reported in Table 1. The results fail to reject the null hypothesis of parameter constancy at conventional significance levels. Although the P-K max test statistic indicates that a break occurred, Ploberger and Kramer (1990) show that the P-K max test is powerful against the alternative in which breaks occur in the intercept term, not slope parameters. Because most of the tests indicate that one cannot reject the null hypothesis and because the one test that rejects the null is has low power against an alternative of changing slope parameters, we proceed under the presumption that there is no structural break in the data.$^3$ Equation (2) can also be used to examine the notion that the distribution of the monetary base between currency and reserves is critical in assessing the role of the monetary base as a policy tool. The most direct way to discern if such a problem with the currency-to-reserves ratio exists is simply to test whether the effects on income of changes in currency are systematically different from changes in total reserves. To investigate this issue, we decomposed base growth into currency and total reserves and estimated the following regression (standard errors are in parentheses):$^4$ --- $^3$ This evidence contrasts with Feldstein and Stock’s (1993) finding of a structural break in nominal GNP growth regressions in which the monetary base is used as the money measure. The explanation may lie in the differences between the two studies. For example, the adjusted $R^2$ for our regression (0.19) is somewhat higher than what was observed in Feldstein and Stock (see line 1, Table 5 - 0.17). Feldstein and Stock include more lags (three) of a four-quarter growth rate compared with our specification of one lagged value of a one-quarter growth rate. The slightly lower adj $R^2$ suggests that too many lags are included. In addition, we use 28 more observations in estimating our regression, including the period 1954:2-1960:2. $^4$ In order to get a "clean" separation of the base, both currency and total reserves growth are defined relative to the quantity of monetary base. Formally, $\Delta C_t = (C_t - C_{t-1})/[(MB_t + MB_{t-1})/2]$ and $\Delta TR_t = (TR_t - TR_{t-1})/[(MB_t + MB_{t-1})/2]$. \[ \Delta Y_t = 0.008 + 0.293 \Delta Y_{t-1} + 0.206 \Delta C_{t-1} + 0.592 \Delta TR_{t-1} \] \[ (0.002) \quad (0.077) \quad (0.138) \quad (0.204) \] adj $ R^2 = 0.17 \quad SEE = 0.009 \quad BG = 0.91 $. Testing the hypothesis that the coefficients on currency and total reserves are equal, the resulting t-statistic is 1.44, less than the 10-percent critical value. Although the coefficient estimates are quantitatively different (0.206 vs. 0.592), one cannot statistically reject the hypothesis that the composition of base money is irrelevant for determining the growth rate of nominal GNP. At least over the range of currency-to-monetary base observed historically, the relationship between currency and nominal income growth is not statistically different from the relationship between total reserves and income growth. ### 2.2 Implications for steady-state base growth What does this data-generating mechanism for nominal GNP in equation (2) imply about the steady-state growth rate for the monetary base? Examining the steady-state provides some insight to the issue of how a base rule would be operate. In McCallum’s base rule, for example, it is necessary to establish a target growth rate for nominal GNP, denoted $ \Delta Y^* $. In steady-state, $ \Delta Y_t = \Delta Y_{t-1} = \Delta Y^* $. Substituting steady-state nominal GNP growth into equation (1) and solving for the growth rate of the monetary base yields \[ \Delta B = \frac{(1 - \alpha_1)}{\alpha_2} \Delta Y^* - \frac{\alpha_0}{\alpha_2}. \] According to equation (4), the steady-state growth rate of base money depends on four factors: (i) the persistence of nominal GNP growth, $ \alpha_1 $; (ii) the impact multiplier of monetary base --- 5 McCallum originally adopted a target for the level of nominal GNP. We adopt a target growth rate for nominal GNP. See Feldstein and Stock (1993) and McCallum (1993) for a discussion of the merits of growth rate vs. level targeting. growth on nominal GNP growth, $\alpha_2$; (iii) the average drift in nominal GNP, $\alpha_0$; and (iv) the targeted value of nominal GNP growth, $\Delta Y^$. Other things being equal, an increase in the persistence of nominal GNP growth ($\alpha_1$) results in slower monetary base growth in the steady-state; a rise in the average drift of nominal GNP ($\alpha_0$) also results in slower monetary base growth. Unlike these effects, a change in the impact multiplier has an ambiguous effect on the steady state growth rate of the monetary base.\footnote{Formally, $\text{sgn}(\partial \Delta B / \partial \alpha_2) = \text{sgn}[\alpha_0 - (1 - \alpha_1)\Delta Y^]$. This equation indicates that if the average drift in nominal GNP is greater than the product of the target growth rate and one minus the persistence of nominal GNP growth then the steady-state growth rate of monetary base is positively related changes in the impact multiplier.} Finally, an increase in the target growth rate of nominal GNP ($\Delta Y^$) results in faster monetary base growth in the steady-state. The parameter estimates from equation (2) allow us to calculate the (expected) steady-state growth rate for monetary base. Plugging the estimates into equation (4) and setting the target growth rate for nominal GNP growth at a 3-percent annualized rate, the outcome indicates that the monetary base will fall at a 2.8-percent annual rate in the steady state.\footnote{McCallum (1987) reports that in order to achieve 3-percent nominal GNP growth, or zero inflation, his estimate of equation (1) would require base to decline at an even higher 3.8-percent annual rate.} This means that if nominal GNP growth evolved according this simple reduced-form model, the monetary base would have to decline at 2.8-percent annual rate to hit the desired 3-percent target nominal GNP growth rate.\footnote{In an earlier version of this paper (Hafer, Haslag, and Hein (1990)), we separated the simulation and estimation period, using data from the 1954-69 period to estimate the nominal GNP growth equation. Judd and Motley (1993) interpret our declining monetary base finding as the product of inconsistency between average output growth in the 1954-69 period, which is much higher than average output growth during the entire 1954-85 period. The fact that steady-state monetary base declines when the nominal GNP equation is estimated over the 1954-91 period would seem to refute the Judd and Motley claim. Indeed, the steady-state characterization in the text makes clear the factors contributing to monetary base decline.} Declining monetary base does not necessarily present problems for policymakers. More importantly, such a steady-state analysis does not illustrate changes in the distribution of the base between currency and reserves. In the remainder of the paper, we simulate monetary base growth and nominal income growth using several different policy rules. In order to focus on the possible effects of currency growth on this distribution, the demand for currency is simulated using each rule's implied nominal GNP growth path. Determining the path of currency and the monetary base generated under the different rules, the possible evolution of currency in a monetary base rule setting, and to highlight some of the heretofore ignored policy issues associated with such a change. III. Nominal GNP simulations The simulated paths for nominal GNP growth generated from equation (2) using different monetary base rules are presented in this section. For comparison, several different monetary base rules are considered. 3.1 The monetary base rules Monetary base growth is dictated by one of three rules: (i) the McCallum rule; (ii) the Meltzer rule; and (iii) a simple 3-percent rule. The McCallum rule is written as: \[ \Delta B_t = 0.00739 - \frac{1}{16} [Y_{t-1} - Y_{t-17} - B_{t-1} + B_{t-17}] + \lambda (\Delta Y^_{t-1} - Y \Delta_{t-1}). \] The term $\lambda$ is a feedback parameter, where $0 \leq \lambda \leq 1$. This stipulates that monetary base growth respond to a 1-percentage point deviation from last period's growth rate target by $\lambda$-percentage points.$^9$ The first term on the right-hand-side of equation (5) is simply the quarterly value of 3-percent annualized growth. The second term is a four-year moving average of base velocity growth. In this model, a "permanent" increase in base velocity growth results in slower monetary base growth. The Meltzer rule is written as: \[ \Delta B_t = \left(1/12\right) \left[ \sum_{j=1}^{12} \Delta y_{t-j} - \sum_{j=1}^{12} \Delta V_{t-k} \right], \] where $y$ denotes log output and $V$ is log base velocity. In Meltzer's rule, monetary base growth responds to changes in the twelve-quarter moving average of output growth and twelve-quarter moving average of base velocity growth. The Meltzer rule treats the most recent twelve-quarter moving average of output growth as the "permanent" or target growth rate. If output grows at a 3-percent rate of growth, then the Meltzer rule is simply a special case of the McCallum rule with $\lambda = 0$. The 3-percent rate rule merely sets base growth equal to the target growth rate for nominal GNP. Although the 3-percent rule is a special case of both the Meltzer and McCallum rules, this rule has a much longer history in the discussion of policy. ### 3.2 Nominal GNP simulations Equation (2) together with a base rule (either (5), (6), or the 3-percent rule) form a recursive system. The path for base growth is determined for period $t$, then fed into the nominal GNP growth rate equation (2) in period $t+1$, which then is fed back into the base rules (equations (5) or (6)) and so on. Two points must be made about the simulation procedure. --- $^9$ This rule is a modification of the McCallum rule. In its original representation, McCallum (1987) specified a levels target for nominal GNP. The issue of growth rate versus level targeting is discussed in Feldstein and Stock (1993) and McCallum (1993). Hafer, Haslag, and Hein (1990) compare the different rules in both levels and growth rate targeting cases. First, shocks to the system are generated using the realized error term from equation (2). Formally, let $\hat{\varepsilon}_t = \Delta Y_t - \Delta Y^p_t$, where $\Delta Y^p_t$ is the predicted value of nominal GNP growth generated by equation (2). The simulated value of nominal GNP growth, $\Delta Y^s_t$, is thus the value of GNP growth generated with the parameter estimates in equation (2) plus $\hat{\varepsilon}_t$. Second, the Meltzer rule requires simulating output growth. To do this, nominal GNP growth is defined as the sum of output growth and inflation. Specifically, we estimate a simple, reduced-form inflation rate equation, subtracting the inflation rate simulated under this base rule to generate a simulated path for output growth. To generate output growth, the path for monetary base growth is used, subtracting the simulated value of the inflation rate from the simulated value of nominal GNP growth. In this case, we implicitly assume that the nominal GNP growth rate shocks are identical to output growth shocks. Table 2 reports summary statistics comparing each rule's ability to hit the target growth rate for nominal GNP, assumed to be 3-percent. The McCallum and Meltzer rules have roughly the same root mean squared deviation (RMSD) about the targeted GNP growth path, suggesting that each rule is equally adept at hitting a 3-percent target growth rate. Both are superior, in --- 10 This procedure follows McCallum’s methodology for including non-monetary shocks. 11 In equation (8), the constant term is not estimated as a free parameter. Rather, the constant term is derived from the steady-state expression for the inflation rate. We plugged in the steady-state value of base growth generated from the steady-state nominal GNP growth expression, assuming that the target growth rate for nominal GNP is 3 percent. If potential output grows at a 3-percent rate, consistency requires that the steady-state inflation rate is zero. However, in the unrestricted inflation rate equation, the steady-state inflation rate was positive. To achieve consistency, we treated the coefficients on lagged inflation and lagged base growth as parameters in the steady-state expression and solved for the value of the constant term which would yield steady-state inflation equal to zero. The inflation rate equation estimated for the 1954-91 sample is (standard errors in parentheses): $$\Delta P_t = 0.0014 + 0.5499 \Delta P_{t-1} + 0.1625 \Delta B_{t-1}$$ (0.0685) (0.1062) where $\Delta P_t$ is the inflation rate (measured by the implicit price deflator) in period $t$. terms of minimizing RMSD, to the simple 3-percent rule. Equally suggestive is the near zero average errors for the McCallum and Meltzer rules compared with the average 3-percentage point miss from the fixed-rate rule. So one would expect a priori, the success of the rule is determined largely by their ability to adapt to changes in base velocity movements across the sample. Indeed, this result suggests that the feedback aspect of McCallum's rule is not required to accurately hit a predetermined GNP growth target.$^{12}$ IV. Currency demand simulations We now focus on the issue of how the base paths generated by each rule could be distributed between currency and reserves. This is not a trivial matter if one considers the controllability of currency. We estimate three different currency demand functions. In Model I we specify the growth rate of currency demand as a function of nominal income growth and (a first difference of) a short-term nominal interest rate. This version is a relatively normal specification of currency demand. Model II estimates currency demand growth as a function of output growth, the inflation rate, and the (ex post) lagged value of the real interest rate. Both Models I and II include three lagged values of currency growth in the regression. Finally, Model III is a Goldfeld-type specification (see Goldfeld (1973)) in which the log value of real currency is the dependent variable and the independent variables are contemporaneous log values of real GNP, the nominal interest rate, and one lagged value of log real currency.$^{13}$ Though not attempting to capture all possible specifications, these three are sufficiently general to demonstrate the evolution of currency under a base rule. $^{12}$ All results reported here set $\lambda = 0.25$. This value was found by McCallum (1988, 1993) to minimize deviations from the target path. $^{13}$ Our currency demand specifications are linked to the existing literature. See, for example, see Goldfeld (1973) and Cagan (1982). The estimation results, using data spanning the period 1954:1-91:3, are reported in Table 3. The estimates there suggest that there is a nontrivial amount of persistence in currency and currency growth (the sum of the coefficients on lagged currency growth equal roughly 0.85). Thus innovations, such as slowing income growth, are likely to have long-lived effects in our simulations. Model I shows that lagged income and nominal interest rates exert a statistically significant effect on currency demand, once lagged currency is accounted for. This result is consistent with earlier results suggesting that changes in income probably influence currency demand decisions. Model II shows inflation playing a significant role in explaining currency demand. Model III shows that both real income and the nominal interest rate play significant roles in helping to explain currency demand.$^{14}$ For our purposes, however, determining which model is "the" correct specification is not necessary. Since each has theoretical and (some) empirical support, all three can be used to assess the robustness of out conclusions about the role currency in setting base rules. Using the currency demand equations, we generate simulated values of currency using simulated nominal GNP growth in Model I, and both simulated output growth and inflation in Model II.$^{15}$ We make two simplifying assumptions. First, shocks to currency demand are omitted. Second, since the model is not rich enough to determine the nominal or real interest $^{14}$ As Model III is specified with log levels, we checked the residuals from this regression for a unit root. The first-order autocorrelation coefficient on the residuals is 0.32, the Stock-Watson q-statistic is -97.04, and the Dickey-Fuller test statistic is -3.38. Both formal tests indicate that one would reject the null hypothesis of a unit root at the 5-percent significance level (or higher). $^{15}$ Our earlier finding (see Section 2.1) simplifies the simulation exercise. Specifically, changes in monetary base growth due to currency are statistically equal to changes due to total reserves. Consequently, the path of currency relative to base does not affect the nominal GNP simulation. rates, we use their actual histories.\textsuperscript{16} The result of this simulation exercise is revealed in the path of the monetary base and simulated currency demand from each of the three models in Figure 1. Panel (a) plots the monetary base path generated by the McCallum rule along with the simulated currency from the three different currency demand models. Panels (b) and (c) repeat the exercise for the Meltzer and 3-percent rules, respectively. Note that across the different rules, a particular model of currency demand demonstrates qualitatively similar behavior. What is more interesting for our purposes is to focus on how the different models of currency demand relate to the monetary base. In particular, in any panel of Figure 1, one sees that if currency demand is generated by any of the currency models, currency exceeds the quantity of monetary base dictated by the rule around the mid 1970s, implying that total reserves would be negative. Finding negative total reserves is clearly not an equilibrium outcome. While a result in which the demand for total reserves is less than zero may be theoretically possible, in a simulation exercise such an outcome probably would not occur. For a given reserve requirement ratio, falling reserves means that the quantity of deposits supported is also falling. This means that the banking sector would be contracting. There are changes that would probably be at work to mitigate the banking sector's contraction under a base rule. In particular, banks would likely raise interest rates on deposits, shifting the composition of the existing monetary base toward reserves in an attempt to mitigate the hemorrhaging bank sector. Obviously, with a shrinking banking sector possibly rising interest rates, it is quite likely that the reduced-form parameters would be very different from those in the historical data generating mechanism estimated above. \textsuperscript{16} As an anonymous referee pointed out on an earlier draft, the nominal interest rate is likely to look very different in the simulations. A more reasonable assumption, without solving for the nominal interest rate path, is to assume that the real interest rate is unchanged. Thus, our Models I and II use real interest rates as explanatory variables. It is this potential instability in the reduced-form model that raises suspicion about the reliability of the simulation results from previous studies of base rules. But, our concern is motivated by more than conjecture about the possible uses of currency. Indeed, the simulation results for currency suggest that some startlingly different behavior would unfold, and that this behavior is generated using the same methodology as rule advocates. Our results demonstrate that, at least within the historical context of our (and others') simulation exercise, the distribution of base between currency and reserves should not be lightly dismissed in discussing the usefulness of adopting base rules. Because the distribution of the monetary base might differ quite dramatically, as the results in Models I, II, and III would indicate, one way to investigate the adoption effect of the rule is let the coefficients on currency and total reserves differ. As a first pass, we use the parameter estimates in equation (3) as point estimates of the differential effects on income associated with changes in currency and total reserves. These point estimates are historical base and thus are only suggestive of what might actually occur. Since this exercise attempts to provide a first-pass notion of changes in the composition of monetary base on variability around the target income growth rate, the simulation simply allows the coefficients on currency and total reserves to differ. The experiment is conducted as follows: The McCallum rule is used to generate the path for the monetary base growth. Given the monetary base growth rate, the growth rate for currency demand is generated using each of the three models. Since equation (3) is calculated in percentage-change form (see footnote 4), we derive the levels of monetary base and currency, taking the difference as total reserves. Lagged values of the percentage-change of both currency and total reserves relative to the base are then plugged into the equation (3) to generate the percentage change of nominal GNP.\textsuperscript{17} For currency demand generated by the alternative currency demand models, the deviation of income from its target is substantially higher than those generated for the case in which the composition of base money is ignored. The RMSD using currency demand Model I is 11.8 percent, for Model II it is 23.1 percent, and for Model III it is 29.3 percent. These results further hint at the possible loss of stabilization improvement when one actually considers how currency and total reserves behave under these rules. V. Total reserve rules We eliminate the problems associated with currency in a monetary base targeting regime by assuming that the Federal Reserve supplies currency elastically to accommodate demand and focuses instead on hitting a total reserves target. This alternative to the base rule requires that we estimate a nominal GNP growth equation identical to equation (1), except that the one lagged value of total reserve growth has been substituted for monetary base growth. The relevant full-sample regression results after this substitution are: \[ (7) \quad \Delta Y_t = 0.01 + 0.328 \Delta Y_{t-1} + 0.206 \Delta TR_{t-1} \] \[ (0.002) \quad (0.075) \quad (0.062) \] adj $R^2 = 0.17$ \quad SEE = 0.010 \quad BG = 1.24. Compared with the monetary base version, we see that the adjusted $R^2$ is only slightly lower when total reserves are used instead of the base. Even though total reserves have a smaller point impact than base (0.026 vs. 0.360), the coefficient is highly significant ($t = 3.3$). The results from the battery of stability tests indicate one cannot reject the hypothesis that the \textsuperscript{17} As with our previous nominal GNP simulations, the errors from equation (3) are added to the "expected" value to account for nonmonetary shocks to the economy. parameters are constant over time.\textsuperscript{18} Setting the target nominal GNP growth rate at 3-percent, total reserves would decline at a 9.3-percent annual rate in the steady state according to the estimates from equation (7). This again means that the Federal Reserve would have to contract the quantity of total reserves by this rate in order to achieve a presumed zero average inflation target. Assuming a constant reserve requirement ratio, this contraction again would force the banking system to contract as fewer reserves support fewer deposits. Thus, using total reserves as the policy instrument, a non-inflationary path for GNP dictates that total reserves would decline, an outcome similar to that found in the monetary base simulation with currency explicitly accounted for. We substitute total reserves for the monetary base in the rules and simulate nominal GNP growth and the path for total reserves. Table 4 reports the summary statistics for the deviations from target nominal GNP growth under each rule. In each case, the mean deviations (MD) and RMSD are higher for the same rule using the monetary base as the instrument. The differences, however, are small, less than 5-percent for either the McCallum or Meltzer rules when comparing the RMSD statistics. In contrast, the 3-percent rule for total reserves generates a RMSD that is 15 percent greater than when the monetary base is used. Figure 2 plots the path for total reserves generated under each of the rules. Both the Meltzer and McCallum rules show declining total reserves during the simulation period while total reserves rise in the 3-percent case. In addition, we simulate currency demand under each rule to examine the ratio of currency to base. These results, which are available upon request, show that the currency-to-base ratios approach one under the McCallum and Meltzer total \textsuperscript{18} The test statistics from the alternative stability tests are as follows: QLR = 2.647; Mean Chow = 0.980; A-P exp W = 0.561; P-K max = 0.937; P-K mean sq = 0.321. The test statistics do not reject the null of parameter constancy. VI. Summary We explicitly consider the role that currency could play in carrying out suggested monetary base policy rules. Since currency is often cited as the key factor keeping policymakers from adopting such base rules, our contribution is to illustrate how currency might have behaved within the context of the alternative base rules under consideration. Our key finding is that the demand for currency simulated under the monetary base rules would likely be incompatible with adhering to the rule. We produce the result that under standard currency demand specifications, total reserves would go negative if the Federal Reserve let individuals acquire whatever quantities of currency demanded and fixed the supply of base using a policy rule developed by Meltzer, McCallum, or even the 3-percent rule. What is interesting is the implication that such paths for currency and total reserves might have for the economy. The banking system would have to shrink as deposits and reserves decline, potentially accompanied by higher interest rates as bankers seek to curtail the deposit outflow. Under these conditions, the reduced-form models which we have used to characterize nominal GNP growth would likely change with the underlying economic structure. If one accepts the Lucas-critique kind of criticism, claims by base rule advocates that such rules would dampen fluctuations around a target growth rate for nominal GNP become less credible. As a first-pass, we estimate the effects of that sharp changes in distribution of monetary base between currency and reserves. The results suggest that the economy would be much more volatile around a 3-percent target path than claimed by McCallum. We also investigated the usefulness of such rules when the Fed is assumed to focus policy on the behavior of total reserves. Simulated total reserves again declined during the sample period, mimicking the problems similar to those encountered with base rules. Whereas the 3-percent rule did not suffer these problems, the evidence indicates that one would fail to achieve the zero-inflation goal by adopting the policy of a 3-percent growth rate policy for reserves. There remains much work to be done on this subject. Our results suggest that the role of currency cannot be dismissed in future analyses of base rule for policy. The challenge for future research is to construct some form of rule that circumvents these problems. References Andrews, Donald K., "Tests for Parameter Instability and Structural Change with Unknown Change Point," Econometrica, 61 (July 1993): 821-56. Cagan, Philip, "The Choice among Monetary Aggregates as Targets and Guides for Monetary Policy," Journal of Money, Credit, and Banking, 14(4) (Nov. 1982), 661-86. Feldstein Martin and James H. Stock, "The Use of Monetary Aggregate to Target Nominal GDP," NBER Working Paper # 4304, March 1993. Friedman, Benjamin M., "Conducting Monetary Policy by Controlling Currency Plus Noise: A Comment," Carnegie-Rochester Conference Series on Public Policy, 29 (1988): 205-12. Goldfeld, Stephen M., "The Demand for Money Revisited," Brookings Papers on Economic Activity, 73(3), 576-638. Hafer, R.W., Joseph H. Haslag, and Scott E. Hein, Evaluating Monetary Base Targeting Rules," Federal Reserve Bank of Dallas Working Paper no. 9008, 1990. Judd, John P. and Brian Motley, "Nominal Feedback Rules for Monetary Policy: Alternative Operating Procedures and Targets," unpublished manuscript, 1992. McCallum, Bennett T., "The Case for Rules in the Conduct of Monetary Policy, A Concrete Example," Federal Reserve Bank of Richmond Economic Review, Sept/Oct. 1987: 10-18. ______________, "Robustness Properties of a Rule for Monetary Policy," Carnegie-Rochester Conference Series on Public Policy, 29 (1988): 173-203. ______________, "Specification and Analysis of a Monetary Policy Rule for Japan," NBER Working Paper # 4449, September 1993. Meltzer, Allan H., "Overview," in Price Stability and Public Policy, A Symposium sponsored by the Federal Reserve Bank of Kansas City, 1984, 209-22. Ploberger, Werner and W. Kramer, "The Local Power of the CUSUM and CUSUM of Squares Tests," Econometric Theory, 6: 335-47. Table 1 Results from Tests for Structural Breaks Nominal GNP Growth with Monetary Base \| Test Procedure \| Statistic \| \|----------------------\|-----------\| \| QLR \| 6.322 \| \| Mean Chow \| 1.745 \| \| A-P exp W \| 1.421 \| \| P-K max \| 1.416 \| \| P-K mean sq \| 0.514 \| denotes significance at the five-percent level Notes: QLR - Quandt Likelihood Ratio (maximum of likelihood ratio statistics) Mean Chow - average of likelihood ratio statistics A-P exp W - Andrews and Ploberger exponential weighted average of likelihood ratio statistics P-K max - Ploberger and Kramer maximum of squared scaled residuals P-K mean sq - Ploberger and Kramer average of squared scaled residuals Table 2 Summary Statistics for Nominal GNP Growth Rate Target Simulation period 1959:1 - 91:3, Estimation period 1954:1 - 91:3 Monetary Base as the Policy Instrument \| Rule \| MD \| MAD \| RMSD \| \|----------\|------\|------\|------\| \| McCallum \| 0.12 \| 3.00 \| 3.87 \| \| Meltzer \| -0.00\| 3.05 \| 3.91 \| \| 3-percent\| -3.15\| 4.00 \| 5.00 \| Note: All deviations are reported at annualized rates Table 3 Results from Currency Demand Specifications Model Specification \| Independent Variable \| I \| II \| III* \| \|----------------------\|------------\|------------\|------------\| \| $\Delta \ln Y_{t-1}$ \| 0.0703 \| - \| - \| \| \| (0.0353) \| \| \| \| $\Delta i_{t-1}$ \| -0.0016 \| - \| - \| \| \| (0.0004) \| \| \| \| $\Delta \ln y_{t-1}$ \| - \| 0.0399 \| - \| \| \| \| (0.0375) \| \| \| $\Delta \ln P_{t-1}$ \| - \| -0.0014 \| - \| \| \| \| (0.0004) \| \| \| $\Delta r_{t-1}$ \| - \| 0.0174 \| - \| \| \| \| (0.0604) \| \| \| $\Delta \ln C_{t-1}$ \| 0.5797 \| 0.5880 \| - \| \| \| (0.0810) \| (0.0851) \| \| \| $\Delta \ln C_{t-2}$ \| 0.2415 \| 0.2380 \| - \| \| \| (0.1048) \| (0.1075) \| \| \| $\Delta \ln C_{t-3}$ \| 0.0376 \| 0.0551 \| - \| \| \| (0.0939) \| (0.0968) \| \| \| $\ln y_t$ \| - \| - \| 0.039 \| \| \| \| \| (0.005) \| \| $r_t$ \| - \| - \| -0.0017 \| \| \| \| \| (0.0002) \| \| $\ln(C/P)_{t-1}$ \| - \| - \| 0.972 \| \| \| \| \| (0.008) \| Legend: standard errors are in parentheses a Note that Model III has the log value of real currency as the dependent variable. Table 4 Summary Statistics for Nominal GNP Growth Rate Target Simulation period 1959:1 - 91:3, Estimation period 1954:1 - 91:3 Total Reserves as the Policy Instrument \| Rule \| MD \| MAD \| RMSD \| \|----------\|------\|------\|------\| \| McCallum \| -0.28\| 3.17 \| 4.00 \| \| Meltzer \| -0.92\| 3.21 \| 4.12 \| \| 3-percent\| -4.04\| 4.67 \| 5.72 \| Note: All deviations are reported at annualized rates Figure 1 (a) McCallum Rule--simulated monetary base and currency paths \| \| Value \| \|--------\|-------\| \| MBASE \| \| \| MODEL1 \| \| \| MODEL2 \| \| \| MODEL3 \| \| 1960 1967 1974 1981 1988 Figure 1 (b) Meltzer Rule--simulated monetary base and currency paths \| Model \| Line Style \| \|---------\|------------\| \| MBASE \| Solid \| \| MODEL1 \| Dashed \| \| MODEL2 \| Dotted \| \| MODEL3 \| Dash-Dotted\| 1960 1967 1974 1981 1988 Figure 1 (c) 3 Pct Rule--simulated monetary base and currency paths \| Legend \| Line Style \| \|----------\|------------\| \| MBASE \| Solid \| \| MODEL1 \| Dashed \| \| MODEL2 \| Dotted \| \| MODEL3 \| Dash-Dotted\| Y-axis: 25, 50, 75, 100, 125, 150, 175, 200, 225 X-axis: 1960, 1967, 1974, 1981, 1988 Table 2 Total reserve paths under the alternative rules - mccal - meltz - 3 pct RESEARCH PAPERS OF THE RESEARCH DEPARTMENT FEDERAL RESERVE BANK OF DALLAS Available, at no charge, from the Research Department Federal Reserve Bank of Dallas, P.O. Box 655906 Dallas, Texas 75265-5906 9201 Are Deep Recessions Followed by Strong Recoveries? (Mark A. Wynne and Nathan S. Balke) 9202 The Case of the "Missing M2" (John V. Duca) 9203 Immigrant Links to the Home Country: Implications for Trade, Welfare and Factor Rewards (David M. Gould) 9204 Does Aggregate Output Have a Unit Root? (Mark A. Wynne) 9205 Inflation and Its Variability: A Note (Kenneth M. Emery) 9206 Budget Constrained Frontier Measures of Fiscal Equality and Efficiency in Schooling (Shawna Grosskopf, Kathy Hayes, Lori Taylor, William Weber) 9207 The Effects of Credit Availability, Nonbank Competition, and Tax Reform on Bank Consumer Lending (John V. Duca and Bonnie Garrett) 9208 On the Future Erosion of the North American Free Trade Agreement (William C. Gruben) 9209 Threshold Cointegration (Nathan S. Balke and Thomas B. Fomby) 9210 Cointegration and Tests of a Classical Model of Inflation in Argentina, Bolivia, Brazil, Mexico, and Peru (Raúl Anibal Feliz and John H. Welch) 9211 Nominal Feedback Rules for Monetary Policy: Some Comments (Evan F. Koenig) 9212 The Analysis of Fiscal Policy in Neoclassical Models¹ (Mark Wynne) 9213 Measuring the Value of School Quality (Lori Taylor) 9214 Forecasting Turning Points: Is a Two-State Characterization of the Business Cycle Appropriate? (Kenneth M. Emery & Evan F. Koenig) 9215 Energy Security: A Comparison of Protectionist Policies (Mine K. Yücel and Carol Dahl) 9216 An Analysis of the Impact of Two Fiscal Policies on the Behavior of a Dynamic Asset Market (Gregory W. Huffman) 9301 Human Capital Externalities, Trade, and Economic Growth (David Gould and Roy J. Ruffin) 9302 The New Face of Latin America: Financial Flows, Markets, and Institutions in the 1990s (John Welch) 9303 A General Two Sector Model of Endogenous Growth with Human and Physical Capital (Eric Bond, Ping Wang, and Chong K. Yip) 9304 The Political Economy of School Reform (S. Grosskopf, K. Hayes, L. Taylor, and W. Weber) 9305 Money, Output, and Income Velocity (Theodore Palivos and Ping Wang) 9306 Constructing an Alternative Measure of Changes in Reserve Requirement Ratios (Joseph H. Haslag and Scott E. Hein) 9307 Money Demand and Relative Prices During Episodes of Hyperinflation (Ellis W. Tallman and Ping Wang) 9308 On Quantity Theory Restrictions and the Signalling Value of the Money Multiplier (Joseph Haslag) 9309 The Algebra of Price Stability (Nathan S. Balke and Kenneth M. Emery) 9310 Does It Matter How Monetary Policy is Implemented? (Joseph H. Haslag and Scott E. Hein) 9311 Real Effects of Money and Welfare Costs of Inflation in an Endogenously Growing Economy with Transactions Costs (Ping Wang and Chong K. Yip) 9312 Borrowing Constraints, Household Debt, and Racial Discrimination in Loan Markets (John V. Duca and Stuart Rosenthal) 9313 Default Risk, Dollarization, and Currency Substitution in Mexico (William Gruben and John Welch) 9314 Technological Unemployment (W. Michael Cox) 9315 Output, Inflation, and Stabilization in a Small Open Economy: Evidence From Mexico (John H. Rogers and Ping Wang) \| Code \| Title \| Authors \| \|-------\|----------------------------------------------------------------------\|----------------------------------------------\| \| 9316 \| Price Stabilization, Output Stabilization and Coordinated Monetary Policy Actions \| Joseph H. Haslag \| \| 9317 \| An Alternative Neo-Classical Growth Model with Closed-Form Decision Rules \| Gregory W. Huffman \| \| 9318 \| Why the Composite Index of Leading Indicators Doesn't Lead \| Evan F. Koenig and Kenneth M. Emery \| \| 9319 \| Allocative Inefficiency and Local Government: Evidence Rejecting the Tiebout Hypothesis \| Lori L. Taylor \| \| 9320 \| The Output Effects of Government Consumption: A Note \| Mark A. Wynne \| \| 9321 \| Should Bond Funds be Included in M2? \| John V. Duca \| \| 9322 \| Recessions and Recoveries in Real Business Cycle Models: Do Real Business Cycle Models Generate Cyclical Behavior? \| Mark A. Wynne \| \| 9323* \| Retaliation, Liberalization, and Trade Wars: The Political Economy of Nonstrategic Trade Policy \| David M. Gould and Graeme L. Woodbridge \| \| 9324 \| A General Two-Sector Model of Endogenous Growth with Human and Physical Capital: Balanced Growth and Transitional Dynamics \| Eric W. Bond, Ping Wang, and Chong K. Yip \| \| 9325 \| Growth and Equity with Endogenous Human Capital: Taiwan's Economic Miracle Revisited \| Maw-Lin Lee, Ben-Chieh Liu, and Ping Wang \| \| 9326 \| Clearinghouse Banks and Banknote Over-issue \| Scott Freeman \| \| 9327 \| Coal, Natural Gas and Oil Markets after World War II: What's Old, What's New? \| Mine K. Yücel and Shengyi Guo \| \| 9328 \| On the Optimality of Interest-Bearing Reserves in Economies of Overlapping Generations \| Scott Freeman and Joseph Haslag \| \| 9329* \| Retaliation, Liberalization, and Trade Wars: The Political Economy of Nonstrategic Trade Policy \| David M. Gould and Graeme L. Woodbridge \| \| \| (Reprint in error of 9323) \| \| \| 9330 \| On the Existence of Nonoptimal Equilibria in Dynamic Stochastic Economies \| Jeremy Greenwood and Gregory W. Huffman \| \| 9331 \| The Credibility and Performance of Unilateral Target Zones: A Comparison of the Mexican and Chilean Cases \| Raul A. Feliz and John H. Welch \| \| Code \| Title \| Authors \| \|-------\|----------------------------------------------------------------------\|----------------------------------------------\| \| 9332 \| Endogenous Growth and International Trade \| Roy J. Ruffin \| \| 9333 \| Wealth Effects, Heterogeneity and Dynamic Fiscal Policy \| Zsolt Becsi \| \| 9334 \| The Inefficiency of Seigniorage from Required Reserves \| Scott Freeman \| \| 9335 \| Problems of Testing Fiscal Solvency in High Inflation Economies: Evidence from Argentina, Brazil, and Mexico \| John H. Welch \| \| 9336 \| Income Taxes as Reciprocal Tariffs \| W. Michael Cox, David M. Gould, and Roy J. Ruffin \| \| 9337 \| Assessing the Economic Cost of Unilateral Oil Conservation \| Stephen P.A. Brown and Hillard G. Huntington \| \| 9338 \| Exchange Rate Uncertainty and Economic Growth in Latin America \| Darryl McLeod and John H. Welch \| \| 9339 \| Searching for a Stable M2-Demand Equation \| Evan F. Koenig \| \| 9340 \| A Survey of Measurement Biases in Price Indexes \| Mark A. Wynne and Fiona Sigalla \| \| 9341 \| Are Net Discount Rates Stationary?: Some Further Evidence \| Joseph H. Haslag, Michael Nieswiadomy, and D. J. Slottje \| \| 9342 \| On the Fluctuations Induced by Majority Voting \| Gregory W. Huffman \| \| 9401 \| Adding Bond Funds to M2 in the P-Star Model of Inflation \| Zsolt Becsi and John Duca \| \| 9402 \| Capacity Utilization and the Evolution of Manufacturing Output: A Closer Look at the "Bounce-Back Effect" \| Evan F. Koenig \| \| 9403 \| The Disappearing January Blip and Other State Employment Mysteries \| Frank Berger and Keith R. Phillips \| \| 9404 \| Energy Policy: Does it Achieve its Intended Goals? \| Mine Yücel and Shengyi Guo \| \| 9405 \| Protecting Social Interest in Free Invention \| Stephen P.A. Brown and William C. Gruben \| \| 9406 \| The Dynamics of Recoveries \| Nathan S. Balke and Mark A. Wynne \| \| 9407 \| Fiscal Policy in More General Equilibrium \| Jim Dolman and Mark Wynne \| 9408 On the Political Economy of School Deregulation (Shawna Grosskopf, Kathy Hayes, Lori Taylor, and William Weber) 9409 The Role of Intellectual Property Rights in Economic Growth (David M. Gould and William C. Gruben) 9410 U.S. Banks, Competition, and the Mexican Banking System: How Much Will NAFTA Matter? (William C. Gruben, John H. Welch and Jeffery W. Gunther) 9411 Monetary Base Rules: The Currency Caveat (R. W. Hafer, Joseph H. Haslag, and Scott E. Hein)
ANNALES DE L'I. H. P., SECTION B MICHAEL LIN Quasi-compactness and uniform ergodicity of Markov operators Annales de l'I. H. P., section B, tome 11, n o 4 (1975), p. 345-354 <http://www.numdam.org/item?id=AIHPB_1975__11_4_345_0> © Gauthier-Villars, 1975, tous droits réservés. L'accès aux archives de la revue « Annales de l'I. H. P., section B » (http://www.elsevier.com/locate/anihpb) implique l'accord avec les conditions générales d'utilisation (http://www.numdam.org/conditions). Toute utilisation commerciale ou impression systématique est constitutive d'une infraction pénale. Toute copie ou impression de ce ﬁchier doit contenir la présente mention de copyright. Article numérisé dans le cadre du programme Numérisation de documents anciens mathématiques http://www.numdam.org/ Quasi-compactness and uniform ergodicity of Markov operators Michael LIN () Department of Mathematics. The Ohio State University. Columbus, Ohio 43210 RESUME. - Il est démontré que, pour des opérateurs Markoviens, la quasi-compacité est équivalente à la convergence ergodique uniforme vers une projection de rang fini. Pour des probabilités de transition ergodiques, la quasi compacité est équivalente à la convergence ergodique forte, même pour un espace d'états de type non-dénombrable. SUMMARY. - It is shown that, for Markov operators, uniform ergodicity with finite dimensional fixed points space is equivalent to quasicompactness. For ergodic transition probabilities, strong convergence of the averages is shown equivalent to quasi-compactness, even when the a-algebra is not countably generated. The study of a quasi-compact linear operator T on a Banach space was given by Yosida and Kakutani [l6], in order to obtain some of the limit theorems of Doeblin [3]. Horowitz [8] and Brunel [l] studied quasi-compact conservative and ergodic contractions in L1 (m) (see also Lin [9]). Brunel and Revuz [2] studied the quasi-compactness of Harris recurrent transition probabilities on a countably generated a-algebra. The result of Yosida and Kakutani is that for T quasi-compact with () Research supported by NSF Grant GP 34118. 1 . ~ T~ - 1, - TJ converges uniformly to a finite dimensional projection (see [5] for the treatment of the case where only 0 weakly is assumed). In this work we show that for Markov operators (on L~ or on C(K)), uniform ergodic convergence to a finite dimensional projection implies quasi-compactness. The result is used to remove the countability assumption from Brunel and Revuz' result [2]. An important tool is the following « uniform ergodic theorem » [10]. If !! T~ I, then N Tj converges unif ormly if ’ and only iJ' I - T hasa closed range. The limit is a projection E on the fixed points of T. We deal with C(X) after treating the L case (« abstract » Markov operators), for which we need the following lemma. LEMMA 1. - Let T be a conservative and ergodic positive contraction of ~ L1(X, E, m), with m a-finite . ( ~, ~ = 1 and À is an eigenvalue T , then E L~ : ~.f' ~ is finite dimensional. Proof: If TJ~ - then T* ? ~ and T* _ ( f ~ I since T is conservative, hence = constant by ergodicity, and we may assume = 1. Now identify L~ with a space C(K), K compact Hausdorff. T* corresponds to a positive contraction S on C(K). If Tfl - and = with f 1 ~ _ ( f 2 ~ = l, then Sf i = ~f l, S/2 = ~fi (with £ the images of f ~ in C(K)). By a well-known result on unimodular eigenfunctions (see Schaefer [15]), -12 = f 1 f 2 l, so T ( f ff 1 ) = f1f-12. Hence f is constant, and 03B1f2 with = 1, and the lemma holds. Remark. For ~, a root of unity, one can avoid the representation of L ~ and use the result of Foguel and Weiss [7] on the finiteness of the invariant sets of T". The proof is not shorter. THEOREM 2. - Let T be a positive contraction L1(m). (i) T is quasiN ' compact if ' and only if" N -1 Tj converges unif ormly to a finite dimenj= 1 sional projection. (ii) In this case, I - 03BBT has closed range for every \|03BB\| = 1, and 6(T) n { H ~ = 1 } consists of' finitely many points, which are all roots unity, and are eigenvalues with finite dimensional eigenspaces. Let C be the conservative part of T. Since L1 (C) is T-invariant [6], the uniform ergodic theorem implies that there is an f'EL1(C), J' > 0 a. e. on C, satisfying Tf' By taking an equivalent finite measure m' such that dm'/dm = f' on C, we may and do assume T1e = lc (T'f =(dm/dm') T( f''dm'/dm) is the necessary transformation). We shall assume also m(C) = l. Clearly now E1e = 1e. The restriction of T to L1(C) is a contraction of L~(C), and since { / : T/ = is finite dimensional, there are finitely many disjoint sets ..., AK with union C such that and T is ergodic on Ai [6]. Let ~, ~ = 1, 1 ~ ~, E ~(T). We show that ~,I - T has closed range. Let (~,I - in Ll 1 norm. Define g"k = ~ f" - Jk ~ - ~ Then we have, By the uniform ergodic theorem, I - T is invertible on (I - T)L1. Since f;, - fk ~ - and (I - T)E = 0, we have and therefore Applying lemma VI. 2 of [2] K times, we have that { f, } contains a Cauchy Vol. XI, n° 4 - 1975. subsequence. If f;,~ ~ g, (~,I - T)g = lim (~,I - = f' and 1 is closed (We extend the argument of [2]). Applying the uniform ergodic theorem to ÀT, we have that ~, is an eigenvalue of T. We now have that if ~, E u(T) with H ~ = l, ~, is an eigenvalue of T, hence of T. ~, is isolated in y(T), since ~,I - T is invertible on its range. Hence a(T) n ~ ~, : ~ ~, = 1 ~ consists of finitely many eigenvalues ~,1, ..., ~. If 03BB~03C3(T) with \|03BB\| = 1, there is an f~L1 with and , hence I a. e., To show { f'e L1 : Tf = ~,f' ~ is finite dimensional we may and do assume T to be conservative. Since = = ~,1 A~ f, we may restrict ourselves to the invariant set A~, and have I also ergodic. Let T~ be the restriction of T to L1(A). If /). is an eigenvalue of T~ it is of Tj. Apply now the lemma to obtain that { f'E L1(A~) : 'I~'f'= ~,f' ~ is finite dimensional, hence X03BB = { f' Tf ' = 03BBf} is finite dimensional. r and putting = Q 03A303BBkEk, r since T)L1 the restriction of T has no spectral points of unit k=1 i modulus. Q is compact (EkL1 is finite dimensional) and T is quasi-compact. Quasi-compactness implies the uniform ergodic theorem [16J [10]. The fact that the eigenvalues are roots of unity follows (looking at Tj as before), from the above mentioned lemma of which shows that E y(T) for every n. (One can use directly the result in [5], since T is also quasi-compact). Remarks. l. When T is conservative, Horowitz' result [8J is that strong N convergence of - TJ to a finite dimensional projection implies quasicompactness. j= 1 we have 2. For non-positive contractions the result is false. The example in [11] is valid in 11. THEOREM 3. Let P be a positive contraction of C(X), (X compact HausdorJf '). The f ollowing conditions are equivalent. (i) P is quasi-compact. N (ii) N-1 converges uniformly toa finite dimensional projection. 1 03A3pi i= (iii ) (I - P)C(X) is closed and ~ f : Pf' = f ~ is finite dimensional. (iv) (I - P)C(X)* is closed and the space of invariant measures is finite dimensional. (v) (I - P)C(X) is closed and the space of' invariant measures is finite dimensional. Proof: (i) ~ (it) is due to Yosida and Kakutani [l6] (see [10] for another proof). (ii) ~ (iii) is immediate, by the uniform ergodic theorem. formly to a projection E on ( f' = Pf ~ . Hence dim EX = dim EX oo. (v) ~ (ii). Follows again from the uniform ergodic theorem. Assume now conditions (it) (v). We can extend P to the space of complex continuous functions, so we may and do assume that this has been done. Let ~. ~ = l, À E Q(P). We show that I - ÀP has closed range. Let 00 that m 1 Vol. XI, is n° a 4 - probability. 1975. Let = m n=O Then m Pm« and we obtain an operator T on L1(m) by Tu = d(Pv)/dm when u = dv/dm. N By (iv) - / T' converges to a finite dimensional projection. Since (I - u in L1(m), when un = then by theorem 2, u = (I - ÀT)v with v E L1 (m), and p, = (I - ÀP)v with dv/dm = v. Hence I - ~,P has closed range, and 1 N 03A303BBiPi converges, by the uniform ergodic theorem, i= i with limit Ex, which projects on ~~ f' : P/ = ~,f' ~ . We show that E~ has finite dimensional range. If not, vn ~n 1 be a sequence of linearly independent (complex) finite measures with P/vn = Again, we have a positive contraction T on L1(m), with Tun = where u" = But by theorem 2, all eigenvalues of T have finite dimensional N eigenspaces, which yields acontradiction. Since 1 N03A303BB-nPn converges 1 n=l uniformly for ~, E Q(P) with ~, ~ - l, ~, is isolated in ~(P), hence 7(P) n ~ ~, : ~ I À = 1 } is finite. The end of the proof of theorem 2 can be used to show that P is quasicompact.. Remark. Horowitz' result [8] (see previous remarks) fails for general positive contractions of C(X), as observed in [10]. N COROLLARY 4. - Let P be a positive contraction of C(X). I f 1 N Pj converges uniformly to a finite dimensional projection, then, for every k >- l, . converges uniformly. Remarks. - Sawashima and Niiro [14] give an example where the corollary fails if the limit is infinite dimensional. Their example also shows that a positive contraction T on L may satisfy the uniform ergodic theorem, while T is not quasi-compact on (I - For comparison, we note the following result concerning the Markov operator Pf (x) = dy) induced by a transition probability. f ( y)P(x, We omit the additional requirement of a countably generated o-algebra which appears in [2]. The Harris condition and the existence of an invariant measure need not be assumed a priori. For simplification we assume. P to be ergodic, i. e., Pf = f implies f is constant. THEOREM 5. - Let I: be a 03C3-algebra of subsets of X and let P(x, A) be a transition probability inducing an ergodic (Markov) operator on the space B(X, X) of bounded measurable functions. Then the following conditions are equivalent. (i) P is quasi-compact. converges uni fo rml Y (necessarily to a one dimensional p rojection). (iii ) (I - P)B(X, closed. (iv) (I - P)M(X, closed. signed measures }). (v) Every P-invariant functional is a measure. (vi ) The space of P* invariant functionals is one-dimensional. (viii) P satisfies Doeblin's condition. Proof: (i) ~ (it) is well-known [l6] [10]. (iii) ~ (ii). By the uniform ergodic theorem_ and then (ii) ~ (iv). ~ 1 N 03A3Pi when restricting Tto B(X,E). Hence (ii), (iii) and (iv) are equi- valent. constant by ergodicity. Vol. XI, n° 4 - 1975. Let m be any probability on E. Let Then is a probability, and ( , f~ = Ef, showing = . If P03BD = 03BD then Hence v = and is a measure. (v) ~ (vi ). Let v 5~ Jl be two invariant probabilities. Let m = v + p. Then Pm = m, and T defined in L 1 (m) by = is a positive contraction of L 1 (m), with T 1 - 1. Let f E B(X,) with J'dv. Tf'= Pfm a. e., and by the ergodic theorem lim 1 N03A3Tif= / exists a. e. and Tf = f a. e. (m). But = d,u/dm, T (dv/dm) = dv/dm, so that Let g = lim sup - Py: Then Pg >- lim sup 1 N03A3 P f = g, ' and h = lim Pkg '=1 1 i=2 is Pinvariant. Henceh is constant (P is ergodic). Sinceh = / a. e. (m), = hd = hdv = acontradiction. Since the positive and negative parts of an invariant functional are invariant, (vi) is proved. (vi ) => (vii ). Let v be a functional on B(X, E) such that v( f ) = 0 for f ' E (I - P)B(X, E) 3 { constants } . Then Pv = v and v( 1) = 0. But condition (vi) implies v = where is an invariant positive functional. Hence v = 0. By the Hahn-Banach theorem and (vii) follows. (vii) ~ (ii). Let (I - P) f;, -~ g in norm. By Doob [4, p. 209] there is a countably generated u-algebra Eo such that for A E EoP(x, A) is Eo measurable, and are Lo-measurable (Eo is the admissible u-algebra generated by the sets ~ r s ~, ~ r g s ~, ~~, s rationals). Let Po(x, A) = P(x, A) for x E X, A E Eo. For f'E B(X, Eo), Pf; so Po satisfies (vii). (vii) ==> (v), so by Brunel and Revuz [2] (who use the N fact that E o is countably generated) - converges uniformly and I - Po has closed range. Hence g = (I - with f' E B(X, Eo), so g = (I - Therefore I - P has closed range and (ii) holds by the uniform ergodic theorem. (ii) => (i). B(X, E) is isometrically and order-isomorphic to C(K) and theorem 3 applies, since the limit projection has one-dimensional range by ergodicity. (i) o (viii) is shown in [13]. Remarks. - 1. Condition (v) is equivalent to. (v') There is no purely finitely additive P*-invariant functional (since the countably additive part of an invariant functional is invariant). 2. Condition (vii) clearly implies the Harris condition: is (the unique) invariant probability, and Note that Moy [12] establishes the existence of a kernel under this condition without E being countably generated. It is not clear how to obtain a compact operator in B(X, E), bounded by P"° (which is easy in without the countable additivity, and this is why we use Eo in proving (vii) => (ii). REFERENCES [1] A. BRUNEL, Chaines abstraites de Markov vérifiant une condition de Orey. Z. Wahrscheinlichkeitstheorie verw. Gebiete, t. 19, 1971, p. 323-329. [2] A. BRUNEL and D. REVUZ, Quelques applications probabilistes de la quasi-compacité. Ann. Inst. H. Poincaré (sect. B), t. 10, 1974, p. 301-337. [3] W. DOEBLIN, Sur les propriétés asymptotiques de mouvements régis par certains types de chaines simples. Bull. Math. Soc. Roum. Sci., t. 39, 1937, n° 1, p. 57-115 ; n° 2, p. 3-61. [4] J. L. DOOB, Stochastic Processes. Wiley, New York, 1953. Vol. XI, n° 4 - 1975. [5] N. DUNFORD and J. T. SCHWARTZ, Linear operators. Part I. Interscience, New York, 1958. [6] S. R. FOGUEL, Ergodic theory of Markov processes. Van-Nostrand, New York, 1969. [7] S. R. FOGUEL and B. WEISS, On convex power series of a conservative Markov operator. Proc. Amer. Math. Soc., t. 38, 1973, p. 325-330. [8] S. HOROWITZ, Transition probabilities and contractions of L~. Z. Wahrscheinlichkeitstheorie Verw. Gebiete, t. 24, 1972, p. 263-274. [9] M. LIN, On quasi-compact Markov operators. Ann. Prob., t. 2, 1974, p. 464-475. [10] M. LIN, On the uniform ergodic theorem. Proc. Amer. Math. Soc., t. 43, 1974, p. 337-340. [11] M. LIN, On the uniform ergodic theorem, II. Proc. Amer. Math. Soc., t. 46, 1974, p. 217-225. [12] S. T. C. MOY, Period of an irreducible operator. Illinois J. Math., t. 11, 1967, p. 24-39. [13] J. NEVEU, Mathematical Foundations of the Calculus of Probability. Holden-day, San Francisco, 1965. [14] I. SAWASHIMA and F. NIIRO, Reduction of a Sub-Markov operator to its irreducible components. Nat. Sci. Rep. of Ochakomizu University, t. 24, 1973, p. 35-59. [15] H. H. SCHAEFER, Invariant ideals of positive operators in C(X). Illinois J. Math., t. 11, 1967, p. 703-715. [16] K. YOSIDA and S. KAKUTANI, Operator theoretical treatment of Markoff's process and mean ergodic theorem. Ann. of Math. (2), t. 42, 1941, p. 188-228. (Manuscrit reçu le 23 juin 1975)
A stochastic model for expected time to seroconversion under correlated intercontact times using SCBZ property R. KANNAN, M. RABERT and R.SATHIYAMOORTHI (Acceptance Date 4th January, 2013) Abstract This paper focuses on the study of a stochastic model for predicting seroconversion time of HIV transmission under correlated intercontact times. In the estimation of expected time to seroconversion, there is an important role for the interarrival times between successive contacts and it has a significant influence. We propose a stochastic model assuming the intercontact times between successive contacts are correlated random variables and the threshold distribution is SCBZ property. The expected time to seroconversion and its variance are derived and numerical illustrations are provided. Key words: Acquired Immuno Deficiency Syndrome, Antigenic Diversity Threshold, Human Immunodeficiency Virus, Intercontact times, Seroconversion. Notations : contacts with p.d.f f(.) and c.d.f F(.). Xi : a random variable denoting the increase in the antigenic diversity arising due to the HIV transmitted during the i th contact X1, X2,…, Xk are continuous i.i.d. random variables with p.d.f. g(.) and c.d.f. G(.). Y : a continuous random variable denoting the threshold level having SCBZ property. Ui : a continuous random variable denoting the interarrival times between successive gk (.) : the p.d.f of random variable k 1 i i X. Fk (.) : the convolution of F(.). T : a continuous random variable denoting the time to seroconversion with p.d.f. l(.) and c.d.f. L(.). Vk (t): the probability of exactly k contacts in (o, t]. l(s) : the Laplace transform of l(t). f (s): the Laplace transform of f(t). Introduction The incident and spread of Human Immuno–deficiency Virus (HIV) infection and consequent Acquired Immuno Deficiency Syndrome (AIDS) as created pandemic situation in the world all over. The intensity of occurrence and spread is highly pronounced in many countries with the result that the individual as well as the government have to meet a great burden of financial stressed in treating for the infection and its consequences. The transmission of HIV is possible through homo or heterosexual contacts, blood transfusion, use of unsterile needles and mother to fetus. The per contact transmission probability is known as infectivity. Jewell and Shiboski 3 have obtained the expression for hazard rate and prevalence function using the available data from the partner studies. The time to seroconversion from the point of infection depends upon what is known as antigenic diversity which acts against the immune ability of an individual. Every individual has a threshold level of antigenic diversity. If the antigenic diversity due to acquiring more and more of HIV infection due to homo or heterosexual contacts exceeds the threshold level, then the immune system of the human body is completely suppressed which in turn leads to seroconversion. For a detailed study of antigenic threshold and its estimation one can refer to Nowak and May 4 and Stilianakis et al. 6 . A stochastic model based on the cumulative damage process is derived and using this model it is possible to obtain the expected time to seroconversion and its variance. The antigenic diversity level which induces the seroconversion is known as the random antigenic diversity threshold. Every contact induces and contributes to the antigenic diversity which when crosses the threshold level will result in the seroconversion of an individual. Every contact is depicted as a shock and in every contact there is some contribution to antigenic diversity which in other words is the damage to the immune capacity of an individual. Cumulative damage process and shock model are widely known in reliability theory. A detailed account of the same could be seen in Esary et al. 1 . In the derivation of present model the concepts of cumulative damage process and shock model are taken as basis. In developing such a model the basic assumption made was that the intercontact timings between successive contacts are i.i.d random variables. In this paper a stochastic model assumes that the intercontact timings between successive contacts are correlated random variables and the threshold distribution which follows SCBZ property. The assumption of correlated intercontact timings seems plausible by the fact that any partner after every contact with an index may have a physiological obsession and fear of contracting the disease, which may have an impact on intercontact times of contacts such as prolongation of intercontact times. Shock model with correlated intercontact times has been studied by Sathiyamoorthi 5 . In developing this model the result of Gurland 2 has been used. Using the same concept, time to seroconversion and its variance are obtained in this paper. In this study the theoretical results are substantiated using numerical data simulated. Assumptions of the model : Sexual contact is the only source of HIV transmission. When an uninfected individual has sexual contact with a HIV infected partner, a random number of HIV gets transmitted. An individual is exposed to a damage acting on the immune system and damage is assumed to be linear and cumulative. The intercontact timings between successive contacts are not independent but are correlated. The total damage caused when exceeds a threshold level Y which itself a random variable, the seroconversion occurs and a person is recognized as seropositive. The process which generates the contacts, the sequence of damages and threshold are mutually independent. Results Let Y have the SCBZ property for a fixed = 0. Assuming the truncation level itself a random variable such that follows exponential with parameter , we have Now Y X XXPt V k 2 1 k k 0 q k 0 F k k k 1 2 t F t g * θ On simplification P.d.f of L(t) is given by Laplace transform of l(t) is given by Let U1, U2, …, Uk represent the interarrival times between successive contacts which are correlated. Gurland 2 has derived the cumulative distribution function of the sum, say exchangeable constantly correlated random variables each having exponential distribution with p.d.f. Such that the correlation coefficient between U i and Uj (i j) is . This c.d.f is given by where The Laplace transform of the density function of Z k is given by Where Substituting equation (2) in (4) Substituting equation (3) in (6) Using equations (5) and (7) V(T) = E(T 2 ) – [E(T)] 2 Numerical Illustrations Table 1. \| \| l =1, =1, =1.5, =0.5, =0.5 1 2 \| \| \|---\|---\|---\| \| \| E(T) \| V(T) \| \| 0.1 \| 1.1200 \| 1.3376 \| \| 0.2 \| 1.2400 \| 1.7504 \| \| 0.3 \| 1.3600 \| 2.2384 \| \| 0.4 \| 1.4800 \| 2.8016 \| \| 0.5 \| 1.6000 \| 3.4400 \| \| 0.6 \| 1.7200 \| 4.1536 \| \| 0.7 \| 1.8400 \| 4.9424 \| \| 0.8 \| 1.9600 \| 5.8064 \| \| 0.9 \| 2.0800 \| 6.7456 \| The value of E(T) corresponding to the variation in with , , 1, 2 and are fixed. happen to the parameter of the random variable depicting the amount of antigenic diversity contribution in the successive contact. If increase, the expected time to seroconversion and variance of seroconversion are increases. This is due to fact that g(.) is the distribution of s X ' 1 the magnitude of contribution to antigenic diversity. Since , T 1 E as increases there is a decrease in the contribution of antigenic diversity. Hence mean time to seroconversion is increases, so also the value of variance of seroconversion time. Table 2. \| 1 \| =1, =1, =0.1, =0.5, =0.5 2 \| \| \|---\|---\|---\| \| \| E(T) \| V(T) \| \| 1.0 \| 1.1500 \| 1.4213 \| \| 1.5 \| 1.1200 \| 1.3376 \| \| 2.0 \| 1.1000 \| 1.2817 \| \| 2.5 \| 1.0857 \| 1.2417 \| \| 3.0 \| 1.0750 \| 1.2116 \| \| 3.5 \| 1.0667 \| 1.1881 \| \| 4.0 \| 1.0600 \| 1.1694 \| \| 4.5 \| 1.0545 \| 1.1541 \| \| 5.0 \| 1.0500 \| 1.1413 \| It is observed from the Table 2 also the graph as the value of 1 is the parameter of the antigenic diversity threshold which is a random variable distributed as exponential below the truncation point τ increases the mean time to seroconversion is decreases. It is also quite reasonable as regards the variation it could be seen that as value of 1 increases, the variance decreases. Table 3. \| 2 \| =1, =1, =0.1, =1.5, =0.5 1 \| \| \|---\|---\|---\| \| \| E(T) \| V(T) \| \| 0.1 \| 1.4400 \| 2.9504 \| \| 0.2 \| 1.2400 \| 1.8164 \| \| 0.3 \| 1.1733 \| 1.5318 \| \| 0.4 \| 1.1400 \| 1.4069 \| \| 0.5 \| 1.1200 \| 1.3376 \| \| 0.6 \| 1.1067 \| 1.2937 \| \| 0.7 \| 1.0971 \| 1.2636 \| \| 0.8 \| 1.0900 \| 1.2415 \| \| 0.9 \| 1.0844 \| 1.2248 \| From the Table 3 we observe that for fixed , , , 1 and when 2 is allowed to increase then mean time to seroconversion decreases. The same tendency is also noted on the variance of the seroconversion time of the HIV transmission. Table 4. \| \| =1, =0.1, =1.5, =0.5, =0.5 1 2 \| \| \|---\|---\|---\| \| \| E(T) \| V(T) \| \| 1 \| 1.1200 \| 1.3376 \| \| 2 \| 1.1429 \| 1.4039 \| \| 3 \| 1.1556 \| 1.4399 \| \| 4 \| 1.1636 \| 1.4625 \| \| 5 \| 1.1692 \| 1.4779 \| \| 6 \| 1.1733 \| 1.4891 \| \| 7 \| 1.1765 \| 1.4975 \| \| 8 \| 1.1789 \| 1.5044 \| \| 9 \| 1.1809 \| 1.5098 \| \| 10 \| 1.1826 \| 1.5142 \| If the value of which is the parameter of the exponential distribution of the random variable denoting the truncation point increases, then the expected time to seroconversion increases as indicated in Table 4, so also is the variance of T. Table 5. \| \| =1, =0.1, =1.5, =0.5, =0.5 1 2 \| \| \|---\|---\|---\| \| \| E(T) \| V(T) \| \| 1 \| 1.1200 \| 1.3376 \| \| 2 \| 0.5600 \| 0.3344 \| \| 3 \| 0.3733 \| 0.1486 \| \| 4 \| 0.2800 \| 0.0836 \| \| 5 \| 0.2240 \| 0.0535 \| \| 6 \| 0.1867 \| 0.0371 \| \| 7 \| 0.1600 \| 0.0273 \| \| 8 \| 0.1400 \| 0.0209 \| \| 9 \| 0.1244 \| 0.0165 \| \| 10 \| 0.1120 \| 0.0134 \| In Table 5 the value of expected time to seroconversion corresponding to the variation in with , , 1, 2 and are kept fixed. If which is the parameter of the distribution of interarrival time which exponentially distributed is given as increases, the value of µ 1 decreases that means the interarrival time between contacts become smaller and so there is corresponding decrease in expected time to seroconversion and also its variance. Table 6. \| \| =1, =1, =0.1, =1.5, =0.5 1 2 \| \|---\|---\| \| \| V(T) \| \| 0.1 \| 1.2700 \| \| 0.2 \| 1.2785 \| \| 0.3 \| 1.2925 \| \| 0.4 \| 1.3123 \| \| 0.5 \| 1.3376 \| \| 0.6 \| 1.3686 \| \| 0.7 \| 1.4051 \| \| 0.8 \| 1.4474 \| When which is the constant correlation between interarrival times between successive contacts increases for fixed , , , 1 and 2, the variance of the seroconversion increases. Acknowledgement The authors are immensely thankful to Dr. R. Ramanarayanan, Professor of Mathematics, Chennai and Dr.G.S.HariSekharan, WIPRO, Chennai, for their invaluable suggestions, guidance and moral support. References 1. Esary, J.D., Marshall, A.W. and Proschan, F., Shock model and wear processes, Ann. Probability, 1(4), 627–649 (1973). 2. Gurland, J., Distribution of the Maximum of the Arithmetic Mean of Correlated Random Variables, Ann. Mathematical Statistics, 26, 294–300 (1955). 3. Jewell, N.P and Shiboski, S., Statistical Analysis of HIV Infectivity Based on the Partner Studies, Biometrics, 46, 1133–1150 (1990). 4. Nowak, M.A. and May, R.M., Mathematical Biology of HIV Infections: Antigenic Variation and Diversity Threshold, Mathematical Biosciences, 106, 1–21 (1991). 5. Sathiyamoorthi, R., Cumulative Damage Model with Correlated Interarrival Times of Shocks, IEEE, Transaction Reliability, R. 25, No. 23 (1979). 6. Stilianakis, N., Schenzle, D. and Dietz, K., On the Antigenic Diversity Threshold Model for AIDS, Mathematical Biosciences, 121, 235–247 (1994).
The interaction between nutrition and metabolism in West African Dwarf goats, infected with trypanosomes Promotoren: dr. D. Zwart, Emeritus hoogleraar in de tropische veehouderij dr. ir. M.W.A. Verstegen, Buitengewoon hoogleraar in de veevoeding, in het bijzonder de voeding der eenmagigen Co-promotor: dr. T. Wensing, Universitair hoofddocent van de vakgroep Inwendige Ziekten en Voeding der Grote Huisdieren, Universiteit Utrecht. The interaction between nutrition and metabolism in West African Dwarf goats, infected with trypanosomes J.T.P. van Dam Proefschrift ter verkrijging van de graad van doctor in de landbouw- en milieuwetenschappen, op gezag van de rector magnificus, dr. C.M. Karssen, in het openbaar te verdedigen op dinsdag 25 juni 1996 des namiddags te vier uur in de Aula van de Landbouwuniversiteit te Wageningen. ISBN 90874783 Van Dam, J.T.P. 1996. The interaction between nutrition and metabolism in West African Dwarf goats, infected with trypanosomes. In a series of experiments the interaction between nutrition and energy- and nitrogen metabolism of West African Dwarf goats, infected with trypanosomes was studied. Animals were injected with trypanosomes, and feed intake, energy and nitrogen balance and blood metabolites and hormones were measured for a period of six weeks post infection. Trypanosoma vivax infection caused fever and anaemia. The degree of anorexia, as indicated by the ratio [dry matter intake during infection / dry matter intake before infection] differed between experiments and between animals. Some indications were found for a relation between MHC genotype and dry matter intake ratio, but also environmental factors like stress and the age of the animals probably affected this ratio. Trypanosome infection caused a reduction of the energy retention, by decreasing gross energy intake and by increasing maintenance requirements with 28 %. This increased maintenance requirement was mainly related to the fever. Blood biochemical parameters reflected the undernourished state of infected animals. No indications were found for an interaction between the quality of the offered diet and the course of infection with respect to feed intake and nitrogen metabolism; instead, the effects of diet quality and of trypanosome infection were additive. Also no interaction occurred between nutritional history (as indicated by growth retardation which had developed prior to infection) and the course of subsequent trypanosome infection with respect to energy and nitrogen metabolism. Ph.D. thesis, Wageningen Agricultural University, Department of Animal Husbandry, Section of Animal Production Systems, PO Box 338, 6700 AH Wageningen, The Netherlands. Stellingen 1. Tijdens de eerste 6 weken van een trypanosomiasis infectie zijn de haematocrietwaarde en voederopname niet gecorreleerd. 2. Slechts in extreme gevallen is tijdens de eerste 6 weken van een trypanosomiasis infectie een interactie tussen de kwaliteit van de voeding en het verloop van infectie te verwachten. 3. De gevolgen van trypanosomiasis infectie voor de dierlijke productie zijn vrijwel uitsluitend gelegen in een verlaagde voedselopname en een verhoogde onderhoudsbehoefte. 4. De bevinding van Kyriazakis et al. (1994) dat dieren kunnen compenseren voor de negatieve effecten van nematode infectie door middel van selectie van hoogwaardiger voer, is in het voordeel van 'browsers' (geiten, schapen) ten opzichte van 'grazers' (koeien). 5. Een duurzame relatie tussen 'veeteelt' en 'milieu' vergt toewijding. 6. Het is te verwachten dat de opheffing van het Landbouwschap negatieve gevolgen zal hebben voor de gehele landbouwsector, vooral met betrekking tot het overleg tussen werkgevers en werknemers, en de belangenbehartiging richting de politiek. 7. Het is te betreuren dat in de maatschappelijke discussie over ethische kwesties uitzonderingsgevallen vaak fungeren als breekijzer om de bestaande wetgeving aan te vechten. 8. De term 'samenleving' verliest gaandeweg haar inhoud naarmate meer nadruk op individuele ontplooiing wordt gelegd. 9. Voor zowel liefhebbers als haters van de soap 'Goede Tijden, Slechte Tijden' (GTST) zou een verandering van deze naam in 'Goede Fijne Tijden' duidelijker de aard van de serie aangeven. 10. 'Onder'zoeken levert kennis op; echte wijsheid kunnen we alleen Boven vinden. Stellingen behorend bij het proefschrift 'The interaction between nutrition and metabolism in West African Dwarf goats, infected with trypanosomes'. J.T.P. van Dam, 25 juni 1996. Voorwoord En dan zit het werk erop... Het proefschrift ligt klaar voor de drukker. Het totstandkomen van dit proefschrift zou dit niet mogelijk zijn geweest zonder de hulp en inzet van vele mensen. In de eerste plaats is dit prof. dr. Dick Zwart. Dick, bedankt voor het vertrouwen dat je me door de jaren heen gegeven hebt. Ik vond het in het begin niet altijd makkelijk om de verschillende disciplines te integreren in mijn onderzoek, maar jij hebt daar goede begeleiding in gegeven. Daarnaast passen woorden van dank aan mijn andere (co-)promotoren, prof. dr. ir. Martin Verstegen van de vakgroep Veevoeding en dr. Theo Wensing van de vakgroep Inwendige Ziekten en Voeding der Grote Huisdieren, Universiteit Utrecht. Martin, je bent de gezelligste prof die ik ken! Je ruime ervaring in het respiratie-onderzoek zijn voor mij van grote waarde geweest, evenals de bemoediging in de wandelgangen. Dr Wensing, uw punctuele commentaar op de manuscripten was een grote hulp. Met u was een bespreking nooit saai. Daarom: geen hagel, maar lof! Als andere leden van de begeleidingscommissie van de vakgroep Veehouderij noem ik ing. Prins van der Hel. Prins, je koppelde een aanstekelijk enthousiasme aan grote nauwgezetheid. Het ga je goed! Ook ing. Peter Hofs MSc wil ik graag noemen. Peter, bedankt voor je vele tips en adviezen, zowel aangaande de praktijk van het proeven doen, als ook de beoordeling van manuscripten. Mijn uithoudingsvermogen werd positief door je beïnvloed! Verder dr. ir. Johan Schrama. Johan, jij hebt gaandeweg een deel van de begeleiding op je genomen, iets wat ik zeer heb gewaardeerd. Je statistische kennis en je heldere schrijftant waren voor me van grote waarde! Dr. ir. Bert Tolkamp, bedankt voor je opbouwend-kritische adviezen, met name op het vlak van de proefopzet. Mijn dank gaat ook uit naar de ‘cellengroep’ van de vakgroep: naast Johan en Prins zijn dit Marcel Heetkamp, Koos van der Linden en Henk Brandsma. Bedankt voor het vele werk dat jullie verzet hebben en de 24-uurs betrokkenheid bij de respiratieproeven! Voor het werk in de geitenstal wil ik de collega’s van Proefaccomodatie ‘De Haar’ hartelijk danken. Met name wil ik noemen Sylvia van Ewijk, die vele jaren de verantwoordelijkheid heeft gehad voor het werk in de geitenstal, en Peter Vos, die ook veel werk verzet heeft rond de respiratiecellen. Jullie allen hartelijk bedankt! Hans Nieuwenhuijs van de vakgroep Parasitologie en Tropische Diergeneeskunde van de Universiteit Utrecht wil ik bedanken voor het beschikbaar stellen van het virulente beestje waar het in dit onderzoek om draaide: de trypanosoom. Ik wil dr. Evert Hensen en zijn collega’s van de vakgroep Immunologie en Infectieziekten, sectie Immunologie, van de Universiteit Utrecht, bedanken voor de onmisbare hulp bij het immunologische onderzoek dat uit mijn project voortkwam. Naast nauwkeurigheid van werken legden jullie ook zeer veel geduld aan de dag! In Wageningen werd dankbaar gebruik gemaakt van de hulp van Mike Nieuwland en Ger de Vries-Reilingh met betrekking tot de verwerking van de vele bloedmonsters. Hiervoor dank; binnenkort kom ik de vrieskist uitmesten, Mike! Ook wil ik bedanken Frits Frederiksz en zijn medewerkers van het Biochemisch lab van de vakgroep Inwendige Ziekten en Voeding der Grote Huisdieren van de Universiteit Utrecht, voor de vele bloed-, urine- en leverbepalingen. Ik wil dr. Mark van den Top danken voor het nemen van de leverbiopten bij de dwerggeiten. De analyses op het ruwlab waren niet mogelijk zonder de hulp van Inge van Langenvelde. Later waren ook Peter Tijsen en dr. ir. Huug Boer hierbij betrokken. Bedankt voor jullie inzet. Dr. Ted van den Ingh en medewerkers van de vakgroep Pathologie van de Universiteit Utrecht verzamelden minutieus informatie over de pathologie van trypanosomiasis aan de gesneuvelde geitjes. Bedankt hiervoor! Prof. dr. Daan van der Heide en medewerkers van de vakgroep Fysiologie van Mens en Dier bedank ik voor de analyses van T3 en T4. Ook wil ik mijn dank betuigen aan Piet van Leeuwen en collega’s van het ILOB-TNO, die de operaties verrichtten voor het inbrengen van temperatuurzenders in de geiten. Ik wil graag alle studenten en stagiaires bedanken die een bijdrage aan mijn onderzoek hebben geleverd: Suliman Ba, Margreet Keetman, Paulien Couenberg, Ahmad Vreden, Helen Knowles, Renze Mulder en Dicky Kooistra. Ook gastonderzoeker dr. David Ogwu wil ik hierbij danken. Ing. Fokje Steenstra, bedankt voor de computer-ondersteuning. Zonder computer geen proefschrift! Peter Vink, hartelijk dank je hulp bij het vele copieerwerk. Verder wil ik mijn collega’s van de secties Dierlijke ProduktieSystemen en Gezondheidsleer en Reproduktie danken voor de zinvolle discussies en uiteraard de gezelligheid rond de koffietafel (cq koffiehoek), en jullie collegialiteit. Dr. François Beaudeau, merci beaucoup pour la traduction du résumé, et pour être un bon ami. Verder noem ik Auke Holwerda. Neef, bedankt voor de prachtige voorkant van dit proefschrift! Ik wil mijn paranimfen Lisette Graat en Kees-Jan van Dam danken voor hun inzet rond de promotieplechtigheid. Ik ben heel veel dank verschuldigd aan mijn ouders, die mij al het goede gegeven hebben dat ik ook maar enigszins nodig had. Pappa en mamma, het klinkt afgezaagd, maar zonder jullie was ik niet tot hier gekomen. Marjo, lieve vrouw van me, jouw bemoedigingen en verstandige raadgevingen zijn me een grote vreugde. Ik wil met jou 100 worden! Ik wil besluiten met dank aan mijn Schepper. Zijn liefdevolle trouw, ook daar waar wij zo vaak ontroost zijn, maakt het mogelijk écht te Leven. Dank u, Vader. # Contents \| Chapter \| Title \| Page \| \|---------\|----------------------------------------------------------------------\|------\| \| 1 \| General Introduction \| 1 \| \| 2 \| The relation between feed intake responses to successive trypanosome infections of trypanotolerant West African Dwarf goats \| 9 \| \| 3 \| A relation between CLA polymorphism and dry matter intake of West African Dwarf goats, infected with Trypanosoma congoense \| 19 \| \| 4 \| The effect of Trypanosoma vivax infection on energy- and nitrogen metabolism, and serum metabolites and hormones in West African Dwarf goats at different feed intake levels \| 35 \| \| 5 \| Heat production, body temperature, and body posture in West African Dwarf goats infected with Trypanosoma vivax \| 57 \| \| 6 \| Effect of fibrous feed quality on the course of Trypanosoma vivax infection in West African Dwarf goats. I. Organic matter intake, body weight change and efficiency of nitrogen metabolism \| 71 \| \| 7 \| Effect of fibrous feed quality on the course of Trypanosoma vivax infection in West African Dwarf goats. II. Metabolic profile, packed cell volume, and pathology of disease \| 91 \| \| 8 \| The effect of previous growth retardation on energy and nitrogen metabolism of goats, infected with Trypanosoma vivax \| 111 \| \| 9 \| General Discussion \| 133 \| \| \| Summary \| 153 \| \| \| Résumé \| 157 \| \| \| Samenvatting \| 161 \| \| \| Curriculum Vitae \| 167 \| Voor Marjo Eerbiedig ontzag voor de Here is de basis van alle wijsheid, en het kennen van God geeft meer inzicht. Het Boek, Spreuken 9:10. Chapter 1 General Introduction General Introduction The disease Trypanosomiasis, one of the most important livestock diseases in sub-Saharan Africa, is caused by the protozoan parasite Trypanosoma spp., and is transmitted by tsetse flies (Glossina spp.). The wide occurrence of the disease retards agricultural development (Stephen, 1986; ILRAD, 1994). Clinical signs include loss of appetite, anaemia, pyrexia and eventually death (Tizard, 1985; Stephen, 1986). The immune response to trypanosome infection is antibody mediated; however, the parasite is capable of frequently changing its antigenic structures (variable antigen types; VAT’s), thus creating a chronic course of disease with successive parasite subpopulations emerging in the blood (Morrison et al., 1985). During infection, activated phagocytic cells produce cytokines, like TNF-α and interleukin-1 (Sileghem et al., 1993, Sileghem et al., 1994); these are thought to induce many of the pathological signs, observed during infection, like anaemia (Sileghem et al., 1994), anorexia (McCarthy et al., 1986; Plata-Salaman et al., 1988), fever (Van Miert et al., 1992) and immunosuppression, leading to an increased susceptibility to opportunistic infections (Griffin et al., 1980; Van Dam et al., 1981; Mwangi et al., 1990). Trypanotolerance Several local cattle, goat and sheep breeds like the West African Dwarf (WAD) goats and sheep, and the N’Dama and Muturu cattle are tolerant to the effects of infection (Griffin and Allonby, 1979; ILCA, 1979, 1986). The well recognized tolerance to trypanosomiasis of N’Dama cattle (Roberts and Gray, 1973; Starkey, 1984) consists of the ability to limit greatly the reduction in packed cell volume (PCV), and keep parasitaemia counts at a low level. Also animal production is maintained to a reasonable degree: in N’Dama’s, the ability to limit the reduction in PCV was positively correlated with reproductive performance and cow productivity (Trail et al., 1991; Trail et al., 1992). Therefore, in tsetse infested areas the production potential of the N’Dama is superior to that of susceptible cattle breeds like the Zebu (Paling et al., 1991; Dwinger et al., 1992). Because small ruminants (goats and sheep) are regarded as ideal for small scale farming systems (Luckins, 1992), having a high production potential (Armbuster and Peters, 1993), more attention has been given recently to the investigation of the nature of the trypanotolerance of the small ruminants in trypanosomiasis endemic regions. Studies indicated that infection of WAD goats caused serious anaemia, and that the protein and energy retained in these animals was reduced (Verstegen et al., 1991; Adah et al., 1993; Akinbamijo, 1994; Osaer et al., 1994). Osaer et al. (1994) suggested that the nature of trypanotolerance of small ruminants may be different from that of trypanotolerant cattle breeds. They suggested that the observed ability to maintain production, should be taken as the real index of resistance, rather than the ability to maintain PCV at a normal level. Zwart et al. (1991) and Wassink et al. (1993) described a large variation in feed intake among trypanotolerant WAD goats during T. vivax infection and consequently large variation in body weight gain. This observation corresponds with studies of Roelants et al. (1983) and Clausen et al. (1993) in trypanotolerant Baoulé cattle. More knowledge is needed on the question what determines inter- and intra-breed variation in the degree of trypanotolerance with respect to feed intake and animal production, i.e., has trypanotolerance a genetic basis, or do environmental factors (also) determine the degree of tolerance. Studies of Clausen et al. (1993) and Wassink et al. (1993) indicated a high repeatability of individual responses to successive infections of trypanotolerant animals, with respect to clinical parameters. This implies the possibility of a genetic basis for these traits. However, trypanotolerance is also found to interact with environmental factors. Indications for an interaction with nutrition was detected by Reynolds and Ekwuruke (1988), and Agyemang et al. (1990). Agyemang et al. (1992) found indications for an interaction of tolerance with the physiological status of the animal, and Kaufmann et al. (1992) reported an interaction between the degree of tolerance and secondary infections. If substantial interaction between tolerance and nutrition exists, then strategic feed supplementation might increase animal production of trypanotolerant breeds to a great extent. Energy and nitrogen metabolism An important area of study is the energy and nitrogen metabolism of the infected host during infection. Animal production is mainly determined by the intake of nutrients, relative to the needs of the animal. The absorbed nutrients are firstly used for maintenance processes and the remainder for production, like body weight gain, milk, wool and traction (Blaxter, 1989). As mentioned before, nutrient intake was reduced by trypanosome infection (Zwart et al., 1991; Wassink et al., 1993). Also partitioning between protein and energy may be changed by infection. Beisel (1985) described increased N losses due to parasitic infection. This may be caused by protein losses via urine or faeces, due to intestinal or renal lesions, or by an increased protein turnover. Verstegen et al. (1991) studied the energy and nitrogen metabolism of WAD goats during T. vivax infection. They found that maintenance requirements were increased by infection, leading to reduced productivity. In this study only group means were measured, and mean feed intake level differed between infected and control animals. More research was needed on the relation between metabolic rate and feed intake in infected and control animals, by measuring the variation in energy metabolism parameters between animals. Aim of the thesis This thesis describes a series of studies on the effect of experimental trypanosome infection on energy and nitrogen metabolism of trypanotolerant animals, and the possible interaction with nutrition. As a model the WAD goat was chosen. The animals were infected with the strain T. vivax Y486 (Leeflang et al., 1976) by intravenous injection. Energy and nitrogen metabolism traits were measured during a period of 4 - 6 weeks after infection, to study how these were affected, and what were the metabolic costs in terms of energy and nitrogen. Special attention was given to the variation in feed intake among trypanotolerant animals and to possible mechanisms behind this variation. In addition, it was studied if the quality of the offered diet, and the nutritional history of an animal influenced the course of T. vivax infection. Because the degree of anaemia due to infection is thought to indicate the level of trypanotolerance (Trail et al., 1991), this variable was studied too. For the series of experiments, which are described in this thesis, three different research themes were defined. Firstly, the variation in feed intake reduction between animals due to infection was studied. Secondly, the effect of trypanosome infection on energy and nitrogen metabolism was studied, and thirdly, the interaction between nutrition and trypanosome infection with respect to energy and nitrogen metabolism was studied. Outline of the thesis In chapter 2 and 3, the studies on the variation in ad libitum dry matter intake during trypanosomiasis (research theme 1) are described. In chapter 2, a study on the dry matter intake (DMI) response to successive trypanosome infections of individual animals is reported. Analysis of the variation between successive responses per infected animal in relation to the variation between animals was carried out, and from this indications on the relative importance of genetic sources of variation in the feed intake response to infection could be obtained. Chapter 3 deals with the variation in DMI response to T. congolense infection between animals; it was studied if possible genetic mechanisms of feed intake regulation during infection exist. Therefore the phenotypic variation among animals was related to polymorphism in the Major Histocompatibility Complex (MHC) region of the genome. The studies into the effect of T. vivax infection on energy and nitrogen metabolism, and energy partitioning, at different feed intake levels (research theme 2) are described in chapter 4 and 5. The effect of T. vivax infection on energy and nitrogen retention of individually housed WAD goats is presented in chapter 4. To make an isonutritional comparison between infected and control animals over a range of intake levels, a design with high and low responder animals and a restricted feeding regimen for part of the animals was chosen. The relation between energy retention (ER) and metabolizable energy (ME) intake, and the relation between nitrogen retention (NR) and ER were studied, the latter relationship would give insight in the question if trypanosome infection leads to increased N losses. Also blood biochemical parameters, which are informative about the energy and protein status of the animal, were measured. Chapter 5 describes in more detail the heat production during infection, and the relation between body temperature and body posture. Therefore, these traits were measured on a continuous basis during infection, and the relation between short term variation in heat production and in body temperature was measured. Also the effect of body posture on heat production and body temperature was estimated. In the chapters 6 - 8, the effect of nutrition on the course of T. vivax infection with respect to energy and nitrogen metabolism is described (research theme 3, 2). In chapters 6 and 7, an infection trial in which goats were fed either a good quality roughage (i.e., lucerne), or a poor quality roughage (i.e., grass straw) is described; in chapter 6, the organic matter intake, body weight change and nitrogen metabolism during infection is described, whereas in chapter 7 the metabolic profile and pathological (PCV, post mortem analysis) findings are given. Chapter 8 reports on an experiment in which the effect of nutritional history of young growing goats on the course of T.vivax infection was studied. Before infection, therefore, restricted feeding at maintenance level was applied for half of the experimental goats, and the other goats had ad libitum access to feed. The effect of the induced retarded growth pattern on energy and nitrogen metabolism during infection was examined. Finally, in the general discussion, the major findings from the previous chapters are discussed, and conclusions and directions for future research are formulated. References Adah, M.I., E.B. Otesile and R.A. Joshua. 1993. Susceptibility of Nigerian West African Dwarf and Red Sokoto goats to a strain of Trypanosoma congolense. Veterinary Parasitology 47: 177-188. Agyemang, K., R.H. Dwinger, B.N. Touray, P. Jeannin, D. Fofana and A.S. Grieve. 1990. Effects of nutrition on degree of anaemia and liveweight changes in N'Dama cattle infected with trypanosomes. Livestock Production Science 26: 39-51. Agyemang, K., R.H. Dwinger, D.A. Little, P. Leperre and A.S. Grieve. 1992. Interaction between physiological status in N'Dama cows and trypanosome infections and its effect on health and productivity of cattle in Gambia. Acta Tropica 50: 91-99. Akinbamijo, O.O. 1994. The effect of parasitism on nutrient metabolism and productivity in small ruminants. PhD Thesis, Wageningen Agricultural University, The Netherlands. Armbruster, T. and K.J. Peters. 1993. Traditional sheep and goat production in southern Côte d'Ivoire. Small Ruminant Research 11: 289-304. Beisel, W.R. 1985. Nutrition and Infection. In: Nutritional Biochemistry and metabolism with Clinical Applications (ed. M.C. Linder). Elsevier, p. 369-394. Baxter, K.L. 1989. Energy metabolism in animals and man. Cambridge University Press. Cambridge. UK. Clausen, P.-H., I. Sidibé, A. Bassinga, X. Richard, B. Bauer and H. Pohlit. 1993. Pathogenesis and pathology of African trypanosomosis in Baoulé, N'Dama/Baoulé cross bred and Zebu cattle in Burkina Faso. 1. Clinical performance under high natural tsetse challenge. Tropical Medicine and Parasitology 44: 99-107. Dwinger, R.H., D.J. Clifford, K. Agyemang, G. Gettinby, A.S. Grieve, S. Kora and M.A. Bojang. 1992. Comparative studies on N'Dama and zebu cattle following repeated infections with Trypanosoma congolense. Research in Veterinary Science 52: 292-298. Griffin, L. and E.W. Allonby. 1979. Trypanotolerance in breeds of sheep and goats with an experimental infection of Trypanosoma congolense. Veterinary Parasitology 5: 97-105. Griffin, L., S. Waghela and E.W. Allonby. 1980. The immunosuppressive effects of experimental Trypanosoma congolense infections in goats. Veterinary Parasitology 7: 11-18. ILCA. 1979. Le bétail trypanotolérant d'Afrique occidentale et centrale. Tome 1 - Situation générale. CIPEA Monographie 2. International Livestock Centre for Africa, Addis Ababa, Ethiopia. ILCA. 1986. The African Trypanotolerant Livestock Network. Indications from results 1983-1985. International Livestock Centre for Africa. Addis Ababa, Ethiopia. ILRAD. 1994. Annual Report 1993/1994 of The International Laboratory for Research on Animal Diseases. Nairobi, Kenya. Kaufmann, J., R.H. Dwinger, A. Hallebeek, B. van Dijk and K. Pfister. 1992. The interaction of Trypanosoma congolense and Haemonchus contortus infections in trypanotolerant N'Dama cattle. Veterinary Parasitology 43: 157-170. Leeflang, P., J. Buys and C. Blotkamp. 1976. Studies on Trypanosoma vivax: infectivity and serial maintenance of natural bovine isolates in mice. International Journal for Parasitology 6: 413-417. Luckins, A.G. 1992. Trypanosomiasis in small ruminants - a major constraint to livestock production? Guest Editorial. British Veterinary Journal 148: 471-473. McCarthy, D.O., M.J. Kluger and A.J. Vander. 1986. Effect of centrally administered Interleukin-1 and endotoxin on food intake of fasted rats. Physiology and Behaviour 36: 745-749. Morrison, W.I., M. Murray and G.W.O. Akol. 1985. Immune responses of cattle to African trypanosomes. In: Tizard, I. (ed.). Immunology and pathogenesis of Trypanosomiasis. CRC Press, Boca Raton, Florida. Mwangi, D.M. W.K. Munyua and P.N. Nyaga. 1990. Immunosuppression in caprine trypanosomiasis: effects of acute Trypanosoma congolense infection on antibody response to anthrax spore vaccine. Tropical Animal Health and Production 22: 95-100. Osaer, S., B. Goossens, D.J. Clifford, S. Kora and M. Kassama. 1994. A comparison of the susceptibility of Djallonké sheep and West African Dwarf goats to experimental infection with two different strains of Trypanosoma congolense. Veterinary Parasitology 51: 191-204. Paling, R.W., S.K. Moloo, J.R. Scott, G. Gettinby, F.A. McOdimba and M. Murray. 1991. Susceptibility of N'Dama and Boran cattle to sequential challenges with tsetse-transmitted clones of Trypanosoma congolense. Parasite Immunology 13: 427-445. Plata-Salaman, C.R., Y. Oomura and Y. Kai. 1988. Tumor Necrosis Factor and interleukin-1β: suppression of food intake by direct action in the central nervous system. Brain Research 448: 106-114. Reynolds, L. and J.O. Ekwuruke. 1988. Effect of Trypanosoma vivax infection on West African Dwarf Sheep at two planes of nutrition. Small Ruminant Research 1: 175-188. Roberts, C.J. and A.R. Gray. 1973. Studies on trypanosome-resistant cattle. I. The breeding and growth performance of N'Dama, Muturu and Zebu cattle maintained under the same conditions of husbandry. Tropical Animal Health and Production: 5: 211-219. Roelants, G.E., I. Tamboura, D.B. Sidike, A. Bassinga and M. Pinder. 1983. Trypanotolerance. An individual not a breed character. Acta Tropica 40: 99-104. Sileghem, M.R., J.N. Flynn, R. Saya and D.J.L. Williams. 1993. Secretion of co-stimulatory cytokines by monocytes and macrophages during infection with Trypanosoma (Nannomonas) congolense in susceptible and tolerant cattle. Veterinary Immunology and Immunopathology 37: 123-134. Sileghem, M., J.N. Flynn, L. Logan-Henfrey and J. Ellis. 1994. Tumour Necrosis Factor production by monocytes from cattle infected with Trypanosoma (Duttonella) vivax and Trypanosoma (Nannomonas) congolense: possible association with severity of anaemia associated with the disease; Brief Communication. Parasite Immunology: 16: 51-54. Starkey, P.H. 1984. N'Dama cattle - a productive trypanotolerant breed. World Animal Review 50: 2-15. Stephen, L.E. (ed.). 1986. Trypanosomiasis: a veterinary perspective. Pergamon Press, Oxford. Tizard, I. (ed.). 1985. Immunology and pathogenesis of Trypanosomiasis. CRC Press, Boca Raton, Florida. Trail, J.C.M., G.D.M. d'Ieteren, A. Feron, O. Kakiese, M. Mulungo and M. Pelo. 1991. Effect of trypanosome infection, control of parasitaemia and control of anaemia development on productivity of N'Dama cattle. Acta Tropica 48: 37-45. Trail, J.C.M., G.D.M. d'Ieteren, P. Viviani, G. Yangari and V.M. Nantulya. 1992. Relationships between trypanosome infection measured by antigen detection enzyme immunoassays, anaemia and growth in trypanotolerant N'Dama cattle. Veterinary Parasitology 42: 213-223. Van Dam, R.H., P.J.S. van Kooten, C.A.M. Bosman-Kooymen, J. Nieuwenhuis, N.M. Perie and D. Zwart. 1981. Trypanosome mediated suppression of humoral and cell-mediated immunity in goats. Veterinary Parasitology 8: 1-11. Van Miert, A.S.J.P.A.M., C.T.M. van Duin and T. Wensing. 1992. Fever and acute phase response induced in dwarf goats by endotoxin and bovine and human recombinant tumour necrosis factor alpha. Journal of Veterinary Pharmacology Therapy 15: 332-342. Verstegen, M.W.A., D. Zwart, W. van der Hel, B.O. Brouwer and T. Wensing. 1991. Effect of Trypanosoma vivax infection on energy and nitrogen metabolism of West African Dwarf goats. Journal of Animal Science 69: 1667-1677. Wassink, G.J., J.S. Momoh, D. Zwart and T. Wensing. 1993. The relationship between decrease in feed intake and infection with Trypanosoma congolense and T. vivax in West African Dwarf goats. Veterinary Quarterly 15: 5-9. Zwart, D., B.O. Brouwer, W. van der Hel, H.N. van den Akker and M.W.A. Verstegen. 1991. Effect of Trypanosoma vivax infection on body temperature, feed intake, and metabolic rate of West African Dwarf goats. Journal of Animal Science 69: 3780-3788. Chapter 2 The relation between feed intake responses to successive trypanosome infections of trypanotolerant West African Dwarf goats J.T.P. van Dam, W. van der Hel, P. Hofs and D. Zwart. Dept. of Animal Husbandry, Wageningen Institute of Animal Sciences, Wageningen Agricultural University, PO Box 338, 6700 AH Wageningen, The Netherlands. Submitted. The relation between feed intake responses to successive trypanosome infections of trypanotolerant West African Dwarf goats By J.T.P. van Dam, W. van der Hel, P. Hofs and D. Zwart. Dept. of Animal Husbandry, Wageningen Institute of Animal Sciences, Wageningen Agricultural University, PO Box 338, 6700 AH Wageningen, The Netherlands. Abstract Twelve adult West African Dwarf bucks were infected with successively Trypanosoma congolense and T. vivax, to study the individual response to infection with respect to the variables dry matter intake, body weight change and packed cell volume. Large variation between animals with respect to feed intake parameters was observed. The ratio [dry matter intake during infection / dry matter intake before infection] of individual animals was different for the two infection periods. This means that repeatability of dry matter intake ratio was low, indicating that genetic factors played a minor role. Probably housing in social isolation during the second infection period induced changes in the individual feed intake response to infection. Introduction A number of indigenous livestock breeds of West Africa are recognized as tolerant to the devastating effects of trypanosome infection, e.g. N’Dama and Muturu cattle and West African Dwarf (WAD) goats and sheep (Trail et al., 1980). This tolerance exists in the capability to maintain Packed Cell Volume (PCV) level and productivity at an acceptable level. Trypanotolerance has a genetic basis (Murray, 1988). Roelants et al. (1983), however, found that within the trypanotolerant Baoulé cattle breed both sensitive and tolerant animals can be found. Also Zwart et al. (1991) observed large variation in feed intake and productivity due to T. vivax infection, among animals from the WAD goat breed. Wassink et al. (1993) infected WAD goats with successively T. congolense and T. vivax, with a recovery period between the two infections. They measured the dry matter intake (DMI) per animal before and during both infections separately, and calculated the ratio [DMI after infection / DMI before infection]. From this study a ranking correlation between individual DMI response to successive infections of 0.59 (P < 0.05) was calculated; thus indications were found that at least the DMI response to trypanosome infection, irrespective of the trypanosomal species or strain used, can be predicted from the response during previous infections. This may imply that individual DMI response of WAD goats to trypanosomiasis may be genetically determined. However, the correlation between two repeated measurements comprises both variation which can be attributed to genotype and variation which can be attributed to constant environmental conditions during the two observations. In the study of Wassink et al. (1993), environmental conditions (type of feed, housing) were similar for both infection periods, which implies that the estimated correlation probably contained a relatively high proportion of variation attributable to environmental conditions. In the present experiment, therefore, we infected WAD goats with successively T. congolense and T. vivax and changed the environmental conditions during the second infection period to study the variation in DMI response to infection between animals and between successive observations within animals. It was expected that this would give more insight in a possible genetic basis of feed intake response to trypanosomiasis. Material and methods The reported results were part of a larger experiment, in which the effect of feed intake level on the course of Trypanosoma vivax infection with respect to energy and nitrogen balance was studied (Van Dam et al., in press). Animals, feeding and housing A group of 48 adult castrated West African Dwarf bucks with a mean body weight (BW) of 27.7 (± 1.0) kg and mean age of 21.0 (± 1.4) months, was used. Before, during and after infection 1, all animals were housed in individual ground pens in which eye and ear contact with congeners was possible. During infection period 2, animals were housed individually in one of two identical respiration chambers, as described by Verstegen et al. (1987). Throughout the experiment, animals had free access to pelleted lucerne. The lucerne contained 93 % dry matter, with on average 18 % crude protein in the dry matter. Water and salt lick were freely available. Experimental design and time schedule Five weeks before infection with T. congolense (Infection 1), 48 West African Dwarf goats were housed in individual pens. All animals were infected intravenously with T. congolense subakia stabilate, isolated in Nairobi, Kenya in 1961 at a dosage of approximately $1 \times 10^6$ parasites per goat. Five weeks after infection the animals were treated with 7 mg diminazene aceturate per kg body weight (Berenil, Hoechst Veterinär, München; double dosage), so that they could recover and regain pre-infection weight and PCV levels. After infection 1, animals were allocated to one of three groups, depending on the observed DMI ratio (see under Measurements), viz. low ratio (LRat; Ratio < 0.40), medium ratio (MRat; 0.40 ≤ Ratio ≤ 0.60) and high ratio (HRat; Ratio > 0.60). For some animals, this ratio could not be calculated because daily DMI was not stable. From the animals with a known DMI ratio, 12 animals were selected for a second infection; 4 animals were selected from the HRat group, and 8 animals were selected from the LRat group. Thus only animals that had shown a large or a small reduction of dry matter intake during infection with T. congolense were selected, to minimize the use of animals. After a mean recovery period of 11 months, the selected animals were individually housed one after the other in one of two respiration chambers in complete social isolation. The selected goats had a mean age of 29 (± 1.1) months at the moment of infection 2. After 1 week in the respiration chamber, the goats were infected intravenously for the second time, at a dosage of approximately $1 \times 10^6$ parasites per goat. For this infection a different trypanosomiasis species, i.e., T. vivax Y486, isolated in Zaria, Nigeria by Leeflang et al. (1976), was used. This challenge with another species was done, because trypanotolerant animals are able to better control a secondary (or rechallenge) infection with the same trypanosomiasis strain than a primary infection (Paling et al., 1991); it was assumed that by using a different species, the response to infection 2 would be comparable with that to infection 1. After 6 weeks of infection the experiment was terminated and the animals were euthanized, according to Dutch welfare regulations. Measurements Feed intake was measured three times per week, from 3 weeks before infection until the end of the infection period. Therefore the amount of offered and refused feed was measured three times per week, and a weekly composite sample of both fractions was taken. Dry matter content of the samples of offered and refused feed was measured (ISO 5984). DMI per kg metabolic weight per day ($g \text{ DM} \cdot \text{kg}^{-0.75} \cdot \text{d}^{-1}$) was calculated as the difference between offered DM and refused DM. The mean DMI in a 2-weeks period prior to infection 1 was calculated, as well as the mean DMI during infection 1, (day 5 until 35 post infection; a prepatent period of 4 days was assumed). Moreover, the mean DMI in the week before infection 2, when the animals were already housed in the chamber, was calculated, and DMI during infection 2 (day 5 until 35 post infection). The ratio DMI [during infection / before infection] was calculated per animal per infection period. Body weight (BW) was measured weekly in the morning just after feeding, throughout the experiment. Statistical analysis Statistical analysis was done with General Linear Models procedure (GLM) of SAS Statistical Package (SAS, 1990) using 1-way analysis for analysis of DMI before and during infection, as well as DMI ratio for the second infection (with T. vivax; n = 12): \[ Y_{ij} = \mu + R_i + e_{ij} \] where: $ Y_{ij} = $ dependent variable; $ \mu = $ overall mean; $ R_i = $ effect of Ratio group (LRat or HRat; classification was based on results in infection period 1); $ e_{ij} = $ error term. Moreover, the normal and the ranking (Spearman) correlations between subsequent measurements on DMI ratio of individual animals were calculated. Results and discussion In Table 1 BW at the start of infection, average DMI before and during infection and the DMI ratio are given per infection period per treatment. The BW at the start of infection was higher in period 2 compared with period 1 ($ P < 0.01 $). Both the infections with T. congolense and T. vivax caused a reduction of DMI and BW. This corresponds with studies of Zwart et al. (1991). Two animals died before the end of the second infection period on day 35 and 39 post infection, respectively. The DMI before and during infection 1 and DMI ratio were higher, compared with the same parameters, measured during infection 2. During the first infection the DMI ratio was higher in HRat than in LRat; however, this was induced by the experimental design and therefore an artefact. In the second infection, however, only a small and non-significant difference between HRat and LRat was found ($ P = 0.23 $). In Table 2, ranking (Pearson) correlations between clinical parameters, measured on the 12 experimental animals during both infections 1 and 2, are presented. The ranking correlation between DMI before infection 1 and DMI before infection 2 was positive ($ P < 0.01 $). Also the correlation between DMI before infection 1 and DMI during infection 1 was significant ($ P < 0.05 $), as well as the correlations between DMI during infection and DMI ratio, within each of the infection periods (at least $ P < 0.01 $). However, the correlation between DMI before infection 2 and DMI during infection 2, as well as the correlation between DMI ratio during infection 1 and infection 2 was very low and not different from zero. Table 1. Least squares means of body weight (BW) at infection, dry matter intake (DMI) before and during successive infections with Trypanosoma congolense and Trypanosoma vivax and ratio DMI [during infection / before infection] of West African Dwarf goats, selected for either a high or a low DMI ratio. \| Treatment¹ \| LRat \| sem \| HRat \| sem \| P-Value \| \|------------\|------\|-----\|------\|-----\|---------\| \| No. of observations \| 8 \| \| 4 \| \| \| \| BW at infection, kg \| 29.3ᵃ \| 1.1 \| 24.4ᵇ \| 1.5 \| * \| \| DMI, g·kg⁻⁰.⁷⁵·d⁻¹ \| \| \| \| \| \| \| Pre-infection \| 66.1 \| 4.0 \| 79.0 \| 5.6 \| ns \| \| Infection \| 19.7ᵃ \| 2.3 \| 58.0ᵇ \| 3.2 \| * \| \| DMI ratio \| 0.30ᵃ \| 0.024 \| 0.73ᵇ \| 0.034 \| * \| \| BW at infection, kg \| 34.5 \| 1.3 \| 31.3 \| 1.8 \| ns \| \| DMI, g·kg⁻⁰.⁷⁵·d⁻¹ \| \| \| \| \| \| \| Pre-infection \| 38.4 \| 4.2 \| 45.9 \| 6.0 \| ns \| \| Infection \| 10.3 \| 2.1 \| 16.8 \| 3.0 \| ns \| \| DMI ratio \| 0.28 \| 0.056 \| 0.40 \| 0.079 \| ns \| ¹: LRat = Low DMI ratio. HRat = High DMI ratio; selection based on DMI ratio in infection period 1; ᵃᵇ: means with different superscripts per infection period within a row are different (P < 0.05). Table 2. Ranking (Spearman) correlation r between DMI before infection (DMI-1), DMI during infection (DMI-2); DMI ratio (DMI-R), of subsequent infections with T. congolense and T. vivax¹. \| \| T. congolense \| T. vivax \| \|----------------\|-----------------\|------------\| \| \| DMI-1 \| DMI-2 \| DMI-R \| DMI-1 \| DMI-2 \| DMI-R \| \| T. congolense infection: \| \| \| \| \| \| \| \| DMI-1 \| - \| 0.64 \| 0.37 \| 0.77 \| 0.24 \| -0.23 \| \| \| () \| (ns) \| () \| (ns) \| (ns) \| (ns) \| \| DMI-2 \| - \| 0.94 \| 0.40 \| 0.37 \| 0.20 \| \| \| \| (*) \| (ns) \| (ns) \| (ns) \| (ns) \| \| \| DMI-R \| - \| 0.16 \| 0.36 \| 0.35 \| \| \| \| \| (ns) \| (ns) \| (ns) \| (ns) \| \| \| \| T. vivax* infection: \| \| \| \| \| \| \| \| DMI-1 \| - \| \| 0.35 \| -0.34 \| \| \| \| \| (ns) \| \| (ns) \| (ns) \| \| \| \| DMI-2 \| - \| \| \| 0.75 \| \| \| \| \| \| \| \| (*) \| \| \| \| DMI-R \| - \| \| \| \| \| \| ¹: Significancy between brackets: ns = not significant; = P < 0.05; = P < 0.01; * = P < 0.001. The relation between DMI ratio after infection 1 and DMI ratio after infection 2 is also depicted in Figure 1; no relation ($P = 0.27$) was found. This agrees with findings of Dwinger et al. (1992), who observed a small and non-significant ranking correlation between body weight change of N'Dama cows during successive trypanosome infections, the body weight change being related to feed intake. Trail et al. (1991), however, estimated a heritability of 0.39 for body weight change of N'Dama cattle in trypanosomiasis-endemic areas. Also Wassink et al. (1993) found a high ranking correlation between individual DMI ratio's to successive trypanosome infections of 0.59. However, re-analysis of the data shows that the normal correlation in their experiment was low ($r = 0.31; P = 0.29$); this was due to the fact that one animal showed an extremely different response during the second infection. This observation could be qualified as an outlyer ($P < 0.01$), according to Cook's Distance test (Cook, 1979). Exclusion of this animal from the dataset brought correlation to 0.81 ($P < 0.001$; Wassink et al., 1993). Figure 1. The relation between DMI ratio during T. vivax infection (infection 2) with DMI ratio during T. congolense infection (infection 1) of individual animals. ▲ represents LRat animals, ● represents HRat animals. The low correlation between subsequent DMI ratio's found in the present study, compared to Wassink et al. (1993), possibly can be attributed to different factors. Firstly, the social isolation of the animals in the respiration chambers may have affected DMI and DMI ratio. Carbonaro et al. (1992) observed an increase of norepinephrine in goats undergoing short periods of social isolation, which was mainly associated with exercise and physical stressors but probably also psychological stress. Van Adrichem and Vogt (1993) found that metabolism of sheep was strongly affected by social isolation for periods of 1 week. Therefore possibly in the present study, feed intake and consequently DMI ratio was changed by the social isolation. Secondly, the age of the animals may have played a role. At the start of infection 2 the animals were 8 months older than at the start of infection 1 (29 and 21 months, respectively). Ketelaars and Tolkamp (1991) observed a decrease of digestible organic matter intake per kg metabolic weight, with age, in a group of WAD goats aged between 22 and 32 months. Together with increasing age, also the body condition and amount of body fat increased (our unpublished observations) which may also have led to a reduced feed intake. Lee et al. (1995), described a negative relation between fat depth and feed intake of mature ewes. Nevertheless, a significantly positive correlation was found between DMI before infection 1 and DMI before infection 2, indicating that the ranking of animals had not changed largely in the intermediate period. Only during the second infection period, infected animals showed a different ranking with respect to DMI and DMI ratio. It can be concluded, therefore, that little indication was found for a genetically determined DMI and DMI ratio during trypanosome infection. Environmental factors probably largely determined the DMI and DMI ratio and perhaps also interaction between genotype and environment has played a role. Acknowledgements The technical assistance of S. van Ewijk, M.J.W. Heetkamp, K.M. van der Linden, I. van Langenvelde, J. Nieuwenhuijs and P. Vos, and the active participation of D. Ogwu and S.B. Ba are greatly appreciated. We thank M.W.A. Verstegen and Th. Wensing for reading of the manuscript. References Carbonaro, D.A., Friend, T.H., Dellmeier, G.R. and Nuti, L.C. 1992. Behavioral and physiological responses of dairy goats to isolation. Physiology and Behaviour 51: 297-301. Cook, R.D. 1979. Influential observations in linear regression. Journal of the American Statistical Association 74: 169-174. Dwinger, R.H., Clifford, D.J., Agyemang, K., Gettinby, G., Grieve, A.S., Kora, S. and Bojang, M.A. 1992. Comparative studies on N’Dama and zebu cattle following repeated infections with Trypanosoma congolense. Research in Veterinary Science 52: 292-298. ISO Catalogues (International Organization for Standardization). Zurich, Switzerland. Lee, G.J., K.D. Atkins and S.I. Mortimer. 1995. Variation between Merino ewes in pasture intake. I. Between flock differences and some environmental sources of variation. Livestock Production Science 41: 133-142. Leeflang, P., Buys, J. and Blotkamp, C. 1976. Studies on Trypanosoma vivax: infectivity and serial maintenance of natural bovine isolates in mice. International Journal for Parasitology 6: 413-417. Murray, M. 1988. Trypanotolerance, its criteria and genetic and environmental influences. In: ILCA/ILRAD. Livestock production in tsetse affected areas of Africa. Proceedings of a meeting held in Nairobi, Kenya, 23 - 27 Nov. 1987. p. 133-151. Paling, R.W., Moloo, S.K., Scott, J.R., McOdimba, F.A., Logan-Henfrey, L.L., Murray, M. and Williams, D.J.L. 1991. Susceptibility of N'Dama and Boran cattle to tsetse-transmitted primary and rechallenge infections with a homologous serodeme of Trypanosoma congolense. Parasite Immunology 13: 413-425. Roelants, G.E., Tamboura, I., Sidike, D.B., Bassinga, A. and Pinder, M. 1983. Trypanotolerance. An individual not a breed character. Acta Tropica 40: 99-104. SAS. 1990. SAS/STAT Users' Guide. Version 6, Fourth Edition, Volume 2. SAS Institute Inc, Cary, NC, USA. Ketelaars, J.J.M.H. and Tolkamp, B.J. 1991. Toward a new theory of feed intake regulation in ruminants. Doctoral Thesis, Agricultural University Wageningen, Wageningen, The Netherlands. p. 101. Trail, J.C.M., Hoste, C.H., Wissocq, Y.J., Chalon, E. and d'Ieteren, G.D.M. 1980. Trypanotolerant livestock in West and Central Africa; Vol. 1 General Study. Rome, FAO. Trail, J.C.M., d'Ieteren, G.D.M., Maille, J.C. and Yangari, G. 1991. Genetic aspects of control of anaemia development in trypanotolerant N'Dama cattle. Acta Tropica 48: 283-291. Van Adrichem, P.W.M., and Vogt, J.E. 1993. The effect of isolation and separation on the metabolism of sheep. Livestock Production Science 33: 151-159. Van Dam, J.T.P., D. van der Heide, W. van der Hel, T.S.G.A.M. van den Ingh, M.W.A. Verstegen, T. Wensing, and D. Zwart. 1996. The effect of Trypanosoma vivax infection on energy- and nitrogen metabolism, and serum metabolites and hormones in West African Dwarf goats at different feed intake levels. Animal Science. In press. Verstegen, M.W.A., Van der Hel, W., Brandsma, H.A., Henken, A.M. and Bransen, A.M. 1987. The Wageningen respiration unit for animal production research; a description of the equipment and its possibilities. In: Verstegen, M.W.A., and A.M. Henken (Eds.) Energy Metabolism in Farm Animals. Effects of Housing, Stress and Disease. Martinus Nijhoff, Dordrecht, The Netherlands. Wassink, G.J., Momoh, J.S., Zwart, D. and Wensing, T. 1993. The relationship between decrease in feed intake and infection with Trypanosoma congolense and Trypanosoma vivax in West African Dwarf goats. Veterinary Quarterly 15: 5-9. Zwart, D., Brouwer, B.O., Van der Hel, W., Van den Akker, H.N., and Verstegen, M.W.A. 1991. Effect of Trypanosoma vivax infection on body temperature, feed intake, and metabolic rate of West African Dwarf goats. Journal of Animal Science 69: 3780-3788. Chapter 3 A relation between CLA polymorphism and dry matter intake of West African Dwarf goats, infected with Trypanosoma congolense J.T.P. van Dam¹, E.J. Hensen², B. Bissumbhar² and D. Zwart¹. ¹: Dept. of Animal Husbandry, Wageningen Institute of Animal Science, Wageningen Agricultural University, PO Box 338, 6700 AH Wageningen, The Netherlands; ²: Dept. of Infectious Diseases and Immunology, Utrecht University, PO Box 80.165, 3508 TD Utrecht, The Netherlands. Submitted. A relation between CLA polymorphism and dry matter intake of West African Dwarf goats, infected with Trypanosoma congolense J.T.P. van Dam¹, E.J. Hensen², B. Bissumbhar² and D. Zwart¹. ¹: Dept. of Animal Husbandry, Wageningen Institute of Animal Sciences, Wageningen Agricultural University, PO Box 338, 6700 AH Wageningen, The Netherlands; ²: Dept. of Infectious Diseases and Immunology, Utrecht University, PO Box 80.165, 3508 TD Utrecht, The Netherlands. Abstract A group of 25 mature West African Dwarf goats was experimentally infected with Trypanosoma congolense to study possible genetic mechanisms behind variation in clinical variables among animals. Therefore, before and during infection, dry matter intake (DMI), body weight change and packed cell volume (PCV) were measured. The ratio [DMI during infection / DMI before infection] was calculated, and the PCV ratio analogously. From all animals, the class I and class II caprine leucocyte antigens (CLA) were determined, by 1-dimensional iso-electric focussing. Indications were found for a correlation between on the one hand DMI during infection and DMI ratio, and on the other hand CLA genotype polymorphism. It was suggested that the class I and II CLA genes acted as a genetic marker for the TNF-α gene or its regulators, and that therefore differences in CLA genotype may have been related to different TNF-α production levels during infection. These results therefore offer some evidence for a genetic basis of the degree of trypanotolerance. Introduction Over 90% of sheep and goats in sub-Saharan Africa are found in East and West Africa where they provide respectively 30% of the meat and 15% of milk consumed (ILCA, 1990). Many aid workers and international agricultural organizations consider these small ruminants ideal for increasing livestock productivity of low input systems (Luckins, 1992). A major constraint, however, for viable animal production systems in sub-Saharan Africa is the disease trypanosomiasis, caused by the protozoan Trypanosoma spp. and in Africa transmitted by the tsetse fly Glossina spp. The disease causes anorexia, anaemia and high mortality if left untreated (Stephen, 1986). Some local goat, sheep and cattle breeds, however, are tolerant to infection (ILCA, 1986). Trypanotolerance is described as the ability of individual animals to limit the anaemia and to maintain animal production (Murray and Morrison, 1981; Murray, 1988; Trail et al., 1991). Griffin and Allonby (1979) observed that tolerant breeds not only controlled the anaemia during infection, but also lost less weight in the first 4 months of infection. In studies on trypanotolerant West African Dwarf (WAD) goats, however, a reduction of feed intake was observed, which varied largely between animals (Zwart et al., 1991). Roelants et al. (1983) also reported large differences in tolerance to infection among cattle from the trypanotolerant Baoulé breed. Notoriously antigen specific immunity is activated during infection, but due to the antigenic variation of the parasite less effective. The innate immune system of the host has a central role with respect to tolerance to infection in many studies (Murray, 1988; Sileghem et al., 1993). During infection, several hormone-like polypeptides are produced by activated mononuclear cells, such as tumour necrosis factor-α (TNF-α) and interleukin-1 (Sileghem et al., 1993; Sileghem et al., 1994). These cytokines regulate local inflammatory reactions by cell-to-cell communication, but may also gain access to the circulation and induce systemic effects such as anorexia and fever (Plata-Salaman et al., 1988; Socher et al., 1988; Van Miert, 1995). Karunaweera et al. (1992) demonstrated a close relation between short term variation in serum TNF-α levels and magnitude of fever. It was found by Freund et al. (1992), that polymorphism in the gene, encoding for TNF-α production in mice correlated with levels of TNF-α mRNA in infected brain tissue and the level of resistance to the development of toxoplasmic encephalitis. Thus different alleles of the TNF-α gene may explain variation in TNF-α production between animals, and therefore provide a possible mechanism behind the observed variation in feed intake response to infection among animals. The gene encoding for TNF-α is located in the central region of the major histocompatibility complex (MHC) in mammalian species including the goat, within the MHC class I and class II region (Andersson and Davies, 1993). In goats the MHC is called the caprine leucocyte antigen system (CLA). The class I and II regions of the CLA are also extremely polymorphic; the recombination rate between the class I and II region is low (less than 3% in cattle) and therefore these genes usually cosegregate (Andersson and Davies, 1993). The CLA class I and II can be regarded as ideal marker genes for TNF-α gene polymorphism, based on the criteria for marker genes (Van der Beek, 1996). Therefore, in the present study the individual response to artificial T. congolense infection of West African Dwarf goats with respect to the clinical parameters dry matter intake (DMI), body weight change and packed cell volume (PCV), was related to CLA class I and II polymorphism; these genes were expected to act as marker genes for the gene encoding for TNF-α. Results from this study could therefore give insight in the possible mechanisms behind the clinical signs due to trypanotolerance. Material and methods I. Biochemical genotyping of CLA genotypes The method described below was based on the protocol for isoelectric focussing in goats (Joosten et al., 1993). Preparation of the cells From each goat, 10 mL of blood was taken by puncture from the vena jugularis using vacuumized tubes containing Lithium-heparin. Lymphocytes were isolated by centrifugation under Ficoll/NaMetrizoate (S.G. 1.078) for 45' at 850 g. Freshly isolated lymphocytes were washed 3 times in Hanks Balanced Salt Solution. Approximately $20 \times 10^6$ cells were kept in methionine free MEM (Gibco Ltd, Paisley, UK), with 10 % (v/v) foetal calf serum (FCS; Flow-Lab, Irvine, UK) before labelling, and were incubated at 37°C with 5 % CO$_2$, for 45'. Then cells were labelled by adding 100 $\mu$Ci of $^{35}$S-Methionine (Amersham Laboratories, UK) and incubated overnight. Immunoprecipitation After labelling, each cell suspension was transferred to two 1-mL eppendorf tubes (approximately $10 \times 10^6$ cells per tube) and was spinned and resuspended two times (centrifugation for 3' at 13,000 g). After spinning for the 3rd time, 1 mL of cold NP40 1 % lysis buffer was added to each eppendorf tube. Also fresh phenyl methyl sulphon fluoride (PMSF) was added (10 $\mu$L·mL$^{-1}$ of a 10 mM solution) and the cells were resuspended. After 60' incubation on ice, the supernatant was transferred to a clean tube. Preclearing of the supernatant was done twice; each preclearing consisted of the following steps. Normal rabbit serum (NRS; 3 $\mu$L) was added to the supernatant and was incubated on ice for 60', after which the tubes were spinned for 1' at 13,000 g. Then 75 $\mu$L of a 10 % Staph A solution was added, and after 30' incubation on ice, the tubes were spinned again for 3' at 13,000 g. In the 2nd preclearing step, incubation with NRS was done overnight on ice. For standard precipitation of the Class I products, 3 $\mu$L of mAb B1.1G6 was added to one tube of each animal, and for precipitation of the Class II products, 3 $\mu$L of mAb human poly $\alpha$-II was added to the other tube. Both tubes were incubated on ice for 90'. The pellet was washed 4 times with NNet buffer. Then it was incubated with 50 $\mu$L neuraminidase for 3 h, and, after spinning and washing, incubated overnight with 50 $\mu$L neuraminidase after which the samples were frozen at -80°C. One-dimensional isoelectric focusing (1D-IEF) 1D-IEF was done in vertical polyacrylamide gels. The composition of the used electrode buffer, the overlay buffer and the sample buffer, was as reported by Joosten et al. (1993). The precipitates were thawed and resuspended in 40 µL IEF-sample buffer, incubated for 2 h at room temperature, and spunned for 2' at 13,000 g. 20 µL of supernatant was loaded in the wells, and 20 µL of overlay buffer was added carefully. Then the wells were filled with upper buffer and the electrophoresis buffer was added. After prerunning of the gels for 2 h at a $V_m$ of 400 V, the gels were run for 18 h at a $V_m$ of 800 V and a constant current of 15 mA. After running, the gels were treated twice with DMSO for 30' and were fluorographed by treating the gels with DMSO-PPO for a minimum of 3 h. The gels were washed with water and were dried. Class I and II band patterns were autoradiographed on Kodak X-AR film for 1 week. II. Infection experiment Animals, feeding and housing From a flock of WAD goats, established at the Agricultural University about 15 years ago (Montsma, 1986), a group of 25 mature castrated male goats with a minimal disease history were selected. All animals had previously been vaccinated against ecthyma and had received anthelminthic treatment with Ivomec (Ivermectin, MSD, AGVET, Hoddesdon, UK). The animals were 18 ± 0.1 months old and had a mean body weight of 27 ± 0.6 kg. They were the offspring from four unrelated sires; the selected subpopulation included four pairs of full sibs. The animals had ad libitum access to pelleted lucerne, drinking water and salt lick. The lucerne consisted of 93 % dry matter, 16.8 kJ g$^{-1}$ gross energy and 18 % crude protein. Animals were housed individually in pens on a bedding of wood shavings. They were able to have visual contact with adjoining animals. The lights were on from 7.00 h till 19.00 h. Ambient temperature ranged between 18 and 20°C. Experimental design Before infection, all animals were housed in individual pens for 4 weeks. On day 0, the animals were infected intravenously with $1 \times 10^6$ trypanosomes. Therefore, a stabilate of T. congolense subakia, isolated in Nairobi, Kenya in 1961 was inoculated in mice, for multiplication of the parasite. This mouse blood was used for infection of the goats. After 5 weeks of infection, the animals were treated intramuscularly with 7 mg Berenil/kg bodyweight after which recovery started. The time schedule of the experiment is given in Table 1. Table 1. Time schedule of the experiment. \| Day to infection \| Description \| \|------------------\|-------------\| \| -28 \| Housing of animals in individual pens; feeding of the experimental feed; start measurements on feed intake, body weight and PCV. \| \| -10 \| Start measurement body temperature \| \| 0 \| Infection \| \| 35 \| Treatment with 7 mg Berenil/kg bodyweight; start recovery. \| Measurements The CLA class I and II alleles were determined by 1D-IEF. The definition of the class I alleles and the class II alleles was done by the authors, because no literature was available on CLA haplotypes of West African Dwarf goats. The nomenclature of the different genotypes resulted from the two haplotypes combined in each animal. Before and during infection, individual feed intake was measured three times per week by offering ad libitum feed and by collecting feed residues afterwards. Composite samples of both offered feed and refused feed were analyzed for dry matter content (ISO 5984); from this, dry matter intake (DMI) per kg metabolic weight $(\text{kg}^{0.75})$ per day was calculated. The mean DMI in the two weeks preceding infection, as well as the mean DMI from day 5 until 35 of infection (leaving the prepatent period of 4 days out of the calculation) were calculated per animal. Also the ratio DMI [during infection / before infection] was calculated per animal. The body weight (BW) was measured weekly, in the morning after feeding. For each animal, the body weight change during infection was calculated as the difference between BW at week 3 p.i. and BW at infection. A blood sample was collected weekly from the jugular vein in heparinized tubes. The packed cell volume (PCV) in blood was measured by centrifugation of the blood in capillaries using a micro-haematocrit centrifuge. The ratio PCV [after 3 weeks of infection / before infection] was calculated for each animal. Statistical analysis Preliminary analysis showed no effect of sire on the studied parameters. The effect of CLA genotype on DMI before and during infection, on the DMI ratio, and on the body weight change and PCV ratio was tested using the following model: \[ Y_{ij} = \mu + G_i + e_{ij} \] where: $ Y_{ij} = $ parameter of study; $ \mu = $ overall mean; $ G_i = $ effect of Genotype ($ i = 1,..,6 $); $ e_{ij} = $ rest error term. The model was tested using the General Linear Models Procedure of the SAS Statistical package (SAS, 1990). Only 6 CLA genotypes from 20 animals were included because of low incidence of the other genotypes. Differences between genotypes, calculated as least square means, were tested simultaneously. For all parameters involved a normal distribution of variation was found. For all studied parameters, also a mean value per group of animals that shared a specific haplotype, was calculated. However, because goats are diploid, animals which were heterozygotic for CLA genotype, were included twice in this dataset; therefore, no statistical analysis could be done. Table 2. Composition of CLA haplotypes and genotypes, and distribution frequencies in a flock of West African Dwarf goats. \| Haplotypes \| A \| B \| C \| D \| E \| F \| \|------------\|---\|---\|---\|---\|---\|---\| \| Number of animals \| 4 \| 5 \| 8 \| 15 \| 7 \| 1 \| \| Class I allele$^1$ \| 1 \| 3 \| 4 \| 5 \| 6 \| 7 \| \| Class II allele$^1$ \| 1 \| 3 \| 4 \| 5 \| 8 \| 9 \| Genotypes in the goat population, observed as combinations of haplotypes$^2$ - AA (1) - AB () - AC () - AD (+) - BE () - FF (1) - AB (1) - BD (2) - CC (4) - BD () - DE () - AC (1) - BE (2) - CD (3) - CD () - AD (1) - DD (4) - DE (5) $^1:$ numbers refer to Figure 1; $^2:$ number of animals between brackets; : already counted. Results* CLA genotyping In the studied population 6 different Class I and also 6 different Class II alleles were distinguished. In Figure 1 an autoradiograph of the 1D-IER analysis for class I is given; in Figure 2 an autoradiograph for class II analysis is given. An interpretative drawing of the focussing bands of each allele is presented in Figure 1 and 2, besides the autoradiographs. No recombination between class I and class II was detected in the animals studied; therefore 6 different CLA haplotypes were defined by both class I and II polymorphism of a particular haplotype (A to F; Table 2). Because no CLA Class 1 and II typing in WAD goats has been reported before, the definition of the different haplotypes was arbitrarily chosen by the authors. The pairwise combination of haplotypes in each animal resulted in 11 different genotypes (Table 2). Figure 1. One-dimensional isoelectric focusing (1D-IEF) autoradiographic analysis of CLA class I antigens, precipitated from cell lysates from non-stimulated peripheral blood mononuclear cells (PBMC), using mAb B1.1G6, from a flock of 25 West African Dwarf goats; included is an interpretative drawing of the focussing bands of each allele. Figure 2. One-dimensional isoelectric focusing (1D-IEF) autoradiographic analysis of CLA class II antigens, precipitated from cell lysates from non-stimulated peripheral blood mononuclear cells (PBMC), using mAb human poly α-II, from a flock of 25 West African Dwarf goats; included is an interpretative drawing of the focussing bands of each allele.
for details. and Episode – 3 5 th – 10 th March 2021 Number Placement by Rakesh Rai Puzzle Ramayan rounds will also serve as qualifiers for Indian Puzzle Championship for year 2021. Please check http://logicmastersindia.com/PR/2021pr.asp Important Links Submission Page : Discussion Thread : Registration, if required : http://logicmastersindia.com/live?contest=PR202103 http://logicmastersindia.com/t/?tid=2791 http://logicmastersindia.com/t/?tid=2773 F. A. Q. : http://logicmastersindia.com/register.asp About this Episode This episode has 22 Puzzles from the following puzzle types: * Understand the rules of different puzzles that will appear in this episode. This Instruction Booklet has rules for each puzzle. * Download the password protected Puzzle booklet (will be uploaded before the test starts). The Puzzle booklet contains the actual Puzzles to be solved. It is password protected, so you won't be able to open it. * Any time on or after 5 th March (but on or before 10 th March), login at the submission page using your LMI user-id and password. Please check the submission page for exact timing. * Click on "Start". At this time, password for pdf will be shown and timer will start. The contest duration is 90 minutes. * The puzzle booklet can be downloaded, printed and solved on paper. * There will not be any interface / applet to solve the puzzles on web browser, but external Penpa links will be provided. The participant is still expected to come back and enter the answer key if solving using the links. * Most of the puzzles are designed to be solved faster on paper. * We advise you to have a printer accessible with enough paper. * Outside solving help of any kind is not permitted. This includes but is not limited to: assistance of any kind from any other person; prepared notes, books, calculators, computers, or tools other than items explicitly permitted. * You are allowed to use writing implements, eraser, blank paper (including commercial graph paper), ruler, scissors, and tape. If you are participating at LMI for first time, you must check the F.A.Q. at http://logicmastersindia.com/t/?tid=2773. * 3* Skyscrapers · 3* Easy as 123 · 3* TomTom · 3* Top Heavy · 3* Nanro Signpost · 3* Magic Summer · 2* Skyscrapers Easy As 123 · 2* Top Heavy TomTom How to participate? About answer keys and Submission * Each puzzle has some answer keys, as described in the instructions. * After solving the puzzle, you need to submit the puzzle using the answer keys. * You may submit the answer keys anytime during the test duration. You may consider submitting a puzzle as soon as you solve it. * Answer keys are always to be entered from left to right or top to bottom * Don't enter any separator unless specified in the answer key * If one row and one column is marked, enter the row first and then the column * If multiple rows are marked, enter from top to bottom for marked rows * If multiple columns are marked, enter from left to right for marked columns * If horizontal and vertical keys are needed, first enter the horizontal and then the vertical * Uppercase or lower case of answer key does not matter * Characters other than the ones explicitly expected by the answer key will cause the red highlight to appear around the submission box. Points Table and Scoring This test uses instant grading where a solver can submit any individual Puzzle and receive confirmation that the solution is correct or not. Each incorrect submission reduces the puzzle's potential score. The first, second, third, and fourth incorrect submissions reduce the potential score to 90%, 70%, 40%, and 0% respectively. A demonstration for this is shown below. Bonus and Ranking If you submitted all Puzzles correctly, you can have bonus points 1 point per minute saved, computed up to seconds. 2. Earliest final submission time, up to seconds (ignoring incorrect submissions) This contest will also be solvable on the Penpa-Edit software. Below the rules of each puzzle will be a link to click to solve on the editor. The editor DOES NOT have a solution enabled so it will not check a solution. Participants must submit the answer key codes as they would with paper solving. It is therefore advisable to enter solution codes one at a time. To practice on the editor, we have given links for solving the example puzzles too. - Yosh (rand_yosh314) for test solving the puzzles and providing invaluable feedback. - The original creator opt-pan for penpa edit - https://opt-pan.github.io/penpa-edit/ - Swaroop Guggilam for his recent efforts in adding features to Penpa-edit - Points typically indicate difficulty of the Puzzles and time required to solve them. You will get full points if you enter the correct answer key. While the organizers have made best efforts to match them, your personal experience and preference may differ. Ranking will be based on following rules in order: 1. Most total points Penpa Usage Credits https://swaroopg92.github.io/penpa-edit/ About the Puzzle Booklet The password protected Puzzle booklet will have 8 pages. We expect you to print and solve on paper, so you would need to have a printer accessible with enough paper. 1-3 Skyscrapers Pag e\| 1 Solutions and keys (including the key explanatio n) t o ex a mples a re a t the end of the booklet in the Solutions section. Also, in some puzzles, some digits or empty space s ( a s 'X ') m a y be gi v e n. 2 + 2 + 5 points Place a digit from 1 to N into each cell in the N by N grid so that no digit repeats in any row or column. Also, each number in the grid represents the height of a building and the clues outside the grid indicate how many buildings can be "seen" when looking from that direction. Taller buildings block the view of smaller buildings. [The puzzles in the contest will be of sizes 5x5, 6x6 and 6x6. This example is 4x4.] Penpa for example: https://git.io/JqeFx 4-6 Easy as 123 Place a digit from the given range into some cells in the grid so that no digit repeats in any row or column, and all digits within the range appear exactly once in each row and column. Some cells remain blank. The clues outside the grid indicate the first digit from that direction along the row or column. [The puzzles in the contest will be of sizes 5x5, 6x6 and 6x6. This example is 4x4.] Penpa for example: https://git.io/JqebC 7-9 TomTom Place a digit from 1 to N into each cell in the N by N grid so that no digit repeats in any row or column. Also, the number in the upper-left corner of each bold cage indicates the value of a mathematical operation (addition, subtraction, multiplication, division) applied successively to all digits in the cage, starting with the largest digit for subtraction and division. The operation may or may not be given in the cage, but at least one of the four operations must apply. Digits can repeat within a cage. [The puzzles in the contest will be of sizes 5x5, 6x6 and 6x6. This example is 5x5.] 2 + 2 + 3 points 2 + 2 + 3 points Penpa for example: https://git.io/JqepZ Number Placement 10-12 Top Heavy Place a digit from the given range into some cells in the grid so that no digit repeats in any row or column, and all digits within the range appear exactly once in each row and column. Some cells remain blank. If two digits are in vertically adjacent cells, the greater of the two digits must be on top. [The puzzles in the contest will be of sizes 6x6, 6x6 and 9x9. This example is 5x5.] Penpa for example: https://git.io/JqeAn 13-15 Nanro Signpost Place numbers in some cells to form a single connected group of numbers. All regions must contain at least one number. Each number in a region must be equal to the total number of cells containing numbers in that region. No 2×2 group of cells may fully contain numbers. A clue in the top left of a region indicates how many cells contain numbers in that region (but not necessarily which cells). When numbers are orthogonally adjacent across a region boundary, the numbers must different. [The puzzles in the contest will be of sizes 6x6, 6x9 and 10x10. This example is 6x6.] Penpa for example: https://git.io/Jqedg 16-18 Magic Summer Place a digit from the given range into some cells in the grid so that no digit repeats in any row or column, and all digits within the range appear exactly once in each row and column. Some cells remain blank. Digits that share an edge along a row or column are read as multi- digit numbers from left to right or top to bottom respectively. The clues outside the grid give the sum of numbers in that row or column. [The puzzles in the contest will be of sizes 5x5, 7x7 and 8x8. This example is 5x5.] two be Penpa for example: https://git.io/JqeAS Pag e\| 2 2 + 3 + 12 points 1 + 2 + 7 points 1 + 8 + 16 points Number Placement 19-20 Skyscrapers Easy as 123 Place a digit from the given range into some cells in the grid so that no digit repeats in any row or column, and all digits within the range appear exactly once in each row and column. Some cells remain blank. The clues outside can behave as 'Skyscrapers' clues or 'Easy as 123' clues or both. It is up to the solver to determine what each clue is. [The puzzles in the contest will be of sizes 5x5 and 6x6. This example is 4x4.] Penpa for example: https://git.io/Jqexc 21-22 Top Heavy TomTom Place a digit from the given range into some cells in the grid so that no digit repeats in any row or column, and all digits within the range appear exactly once in each row and column. Some cells remain blank. The cages follow 'TomTom' rules, and the grid follows ‘Top Heavy’ rules. Also, all cells of the clued TomTom cages must contain digits, i.e. cannot be empty. [The puzzles in the contest will be of sizes 6x6 and 9x9. This example is 5x5.] Penpa for example: https://git.io/Jqexj Page 4 + 5 points 6 + 10 points P a g e \| 3 Number Placement 4 + 5 points 6 + 10 points Solutions Pag e\| 4 For this round, all answer keys will be the same - For each marked row/column, enter the digits in that direction, using X for empty cells - from left to right / top to bottom. Enter the units digit for multi-digit numbers. Skyscrapers Easy as 123 Key: 2431, 4312 TomTom Key: 32541, 32541 Nanro Signpost Key: 3X21, 21X3 Top Heavy Key: XX132, 21X3X Magic Summer Key: X42X23, 224XXX P a g e \| 4 Number Placement Easy as 123 Key: 3X21, 21X3 Top Heavy Key: XX132, 21X3X Magic Summer Key: 23X1X, X1X23 Skyscrapers Easy as 123 Key: 31X2, 2X31 Top Heavy TomTom P a g e Key: 321X4, 21X43 P a g e \| 5 Number Placement Top Heavy TomTom Key: 321X4, 21X43
FOOD ESTABLISHMENT INSPECTION REPORT TIME IN TIME OUT PAGE 1 of DATE 1:00pm 2:45pm 10/21/2021 3 MISSOURI DEPARTMENT OF HEALTH AND SENIOR SERVICES BUREAU OF ENVIRONMENTAL HEALTH SERVICES BASED ON AN INSPECTION THIS DAY, THE ITEMS NOTED BELOW IDENTIFY NONCOMPLIANCE IN OPERATIONS OR FACILITIES WHICH MUST BE CORRECTED BY THE NEXT ROUTINE INSPECTION, OR SUCH SHORTER PERIOD OF TIME AS MAY BE SPECIFIED IN WRITING BY THE REGULATORY AUTHORITY. FAILURE TO COMPLY WITH ANY TIME LIMITS FOR CORRECTIONS SPECIFIED IN THIS NOTICE MAY RESULT IN CESSATION OF YOUR FOOD OPERATIONS. GOOD RETAIL PRACTICES Good Retail Practices are preventative measures to control the introduction of pathogens, chemicals, and physical objects into foods. IN OUT Safe Food and Water COS R IN OUT Proper Use of Utensils COS Pasteurized eggs used where required In-use utensils: properly stored Water and ice from approved source Utensils, equipment and linens: properly stored, dried, handled Food Temperature Control Single-use/single-service articles: properly stored, used Adequate equipment for temperature control Gloves used properly Approved thawing methods used Utensils, Equipment and Vending Thermometers provided and accurate Food and nonfood-contact surfaces cleanable, properly designed, constructed, and used Food Identification Warewashing facilities: installed, maintained, used; test strips used Food properly labeled; original container Nonfood-contact surfaces clean Prevention of Food Contamination Physical Facilities Insects, rodents, and animals not present Hot and cold water available; adequate pressure Contamination prevented during food preparation, storage and display Plumbing installed; proper backflow devices Personal cleanliness: clean outer clothing, hair restraint, fingernails and jewelry Sewage and wastewater properly disposed Wiping cloths: properly used and stored Toilet facilities: properly constructed, supplied, cleaned Fruits and vegetables washed before use Garbage/refuse properly disposed; facilities maintained Physical facilities installed, maintained, and clean Person in Charge /Title: Date: Inspector: Follow-up: Yes No Follow-up Date: ADDRESS: COUNTY: CITY/ZIP: PHONE: FAX: P.H. PRIORITY : H M L ESTABLISHMENT TYPE BAKERY RESTAURANT C. STORE SCHOOL I CATERER SENIOR CENTER DELI SUMMER F.P. GROCERY STORE TAVERN INSTITUTION TEMP.FOOD MOBILE VENDORS PURPOSE Pre-opening I Routine Follow-up Complaint Other FROZEN DESSER T Disapproved Approved Not Applicable I License No. ___________________ SEWAGE DISPOSAL PUBLIC I PRIVATE WATER SUPPLY COMMUNITY NON-COMMUNITY PRIVATE Date Sampled _________ Results _________ RISK FACTORS AND INTERVENTIONS Risk factors are food preparation practices and employee behaviors most commonly reported to the Centers for Disease Control and Prevention as contributing factors in foodborne illness outbreaks. Public health interventions are control measures to prevent foodborne illness or injury. Compliance Demonstration of Knowledge COS R Compliance Potentially Hazardous Foods COS OUT Person in charge present, demonstrates knowledge, and performs duties Proper cooking, time and temperature Employee Health Proper reheating procedures for hot holding IN OUT Management awareness; policy present Proper cooling time and temperatures IN OUT Proper use of reporting, restriction and exclusion Proper hot holding temperatures Good Hygienic Practices Proper cold holding temperatures IN OUT N/O Proper eating, tasting, drinking or tobacco use Proper date marking and disposition IN OUT N/O No discharge from eyes, nose and mouth Time as a public health control (procedures / records) Preventing Contamination by Hands Consumer Advisory Hands clean and properly washed Consumer advisory provided for raw or undercooked food No bare hand contact with ready-to-eat foods or approved alternate method properly followed Highly Susceptible Populations IN OUT Adequate handwashing facilities supplied & accessible Pasteurized foods used, prohibited foods not offered Approved Source Chemical Food obtained from approved source Food additives: approved and properly used IN OUT N/O N/A Food received at proper temperature Toxic substances properly identified, stored and used Food in good condition, safe and unadulterated Conformance with Approved Procedures Required records available: shellstock tags, parasite destruction Compliance with approved Specialized Process and HACCP plan Protection from Contamination The letter to the left of each item indicates that item's status at the time of the inspection. IN = in compliance OUT = not in compliance N/A = not applicable N/O = not observed COS=Corrected On Site R=Repeat Item Food separated and protected Food-contact surfaces cleaned & sanitized Proper disposition of returned, previously served, reconditioned, and unsafe food IN OUT N/O IN OUT N/O OUT IN OUT IN OUT N/O N/A OUT N/O IN OUT N/A IN OUT N/A IN OUT N/O N/A IN OUT N/A IN OUT N/A IN OUT N/A IN OUT N/A IN OUT IN OUT N/O N/A IN OUT N/O N/A IN OUT N/O N/A IN OUT N/O N/A IN OUT N/O N/A IN OUT N/O N/A ESTABLISHMENT NUMBER: IN Telephone No. EPHS No. Barnes Mart Justin and Cari Barnes Justin Barnes, Owner 509 South Kingshighway Perry - 157 Perryville 63775 (573) 547-4150 I I Justin Barnes, Owner 10/20/2021 Melanie Honaas 1682 I (573) 547-6564 N/a ESTABLISHMENT NAME: OWNER: PERSON IN CHARGE: R IN IN MO 580-1814 (9-13) DISTRIBUTION: WHITE – OWNER'S COPY CANARY – FILE COPY R E6.37 PAGE of 2 3 FOOD ESTABLISHMENT INSPECTION REPORT ESTABLISHMENT NAME ADDRESS CITY /ZIP Initial \| \| TEMP. in ° F \| FOOD PRODUCT/ LOCATION \| \| \|---\|---\|---\|---\| \| \| 32.0 \| Cold coffee dispenser \| \| \| \| 34.0 \| Kelvinator chest freezer #1 \| \| \| \| 39.0 \| Kelvinator chest freezer #2 \| \| \| \| 32.0 \| Delfield freezer in kitchen \| \| \| \| -2.0 \| Blue air prep cooler \| \| \| PRIORITY ITEMS Priority items contribute directly to the elimination, prevention or reduction to an acceptable level, hazards associated with foodborne illness or injury. These items MUST RECEIVE IMMEDIATE ACTION within 72 hours or as stated. \| \| \| Correct by (date) \| \| Observed: No written employee illness policy is available for inspector to review. Required: Food establishments requiring approval to open shall develop written standard procedures. These procedures shall include at a minimum an employee illness policy. COS: Inspector provided FDA Form 1-B to manager with inspection report. \| \| \| 10/20/21 COS \| \| CORE ITEMS Core items relate to general sanitation, operational controls, facilities or structures, equipment design, general maintenance or sanitation standard operating procedures (SSOPs). These items are to be corrected by the next regular inspection or as stated. \| \| \| Correct by (date) \| \| Observation: Mop is hung to dry by flipping mop upside down against the wall, soiling the handle of mop and wall. Required: After use, mops shall be placed in a position that allows them to air-dry without soiling walls, equipment, or supplies. Observation: Floors of both walk-in coolers are made of wood. Back wall in large walk-in cooler has exposed wood. Required: Materials for indoor floor, wall, and ceiling surfaces under conditions of normal use shall be nonabsorbent for areas subject to moisture such as food preparation areas, walk-in refrigerators, warewashing areas, toilet rooms, mobile food establishment servicing areas, and areas subject to flushing or spray cleaning methods. Observation: There is no food thermometer provided to measure the temperature of food items. Required: Food temperature measuring devices shall be provided and readily accessible for use in ensuring attainment and maintenance of food temperatures. CORRECTED: Inspector provided owner with a calibrated food thermometer during inspection. Observed: Chest ice cream freezer has a build up of ice-like debris. Required: Nonfood-contact surfaces of equipment shall be kept free of an accumulation of dust, dirt, food residue, and other debris. \| \| \| NRI NRI 10/20/21 COS NRI \| MISSOURI DEPARTMENT OF HEALTH AND SENIOR SERVICES BUREAU OF ENVIRONMENTAL HEALTH SERVICES Barnes Mart 509 South Kingshighway (B) (A)(3) (A) (C) No Person in Charge /Title: Date: Inspector: Telephone No. EPHS No. Follow-up: Yes Follow-up Date: MO 580-1814 (9-13) DISTRIBUTION: WHITE – OWNER’S COPY Melanie Honaas CANARY – FILE COPY (573) 547-6564 1682 Justin Barnes, Owner 10/20/2021 I N/a Perryville 63775 PAGE of 3 3 FOOD ESTABLISHMENT INSPECTION REPORT ESTABLISHMENT NAME ADDRESS CITY /ZIP \| TEMP. in ° F \| FOOD PRODUCT/ LOCATION \| \|---\|---\| Barnes Mart 509 South Kingshighway Perryville 63775 Initial Note: (A)(3) (C) Code Reference PRIORITY ITEMS Priority items contribute directly to the elimination, prevention or reduction to an acceptable level, hazards associated with foodborne illness or injury. These items MUST RECEIVE IMMEDIATE ACTION within 72 hours or as stated. Correct by (date) Code Reference CORE ITEMS Core items relate to general sanitation, operational controls, facilities or structures, equipment design, general maintenance or sanitation standard operating procedures (SSOPs). These items are to be corrected by the next regular inspection or as stated. Correct by (date) Initial EDUCATION PROVIDED OR COMMENTS Person in Charge /Title: Date: Inspector: Telephone No. EPHS No. Follow-up: Yes Follow-up Date: Warewashing equipment: - Manual 3-compartment sink (newly installed) - sanitizes food-contact surfaces using approved quaternary ammonium Sanitizer at a concentration of 200 parts per million (ppm). Inspector verified concentration using a quaternary test kit. - Wiping cloth bucket containing approved quaternary ammonium Sanitizer is at a concentration of 200 ppm. Inspector verified concentration using a quaternary test kit. - Urnex pax cleaner is used for cleaning food contact surfaces of coffee pots and tea urns. - Food contact surfaces of soda nozzles are cleaned and sanitized on a daily basis. 4-402.11 6-301.11 6-301.12 4-601.11 Observation: There is a gap between the wall and edge of handwash sink. Required: Equipment that is fixed because it is not easily moveable shall be installed so that it is sealed to adjoining equipment or walls, if the equipment is exposed to spillage or seepage. Observation: There is no soap provided at handwash sink in remodeled kitchen area. Required: Each handwashing sink or group of two (2) adjacent handwashing sinks shall be provided with a supply of hand cleaning liquid, powder, or bar soap. CORRECTED: Inspector observed owner install soap dispenser at handwash sink in kitchen during inspection. Observation: There is no paper toweling provided at handwash sink in remodeled kitchen. Required: Each handwashing sink or group of adjacent handwashing sinks shall be provided with individual, disposable towels; a continuous towel system that supplies the user with a clean towel; or a heated-air hand drying device; or a hand drying device that employs an air-knife system that delivers high velocity, pressurized air at ambient temperatures. CORRECTED: Inspector observed owner install paper towel dispenser at handwash sink in kitchen during inspection. Observation: Shelving where package food items are for sale in retail area are soiled with a dust-like debris. Required: Nonfood-contact surfaces of equipment shall be kept free of an accumulation of dust, dirt, food residue, and other debris. NRI 10/20/21 COS 10/20/21 COS NRI This is pre-opening inspection due to the kitchen being remodeled to accommodate pizza/sandwich making. At this time facility is approved to open. The following core items noted shall be corrected by next routine inspection (NRI). A copy of the report will be sent to firstname.lastname@example.org Justin Barnes, Owner 10/20/2021 N/a MISSOURI DEPARTMENT OF HEALTH AND SENIOR SERVICES BUREAU OF ENVIRONMENTAL HEALTH SERVICES No I
A heuristic for solving mixed-model line balancing problems with stochastic task durations and parallel stations Patrick R. McMullen\textsuperscript{a,}, Gregory V. Frazier\textsuperscript{b} \textsuperscript{a}College of Business, University of Maine, Orono, ME 04469-5723, USA \textsuperscript{b}Department of Information Systems and Management Sciences, College of Business Administration, The University of Texas at Arlington, Arlington, TX 76019-0377, USA Received 23 August 1995; accepted 17 January 1997 Abstract This paper describes an approach for solving a mixed-model assembly line-balancing problem with stochastic task times when paralleling of tasks within work centers is permitted. The research modifies previous work and incorporates new and existing task selection rules for assigning tasks to work centers. The heuristic is applied to six different line-balancing problems for each presented rule. The resulting layouts are simulated and performance results are analyzed. Through simulation, the research demonstrates how the presented heuristic can be used to solve complex line-balancing problems using different strategies, and these strategies can be evaluated across many performance dimensions. Keywords: Line balancing; Simulation; Heuristics; Mixed models; Paralleling 1. Introduction Research on assembly line balancing was quite popular in the 1960s and 1970s. Researchers during these years developed many approaches for finding optimal and heuristic solutions to the simplified line balancing problem. Today, many researchers seem to consider line-balancing research as mostly unimportant or irrelevant. Presumably, this view is because the earlier line-balancing approaches made many simplifying assumptions, and in modern manufacturing environments the same assumptions may not be realistic. The research presented here addresses the issue of line balancing in a setting that is becoming more common in modern manufacturing: a multiple product, high-volume assembly or production line, with mixed-model sequencing, stochastic task durations, and the occasional use of duplicate equipment. One place this setting can occur is in companies that have adopted JIT techniques and strive for short cycle times. Little research has been conducted to address this version of the line-balancing problem, even though this type of setting is increasingly encountered as companies try to increase their flexibility through mixed-model production, as well as increase their output through higher volume production. New approaches to help solve this problem could be very helpful to these companies. Corresponding author. Tel.: 207-581-1994; e-mail: email@example.com. Assembly line balancing is the practice of distributing work into work centers in order to achieve some goal. Type I line-balancing problems attempt to assign workers in such a way that the total number of workers required is minimized, given a specified cycle time. In this context, cycle time is the amount of time that elapses between the completion of two consecutive units of production. Type II problems attempt to assign a specified number of workers to cells in such a way that cycle time is minimized. Type I line-balancing problems are frequently encountered when a high production rate is required. Type II line-balancing problems are often encountered when there is a limitation of available working space. This research addresses the Type I assembly line-balancing problem with high production rates. Most line-balancing research assumes that task durations are deterministic. Since there is always some variation when humans perform tasks, and since task time variation has a greater impact with shorter cycle times, this research addresses stochastic task times. Most line-balancing research also assumes that a single product is being produced. With the popularity of just-in-time (JIT) production control systems, mixed-model situations have become more common. Mixed-model scheduling better manages the flow of products through the system than does single-product batch scheduling. With the flow better regulated, the in-process inventory levels and flow times of mixed-model systems will be lower than with single-product batch systems. In general, the benefits of utilizing a JIT system should be greater when using mixed-model sequencing as compared to the batch sequencing of a single-product system (Ding and Cheng, 1993). Mixed-model sequencing is used in this research. With high production rates, a situation can occur where the longest task time exceeds the specified cycle time. A common remedy is to create parallel work stations, where multiple workers perform an identical set of tasks. This also allows more flexibility in assigning tasks. Consider a single employee in a work center, as shown in Fig. 1. The employee performs four tasks (3, 5, 6, and 9). An assumption is made that one piece of equipment is required for each task. Fig. 2 shows an example where paralleling is used. In this situation, three workers each perform tasks 3, 5, 6, and 9. Twelve pieces of equipment are then necessary (3 workers × 4 tasks/worker). While paralleling results in additional equipment cost, it allows for shorter cycle times. The heuristic presented in this paper permits task paralleling to occur. To evaluate the performance of different task selection rules, the following output measures are considered: average work-in-process (WIP) inventory level, average flow time – the average amount of time a unit spends in the system, system throughput – the number of units through the system during a given time period, average unit labor cost, average system utilization, and percentage of units completed at each work center within the pre-specified cycle time – analogous to on-time completion. In addition to these six output measures, the ratio of pre-specified cycle time to actual cycle time attained by finished units was also considered – a measure of the layout’s ability to achieve the desired cycle time. Although attaining high levels of the output performance measures is desirable, it is also important to have tolerable levels of inputs to implement these layouts. These inputs are the number of workers and the amount of equipment necessary to run the assembly line. This research was undertaken to provide production management with a methodology to solve the assembly line-balancing problem with stochastic task durations, mixed-model sequencing, and paralleling of tasks. This methodology offers several alternative task-selection rules. First, a mixed-model problem is reduced into a "composite" single-model problem. The methodology then examines the potential effects of placing the tasks into work centers according to the task-selection rule. A previous heuristic is modified and used with seven alternative task-selection rules. Of these rules, three currently exist, and the other four were developed for this research (McMullen, 1995). A simulation experiment is then used to compare the seven rules with three other "seat of the pants" rules in terms of performance measures. The following sections discuss relevant literature on this problem, present the line-balancing heuristic, describe the experimental design, and offer conclusions. 2. Literature review Salveson (1995) was the first to empirically address the assembly line-balancing problem. He described the assembly line as a set of precedence relationships among tasks that must be adhered to. This means that a task cannot be assigned into a cell unless its immediate predecessors have already been assigned into cells. Salveson also recognized the line-balancing problem as a combinatorial one, realizing that a problem will have many feasible solutions. Bowman (1960) soon followed with an integer linear programming solution to the line-balancing problem. From the work of both Salveson and Bowman, however, it became quite clear that developing optimal solutions to this problem type were usually impractical due to the excessive number of decision variables and constraints which were required for even small problems. Over time, efforts were made to solve the line-balancing problem by more computationally efficient means. Klein (1963) solved the line-balancing problem by using the logic behind the shortest route problem. With this approach, the problem was solved by finding the shortest "task distance" from the source node to the sink node of the precedence matrix. Patterson and Albracht (1975) solved the problem by using an integer programming search technique. This solution was more computationally efficient than some of the earlier ones because some unnecessary variables were eliminated from the formulation. Pinto (1975) and Pinto et al. (1975) developed efficient approaches to the line-balancing problem by utilizing branch and bound techniques. A significant contribution of their research was that they provided a solution to the line-balancing problem by permitting paralleling of tasks to occur. As line balancing became a more popular research topic, several heuristics were contributed which provided solutions that were not necessarily optimal, but were usually adequate. These heuristic solutions were usually very computationally efficient. Helgeson and Birnie (1961) developed a heuristic known as the Ranked Positional Weight Technique (RPWT) which can provide near-optimal solutions. The heuristic works by placing tasks into cells according to which tasks have the most total task time succeeding the task of interest. Moodie and Young (1965) developed a heuristic which places tasks into cells according to which tasks have the longest task time. This heuristic, as well as the others, has the provision that a task cannot be placed into a cell unless all of its immediate predecessors have been assigned into cells. Arcus (1966) developed a heuristic known as COMSOAL, computer method of sequencing operations for assembly lines. COMSOAL works by first exploiting the fact that line-balancing problems are combinatorial ones. COMSOAL generates many different solutions to the same problem by using one of several different task selection rules which are Monte-Carlo simulation based. COMSOAL then selects the solution which has the lowest level of idle time. All of the line-balancing techniques previously described treat task durations as deterministic. These solution techniques provide a strong foundation for line-balancing research, but they do not address the reality that most task times are stochastic. Because of this, several stochastic line-balancing techniques have been developed, most of which use similar logic. As units are processed on an assembly line, units requiring more time than allowed (i.e., more than the cycle time) are either taken off-line and completed off-line at a later time, or the units-in-process have as many on-line tasks completed as possible, and the remaining required tasks are completed off-line at a later time. The processing that is done off-line results in an additional cost referred to as the incompletion cost. The usual objective of stochastic line-balancing techniques is to minimize the sum of regular processing cost and incompletion cost. Kottas and Lau (1981) developed a technique to minimize this total cost by developing an initial balance using a deterministic approach, and then “swapping” tasks from cell to cell until total cost is minimized. Carter and Silverman (1984) and Silverman and Carter (1986) also developed a cost minimizing approach similar to that of Kottas and Lau, but the Carter and Silverman approach ensures that the probability of completing all tasks on time is above a certain specified threshold level. Vrat and Virani (1976) presented a modification of the Kottas and Lau methodology to solve line-balancing problems with the complexities of stochastic task durations, task durations greater than cycle times, and mixed models. The Vrat and Virani methodology assigns tasks into cells in an effort to minimize the incompletion cost of in-process units. Driscoll and Abdel-Shafi (1985) presented an integrated line-balancing and simulation based evaluation technique to address the line-balancing problem having complications of stochastic task durations, mixed-model processing, task times greater than cycle time, and zoning requirements. The technique first performs a line balance using the RPWT, then performs simulations to assess the performance of the layout. This technique is intended to provide line-balancing solutions that are applicable to real-world situations. Other techniques have also been developed to exploit the combinatorial nature of the line-balancing problem. Peterson (1993) developed a tabu search procedure to solve the simple line-balancing problem. With this procedure, an initial solution is adjusted according to tabu restrictions in attempt to improve the solution to a near-optimal condition. Suresh and Sahu (1994) developed a simulated annealing heuristic solution to the stochastic line-balancing problem. This technique uses the objective function developed by Moodie and Young – minimization of “lumpiness” across all cells. Similar to the tabu-search procedure, the simulated annealing procedure also starts with an initial solution and attempts to reach some optimal condition. Both techniques are dedicated to avoiding being “trapped” at local optima. Leu et al. (1994) also developed a technique to exploit the combinatorial nature of the line-balancing problem by way of genetic algorithms. These genetic algorithm (GA) solutions work by attaining an initial solution and improving upon them by performing mutations on the prior solutions, until a desirable solution is found. Nkasu and Leung (1995) developed a COMSOAL-based solution to solve the stochastic line-balancing problem. This procedure works by first simulating some of the stochastic attributes of the line-balancing problem and then using a modified version of COMSOAL to generate several feasible problem solutions, and then the procedure selects the “best” of all of the possible solutions. This procedure is a sampling approach to solving the line-balancing problem. 3. Methodology 3.1. Modified incremental utilization heuristic The line-balancing technique presented in this research is a modification of Gaither’s (1996) incremental utilization heuristic. The original heuristic only addressed deterministic task durations, where the modified heuristic addresses stochastic task durations. The modified heuristic also uses seven alternative different task-selection rules for assignment of tasks into cells (work centers), whereas Gaither’s heuristic simply selects the task with the lowest task number of all unassigned tasks which are candidates for assignment. The modified heuristic uses composite task durations to address the mixed-model production requirement, where the original heuristic can only solve the single-model problem. The main attribute of the modified heuristic that exists in Gaither’s heuristic is the fact that tasks are placed into a work-center only if the utilization of the cell increases. Otherwise, the cell is closed and a new cell is opened and is ready for assignment of tasks. Both the Gaither heuristic and the modified heuristic permit paralleling of tasks – allowing multiple workers to exist within cells. The motivation for paralleling is to increase utilization in cells as much as possible. There are occasions when having multiple workers in cells will result in higher utilizations as compared to having a single worker in a cell. Paralleling also permits the existence of having cycle times which are shorter than the actual task times. When the actual task duration is in excess of the cycle time, paralleling reduces the average value of the task duration proportional to the number of workers in the cell. Before the methodology is introduced, the following general assumptions are made regarding the assembly line-balancing problem addressed here: - A task cannot be assigned to a cell until all of its immediate predecessors have been assigned to cells. - The number of parallel work stations is unrestricted. - All workers on the assembly line possess the same level of skill. - All tasks are independent of each other. - Changeover times between products are negligible. - Any needed equipment is readily available. - All workers and all units of necessary equipment cost the same. ### 3.2. Description of heuristic For convenience, a listing of all variables involved in the heuristic follows: \| Symbol \| Description \| \|--------\|-------------\| \| $C$ \| cycle time, \| \| $cv$ \| the specified coefficient of variation, \| \| $D_T$ \| the total demand for all products, \| \| $d_h$ \| the demand for product $h$, \| \| $hp$ \| desired hourly output, \| \| ILR \| integer labor requirement for cell $j$, \| \| LR$_c$ \| expected labor requirement (based upon expected task durations) for cell $j$, \| \| $m_e$ \| total cell processing minutes based upon \| \| Symbol \| Description \| \|--------\|-------------\| \| $p_j$ \| probability of completing all tasks on time within cell $j$, \| \| $p_s$ \| probability of completing all tasks on time in all cells, \| \| pm \| productive minutes per hour, \| \| $(t_i)_h$ \| the mean task duration of task $i$ for product $h$, \| \| $t_i$ \| the weighted mean (composite) task duration for task $i$, \| \| $U_j$ \| utilization of cell $j$, \| \| $U_s$ \| utilization of entire system, \| \| $W_a$ \| actual number of workers required, \| \| $W_m$ \| theoretical minimum number of workers required, \| \| $w_h$ \| the weight of product $h$, \| \| $Y$ \| upper bound of task completion time, \| \| $(\hat{\sigma}_i)_h$ \| the estimated standard deviation of task $i$ duration for product $h$, \| \| $\hat{\sigma}_i$ \| the composite estimated standard deviation of task $i$ duration, \| \| $s_j$ \| estimated standard deviation of labor requirement in cell $j$. \| As another matter of convenience, Fig. 3 shows a flowchart which graphically describes the modified heuristic. Details of the heuristic follow Fig. 3. #### 3.2.1. Step 1: Attain composite task durations The first step of this heuristic is to reduce the stochastic task durations of the mixed-model production demand into composite stochastic task durations. The variable $d_h$ is the demand for product $h$, and the total demand, $D_T$, for all of the $q$ different products demanded is given by $$D_T = \sum_{h=1}^{q} d_h.$$ (1) The weight of product $h$, $w_h$, is calculated as follows: $$w_h = \frac{d_h}{D_T}.$$ (2) With weights determined, proportions of product-mix for each product are known. This information is then used to compute weighted average, or composite, task durations for each individual task. The estimate of the standard deviation for composite task $i$, denoted by $\hat{\sigma}_i$, is calculated as follows: $$\hat{\sigma}_i = \sqrt{\left(\frac{1}{D_T - 1}\right) \left[ \sum_{h=1}^{q} d_h (t_i)_h - t_i \right] + \sum_{h=1}^{q} (d_h - 1)(\hat{\sigma}_i)_h^2}.$$ (5) When the total annual demand is large, however, the following simpler formula can be used to estimate the composite standard deviation (which was used for this research): $$\hat{\sigma}_i = \sqrt{\sum_{h=1}^{q} \left[ (\hat{\sigma}_i)_h^2 + ((t_i)_h - t_i)^2 \right]} w_h.$$ (6) At this point, the mixed model has been reduced to a single-product model with composite task time $t_i$ and composite standard deviation $\hat{\sigma}_i$. 3.2.2. Step 2: Compute cycle time and minimum crew Cycle time, $C$, is determined by dividing productive minutes per hour, pm, by desired hourly output, hp: $$C = \frac{pm}{hp}.$$ (7) Cycle time, $C$, is measured in minutes per unit. The theoretical minimum number of workers required, $W_m$, is determined as follows: $$W_m = \frac{1}{C} \sum_{i=1}^{n} t_i.$$ (8) At this point, the actual line balancing commences. 3.2.3. Step 3: Generate/update LIST A list of all tasks that are ready for immediate assignment into cells is constructed. The tasks placed on this list are tasks which have all of their immediate predecessors already assigned into cells. This listing of eligible tasks is referred to as LIST. The number of expected minutes of cell time, $m_e$, is initialized to zero when opening a new cell. The cell utilization, $U_j$, is also initialized to zero. 3.2.4. Step 4: Calculate cell statistics For each task in LIST, an updated version of $m_e$ is calculated, as if task $i$ were to be added to the current cell. The updating of $m_c$ is done by using the following formula: $$m_c = m_c + t_i.$$ \hspace{1cm} (9) The expected labor requirement, $LR_e$, is calculated as if task $i$ is added to the current cell. The following formula provides the basis for these calculations: $$LR_e = \frac{m_c}{C}.$$ \hspace{1cm} (10) The integer value for the expected labor requirement, ILR, is rounded upward if the calculation for $LR_e$ yields a non-integer value. The value of ILR represents the number of workers that could be placed into the cell, and must reflect “whole” workers. The integer labor requirement, ILR, represents this integer value of $LR_e$: $$ILR = \begin{cases} \text{int}(LR_e) + 1 & \text{if } LR_e \text{ is non-integer}, \\ LR_e & \text{if } LR_e \text{ is integer}. \end{cases}$$ \hspace{1cm} (11) \hspace{1cm} (12) The cell utilization, $U_j$, is obtained by dividing the expected labor requirement by the integer labor requirement, $$U_j = \frac{LR_e}{ILR}.$$ \hspace{1cm} (13) Cell utilization is a measure of how efficiently employees are used and will never exceed 100%. When tasks are added to the current cell, there is a probability that the labor required will exceed the labor available due to the stochastic nature of the task durations. When this happens, there will not be enough time to complete the tasks in the cell within the desired time frame. In this context, the cycle time, $C$, is the driving force behind this desired time frame. When an excessive amount of time is required to perform a certain task, inventory build-up will occur, and the desired level of production will not be met. To address this concern, the probability of completing all tasks within a cell on time is approximated – again tasks are assumed independent. This approximation is derived by first computing a combined standard deviation estimate of the total expected labor requirement within cell $j$: $$s_j = \frac{1}{C} \sqrt{\sum_{i=1, i \in j}^{n} \delta_i^2}.$$ \hspace{1cm} (14) In this equation, the composite standard deviation is calculated by taking the square root of the sum of the variances divided by the cycle time of all tasks in cell $j$. The rationale for dividing by $C$ is to convert time into workers, as done in Eq. (8). It is desired to approximate the probability that the expected labor requirement will exceed the labor available. Fig. 4 displays the probability distribution of actual labor requirement. The mean value of this distribution is the expected labor requirement, $LR_e$. Also shown is an example level of labor ![Fig. 4. Probability distribution of labor requirement with respect to labor available.](image-url) available, ILR, which would be determined by the heuristic. The probability of the actual labor requirement being less than the labor available implies the probability of completing all tasks in the cell on time (within cycle time). This probability is graphically represented by the area to the left of the vertical line at ILR in Fig. 4. To calculate this probability, the data must be normalized: \[ Y = \frac{ILR - LR_e}{s_j}. \] (15) The probability of completing all tasks in the cell on time will be represented by $ p_j $. The value of $ p_j $ is calculated by integrating the normalized probability distribution function as follows: \[ p_j = \frac{1}{\sqrt{2\pi}} \int_{-\infty}^{Y} e^{-Z^2/2} \, dZ. \] (16) Numerical integration with the trapezoid rule was used with 250 intervals to determine the value of $ p_j $. 3.2.5. Step 5: Determine task acceptance criteria A task will not be added to the current cell unless the cell utilization increases as a result of adding the task (along with any necessary workers) to the cell. Additionally, a task will not be added to the current cell unless the probability of all tasks within the cell on time ($ p_j $) is above a specified lower threshold level. 3.2.6. Step 6: Generate CLIST From LIST, all tasks need to be examined to determine if they meet the necessary criteria to be added to the current cell – utilization of the cell as the result of adding the task to the current cell must increase, and the $ p_j $ of adding the task to the current cell must be above the specified lower threshold level. All tasks from LIST that meet these criteria will be placed on CLIST. 3.2.7. Step 7: Is CLIST empty? If there are tasks on CLIST, proceed to Step 9 so that a task can be selected to be added to the current cell. Otherwise proceed to Step 8 to determine the proper action. 3.2.8. Step 8: Is current cell empty? If the current cell is empty, a task must be selected and added to the cell, so proceed to Step 9. If the current cell is not empty, the cell must be closed out, a new one opened, and LIST must be updated. When a cell is closed out, the utilization of the cell is the utilization as the result of the last task added. Similarly, the $ p_j $ of the cell closed out is the $ p_j $ as the result of the last task that was added. When a new cell is opened, all relevant statistics are reinitialized. After closing out the cell and opening a new one, proceed to Step 3. 3.2.9. Step 9: Select task At this point, a task needs to be selected to add to the current cell. One of seven alternative task selection rules will be used to choose the task. For each rule, the list of tasks eligible for selection will either be CLIST or LIST, depending upon the number of tasks appearing on CLIST. 126.96.36.199. Task selection rule 1 This task selection rule examines the resulting cell utilization, $ U_j $, for each of the tasks appearing on the list. Rule 1 selects the task that would result in the highest cell utilization, based on the expected task time. The reasoning behind this rule is so that the user can attempt to maximize labor utilization. 188.8.131.52. Task selection rule 2 The second task selection rule is an application of COMSOAL (Arcus, 1966). For this selection rule, a pseudo-random number is drawn, and is used to determine which task on the list to assign to the current cell. The probability of selection for each task appearing on the appropriate list is directly proportional to the task’s expected duration. This rule is a Monte-Carlo simulation-based selection procedure. 184.108.40.206. Task selection rule 3 This selection rule uses the logic introduced by Moodie and Young (1965). The task having the longest simulated task duration is selected from the list to enter the current cell. Since longer tasks are more difficult to fit into partially loaded cells, this rule attempts to fit these tasks into cells as early as possible. 220.127.116.11. Task selection rule 4. With this rule, the task having the shortest simulated task time is selected to enter the current cell. This rule is related to Task Selection Rule 3, but it attempts to place as many tasks into cells as early as possible. 18.104.22.168. Task selection rule 5. This rule is similar to Rule 1, but Rule 5 selects the task on the list which provides the lowest cell utilization. The reasoning for this rule is that if tasks are placed into cells based on lower utilization, more tasks can be placed into cells earlier. 22.214.171.124. Task selection rule 6. The task on the list that would result in the highest value of $p_j$ is selected to enter the current cell with this rule. Rule 6 is an attempt to increase the probability of tasks being completed within the cycle time (Carter and Silverman, 1984; Silverman and Carter, 1986) 126.96.36.199. Task selection rule 7. This rule selects the task on the list with the highest product of cell utilization ($U_j$) and the resulting value ($p_j$), hence, $\max(U_j \cdot p_j)$. The reasoning for this rule is to attempt to select a task which will provide a high cell utilization as well as supply a high probability of completing the tasks in the cell within the cycle time. This selection rule is an attempt to “have the best of both worlds” in terms of cell utilization and probability of on-time completion. 3.2.10. Step 10: Determine if all tasks have been assigned If all tasks have been assigned, proceed to Step 11 to calculate all statistics pertaining to the line balance. If all tasks have not been assigned, proceed to Step 3 and update LIST. 3.2.11. Step 11: Calculate line balance statistics At this point, the line balance is complete, and statistics on the performance of the line balance are calculated. The first measurement to calculate is the utilization of the overall line, $U_s$. This is the ratio of the minimum number of workers used, $W_m$, as determined in Eq. (8), to the actual number of workers used. The actual number of workers, $W_a$, is the sum of workers across all $m$ cells. Hence, $$W_a = \sum_{j=1}^{m} ILR_j.$$ (17) The overall system utilization is $$U_s = \frac{W_m}{W_a}.$$ (18) The probability of on-time completion for the overall system, $p_s$, is the product of all $p_j$'s (Carter and Silverman, 1984; Silverman and Carter, 1986). Recall that the $p_j$ of each cell is the $p_j$ as a result of placing the final task in each cell. The overall system probability of on-time completion is computed as follows: $$p_s = \prod_{j=1}^{m} p_j.$$ (19) 4. Design of experiment An experiment was designed to evaluate the performance of the methodology. Comparisons were based on output performance measures of: average WIP inventory level, average system flow time, units of throughput, average unit labor cost, percentage of units being completed within cycle time, average system utilization, and percent of desired cycle time attained. These output performance measures were obtained via computer simulation of a production line. Along with the seven presented rules, three additional, more informal rules were used to generate assembly line layouts. These ten rules provided ten assembly line layouts. There were also six different problems used for this experiment: 21, 25, 29, 40, 45, and 74 task problems. Each rule with each problem resulted in a total of 60 layouts. Each of these layouts was simulated with SLAMSYSTEM v.4.6 and FORTRAN v.5.1 user-written inserts so that output performance measures could be attained. Each simulated production run is replicated 25 times for a total of 1500 records in the database (6 problems $\times$ 10 rules $\times$ 25 simulation runs). Each simulation was run until steady-state conditions were attained, then statistical arrays were cleared. Table 1 Description of six different line-balancing problems \| Tasks \| Different products \| Product-mix weights \| \|-------\|--------------------\|---------------------\| \| 21 \| 1 \| $w_1 = 1$ \| \| 25 \| 1 \| $w_1 = 1$ \| \| 29 \| 2 \| $w_1 = 2, w_2 = 1$ \| \| 40 \| 3 \| $w_1 = 3, w_2 = 2, w_3 = 1$ \| \| 45 \| 2 \| $w_1 = 2, w_2 = 1$ \| \| 74 \| 4 \| $w_1 = 4, w_2 = 2, w_3 = 1, w_4 = 1$ \| and the run was continued until stopping criteria were met, at which point, values of output performance measures were collected. Table 1 provides information about the six different problems specific to their mixed-model nature. For each of the six problems, the cycle time was specified to be 10 min per unit. The durations for the tasks were created via a random number generator where, for each individual task, there was a 75% probability the task duration would be uniformly distributed between 2 and 10 min, and a 25% probability the task duration would be uniformly distributed between 10 and 15 min. The precedence diagram for the 21 task problem is from Tonge (19xx), the precedence diagram for the 29 task problem is from Buxey (1974), and the precedence diagram for the 45 task problem is from Thomopoulos, (1967). The 25, 40, and 74 task problems were arbitrarily generated for this research. 4.1. Informal rules As previously mentioned, there are three informal rules which were compared to the seven other rules. These three rules are less sophisticated than the others, but provide feasible solutions nonetheless. The first of these informal rules (referred to as Rule 8) is a lexicographic task selection rule – Gaither’s (1996) incremental utilization heuristic without modifications. This rule simply selects the first task which appears on the list of tasks which have met criteria for being assigned into a work center. It is appropriate to note that the incremental utilization policy for the work centers still applies – a task will not be added to a work center unless the utilization of the work center increases as a result of adding the task. The second informal rule (referred to as Rule 9) ignores the incremental utilization policy of the work centers and places all tasks into a single “mega” work center. This rule minimizes the number of workers, but simultaneously maximizes the amount of paralleling necessary. The third informal rule (referred to as Rule 10) places each task in its own unique work center. This rule minimizes the amount of paralleling necessary, but simultaneously maximizes the number of workers. 4.2. Research questions In order to evaluate whether the first seven rules provided desirable layouts, the following research questions were addressed: 1. Do the task selection rules have an overall multivariate effect on the output performance measures? 2. If so, which output performance measures are most affected by the task selection rules? Additionally, which task selection rules generally provide the best layouts? 3. Does the number of work centers affect the output performance measures? If so, do the task selection rules influence the number of work centers? 5. Results Before addressing the research questions, it should be noted that some of the output performance measures were highly correlated. Average WIP inventory level and average system flow time were correlated ($\rho = 0.9999$) as were average WIP level and average unit labor cost ($\rho = 0.9042$). As a result, average system flow time and average unit labor cost were omitted from the analysis and were explained by average WIP level. The first research question was addressed by performing a MANOVA. As suggested by this analysis, the task selection rules did have an overall multivariate effect on the output performance Table 2 Discriminant coefficients and univariate statistics for output measures \| Output measure \| Func. 1 \| Func. 2 \| Func. 3 \| Func. 4 \| Univariate $F$ \| $p <$ \| \|----------------\|-----------\|-----------\|-----------\|-----------\|----------------\|-------\| \| WIP \| -0.8840 \| 3.3646 \| 0.8966 \| 3.1436 \| 5.62 \| 0.0001\| \| Throughput \| 0.6072 \| -1.5933 \| -0.0170 \| -1.8302 \| 1.80 \| 0.0640\| \| PCCT$^a$ \| -0.4557 \| 1.1941 \| -0.7303 \| -0.7750 \| 172.03 \| 0.0001\| \| Utilization \| -6.9533 \| 0.7723 \| 0.3590 \| -0.6713 \| 178.74 \| 0.0001\| \| PCTA$^b$ \| 4.5004 \| 1.9889 \| 2.0270 \| 2.6080 \| 22.34 \| 0.0001\| $^a$ Percent of units completed within cycle time. $^b$ Percentage of desired cycle time attained. Table 3 Means and standard deviations of performance measures by rule \| Rule \| WIP \| Throughput \| PCCT$^a$ \| Utilization \| PCTA$^b$ \| \|------\|------------\|------------\|----------\|-------------\|----------\| \| 1 \| 104.6 (77.5) \| 310.4 (120.5) \| 0.732 (.032) \| 0.749 (.076) \| 0.835 (.077) \| \| 2 \| 90.4 (53.8) \| 325.4 (148.1) \| 0.665 (.044) \| 0.802 (.054) \| 0.858 (.061) \| \| 3 \| 116.1 (98.4) \| 297.6 (98.3) \| 0.756 (.036) \| 0.741 (.096) \| 0.814 (.104) \| \| 4 \| 84.5 (52.1) \| 330.4 (149.3) \| 0.708 (.076) \| 0.817 (.051) \| 0.872 (.055) \| \| 5 \| 95.9 (66.5) \| 319.5 (153.7) \| 0.740 (.063) \| 0.784 (.138) \| 0.840 (.143) \| \| 6 \| 76.6 (48.5) \| 338.2 (153.5) \| 0.746 (.049) \| 0.822 (.055) \| 0.892 (.054) \| \| 7 \| 73.0 (43.6) \| 342.0 (157.5) \| 0.761 (.053) \| 0.826 (.052) \| 0.900 (.046) \| \| 8 \| 86.3 (60.7) \| 328.3 (139.2) \| 0.747 (.045) \| 0.809 (.058) \| 0.873 (.062) \| \| 9 \| 86.2 (137.9) \| 320.4 (46.8) \| 0.797 (.114) \| 0.906 (.155) \| 0.921 (.176) \| \| 10 \| 68.7 (53.8) \| 347.0 (151.3) \| 0.909 (.034) \| 0.547 (.032) \| 0.920 (.067) \| $^a$ Percent of units completed within cycle time. $^b$ Percentage of desired cycle time attained. measures – Wilk’s $\lambda = 0.0168$, with an associated $F$-statistic of 220.6166 and a $p < 0.0001$. Since it appeared that the different task-selection rules did have an effect on the performance of the layouts, it was appropriate to determine which output measures were most affected by the rules. Discriminant analysis and univariate ANOVA were used to address the second research question. Four discriminant functions were found to be statistically significant at the $\alpha = 0.05$ level. Table 2 lists the discriminant function coefficients, and the Univariate $F$’s and their associated $p$-values for each of the output performance measures. Table 2 shows that the percent of units completed on time and system utilization are most affected by the task-selection rules. Average WIP level and percentage of desired cycle time attained are also affected by the task selection rules, whereas the system throughput is not. Table 3 shows the means and standard deviations (in parentheses) for the performance measures by task-selection rule. From inspection of Table 3, it is clear that some of the task-selection rules performed well with respect to the performance measures, while others did not. For instance, Rule 1 did not perform well – its performance measures were dominated by most of the other rules. Also, Rule 3 did not perform well. On the other hand, rules 5, 6, and 7 performed relatively well – their output performance measures provided generally favorable results. As far as the three “informal” rules are concerned, Rule 8 provided average performance relative to the other rules. Rules 9 and 10 provided generally strong performances. Table 4 Crew and equipment requirement by rule \| Rule \| Crew requirement \| Equipment requirement \| \|------\|------------------\|-----------------------\| \| 1 \| 32.83 (15.67) \| 79.17 (25.71) \| \| 2 \| 31.50 (14.83) \| 112.83 (63.89) \| \| 3 \| 32.33 (15.28) \| 102.33 (50.83) \| \| 3 \| 32.33 (15.28) \| 102.33 (50.83) \| \| 4 \| 31.33 (14.51) \| 132.33 (83.19) \| \| 5 \| 31.33 (14.40) \| 180.33 (106.7) \| \| 6 \| 31.50 (14.42) \| 176.83 (131.76) \| \| 7 \| 31.83 (14.74) \| 174.67 (139.14) \| \| 8 \| 31.67 (14.46) \| 122.00 (59.70) \| \| 9 \| 29.83 (13.60) \| 1402.67 (1326.18) \| \| 10 \| 49.17 (23.38) \| 49.17 (23.38) \| with the exception of system utilization for Rule 10. Rule 10 yielded a very low utilization because each task was in its own unique work center, which minimized the work required in the work centers, and thereby minimized overall system utilization. While Table 3 shows details of the output performance measures for each of the task-selection rules, Table 4 shows details of the inputs required for each of the task selection rules – specifically labor requirement and equipment requirement. While Table 3 shows Rules 9 and 10 to be relatively strong performers in terms of output performance measures, Table 4 shows them to be quite expensive in terms of resource requirements. While Rule 9 was quite attractive in terms of requiring the fewest workers, it required a very large amount of equipment due to the amount of paralleling necessary. Rule 10 is most attractive in terms of needing the least amount of equipment, but it requires the most workers because each task comprises a single work center, diminishing the utilization of the entire layout. It is interesting to note that the crew requirement from rule to rule does not vary a great deal when compared to the variation of equipment requirement from rule to rule. In other words, equipment requirement was more sensitive to task-selection rules ($F = 135.58$, $p < 0.0001$), where crew requirement was not as sensitive to task-selection rule ($F = 19.05$, $p < 0.0001$). From a resource usage perspective, Rule 1 appears to offer the best balance between crew and equipment requirements. The second research question seeks information about which task-selection rules generally provide the best layouts. While it is clear some rules perform well while others do not, consideration should also be given to the relationship between the number of work centers and the output performance measures. The ten task-selection rules did result in differing amounts of work centers ($F = 245.17$, $p < 0.0001$), but it is worthwhile to explore how the output measures were influenced by the number of work centers. To address this third research question, linear regression was used. The number of work centers was used as the lone independent variable, while the output measures were used as the response variables. Table 5 show the regression statistics for each of the output measures. While the linear regression models show a strong relationship between the number of work centers and the output measure (despite some low $R^2$s), it is important to note that more work centers seemed to increase average WIP level, throughput and on-time completion, while decreasing average system utilization and percentage of desired cycle time. Table 5 Regression statistics for output measures in response to number of work centers \| Output measure \| $\beta$ \| $t$-statistic \| $R^2$ \| $F$ \| $p <$ \| \|----------------\|---------\|---------------\|-------\|-----\|-------\| \| WIP \| 2.2746 \| 15.52 \| 0.1386\| 240.95\| 0.0001\| \| Throughput \| 4.3552 \| 16.66 \| 0.1563\| 277.57\| 0.0001\| \| PCCT$^a$ \| 0.0018 \| 10.80 \| 0.0722\| 116.65\| 0.0001\| \| Utilization \| -0.0074 \| -42.30 \| 0.5443\| 1789.19\| 0.0001\| \| PCTA$^b$ \| -0.0021 \| -10.69 \| 0.0709\| 114.31\| 0.0001\| $^a$ Percent of units completed within cycle time. $^b$ Percentage of desired cycle time attained. attained. In other words, more work centers were desirable for throughput and on-time completion, but were undesirable for the other three output measures. 6. Conclusions A heuristic was presented to perform assembly line balancing for mixed models exhibiting stochastic task durations when paralleling of tasks within work centers is permitted. Using this heuristic, seven task-selection rules were presented to provide the user with alternative strategies. Based on a simulation experiment with six different problems, the performance of the layouts from the seven task-selection rules was compared with that of three additional, simple task-selection rules. Generally, the experiment showed that task-selection rules 4, 5, 6, 7, 9, and 10 performed well in terms of output measures while Rules 1 and 3 did not. Though Rules 9 and 10 performed well, the “expense” associated with their implementation must be addressed – Rule 9 required a large amount of equipment and Rule 10 required substantially more workers than the other rules. Rules 2 and 8 seemed to provide “average” performance relative to the other rules in terms of the output measures. While this research does provide light on which task-selection rules seem to perform better, the primary goal was to provide a methodology that addresses the mixed-model problem with stochastic task durations and paralleling of tasks. The task-selection rules and the experimental design were intended to provide the user with options pertaining to the assembly line design decision. Each of the presented task-selection rules, or strategies, has two general attributes: output performance measures (outputs) and resource requirements of workers and equipment (inputs). Since both inputs and outputs are involved in the assembly line-balancing decision, data envelopment analysis (DEA) could be used to determine which task-selection rules are more efficient regarding the relationship between the inputs and outputs. This is an opportunity for future research. References Arcus, A.L., 1966. COMSOAL: a computer method of sequencing operations for assembly lines. Int. J. Prod. Res. 4(4), 259–277. Bowman, E.H., 1960. Assembly line balancing by linear programming. Oper. Res. 8(3), 386–389. Buxey, G.M., 1974. Assembly line balancing with multiple stations. Mgmt. Sci. 20(6), 1010–1021. Carter, J.C., Silverman, F.N., 1984. A cost-effective approach to stochastic line balancing with off-line repairs. J. Oper. Mgmt. 4(2), 145–157. Ding, F., Cheng, L., 1993. An effective mixed-model assembly line sequencing heuristic for just-in-time production systems. J. Oper. Mgmt. 11(1), 45–50. Driscoll, J., Abdel-Shafi, A.A.A., 1985. A simulation approach to evaluating assembly line balancing solutions. Int. J. Prod. Res. 23(5), 975–985. Gaither N., 1996. Production and Operations Management, 7th ed. Duxbury Press, Boston, MA. Ghosh, S., Gagnon, R.J., 1989. A comprehensive literature review and analysis of the design, balancing and scheduling of assembly systems. Int. J. Prod. Res. 27(4), 637–670. Helgeson, W.B., Birnie, D.P., 1961. Assembly line balancing using the ranked positional weight technique. J. Ind. Eng. 12(6), 394–398. Ignall, E.J., 1965. A review of assembly line balancing techniques. J. Ind. Eng. 16(4), 244–254. Kilbridge, M.D., Wester, L., 1962. A review of analytical systems of line balancing. Oper. Res. 10(5), 626–638. Klein, M., 1963. On assembly line balancing. Oper. Res. 11(2), 274–281. Kottas, J.F., Lau, H.S., 1981. A stochastic line balancing procedure. Int. J. Prod. Res. 19(2), 177–193. Leu, Y., Matheson, L.A., Rees, L.P., 1994. Assembly line balancing using genetic algorithms. Decision Sci. 25(4), 581–606. McMullen, P.R., 1995. A simulation approach to solving the type I assembly line balancing problem for mixed models with stochastic task durations. Doctoral Dissertation, University of Oregon. Moodie, C.L., Young, H.H., 1965. A heuristic method of assembly line balancing for assumptions of constant or variable work element times. J. Ind. Eng. 16(1), 23–29. Nkasu, M.M., Leung, K.H., 1995. A stochastic approach to assembly line balancing. Int. J. Prod. Res. 33(4), 975–991. Patterson, J.H., Albracht, J.J., 1975. Assembly line balancing zero-one programming with fibonacci search. Oper. Res. 23 166–172. Peterson, C., 1993. A tabu search procedure for the simple assembly line balancing problem. Proceedings of the Decision Sciences Institute Conference, Washington, DC. pp. 1502–1504. Pinto, P.A., 1975. Assembly line balancing with paralleling. Doctoral Dissertation, University of North Carolina at Chapel Hill. Pinto, P.A., Dannenbring, D.A., Khumawala, B.M., 1975. A branch and bound algorithm for assembly line balancing with paralleling. Int. J. Prod. Res. 13(2), 183–196. Salveson, M.E., 1955. The assembly line balancing problem. J. Ind. Eng. 6(3), 18–25. Silverman, F.N., Carter, J.C., 1986. A cost-based methodology for stochastic line balancing with intermittent line stoppages. Mgmt. Sci. 32(4), 455–463. Suresh, G., Sahu, S., 1994. Stochastic assembly line balancing using simulated annealing. Int. J. Prod. Res. 32(8), 1801–1810. Thomopoulos, N.T., 1967. Line balancing sequencing for mixed-model assembly. Mgmt. Sci. 14(2), 59–75. Tonge, F.M., 19xx. Assembly line balancing using probabilistic combinations of heuristics. Mgmt. Sci. 11(7), 727–735. Vrat, P., Virani, A., 1976. A cost model for optimal mix of balanced stochastic assembly line and the modular assembly system for a customer oriented production system. Int. J. Prod. Res. 14(4), 445–463.
UNIVERSITATEA DE MEDICINĂ ŞI FARMACIE ''IULIU HAŢIEGANU'' CLUJ-NAPOCA FACULTATEA DE MEDICINĂ IMPLICAŢIILE STRESULUI OXIDATIV ÎN HIPO-ŞI HIPERTIROIDISM -Rezumatul tezei de doctorat- Conducător ştiinţific, Prof.Dr.Ileana Duncea Doctorand, Mirela Sanda Petrulea CLUJ-NAPOCA 2013 CUPRINS 3.4. Rezultate autoimun 58 Cuvinte cheie: stres oxidativ, specii reactive ale oxigenului, hipertiroidism, hipotiroidism, vitamina E CONTRIBUŢIA PERSONALĂ Tot mai multe studii de specialitate subliniază ca hipertiroidismul este asociat cu o producţie crescută de specii reactive ale oxigenului în timp ce hipotiroidismul este asociat cu diminuarea producţiei de radicali liberi ai oxigenului. Recent, unele studii au arătat o creştere a stresului oxidativ în hipotiroidism. Efectele hipo- şi hipertiroidismului asupra capacităţii de apărăre antioxidantă au fost mult studiate dar rezultatele sunt mai curând contradictorii. Scopul cercetării de faţă a fost de a demonstra implicarea stresului oxidativ în hipo-şi hipertiroidism şi nuanţarea terapiei adresată acestor afecţiuni prin asocierea unei terapii antioxidante. Studiul experimental Studiul experimental are ca scop cercetarea implicaţiilor stresului oxidativ în hipo- şi hipertiroidism , având următoarele obiective: 1. Realizarea unui model experimental de hipertiroidism pe care să se poată studia modificările balanţei oxidanţi-antioxidanţi. 2. Studiul efectului administrării de vitamina E asupra parametrilor stresului oxidativ şi ai apărării antioxidante în hipertiroidismul experimental. 3. Realizarea unui model experimental de hipotiroidism pe care să se poată studia modificările balanţei oxidanţi-antioxidanţi. 4. Studiul efectului administrării de vitamina E asupra stresului oxidativ din ser, tiroidă şi ficat în hipotiroidismul experimental. Metodologie generală Studiul experimental s-a efectuat în Centrul de Cercetare al Catedrei de Fiziologie a Universităţii de Medicină şi Farmacie ''Iuliu Haţieganu', în anul 2008. În acest studiu s-au utilizat şobolani albi, de sex masculin, rasa Wistar cu greutatea medie de 220-240 gr. Animalele au provenit de la Biobaza Universităţii de Medicină şi Farmacie ''Iuliu Haţieganu'' din ClujNapoca. După ce au fost transferate în biobaza Catedrei de Fiziologie au fost menţinute la temperatura camerei de 23-24 0 C, cu un ciclu lumină-întuneric de 12 ore (folosind lumină albă artificială 200 lux). Au beneficiat de dietă normocalorică, standardizată şi apă ad libitum. Studiul experimental s-a desfăşurat pe 50 de animale, împărţite în 5 loturi egale, timp de 30 de zile. 1. Lotul I- martor 2. Lotul II - animale tratate cu L-Thyroxină 10 µg/animal/zi 3. Lotul III -animale tratate cu L-Thyroxină şi cu vitamina E 4. Lotul IV- animale tratate cu Propiltiouracil 5 mg/100 gr.g.c/zi 5. Lotul V - animale tratate cu Propiltiouracil şi cu vitamina E În ziua 30, după sedare şi inhalare de alcool etilic, s-a recoltat sânge din sinusul retroorbital pentru determinarea parametrilor de stres oxidativ. Ulterior animalele au fost sacrificate prin dislocare cervicală. În vederea efectuării analizelor biochimice, s-au prelevat următoarele organe: glanda tiroidă şi ficat. Determinarea parametrilor de stres oxidativ Din ser s-au determinat : malondialdehida totală (nmol/ml) şi proteinele carbonilate (nmol/mg proteină) ca şi indicatori ai stresului oxidativ ; grupările sulfhidril (µmol/ml), glutationul redus (nmol/ml) şi superoxid-dismutaza(U/g proteină) ca şi indicatori ai apărării antioxidante. Din omogenatul tiroidian şi hepatic s-au determinat : malondialdehida totală, proteinele carbonilate , grupările sulfhidril şi glutationul redus. Parametrii stresului oxidativ şi ai apărării antioxidante au fost dozaţi la Laboratorul de Explorare al Stresului Oxidativ al Catedrei de Fiziologie. Analiza statistică Rezultatele obţinute în urma studiului au fost organizate într-o bază de date şi prelucrate statistic, folosindu-se testele ANOVA, testul nonparametric Mann-Whitney/Wilcoxon , KruskalWallis, coeficientul de corelaţie Spearman. Prezentarea datelor a fost realizată sub forma tabelelor şi graficelor cu ajutorul programului Excel. Studiul 1. Balanţa oxidanţi-antioxidanţi în hipertiroidismul experimental Rezultate: În urma analizei statistice comparative efectuate pe baza rezultatelor obţinute din ser, sau observat valori semnificativ crescute(p<0.001) ale tiroxinei libere(FT4) la lotul cu hipertiroidism faţă de lotul martor. La animalele tratate cu L-Tiroxină, MDA nu a înregistrat modificări semnificative faţă de lotul martor. În schimb, concentraţia proteinelor carbonilate a crescut semnificativ (p=0.0001) faţă de lotul martor. Parametrii apărării antioxidante( grupările SH, SOD şi GSH redus) au scăzut semnificativ în plasma animalelor cu hipertiroidism în comparaţie cu lotul martor . În omogenatele tiroidiene ale animalelor tratate cu Tiroxină, valorile MDA au fost semnificativ scăzute iar valorile proteinelor carbonilate nu au înregistrat modificări semnificative în comparaţie cu cele din lotul martor. S-a observat o creştere semnificativă (p<0.001) a grupărilor sulfhidril şi o scădere semnificativă a GSH. Administrarea L-Tiroxinei a determinat scăderea semnificativă (p<0.001) a malondiladehidei şi a GSH (p<0.001) în ţesutul hepatic al şobolanilor cu hipertiroidism. Proteinele carbonilate şi grupările SH, în schimb nu s-au modificat. Studiul 2. Efectul administrării de vitamina E asupra stresului oxidativ indus de administrarea Tiroxinei Rezultate: În urma analizei statistice comparative efectuate pe baza rezultatelor obţinute din ser, s-a observat scăderea valorilor FT4, la lotul cu hipertiroidism protejat cu vitamina E faţă de lotul cu hipertiroidism indus. La animalele cu hipertiroidism suplimentate cu vitamina E, MDA şi PC au crescut semnificativ (p<0.05) faţă de lotul cu hipertiroidism. Administrarea vitaminei E a determinat scăderea semnificativă (p<0.001) a parametrilor apărării antioxidante la nivel seric. Administrarea vitaminei E a determinat creşterea semnificativă a peroxizilor lipidici în omogenatul hepatic al şobolanilor cu hipertiroidism. PC nu au înregistrat modificări semnificative. Grupările SH au crescut semnificativ la nivelul ţesutului hepatic al animalelor protejate cu vitamina E. Studiul 3. Balanţa oxidanţi-antioxidanţi în hipotiroidismul experimental: efectul suplimentării cu vitamina E Rezultate: La şobolanii cu hipotiroidism indus prin administrare de Propiltiouracil, valorile MDA nu au înregistrat modificări semnificative faţă de lotul martor, în plasmă, ţesutul tiroidian şi hepatic. Nivelele proteinelor carbonilate au crescut semnificativ (p<0.05) în plasma şi ţesutul tiroidian al animalelor cu hipotiroidism. Suplimentarea cu vitamina E a crescut semnificativ proteinele carbonilate (PC) în serul animalelor cu hipotiroidism şi a crescut MDA în ţesutul hepatic. Parametrii apărării antioxidante (grupările tiol, GSH, SOD) în serul animalelor cu hipotiroidism nu au diferit semnificativ faţă de lotul martor. S-a constatat că animalele din lotul cu hipotiroidism au prezentat o creştere semnificativă a grupărilor tiol şi o scădere semnificativă a glutationului redus în omogenatul tiroidian. În ţesutul hepatic GSH a scăzut semnificativ. Administrarea de vitamina E a determinat scăderea semnificativă a valorilor parametrilor statusului antioxidant( SH, SOD , GSH) în plasmă. Grupările tiol au scăzut semnificativ în ţesutul tiroidian al animalelor protejate cu vitamina E şi au crescut în ţesutul hepatic. Studiul clinic are ca scop cercetarea implicaţiilor stresului oxidativ în etiopatogenia hipertiroidismului şi a hipotiroidismului , având următoarele obiective: 1. Studierea balanţei oxidanţi-antioxidanţi la pacienţi cu Boala Basedow-Graves. 2. Studiul efectului terapiei cu antitiroidiene de sinteză asupra dinamicii parametrilor de SO la pacienţi cu boala Basedow. 3. Studiul efectului suplimentarii cu un preparat antioxidant la tratamentul bolii BasedowGraves , asupra markerilor de stres oxidativ şi a valorilor hormonilor tiroidieni. 4. Studierea statusului oxidant-antioxidant la pacienţi cu hipotiroidism autoimun. Studiul 4. Statusul oxidant/antioxidant în Boala Basedow-Graves Material şi metodă: Studiul s-a desfăşurat în perioada 2008-2012 în Clinica Endocrinologie, Cluj-Napoca pe un număr de 30 de pacienţi recent diagnosticaţi şi netrataţi cu boala Basedow-Graves. Diagnosticul a fost stabilit pe criterii clinice, biochimice şi pe baza explorărilor funcţionale (ecografie tiroidiană, scintigrafie tiroidiană). Pacienţii au fost evaluaţi atât la momentul diagnosticului, cât şi la 6 săptămâni după tratament. Grupul de control a fost format din 12 pacienţi cu profil hormonal tiroidian normal, fără alte afecţiuni asociate. Terapia cu antitiroidiene de sinteză- s-a efectuat cu Thyrozol cu doze progresiv descrescătoare; Terapia cu betablocante- s-a efectuat cu Metoprolol în doză de 2⨯50 mg/zi, timp de 6 săptamâni. Din ser s-au dozat: (1) parametrii stresului oxidativ : malondialdehida totală (nmol/ml) şi proteinele carbonilate (nmol/mg proteine);(2) parametrii apărării antioxidante :glutationul redus (nmol/ml) ; profilul hormonal tiroidian (TSH, FT4) Rezultate: Valorile MDA , markerul peroxidării lipidice la pacienţii cu boala Basedow la debut, au fost semnificativ crescute în comparaţie cu cele ale subiecţilor sănătoşi (p<0.0001). După administrarea de ATS, MDA a crescut nesemnificativ faţă de lotul cu pacienţi fără tratament(p=0.07). PC au crescut nesemnificativ la pacienţii netrataţi cu boala Basedow (p=0.36) şi de asemenea au crescut dar fără semnificaţie statistică după administrarea de ATS (p=0.38). Glutationul redus (GSH) a prezentat o creştere semnificativă la pacienţii cu boala Basedow, faţă de grupul de control (p<0.001). La pacienţii care au urmat tratament cu ATS şi betablocante, valorile GSH au crescut semnificativ. Pacienţii trataţi cu Thyrozol comparaţi cu pacienţii din lotul martor încă au prezentat valori semnificativ crescute ale FT4 (p<0.001), valori scăzute ale TSH-ului (p<0.001) şi valori semnificativ crescute ale parametrilor studiaţi (MDA ;p<0.0001 PC, GSH ;p<0.001). Studiul 5. Efectul administrării de vitamina E asupra stresului oxidativ în Boala Basedow-Graves Boala Basedow-Graves este o afecţiune autoimună şi cea mai frecventă cauză de hipertiroidism. Concentraţiile crescute de hormoni tiroidieni modifică metabolismul oxidativ celular, determinând formarea de specii reactive ale oxigenului. Suplimentarea cu antioxidanţi poate reduce stresul oxidativ în hipertiroidism şi a fost demonstrat că creşte rata de obţinere a stării de eutiroidie atunci când se administrează concomitent cu ATS în boala Graves nou diagnosticată. Material şi metodă: Studiul s-a desfăşurat în perioada 2009-2012 în Clinica Endocrinologie, Cluj-Napoca pe un număr de 43 de pacienţi recent diagnosticaţi şi netrataţi cu boala Basedow-Graves. S-au constituit trei loturi:un lot martor format din 12 femei cu profil hormonal tiroidian normal fără alte afecţiuni asociate, un lot format din 23 de pacienţi cu boala Basedow, nou-diagnosticaţi care au primit tratament cu ATS timp de 6 săptămâni şi un lot format din 20 de pacienţi cu boala Basedow, nou-diagnosticaţi care au primit tratament cu ATS + vitamina E. Din ser s-au dozat: (1) parametrii stresului oxidativ : malondialdehida totală (nmol/ml) şi proteinele carbonilate (nmol/mg proteine);(2) parametrii apărării antioxidante :glutationul redus (nmol/ml) ; profilul hormonal tiroidian (TSH, FT4). Rezultate: Pe baza rezultatelor obţinute se poate concluziona că pacienţii care au primit vitamina E, au prezentat o scădere semnificativă diferită a valorilor FT4 şi o creştere diferită a activităţii TSH în ser, deci au ajuns la starea de eutiroidism mai rapid comparaţi cu pacienţii care au efectuat tratament doar cu ATS. Diferenţa semnificativă statistic între loturile de pacienţi cu boala Basedow trataţi cu ATS şi cu vitamina E şi loturile de pacienţi care au efectuat tratament doar cu ATS, privind scăderea concentraţiei tiroxinei libere(FT4) indică efectul favorabil al terapiei suplimentare cu vitamina E. Valorile MDA serice la pacienţii care au urmat tratament cu ATS, betablocante şi vitamina E , au scăzut semnificativ(p=0.03) faţă de valorile MDA de la pacienţii care au efectuat doar tratamentul de bază (ATS şi betablocante). În schimb PC au scăzut dar fără semnificaţie statistică (p=0.80). Glutationul seric (GSH) a scăzut semnificativ la pacienţii trataţi şi cu vitamina E faţă de pacienţii trataţi doar cu ATS ( p<0.01). Studiul 6. Statusul oxidant-antioxidant la pacienţi cu hipotiroidism autoimun. Material şi metodă: Studiul s-a desfăşurat în perioada 2010-2012 în Clinica Endocrinologie, Cluj-Napoca pe un număr de 20 de pacienţi recent diagnosticaţi şi netrataţi cu hipotiroidism primar de cauză autoimună (Tiroidită Hashimoto). Diagnosticul s-a bazat pe prezenţa de valori crescute ale TSH asociate cu valori scăzute ale FT4 şi valori crescute ale anticorpilor anti-tiroidperoxidază (Ac anti TPO) . Pacienţii au fost împărţiţi în două loturi: un lot martor constituit din 12 femei cu profil hormonal tiroidian normal fără alte afecţiuni asociate şi un lot format din 20 de pacienţi cu hipotiroidism autoimun , nou-diagnosticaţi. Din ser s-au dozat: (1) parametrii stresului oxidativ : malondialdehida totală (nmol/ml) şi proteinele carbonilate (nmol/mg proteine);(2) parametrii apărării antioxidante :glutationul redus (nmol/ml) ; profilul hormonal tiroidian (TSH, FT4),şi Ac anti TPO. Rezultate: Titrul crescut al Ac anti-TPO a confirmat diagnosticul de tiroidită autoimună cronică, iar profilul hormonal tiroidian (TSH crescut, FT4 scăzut) hipotiroidismul asociat. Valorile MDA şi PC au crescut semnificativ la pacienţii cu hipotiroidism autoimun, la debut în comparaţie cu cele ale subiecţilor eutiroidieni. Rezultatele cercetării noastre au decelat o creştere semnificativă a glutationului redus seric (p<0.001), a colesterolului total seric (p<0.0001) şi o tendinţă de creştere a trigliceridelor serice, nesemnificativă statistic (p=0.06) la pacientele cu tiroidită Hashimoto cu hipotiroidism, faţă de subiecţii sănătoşi. Concluzii generale 1.Administrarea de Tiroxină produce o peroxidare puternică a proteinelor şi a lipidelor în ser. În omogenatul tiroidian şi hepatic, valorile MDA au fost semnificativ scăzute, sugerând reducerea stresului oxidativ. 2.Parametrii apărării antioxidante (grupările SH, GSH, SOD) înregistrează o scădere semnificativă în plasma animalelor cu hipertiroidism indus iar grupările SH scad semnificativ în ţesutul tiroidian şi rămân nemodificate în ţesutul hepatic. Glutationul redus prezintă o scădere semnificativă în ţesutul tiroidian şi hepatic al şobolanilor cu hipertiroidism experimental. 3.Administrarea de vitamina E animalelor cu hipertiroidism experimental a determinat scăderea semnificativă a valorilor FT4 paralel cu stimularea activităţii grupărilor SH la nivel tiroidian, însă a condus la scăderea celorlalţi antioxidanţi la nivel seric(SH,GSH,SOD) şi hepatic (SH). 4.Administrarea de Propiltiouracil a determinat creşterea proteinelor carbonilate în plasma şi ţesutul tiroidian al animalelor cu hipotiroidism experimental. 5.Administrarea de vitamina E a determinat scăderea semnificativă a valorilor parametrilor statusului antioxidant (SH, SOD, GSH) în plasma şi omogenatul tiroidian (SH) al şobolanilor cu hipotiroidism. 6.Creşterea semnificativă a MDA , markerul peroxidării lipidice, tendinţa de creştere a PC şi creşterea semnificativă a GSH confirmă prezenţa stresului oxidativ la pacienţii cu hipertiroidism datorat bolii Basedow-Graves. 7.Tratamentul cu Thyrozol de scurtă durată, nu influenţează semnificativ parametrii sistemului oxidant/antioxidant la pacienţii cu boala Basedow . 8.Asocierea unui preparat antioxidant ( vitamina E ) la terapia clasică (ATS+betablocante) a pacienţilor cu boala Basedow determină scăderea semnificativă a concentraţiei serice de tiroxină liberă şi a indicatorilor prooxidanţi (MDA). 9.Rezultatele acestui studiu indică în mod clar faptul că suplimentarea de antioxidanţi în tratamentul bolii Basedow-Graves este justificată şi reprezintă o abordare terapeutică inovatoare, ca un tratament combinat cu antitiroidiene de sinteză. 10.Am demonstrat prezenţa stresului oxidativ la pacienţii cu tiroidită Hashimoto cu hipotiroidism, prin creşterea semnificativă atât a MDA cât şi a PC . La aceşti pacienţi glutationul redus seric a crescut semnificativ . 11.Am arătat că valorile crescute ale colesterolului total seric se asociază cu amplificarea stresului oxidativ. Originalitatea şi contribuţiile inovative ale tezei S-a realizat un model experimental de hipertiroidism, prin administrare de Tiroxină, paralel cu un model experimental de hipotiroidism, prin administrare de Propiltiouracil. Aceste modele au permis studierea parametrilor stresului oxidativ precum şi efectele administrării unui antioxidant liposolubil în ser şi omogenate de organ (glanda tiroidă şi ficat). Implicarea stresului oxidativ în hipertiroidismul datorat bolii Basedow-Graves este cunoscută de mai multi ani în literatura de specialitate. Studiul nostru a demonstrat că administrarea unui antitiroidian de sinteză (Thyrozol) pe o perioadă scurtă de timp nu influenţează semnificativ parametrii sistemului oxidant/antioxidant, dar asocierea vitaminei E, terapiei cu ATS şi betablocante a determinat scăderea semnificativă a peroxidării lipidice şi a tiroxinei libere(FT4). Rezultatele studiului nostru confirmă utilitatea suplimentării de antioxidanţi la tratamentul bolii Basedow întrucât s-au evidenţiat efecte pozitive asupra dinamicii parametrilor stresului oxidativ şi a nivelului seric al FT4. Studiul clinic a decelat că la pacienţii cu hipotiroidism de cauză autoimună creşterea semnificativă a colesterolului seric se asociază cu accentuarea statusului oxidativ, evidenţiat prin creşterea semnificativă a peroxidării lipidice şi proteice. Considerăm ca o contribuţie inovativă a tezei punerea în evidenţă a efectului favorabil al administrării de antioxidanţi la pacienţii cu hipertiroidism asupra unor parametrii prooxidanţi dar şi asupra dinamicii nivelului seric al FT4. ''IULIU HAŢIEGANU'' UNIVERSITY OF MEDICINE AND PHARMACY CLUJ-NAPOCA FACULTY OF MEDICINE IMPLICATIONS OF OXIDATIVE STRESS IN HYPO- AND HYPERTHYROIDISM -Abstract of the doctoral thesis- Scientific coordinator, Prof. Dr. Ileana Duncea PhD student, Mirela Sanda Petrulea 2013 CONTENTS 15 3.5. Discussion 60 Key words: oxidative stress, reactive oxygen species, hyperthyroidism, hypothyroidism, vitamin E PERSONAL CONTRIBUTION More and more speciality studies suggest that hyperthyroidism is associated with increase in reactive oxygen species production , while hypothyroidism is associated with a decrease in oxygen free radical production. Recent studies have shown increased oxidative stress in hypothyroidism. Effects of hypo-and hyperthyroidism on antioxidant defense capacity have been mich studied, but results are rather contradictory. The aim of the present research was to demonstrate the involvement of oxidative stress in hypoand hyperthyroidism and to refine the therapy intended for these disorders by associating an antioxidant treatment. Experimental study The experimental study aims to research oxidative stress implications in hypo-and hyperthyroidism, with the following objectives: 1. To make an experimental model of hyperthyroidism, which allows to study the oxidantsantioxidants balance. 2. To study the effect of vitamin E on oxidative stress and antioxidant defense parameters in experimental hyperthyroidism. 3. To make an experimental model of hypothyroidism, which allows to study the oxidantsantioxidants balance. 4. To study the effect of vitamin E on oxidative stress from serum, thyroid and liver in experimental hyperthyroidism. General methodology The experimental study was conducted in the research center of the Department of Physiology, University of Medicine and Pharmacy''Iuliu Haţieganu''in 2008. In this study we used white, male, Wistar rats weighing between 220-240 gr. The animals came from Biobaza University of Medicine and Pharmacy''Iuliu Haţieganu'', Cluj-Napoca and kept at a room temperature of 23-24 0 C, light-dark cycle of 12 hours(using artificial white light 200 lux) in the biobaza of the Department of Physiology. The animals received normocaloric diet, standardized and water ad libitum. The experimental study was conducted on 50 animals divided into five equal groups for 30 days: 1. Group 1-controls 2. Group 2-animals treated with L-Thyroxine 10μg/animal/day 3. Group 3-animals treated with L-Thyroxine and vitamin E 4. Group 4-animals treated with Propylthiouracil 5mg/100g animal /day 5. Group 5-animals treated with Propylthiouracil and vitamin E After 30 days, blood was collected from the retroorbital sinus and the rats were sacrificed by cervical dislocation following ether anaesthesia. The thyroids and livers were immediately dissected out and used for analytical procedures. Measurement of oxidative stress parameters The following serum parameters were measured: total malondialdehyde and carbonyl proteins as indicators of oxidative stress;sulhydryl groups, reduced glutathione and superoxid dismutase as indicators of antioxidant defense. From thyroid and hepatic homogenate were dosed: total malondialdehyde, carbonyl proteins, sulhydryl groups and reduced glutathione. The oxidative stress and antioxidant defense parameters were dosed at the Laboratory for the Exploration of the oxidative stress , Department of Physiology. Statistical analysis The results of the study were organized into a database and processed statistically using ANOVA test, nonparametric Kruskal‐Wallis test, Mann-Whitney/Wilcoxon, Speraman correlation coefficient. Presentation of data was performed as tables, graphs and charts using Excel. Study 1. The oxidant/antioxidant balance in experimental hyperthyroidism Results: Following the comparative statistical analysis performed based on the results obtained in the serum, significantly increased free thyroxine values (p<0.001) were found in the group with hyperthyroidism compared to the control group. In animals treated with L-thyroxine, there were no significant changes in MDA compared to the control group. In contrast, the concentration of protein carbonyls significantly increased (p=0.0001) compared to the control group. Antioxidant defense parameters, SH groups, SOD and reduced GSH, significantly decreased in the plasma of animals with hyperthyroidism compared to the control group. In the thyroid homogenates of animals treated with thyroxine, MDA values were significantly lower and protein carbonyl values were not significantly changed compared to the control group. A significant increase in sulfhydryl groups(p<0.001) and a significant decrease in GSH were seen. The administration of L-thyroxine induced a significant decrease in malondialdehyde (p<0.001) and GSH (p<0.001) in the liver tissue of rats with hyperthyroidism. Protein carbonyls and SH groups were unchanged. Study 2. Effect of vitamin E administration on oxidative stress induced by thyroxine administration Results: Following the comparative statistical analysis performed based on the results obtained in the serum, a decrease in FT4 values was found in the group with hyperthyroidism protected with vitamin E compared to the group with induced hyperthyroidism. In animals with hyperthyroidism supplemented with vitamin E, MDA and PC significantly increased(p<0.05) compared to the group with hyperthyroidism. Vitamin E administration determined a significant decrease(p<0.001) of antioxidant defense parameters in the serum. Vitamin E administration determined a significant increase in lipid peroxides in the liver homogenate of rats with hyperthyroidism. There were no significant changes in PC. SH groups significantly increased in the liver tissue of rats protected with vitamin E. Study 3. The oxidant/antioxidant balance in experimental hypothyroidism: effect of vitamin E supplementation Results: In rats with hypothyroidism induced by propylthiouracil administration, MDA levels in the plasma, thyroid and liver tissue were not significantly changed compared to the control group. Protein carbonyl levels significantly increased(p<0.05) in the plasma and thyroid tissue of animals with hypothyroidism. Vitamin E supplementation determined a significant increase in protein carbonyls (PC) in the serum of animals with hypothyroidism and an increase in MDA in liver tissue. Antioxidant defense parameters in the serum of animals with hypothyroidism were not significantly different compared to the control group. It was found that animals in the group with hypothyroidism had a significant increase in thiol groups and a significant decrease of reduced glutathione in the thyroid homogenate. GSH significantly decreased in liver tissue. Clinical research study aims to oxidative stress implications in hyperthyroidism and hypothyroidism etiopathogenesis with the following objectives: 1.The study of oxidants‐antioxidants balance in Basedow-Graves disease patients. 2.To study the effect of synthesis antithyroid drugs on oxidative stress parameters in Basedow-Graves disease patients. 3. To study the effect of an antioxidant preparation supplementation in the treatment of Basedow-Graves disease on oxidative stress markers and thyroid hormone values. 4. The study of oxidants‐antioxidants status in autoimmune hypothyroid patients. Study 4. Oxidant/antioxidant status in Basedow-Graves disease Material and method: The study was carried out in the period 2008-2012, at the Clinic of Endocrinology ClujNapoca, in a group of 30 recently diagnosed, untreated patients with Basedow-Graves disease. Diagnosis was made based on clinical, biochemical criteria and on functional explorations(thyroid ultrasound, thyroid scintigraphy). The patients were evaluated at the time of diagnosis and 6 weeks after treatment. The control group consisted of 12 patients with normal thyroid hormone status, without other associated disorders. Therapy with synthesis antithyroid drugs (SAT) was administered using Thyrozol in progressively decreasing doses; therapy with beta-blockers used Metoprolol in doses of 2x50 mg/day, for 6 weeks. The following serum parameters were measured: (1) oxidative stress parameters: total malondialdehyde (nmol/ml) and protein carbonyls (nmol/mg protein); (2) antioxidant defense parameters: reduced glutathione (nmol/ml); thyroid hormonal status(TSH, FT4). Results: The values of MDA, the marker of lipid peroxidation, in patients with Basedow disease at onset were significantly increased compared to those of healthy subjects(p<0.0001). After SAT administration, MDA values increased insignificantly compared to the group of untreated patients(p=0.07). PC levels increased insignificantly in untreated patients with Basedow disease(p=0.36) and they also increased without statistical significance after the administration of SAT(p=0.38). Reduced glutathione (GSH) significantly increased in patients with Basedow disease compared to the control group (p<0.001). In patients treated with SAT and beta-blockers, GSH values increased significantly. Patients treated with Thyrozol compared to control patients had significantly increased FT4 values, decreased TSH values, and significantly increased values of the studied parameters (MDA; p<0.0001 PC, GSH; p<0.001). Study 5. Effect of vitamin E administration on oxidative stress in BasedowGraves disease Basedow-Graves disease is an autoimmune disorder and the most frequent cause of hyperthyroidism. Increased thyroid hormone concentrations change cellular oxidative metabolism, determining the formation of reactive oxygen species. Antioxidant supplementation can reduce oxidative stress in hyperthyroidism and the rate of euthyroidism obtained when antioxidants are administered concomitantly with SAT in newly diagnosed Graves disease has been demonstrated to increase. Material and method: The study was carried out in the period 2009-2012, at the Clinic of Endocrinology ClujNapoca, in a group of 43 recently diagnosed, untreated patients with Basedow-Graves disease. Three groups were formed: a control group including 12 women with normal thyroid hormone status without other associated diseases, a group of 23 patients with newly diagnosed Basedow disease who received SAT treatment for 6 weeks, and a group of 20 patients with newly diagnosed Basedow disease who received SAT treatment + vitamin E. The following serum parameters were measured: (1) oxidative stress parameters: total malondialdehyde (nmol/ml) and protein carbonyls (nmol/mg protein); (2) antioxidant defense parameters: reduced glutathione (nmol/ml); thyroid hormonal status(TSH, FT4). Results: Based on the results obtained, it can be concluded that patients who were administered vitamin E showed a significant different decrease in FT4 values and a different increase in serum TSH activity, so they reached euthyroidism more rapidly than patients who were administered only SAT treatment. The statistically significant difference between the groups of patients with Basedow disease treated with SAT and vitamin E and the groups of patients treated with SAT alone, regarding the decrease of free thyroxine (FT4) concentration, indicates the favorable effect of vitamin E supplementation. Serum MDA values in patients treated with SAT, beta-blockers and vitamin E significantly decreased(p=0.03) compared to MDA values in patients treated with SAT alone. In contrast, PC values decreased, but without statistical significance(p=0.80). Serum glutathione (GSH) significantly decreased in patients supplemented with vitamin E compared to patients treated only with SAT( p<0.01). Study 6. Oxidant/antioxidant status in patients with autoimmune hypothyroidism Material and method: The study was conducted in the period 2010-2012, at the Clinic of Endocrinology ClujNapoca, in a group of 20 recently diagnosed, untreated patients with primary hypothyroidism of autoimmune etiology. Diagnosis was based on the presence of increased TSH values associated with low FT4 values and increased anti-thyroid peroxidase antibody values. The patients were assigned to two groups: a control group consisting of 12 women with normal thyroid hormone status without other associated disorders, and a group of 20 patients with newly diagnosed autoimmune hypothyroidism. The following serum parameters were measured: (1) oxidative stress parameters: total malondialdehyde (nmol/ml) and protein carbonyls (nmol/mg protein); (2) antioxidant defense parameters: reduced glutathione (nmol/ml); TSH, FT4, Ac anti TPO. Results: The high anti-TPO antibody titer confirmed the diagnosis of chronic autoimmune thyroiditis, and the thyroid hormone status (high TSH, low FT4) confirmed associated hypothyroidism. MDA and PC values significantly increased in patients with autoimmune hypothyroidism at onset compared to those of euthyroid subjects. The results of our research revealed a significant increase of serum reduced glutathione(p<0.001), and total serum cholesterol(p<0.0001), and an increasing tendency of serum triglycerides, which was statistically insignificant (p=0.06), in patients with Hashimoto thyroiditis and hypothyroidism compared to healthy subjects. General conclusions 1. Thyroxine administration induces a strong peroxidation of serum proteins and lipids. In thyroid and liver homogenates, MDA values were significantly decreased, suggesting the reduction of oxidative stress. 2. Antioxidant defense parameters (SH groups, GSH, SOD) were significantly decreased in the plasma of animals with induced hyperthyroidism, and SH groups were significantly decreased in thyroid tissue and unchanged in liver tissue. Reduced glutathione was significantly decreased in the thyroid and liver tissue of rats with experimental hyperthyroidism. 3. Vitamin E administration to animals with experimental hyperthyroidism determined a significant decrease in FT4 values, paralleled by a stimulation of SH activity at thyroid level, but led to a decrease of the other antioxidants in the serum (SH, GSH, SOD) and the liver (SH). 4. Propylthiouracil administration induced an increase in protein carbonyls in the plasma and thyroid tissue of animals with experimental hypothyroidism. 5. Vitamin E administration caused a significant decrease in the values of antioxidant status parameters (SH, SOD, GSH) in the plasma and thyroid homogenate (SH) of rats with hypothyroidism. 6. The significant increase in MDA, the marker of lipid peroxidation, the increasing tendency of PC and the significant increase of GSH confirm the presence of oxidative stress in patients with hyperthyroidism due to Basedow-Graves disease. 7. Short-term thyrozol treatment does not significantly influence the oxidant/antioxidant system parameters in patients with Basedow disease. 8. The association of an antioxidant preparation (vitamin E) to the classic therapy (SAT + beta-blockers) of patients with Basedow disease determines a significant decrease in the serum concentration of free thyroxine and prooxidant indicators (MDA). 9. The results of this study clearly indicate the fact that antioxidant supplementation in the treatment of Basedow-Graves disease is justified and represents an innovative therapeutic approach, as a treatment combined with synthesis antithyroid drugs. 10. We demonstrated the presence of oxidative stress in patients with Hashimoto thyroiditis and hypothyroidism through the significant increase in both MDA and PC. In these patients, serum reduced glutathione was significantly increased. 11. We showed that increased serum total cholesterol values were associated with the amplification of oxidative stress. Originality and innovative contributions of the thesis An experimental model of hyperthyroidism through thyroxine administration and an experimental model of hypothyroidism through propylthiouracil administration were carried out. These models allowed to study oxidative stress parameters as well as the effects of the administration of a liposoluble antioxidant in the serum and organ homogenates (thyroid gland and liver). The implication of oxidative stress in hyperthyroidism due to Basedow-Graves disease has been known in the literature for years. Our study demonstrated that the administration of a synthesis antithyroid drug (Thyrozol) over a short time period did not significantly influence the oxidant/antioxidant system parameters, but the association of vitamin E, SAT and beta-blockers determined a significant decrease of lipid peroxidation and free thyroxine (FT4). The results of our study confirm the utility of antioxidant supplementation in the treatment of Basedow disease, evidencing positive effects on the dynamics of oxidative stress parameters and serum FT4 levels. The clinical study showed that in patients with hypothyroidism of autoimmune etiology, the significant increase in serum cholesterol was associated with the amplification of oxidative status, evidenced by the significant increase of lipid and protein peroxidation. We consider the evidencing of the favorable effect of antioxidant administration in patients with hyperthyroidism on some prooxidant parameters as well as on the dynamics of serum FT4 levels as an innovative contribution of the thesis.
Why does attention to web articles fall with time? M.V. Simkin and V.P. Roychowdhury Department of Electrical Engineering, University of California, Los Angeles, CA 90095-1594 We analyze access statistics for a few dozen blog entries for a period of several years. Access rate falls as an inverse power of time passed since publication. The power law holds for periods up to thousand days. The exponents are different for different blogs and are distributed between 1 and 3. Decay of attention to aging web articles has been reported before and two explanations were proposed. One explanation introduced some decaying with time novelty factor. Another used some intricate theory of human dynamics. We argue that the decay of attention to a web article is simply caused by the link to it first dropping down the list of links on the website's front page, disappearing from the front page and subsequent movement further into background. Keywords: blogs, internet, statistics, web sites Dezsö et al [1] had studied the dynamics of webpage access. Their data source was the access log of one news website. They found that web documents are mostly accessed during first days after their creation, with the number of accesses decreasing with time as a power law ( ) β t t n 1 ~ . They proposed some human dynamics model, which we will discuss later, to explain their result. Wu and Huberman [7] had studied the time series of the number of "diggs" (bookmarks) on digg.com website. They found that the number of new "diggs" decreases as the time passed since the story appeared on the website increases. They introduced "novelty factor" to explain their results. This factor decays as a stretched exponential of the time passed since the story appeared on digg.com. Some webpages show no decay of popularity Let us now have a look at some of our data. Figure 1 shows access statistics for three fixed content webpages from the website reverent.org (there are more examples in Ref. [2]) which are apparently not affected by any decaying novelty factor. The absolute maximum of daily downloads happens two years after webpage publication (Fig.1 (a) and (b) ) and five years after publication (Fig.1 {c) ). The mentioned webpages are only two clicks away from site's front page. This assures them decent placing in internet search. For example, during the year 2010, 737 internet searches for "Donald Judd" had led to the webpage in Fig. 1(a) and 590 searches for "famous artist" had led to the webpage in Fig. 1 (c). This means that the webpages have some small but constant traffic, directed by search engines. Sometimes visitors mention the webpage that they found in a blog, forum or social networking website. Sometimes a visitor to that blog reposts links in his blog. Sometimes this results in avalanches of blog entries. They lead to spikes of downloads, which are seen in Fig. 1. We had modeled these avalanches using theory of Branching Processes in Ref. [2]. Therefore, we are not going to repeat the analysis in the present article. One reason why we put Fig. 1 in the article is that it helps to question the "novelty factor." Another reason is that it explains how we managed to get access statistics for web articles from many other websites. 12000 Referral log allows studying access statistics for many websites When blogs link to the website for which we have the access logs, we can estimate their access statistics from the number of referrals. Obviously, the number of referrals is proportional to the number of visitors to the referring webpage. Figure 2 shows such statistics. We use not calendar days to plot the data, but 24-hr days since first referral. Thus if the first referral occurred at time t on day d, the first 24-hr day includes referrals up to time t on the day d+1 and so on. One can see a power law decay of the number of referrals as function of time since link publication. An explanation of the power-law decay of attention The probability that visitors to the webpage follow certain link, posted on this webpage, depends on the position of the link. They follow the current top link with highest probability. The second link they follow with smaller probability than the first and the tens with even smaller probability. One would not expect that position change from first to second would have the same effect as the change from tens to elevens. It would be more natural to assume that proportional decrease in position results in proportional decrease in access probability. So that falling from first to second place reduces access probability by the same factor as falling from the tens place to the twenties. Mathematically this is expressed as ( ) ( ) r r r n r n ∆ − = ∆ β . Here ( ) r n is the access rate and r is the position rank (so that the top link has rank 1, the second – 2 and so on) and β – some proportionality coefficient. This results in a power law decay of access probability with link's position: ( ) β r r n 1 ~ . We cannot determine the value of the exponent β by this reasoning. To do this we need to know by how much the probability to follow a link decreases when its position falls from first to second. For example, if it decreases twice, then the exponent will be exactly 1. How this relates to time-dependence of access probability? The simplest case is the "Reality Carnival" site (see Fig. 2(a)). This is a webpage containing links to other webpages, which the owner, Dr. Pickover, found interesting. There is no separate blog entry for each link – just the link and a few word description. Dr. Pickover adds one link a day. The new link goes on the top of the list and all already present links fall in their position by 1. A year worth of links is on the page at a time. Thus, the number of days passed since link addition exactly corresponds to link's position in the list. Therefore, t r = , where t is time passed since link publishing, measure in days. We thus get ( ) β t t n 1 ~ . The probability of following a link depends not only on its position in the list, but also on how attractive is its description. The attractiveness factor is constant and does not vary from day to day. Naturally, it influences only a prefactor and not the power law exponent. At different times, Reality Carnival linked to two webpages from reverent.org. One can see from Figure 2(a) that the prefactors differ 1.5 times, but exponents are the same within 2%. Similar pattern holds for three other blogs shown in Fig. 2. Other blogs are different from the one described: they may add several new items a day, or may add only one item in several days. Great majority of them move earlier entries to next pages. In such case, we can plot the number of referrals as a function of page number. Figures 3 and 4 show such data. The number of referrals falls as a power of the page number. This gives more credence to our claim that the probability of following a link is determined by its position in the website. Discussion of earlier theories Dezsö et al [1] had analyzed a month of access log of a Hungarian news website. They reported that the average rate of accessing a news story falls as a power law of the time passed since its publication: ( ) β t t n 1 ~ with 1.0 3.0 ± = β . They proposed the following theoretical explanation. They found that the distribution of time-intervals τ between the visits by the same visitor follows a power law ( ) α τ τ 1 ~ p with 1.0 2.1 ± = α . They speculated that visitors access all the news items, which appear on the website since their last visit. The number of visitors who did not yet see the document with this theory. There are, however, problems with the above explanation. First, it is not clear from the article what are visitors and what are times between visits. There are two ways of tracing visitors: through cookies and through IP addresses. There is more uncertainty in the definition of a visit. For instance, popular web analytic tool AWStats [3] separates visits when there was over an hour between requests from the same IP. This is quite arbitrary. Therefore, we had to ask the authors what they meant by their words. It turned out [4] that that the visitors where determined from IPs and "visits" where all HTML requests, that is every line in the access log. This includes not only webpages but also all image files. Thus downloading one webpage with several images produces a number of "visits" with several intervals between them. That is why the power law in Fig. 4(a) of Ref. [1] spreads into the region of one second intervals between "visits." One still could separate real visits: those with interval of a day or more can without doubts called different visits. However, Ref. [1] contains no analysis showing that after a long absence a visitor looks at more webpages, than after a short absence. Another concern is that many different users have the same IP: this is certainly a problem studying access log of a major news website of a small country. Another problem arises if we try to apply the theory of Dezsö et al [1] to our data. Some of the referrers show power law decay for several years (see Figures 3 and 4). It would be strange to suspect that some users visit with several years intervals and then look up everything they missed. Although the functional form of the frequency of access decay function reported by Dezsö et al [1] agrees with our data, the value of the exponent does not. They reported 3.0 = β , while we always see 1 > β . However, Leskovec et al [6] reported that the average number of new in-links to a blog entry falls of as an inverse power of time passed since publication of this blog entry. The exponent of the power law is 1.5. We may reason that the number of new in-links is proportional to the number of views (just like the number of referrals). So the findings of Leskovec et al [6] agree with our results. We can also refute the argument [4] that the results of Johansen and Sornette [5] conform to results of Dezsö et al [1]. Johansen and Sornette [5] studied how the number of downloads of their paper behaved after the url was published in a newspaper. They found that after initial peak the number of downloads fell of as a power law with exponent 0.6. The problem is that they studied the total number of downloads, not the number of referrals from the newspaper. It is certain that the newspaper article trigged a cascade of blog entries linking to the paper. Thus, exponent 0.6 describes not the decay of accessing the newspaper article, but the effect of the whole cascade. We can illustrate this with our data. In Fig. 1 (a) you can see a peak in October 2009. It is a result of a cascade triggered by the publication of the link in the popular blog boingboing.net. Figure 5 shows the number of total downloads and the number of referrals from boingboing.net. While the number of downloads relaxes as a power law with exponent 0.9, the number of referrals from boingboing.net falls off with the exponent 1.5. Why did Dezsö et al [1] observe 3.0 = β ? To answer the question we first discuss the difference of web articles whose access statistics is shown in Figure 1 from those shown in Figures 2-4. Webpages used in Fig. 1 contribute original content, while those in Figures 2-4 only bring attention to original webpages. When someone reads a blog, which brings attention to an original webpage, and likes that webpage, he always links to the original webpage, and rarely links to the intermediary blog. In contrast, news articles occasionally report interesting events. Thus, some of them can trigger cascades of blog entries, each linking to the original news article. Dezsö et al [1] show in their Figure 3 only average data (over almost four thousand news items). We suspect that if the data for separate news stories were available they would look for some news item similar to Figure 1 of the present manuscript. The power law with 3.0 = β is probably an artifact of averaging over many news items with different access patterns. Wu and Huberman [7] had studied the time series of the number of "diggs" (bookmarks) on digg.com website. They proposed the following model. The evolution of the cumulative number of diggs, ( ) t N , is described by the equation ( ) ( ) t r t N ( ) t dN dt = where( ) t ris a decay factor. The equation has the ∞ n( ) t = N( ) 0exp td ∫ 0 r( ) () 4.0 4.0 exp t t − =. Note that stretched exponential looks very similar to a power law. By looking at Figure 3 of Ref. [7] one can guess that ( ) 5.1 1 t t r = would do almost as good. This agrees well with our data. We suspect that it is not the decaying novelty factor what causes the decay in number of diggs. It is merely a result of the falling of story's position on digg.com website. References 1. Z. Dezsö, E. Almaas, A. Lukács, B. Rácz, I. Szakadát, and A.-L. Barabási, "Dynamics of information access on the web" Phys. Rev. E 73, 066132 (2006). Also available at: http://arxiv.org/abs/physics/0505087 2. M.V. Simkin, V.P. Roychowdhury, "A theory of web traffic" Europhysics Letters, 82 (2008) 28006 3. AWStats logfile analyzer 6.9 Documentation http://awstats.sourceforge.net/docs/awstats_glossary.html 4. Z. Dezsö, private communication 5. A. Johansen and D. Sornette, "Download relaxation dynamics on the WWW following newspaper publication of URL" Physica A 276 (2000) 338; http://arxiv.org/abs/condmat/9907371 6. J. Leskovec, M. McGlohon, C. Faloutsos, N. Glance, M. Hurst "Patterns of Cascading Behavior in Large Blog Graphs." Proceedings of the Seventh SIAM International Conference on Data Mining, April 26-28, 2007, Minneapolis, Minnesota, USA 2007 http://www.siam.org/proceedings/datamining/2007/dm07_060Leskovec.pdf 7. F. Wu and B. A. Huberman "Novelty and collective attention" PNAS 104 (2007) 17599. ′ r t ′ r ( ) ( ) t r t′ ~ r( ) t. They got the best fit to the actual data using the decay factor
DUE DILIGENCE CHECK LIST FOR RESIDENTIAL REAL ESTATE CONTRACTS FOR SALE BY OWNERS If you are buying real estate, you should consider doing at least the following to make sure that your property is not already riddled with problems: \| \| TO DO \| Description \| Who You are using \| \|---\|---\|---\|---\| \| 1 \| General Home Inspection \| A home inspection from a qualified firm is an absolute must.. Be sure to have this, and the other relevant items below, completed before the Inspection Objection Deadline in the contract. \| Name: Phone #: \| \| 2 \| Radon Test \| All homes in Colorado are at risk for radon. You should have a radon test done to determine the levels and if a mitigation system is needed. If there already is a mitigation system, do a new radon test to confirm that the system is working properly. \| Name: Phone #: \| \| 3 \| Lead Inspection and Test \| Older homes are at risk for having lead paint, lead pipes, and lead solder. Even some newer homes are at risk for the lead solder and lead containing brass fixtures. It would be prudent to retain a qualified firm to check for lead. \| Name: Phone #: \| \| 4 \| Asbestos Inspection and Test \| Most older drywall, texture and furnaces have asbestos. It may also be in floor and ceiling tiles and in some cement. Even some newer materials contain a small percentage of asbestos. Therefore, have a qualified firm check for asbestos. There are significant regulations on removing old asbestos so if it is present and you want to remodel, this may add substantial costs. If it was not properly remediated, you may still have asbestos in the home which could expose you and family members to a very dangerous substance. \| Name: Phone #: \| \| 5 \| Land Survey \| At the very least, you should hire a survey firm to do an Improvement Location Certificate. This may identify encroachment or other issues. A complete ALTA pin survey (ALTA is the American Land Title Association) would be even better. But it is much more expensive. When this comes in, are there encroachments? Are there other problems? \| Name: Phone #: \| \| 6 \| Appraisal \| It is advisable for you to hire a certified appraiser to verify the value of the property. In the event you are paying cash, you do not have to have an appraisal. If you are using a lender, it will be required. A full appraisal is recommended even if you are paying cash to make sure you are not overpaying for the property. \| Name: Phone #: \| 7. Title Insurance Title insurance is always recommended. Before you Name: Due: order a title commitment, shop for the best price. \| 8. \| HOA, Covenants, Resolutions, Bylaws, Reserves \| If you are buying a property, always find out if it is subject to a Homeowner’s Association. If so, this poses very unique and potentially significant issues. You should consult with your attorney on this. You and your attorney should get copies of the covenants, resolutions, and bylaws from the HOA. You should check cocourts.com to see how often the HOA has sued residents and why. You should make sure how much the monthly fees are and if they are likely to go up. You should see what the HOA has in its reserve account, what percentage of dues go into reserve, and see how much deferred maintenance is waiting to be paid for from the reserves or future assessments. You should also ask the HOA to provide a copy of all notices of violations of covenants concerning this property. \| Name: Phone #: \| Due: Completed: \| \|---\|---\|---\|---\|---\| \| 9 \| Special Tax Districts \| You should consult an attorney to review all the special tax districts that have taxing authority over the property. If you are moving into a new development, this is a very significant issue because if there are not ultimately sufficient other homeowners over which to spread the infrastructure and other taxes, you could be subject to very large and unexpected taxes. You can find out all the special taxing districts who can tax your property by looking on the county assessor’s web site and finding the assessor’s statement concerning your prospective new property. \| Name: Phone #: \| Due: Completed: \| \| 10 \| Utilities \| Check with the utility companies (gas, water, sewer, electric) to determine what the average monthly energy bills have been. If it is abnormal, this could indicate a significant problem. You should also verify what internet is available in the area to determine if you will be satisfied. \| Name: Phone #: \| Due: Completed: \| \| 11 \| Environmental Issues \| If your property is near any commercial or industrial properties, including gas stations, you should get legal advice on what to do. You can also contact the Colorado Department of Public Health and Environment and get records from them regarding any contamination or spills in the area. \| Name: Phone #: \| Due: Completed: \| \| 12 \| Warranties \| Request the Seller to provide you all the original warranty information on anything under warranty, such as appliances, furnaces, etc. Also, there are home warranty companies who will sell you a home warranty and they will pay for any covered appliance that fails for \| Name: Phone #: \| Due: Completed: \| the period of the warranty. This may be prudent to buy if the appliances are old. Make sure you find a \| 13. \| Building Permits \| Consult the city or county in which your property is located and get a copy of all building permits ever purchased for the property. Then compare this with the SELLER’S PROPERTY DISCLOSURE to make sure that the sellers obtained all the right permits before having work done. If the seller did not, you should get legal advice on what to do. You may have a problem selling a property that has had work done without a permit. \| Name: Phone #: \| \|---\|---\|---\|---\| \| 14 \| Zoning \| Meet with the zoning department of the city or county in which your property is located and ask for a copy of all notices of zoning or other violations concerning the property. If there were ever any issued, you should get legal advice. You should also make sure that the zoning is correct on the property. \| Name: Phone #: \| \| 15 \| Mold \| You may want to have a mold test done even if you do not see any mold. Talk to your home inspector about this. Mold contamination and its remediation can be a major problem and expense. \| Name: Phone #: \| \| 16 \| Neighbors \| Sometimes there are very bad neighbors adjacent to a property with barking dogs or who harass or ??? This may be more difficult to research. You could go to some of the neighbors and ask. You can also do what is suggested in #17 below and go the law enforcement and get all the law enforcement contacts on the property from the records department. \| \| \| 17 \| Meth Labs \| Sellers are required to tell you if there was a meth lab on the property. You should not rely on the seller to do this but should also go to the local police, fire and/or sheriff departments which have jurisdiction and get a copy of all the law enforcement contacts that have happened at this property. Go to the records department. In addition, building permits may give insight to this problem if permits were issued, see if the DEA was involved or a remediation permit was issued. The DEA has public records for clandestine labs on its web site at: http://www.justice.gov/dea/clan-lab/co.pdf \| \| \| 12 \| Review of Title Commitment \| Once the title commitment comes in from the title company, make sure you review it carefully - can seller fulfill the requirements? Are there exceptions to the title policy that you do not want? Do you want to add some endorsements to give you added protection? \| \| \| 13 \| Review of Closing Documents \| Ask the closer to send you the closing documents as early as possible. They need to be reviewed. Is your name(s) accurate on the Deed? Are you getting the correct type of deed (e.g., Warranty Deed)? Are the exceptions listed on the Warranty Deed the same as the ones on the title commitment? If you are buying with a spouse, are you taking title correctly, such as joint tenants? Is the mechanic’s lien indemnification agreement appropriate and not over-broad? Does your lender’s good faith estimate closely match what the lender is actually charging you at closing? \| \| You should consult with your insurance agent on what Phone #: Completed: \| 15. \| Lender \| Shop for a loan by applying for a loan from more than one lender. The rates and terms may very well be substantially different but you will need to pick one lender once you get their good faith estimate. The lender will need a copy of your signed contract. \| Name: Phone #: \| \|---\|---\|---\|---\| \| 16 \| After Purchase \| Follow up after the purchase on several matters: 1. Warranty Deed Received- the closer will see to it that this document and the Deed of Trust are recorded in the real estate records at the office of the county clerk and recorder. You should receive the original Warranty Deed in a few weeks after closing. Mark your calendar for 30 days and if you have not received the original Warranty Deed (or other type of deed if you are not receiving a warranty deed) by then, call the closer and ask for it. When you get the Warranty Deed, you should confirm that it has the recording information on it at the top (a reception number and a recording date). 2. Title Policy Received - the title company will provide to you the original title policy. Mark your calendar and if you have not received the original title insurance policy by then, call the title company and ask for it. Keep this policy permanently, even after you transfer the property some day. 3. Insurance Policy Received - the insurance company will provide you an original insurance policy. Mark your calendar for 30 days and if you have not received the original homeowner’s insurance policy by then, call the insurance agent and ask for it. Keep this policy permanently, even after you transfer the property some day. 4. Assessor Records Check - in about 60 days after closing, go on the county assessor’s web site to make sure that your name as the owner correctly appears there. If not, contact the assessor’s office and find out why. 5. Clear Title Check - anytime about 60 days or more after closing, call any title company and order and O&E (i.e. an Owner’s and Encumbrances search) on your property. This search costs $5 and will tell you if the prior owner’s deed of trust has been released and if the public records shows you as the new owner and your deed of trust is the only encumbrance on the property. \| \| \| 17 \| Sex Offenders \| If you have concern about sex offenders next door, contact your local law enforcement both in person and via their web site and do a search for sex offenders in the area. You may be surprised how many are already registered all over the city. \| \| \| 17 \| Legal Advice \| If you do all of the above, you may have questions for your attorney. Do not hesitate to call. The costs of legal advice may pale in comparison to the potential costs if you incur any of the above potential problems. \| Pearman Law Firm, P.C. 4195 Wadsworth Blvd. Wheat Ridge, CO 80033 303-991-7600 \| 18. Other List any other important matters here: Due: Completed: If you are buying a commercial property, call your attorney for advice on environmental issues and additional items not on this residential check list.
Operating instructions for Li-Ion rechargeable battery charger 230V / 18V 1 CIMCO-Werkzeugfabrik - D-42855 Remscheid - www.cimco.de Inhaltsverzeichnis 1 Safety symbols 2 Special safety information 2.1 Safety information for the charger 2.2 Safety information for batteries 3 Description and technical data 3.1 Description 3.3 Symbols 3.2 Technical data 4 Monitoring and preparing the charger 5 Charging process/operating information 6 Cleaning information 7 Accessories 8 Storage 9 Battery transport 10 Maintenance and repair 11 Disposal of batteries 12 Disposal 13 LED diagnosis 14 General safety regulations 14.1 Safety in the workplace 14.3 Personal safety 14.2 Electrical safety 14.4 Use and care of electrical appliances 14.5 Maintenance 2 1 Safety symbols Important safety information is marked in these operating instructions and on the product with particular safety symbols and warnings. This section explains these warning notices and symbols. Not all the safety symbols listed apply to this product. WARNING indicates a dangerous situation, which without the appropriate safety precautions could endanger life or cause serious injury. TAKE CARE indicates a dangerous situation that without the appropriate safety precautions could lead to a lesser to medium degree of injury. NOTE identifies information referring to the protection of property. This symbol means that the operating instructions should be carefully read before the appliance is operated. The operating instructions contain important information for the safe and correct use of the appliance. This symbol means that when working with this appliance safety glasses with side protection or an eye shield should always be worn to avoid injury to the eyes. This symbol draws attention to the risk of electric shock. 2 Special safety information This section contains important safety information that applies especially to this appliance. Before using the charger, read this information carefully, in order to avoid the danger of electric shock or serious injury. KEEP THESE OPERATING INSTRUCTIONS FOR REFERENCE! If you have any questions about this CIMCO product: * Contact your local CIMCO dealer or CIMCO sales staff. 2.1 Safety information for the charger * With the CIMCO charger, use only the rechargeable CIMCO batteries listed in the accessories section. Other types of battery may explode and cause injuries and damage to property. * Do not place a battery in the charger that has been damaged by a fall or some other cause. A damaged battery increases the risk of electric shock. * Do not test the charger with conductive objects. Shortcircuiting of battery terminals can lead to the formation of sparks, burns or electric shock. * Battery charging must take place at temperatures between 5 °C and 35 °C. Store the charger and batteries at temperatures between -20 °C and +40 °C. Proper care will prevent damage to the batteries. Improper handling may lead to leakage of battery fluid, electric shock and burns. * Take care to ensure that the charger is not covered while in operation. Problem-free operation of the charger requires sufficient ventilation. Covering the ventilation openings may cause fire. There should be at least 10 cm of free space on all sides of the charger. * Take care to ensure the correct power supply. Do not attempt to use a step-up transformer, generator or direct current socket. This could damage the charger and might lead to electric shock, fire or burns. * Pull out the plug of the charger when it is not in use. This reduces the danger of injury to children and inexperienced persons. * Do not open the charger housing. Repairs can only be carried out in approved places. * Do not charge the battery in damp or wet environments, or in environments where there is danger of explosion. Protect the charger from rain, snow and dirt. Contamination and wet increase the danger of electric shock. * Do not carry the charger by the mains cable. This will reduce the danger of electric shock. 2.2 Safety information on batteries * Batteries must be disposed of in the proper manner. If subjected to great heat, batteries may explode, so they must not be incinerated. Stick adhesive tape over the poles to avoid direct contact with other objects. In some countries there are special regulations for the disposal of used batteries. Please observe the regulations that apply locally. You can find further information in the section on disposal. * Never dismantle batteries. There are no parts inside a battery that the user can maintain him/herself. Dismantling batteries can lead to electric shock or injuries. * Do not place any batteries with damaged housing in the charger. Damaged batteries increase the risk of electric shock. * Avoid contact with fluids leaking from a damaged battery. These fluids can cause chemical burns or skin irritations. In the event of accidental contact with such fluids, rinse the affected areas of skin thoroughly with water. If such fluids come in contact with the eyes, medical advice should be sought. 3 3 Description and technical data 3.1 Description The CIMCO battery charger is designed for charging CIMCO 18-V lithium-ion batteries, as listed in the section on accessories. This charger requires no adjustments. 3.2 Technical data The charger and batteries are not compatible with other CIMCO Li-Ion batteries and chargers. Symbole Double insulated Only to be used in closed rooms. 4 Monitoring and preparing the charger Monitor the charger and the batteries daily before use and correct any faults. Follow these instructions in preparing the charger to avoid the risk of injury due to electric shock, fire or other causes, and also to avoid damage to the appliance and system. 1. Ensure that the charger's mains plug is disconnected. Check the mains cable, the charger and the batteries for damage or changes, as well as for worn, missing, wrongly positioned or jamming parts. In the event of faults, do not use the charger or the battery until the parts concerned have been properly repaired or exchanged. 3. Check whether the type plates on the charger and the batteries are intact and clearly legible. Figure 2 shows the type plate on the underside of the charger. Figure 3 shows the plates on the underside of a battery. 2. Remove oil, grease and dirt from the appliance, as described in the section on cleaning. This will prevent the appliance slipping out of your hand and also ensure good ventilation. In addition, it helps to make any cracks or damage visible. 4. Select a suitable site for the charger. Check the workspace for: * A free, level, stable and dry site for the charger. Do not use the appliance in damp or wet environments. Do not use the charger in the open air: it is designed only for use in closed rooms. * Flammable liquids, vapours or dust that could ignite. If there are any such sources of danger, do not work in these places until you have discovered and had them removed. The charger is not explosion protected and may form sparks. * Suitable operating temperatures. In order for the charging process to start, the charger and the battery must be at a temperature between 5° C and 35 °C. If the temperature of the charger or the battery lies outside this range during charging, the charging process will be interrupted until the appropriate temperature is reached once more. * Sufficient ventilation. The charger requires a minimum of 10 cm of free space on all sides in order to maintain the prescribed operating temperature. * Suitable power suply. Check whether the plug fits into the intended mains socket. 5. With dry hands, connect the appliance to the mains. 6. If a wall fixing is desired, this charger is equipped with keyhole slits for convenient hanging. The screws should be attached with a centre to centre distance of 102 mm. 5 Charging process/operating information Follow the operating instructions to avoid danger of injury by electric shock. New batteries will achieve their maximum performance after about 5 charging and discharging processes. It is not necessary to fully discharge the batteries before recharging them. 4 1. Prepare this charger as described in the section on monitoring and preparation of the charger. 3. Using dry hands, place the battery on the charger. The charging process will begin automatically. 2. While the charger is in standby mode (ready to charge), the yellow LED will flash repeatedly. * The yellow LED may display a continuous light for up to 2 seconds while the condition of the battery is checked. * During charging, the green LED will flash (on 50 % of the time, off 50 % of the time). * If the battery cannot make a proper contact, either the battery or the charger is damaged, or the red LED will light up. Check the battery contacts by taking the battery out and replacing it in the charger. * The battery will feel slightly warm during charging. This is normal and does not indicate a problem. * If the battery or the charger is too hot or too cold, the red LED will display a continuous light. As soon as the battery and charger have once more reached the correct temperature between 5° C and 35 °C, the red LED will go out. The charging process will commence automatically and the green LED will flash until the battery is fully charged. * Once the battery is 85 % charged, the green LED pattern of flashing will change (on 95 % of the time, off 5 % of the time). The battery may if required be used in this condition. However, leave the battery plugged in order to achieve 100 % charged status. 4. Once the battery is fully charged, the green LED will display a continuous light. The battery can then be taken out and is ready for use. You can find a detailed description of LED displays in the LED diagnostic section. 5. Once the charging process has been completed, use dry hands to pull the charger mains supply cable out of the mains socket. * The charged battery can remain in the charger until needed. There is no danger of overcharging the battery. Once the battery is fully charged, the charger will automatically switch to trickle charging. 6 Cleaning information Before cleaning, disconnect the charger from the mains supply. To avoid the risk of electric shock, do not use water or chemicals to clean the charger. If it becomes necessary to clean the charger, proceed as described below: 2. Remove any battery in the charger. 1. Separate the charger from the mains supply. 3. Clean dirt and grease off the outside of the charger and the battery using a soft cloth or a soft, non-metallic brush. 7 Accessories The following accessory parts are approved for use with the CIMCO Li-Ion battery charger. To avoid the risk of injury, use only the following accessory parts, which have been specially developed for and are recommended for the CIMCO Li-Ion battery charger. 8 Storage Store the charger and the batteries in a dry, safe, locked place out of the reach of children and unauthorised persons. The batteries and the charger must be protected from impact, wet and damp, dust and dirt, very high and very low temperatures, chemical solutions and vapours. If stored for a longer period of time in a discharged condition, or at temperatures above +40 °C, battery performance may be permanently reduced. If the machine is not required for a longer period of time, you must remove the battery (exhaustive discharge). 9 Battery transport The battery has been tested in accordance with UN Document ST/SG/ AC.10/11/Rev/3 Part III, Subsection 38.3. It has effective protection against internal excess pressure and short-circuiting plus mechanisms to prevent forced rupture and dangerous reverse current. The lithium equivalent quantity contained in the battery is below the applicable limit value. For these reasons, the battery is not subject either as an individual part or when placed in an appliance to national or international regulations on dangerous goods. However, the regulations on dangerous goods may apply to the transport of several batteries. In such a case, it may be necessary to comply with special provisions (e. g. for packaging). 10 Maintenance and repair Unprofessional maintenance or repair may have a detrimental effect on the operational safety of the appliance. The charger and the batteries cannot be maintained by the user. Do not attempt to open the charger or the batteries, charge individual battery cells or clean internal components. If you require information on a Cimco customer service centre in your vicinity or have questions about service or repairs: * Contact your local CIMCO dealer. 5 11 Disposal Parts of the appliance contain valuable materials and can be recycled. There are specialised recycling enterprises which deal with these materials, and there may be some based locally. Dispose of the parts according to the regulations that apply locally. Further information is available from the local waste disposal authorities. For EU countries: do not put electrical appliances in domestic waste! which are no longer servicable must be collected separately and sent for environmentally sound recycling. According to the European Directive 2002/96/EC on used electrical and electronic appliances and its implementation in national legislation, electrical appliances 12 Disposal of batteries Both normal and rechargeable batteries contain materials that should not be directly disposed of in the natural environment, as well as valuable materials that can be recycled. Contribute to protecting the environment and conserving RBRC™ is a registered trade mark of the Rechargeable Battery Recycling Corporation. natural resources by giving your used batteries to a local dealer or an authorised CIMCO customer centre for recycling. Your local recycling point can also tell you about other disposal sites. For EU countries: According to the Directive 2006/66/EC, defective or used rechargeable and ordinary batteries must be recycled. \| Continuous light \| Flashing light \| \|---\|---\| \| \| Yellow \| \| Yellow (2 seconds) \| \| \| \| Green (slow) \| \| \| Green (rapid) \| \| Green \| \| \| \| Red \| \| Red \| \| 14 General safety regulations Please read all the safety information and instructions in these operating instructions. Disregard of the warnings and instructions given below can lead to electric shock, fire and/or serious injury. KEEP ALL WARNINGS AND INSTRUCTIONS FOR FUTURE REFERENCE! 14.1 Safety in the workplace * Keep your workplace clean and ensure that it is welllit. Untidy and insufficiently illuminated workplaces increase the risk of accidents. * Do not operate electrical appliances in environments with an increased danger of explosion, in which there are readily inflammable liquids, gases or large quantities of dust. Electrical appliances create sparks during operation, which can easily ignite dust or vapours. 6 * When operating an electric tool, ensure that there are no children or other uninvolved bystanders in the vicinity of the tool. If distracted, you may lose control of the tool. 14.2 Electrical safety * The plugs of electrical appliances must fit into the existing mains socket. Never make changes to the plug. Do not use adapter plugs in combination with earthed appliances. Unaltered plugs and appropriate sockets reduce the risk of electric shock. * Keep electrical appliances away from rain and wet. If water penetrates an electrical appliance, this will increase the danger of electric shock. * Avoid physical contact with earthed surfaces, such as those of pipes, heaters, stoves and refrigerators. There is an increased risk of electric shock if your body is earthed. * Do not use the mains connection cable for any other purpose. Never use it to carry or pull the appliance or to pull out the plug. Keep the cable away from heat, oil, sharp edges and moving parts. Damaged or tangled cables increase the risk of electric shock. The use of an appropriate extension cable for working outdoors will reduce the risk of electric shock. * If you are working with an electrical appliance in the open air, only use extension cables approved for use outdoors. * If you have to use an electrical appliance in a damp environment, use a power supply with a residual current circuit breaker (RCCB). The use of a residual current circuit breaker (RCCB) reduces the risk of electric shock. 14.3 Personal safety * Always be observant when operating an electrical appliance and conscious of your responsibilities. Do not use an electrical appliance under the influence of drugs, alcohol or medication. A brief moment of inattention may lead to your inflicting serious injury on yourself or others. * Do not over-estimate yourself. Ensure that you are standing securely at all times and keep your balance. If you do so, you will be able to control the appliance better in unexpected situations. * Always wear your personal protective clothing. Always wear eye protection. Wearing protective equipment, such as a dust filter mask, non-slip safety shoes, safety helmet and ear protectors reduces the risk of injury and is therefore essential. 7 14.4 Use and care of electrical appliances * Do not work with an unsuitable appliance. Always use the appropriate electrical appliance for the task. With the right appliance, you can carry out your work more efficiently and safely. * Pull the plug out of the socket and/or take the battery out of the appliance before making adjustments, exchanging accessories or putting the appliance away. Measures such as these help prevent unintended start-up of the appliance. * Do not use the appliance if it cannot be SWITCHED ON and OFF by the on/off switch. An electrical appliance that cannot be switched on and off is a source of risk and must be repaired. * Keep electrical appliances not in use out of the reach of children and do not allow any person not familiar with the appliance, or who has not read these instructions, to use the appliance. Electrical appliances are dangerous if used by inexperienced persons. * Use electrical appliances and accessories in accordance with these instructions and take working conditions and the task to be carried out into account. If electrical appliances are not used according to regulations, this can lead to dangerous situations. * Take good care of your electrical appliances. In order to ensure problem-free operation of the appliance, check that all movable and fixed parts are in the correct position, that no parts are broken and that there are no other faults. If there is any damage, the appliance must first be repaired before it is used again. Many accidents are caused by poorly maintained electrical appliances. 14.5 Maintenance Only allow qualified experts to repair your electrical appliance, using only authentic replacement parts. This will continue to ensure the safety of the appliance. . Carl Jul. Müller GmbH & Co. KG Hohenhagener Str. 1-5 • D-42855 Remscheid Postfach 10 02 63 • D-42802 Remscheid Tel.: +49 (0) 21 91/37 18 01 • Fax: +49 (0) 21 91/37 18 86 E-Mail: email@example.com • Internet: www.cimco.de
Washington University School of Medicine Digital Commons@Becker Open Access Publications 2018 Clinical trials in multiple sclerosis: Milestones Yinan Zhang Amber Salter Gary Cutter Olaf Stϋve 785499 review-article20182018 Clinical trials in multiple sclerosis: milestones Yinan Zhang, Amber Salter, Gary Cutter and Olaf Stϋve Abstract:The achievements in multiple sclerosis (MS) therapeutics are founded on the outcomes of clinical trials that demonstrate quantifiable results in treating a disease with an unpredictable course. Much has changed since the early trials in MS from the mid-20th century that compared a potential therapeutic agent with a placebo and measured outcomes based on patients' subjective reports. Advancements over the past decades have simplified diagnosis of the disease and allowed for more quantitative monitoring of its progression alongside support from paraclinical studies. Further collaborative efforts have led to pivotal meetings that steered the direction of future trials and the creation of patient databases that provided important epidemiologic information on trial subjects. These innovations and changes have improved MS clinical trials but challenge future trials to create more efficient designs lest the pace of progress necessarily slows because of the increased time to conduct such studies. As treatment options for MS broaden, clinical trials will continue to incorporate new strategies to identify novel therapies and pathways of intervention. Keywords: multiple sclerosis, clinical trials, magnetic resonance imaging, diagnostic criteria, outcome measure Received: 21 December 2017; revised manuscript accepted: 18 May 2018. Introduction Clinical trials in multiple sclerosis (MS) have led to the introduction of 15 therapeutic agents in the span of just over two decades. Prior to the modern era of these MS therapies, initial treatments of the disease during the early 20th century were empirical or experience driven and studies on potential agents were scarce and unregulated. Investigators noted many difficulties in conducting clinical trials in MS. The incomplete understanding of the disease process hindered development of therapies, and the sporadic course of MS coupled with the lack of biomarkers created difficulties in monitoring disease progression. In order to detect differences in treatments, large patient populations must be followed for long durations due to the slow evolution of clinical changes. Trials are often seen as more efficient when the population is more homogeneous. Thus, the heterogeneity of the disease excluded many patients with MS from trials due to narrow inclusion criteria. Despite these challenges, the significant achievements in MS therapies today relied directly on clinical trials that proved their efficacy. This article reviews key events and developments that shaped the landscape of MS clinical trials. Early studies https://doi.org/10.1177/1756286418785499 https://doi.org/10.1177/1756286418785499 Ther Adv Neurol Disord 2018, Vol. 11: 1–7 DOI: 10.1177/ 1756286418785499 © The Author(s), 2018. Reprints and permissions: http://www.sagepub.co.uk/ journalsPermissions.nav Correspondence to: olaf.stuve@ Olaf Stϋve Neurology Section, VA North Texas Health Care System, Medical Service, 4500 South Lancaster Rd, Dallas, TX 75216, USA utsouthwestern.edu Yinan Zhang The first clinical trials in MS took place in the second half of the 20th century. Early trials were limited in their design due to lack of established criteria for diagnosing MS and objective measurements of disease progression. In 1961, Miller and colleagues published the results of the first double-blind clinical trial in MS studying the effects of adrenocorticotropic hormone (ACTH) on neurological recovery during acute MS exacerbations. 1 The study enrolled 40 "consecutive patients with unequivocal MS, who presented with an assessable new symptom or sign of less than 14 days' duration and showing no spontaneous improvement". Subjects were matched in sex, age, disease duration, and number of exacerbations, and randomized to receive either ACTH or saline injections for their MS attacks. The authors stated that "the groups were generally Department of Neurology and Neurotherapeutics, University of Texas Southwestern Medical Center, Dallas, TX, USA Amber Salter Division of Biostatistics, Washington University School of Medicine, St. Louis, MO, USA Gary Cutter Department of Biostatistics, University of Alabama at Birmingham, Birmingham, AL, USA 1 Creative Commons Non Commercial CC BY-NC: This article is distributed under the terms of the Creative Commons Attribution-NonCommercial 4.0 License provided the original work is attributed as specified on the SAGE and Open Access pages (https://us.sagepub.com/en-us/nam/open-access-at-sage). (http://www.creativecommons.org/licenses/by-nc/4.0/) which permits non-commercial use, reproduction and distribution of the work without further permission comparable in sex-distribution, age, and duration of the disease, as well as in the proportions classified as showing initial episodes of multiple sclerosis, second or subsequent attacks during remission, or acute exacerbations of an existing disability of less than 10 years' standing". However, if one were to look critically, it is likely that the two groups were poorly matched, as it was difficult to do this sequentially with a small sample size. Results showed that ACTH improved symptoms during an exacerbation, but this was measured entirely through subjective reports from patients in a follow-up interview. At the time, the absence of established and objective outcome measurements along with the uncertainty of characterizing relapses hindered studies from producing reliable data. The sporadic nature of the disease challenged investigators to not only find promising treatments but to devise ways to assess their efficacy. In 1969, Rose and colleagues conducted the first multicenter MS trial across 10 academic institutions in the USA. 2,3 This was another well-controlled, randomized doubleblind trial to study ACTH in the treatment of MS attacks. More importantly, the study aimed to determine whether a therapeutic agent can be reliably assessed. The investigators employed various quantitative methods to assess neurologic functions, among which was the disability status scale (DSS), that would be revised later to become the golden standard of outcome measures in MS trials. 4 The study concluded that therapeutic agents can be objectively studied in patients with MS. Although results suggested only modest effects of ACTH in the setting of MS exacerbation, ACTH was widely employed for the treatment of MS for the next 15 years, eventually leading to high-dose intravenous methylprednisolone as a treatment for MS exacerbations. Advancement of imaging techniques Another major evolution over time is the growth and importance of magnetic resonance imaging (MRI) in the diagnosis of MS and monitoring of disease activity. This technology now has widespread use in clinical trials and has been central in proof-of-concept studies. Prior to the development of MRI, computerized tomography (CT) scans were unable to identify most MS lesions, and many patients with MS had normal CT scans. When contrast CT scans were first introduced to study MS lesions in 1976, enhancing lesions could be seen and became associated with so-called active disease. 5 These lesions also appeared to clear with steroid use. 6 When MRI was initially utilized in studies of MS in 1981, researchers immediately noticed striking differences between MRI and CT regarding the appearance of lesions. In one of the early studies comparing the two imaging modalities among 10 patients with definite and possible MS, CT captured 19 lesions whereas MRI captured 131 lesions. 7 MRI showed continuous activity of new lesions even in the absence of clinical symptoms, suggesting its usefulness in monitoring subclinical disease progression. 8 In addition, imaging outcomes are more sensitive to change than clinical measures, thus requiring smaller sample size and study duration to detect treatment differences. This is especially valuable for early proof-of-concept trials but may be tied to the main focus of clinical interventions thus far in MS of reducing inflammation and the attendant consequences. The utility of other pathways of damage such as neuroprotection and/or neurorepair has yet to be shown. In the 1990s MRI became a popular tool for providing secondary and even primary outcome measures in drug studies. In the 5-year, 1988– 1993, placebo-controlled trial of interferon-beta1b that showed a significant reduction in the frequency of MS attacks in the treatment group, MRI was used as an outcome measure and showed 80% fewer active scans and new lesion developments compared with placebo. 9 The evidence was perhaps even more compelling biologically than the clinical data in the US Food and Drug Administration's (FDA) approval of the drug in 1993. As MRI became more widely used in clinical trials, researchers gained a better understanding of its utilities and limitations. Many MS trials have used MRI to measure disease burden and monitor disease activity. 10 The use of gadolinium contrast showing enhancement of lesions indicating active blood-brain-barrier breakdown has been an important tool in confirming active MS lesions. 11 In addition to measuring lesions, MRI has also been used to assess unfractionated or fractionated atrophy, which corresponds to some clinical disease markers. 12 Despite these utilities, MRI lesions found on a single or annual basis have not consistently been shown to correlate with individual clinical outcomes in trials. 13 However, Sormani and colleagues have shown that at the group level such correlations do exist. 14 Despite the radiologic utility of MRI, there is a need for improved MRI and clinical methods to characterize accurately disease states and quantify progression. Evolution of diagnostic criteria for MS The diagnosis of MS and classification of its disease course have important implications for clinical trial design and outcomes. MS presents with varying clinical signs and symptoms and follows unpredictable disease courses, making it difficult for trials to acquire homogeneous populations to be able to determine differences in treatment effects. Finding these so-called homogeneous groups has been a challenge. Since the first formal diagnostic criteria of MS in 1965 that introduced the principles of dissemination in space (DIS) and time (DIT), 15 progress in our understanding of the disease and tools to study its clinical course have led to more accurate and simplified criteria. Early attempts to diagnose and categorize MS focused on identifying clinical patterns of symptoms as exemplified by Charcot's triad of nystagmus, intention tremor, and scanning speech. 16 Other classifications sorted patients into categories corresponding to disease course as defined by progression and relapses. 17,18 There was a lack of unified guidelines, and diagnoses relied heavily on the clinician's intuition rather than objective guidelines. The first incorporation of the modern-day diagnostic requirement of DIS and DIT was presented in the Schumacher criteria in 1965 as a result of a committee headed by George Schumacher to develop criteria for classifying MS. 15 DIS was defined as objective abnormalities in at least two central nervous system white matter locations, while DIT described their occurrence in two or more episodes lasting more than 24 hours and separated by at least 1 month or progressing over 6 months. The Schumacher criteria simplified MS trial design and allowed for objective diagnosis of clinically definite MS. 15 With the development of laboratory and imaging studies to diagnose MS, Poser published criteria in 1983 that incorporated paraclinical studies such as imaging and cerebrospinal fluid (CSF) studies in the diagnosis of MS. 19 The Poser criteria elaborated on the clinical classifications of the Schumacher criteria and grouped patients into categories of definite and probable MS. 20 This became widely accepted as the diagnosis of MS and altered the enrollment criteria of clinical trials to accept only clinically definite and probable cases of MS. The widespread use of MRI in the evaluation of MS led to the development of the McDonald criteria in 2001, which introduced MRI results as surrogates for the criteria of DIS and DIT. 21 This resulted in earlier and more sensitive diagnosis. 22 With its revisions in 2005 23 and 2010, 24 the criteria has been further simplified in which a single MRI study could fulfill the requirements of DIS and DIT. The most recent modifications in 2017 continue to facilitate the diagnosis by introducing changes where the presence of oligoclonal bands can fulfill the criteria of DIT. 25 In addition, requirements for DIS and DIT were further broadened to include cortical lesions and symptomatic lesions excluding the optic nerve on MRI. The evolution of MS diagnostic criteria had significant implications for clinical trials. As diagnostic criteria became more sensitive, more patients were diagnosed earlier in the disease course. In a population of 309 patients who presented with clinically isolated syndrome (CIS) who were evaluated a year later, 16% of the cohort were diagnosed with MS under the Poser criteria compared to 44% using the McDonald criteria, suggesting patients were diagnosed earlier in their disease course under more recent criteria. 26 Another study showed that 50% of patients with CIS under the 2001 McDonald criteria would be diagnosed with definite MS within a year, while only 20% would under the Poser criteria. The apparently improved prognosis of CIS and MS groups is a result of the changing diagnostic criteria shifting classification of patients from higher risk groups into lower risk groups, an effect known as the Will Rogers phenomenon and/or lead time bias. 27 This limits comparison of historical MS populations with modern groups. Further, another concern is that when sensitivity is increased the risk of false positives (i.e. lowered specificity) can often occur. This has only been conjectured, and not formally validated. Defining outcome measurements In order to determine the efficacy of a potential therapeutic agent for MS, investigators were challenged with devising meaningful outcome measurements of clinical activity. The complex clinical course of MS and the lack of biomarkers impeded the development of an objective scale to measure and track clinical changes. Prior to 1950, evaluations of therapeutic efficacy were conveyed by patients' subjective reports on whether symptoms were better, worse, or unchanged, similar in concept to modern-day patient-reported outcomes. The first attempts to develop objective scales were made by Arkin and colleagues in 1950 and Alexander in 1951. 28,29 Alexander's approach consisted of complex scales scoring 30 neurologic signs, and proved to be cumbersome and lacked refinement. In 1955 Kurtzke developed a scale that could characterize the disability of a patient with MS and reflect changes in clinical status while maintaining simplicity. 4 The patient was assigned a degree of disability from 0 (normal neurologic exam) to 10 (death due to MS). The DSS was first used in a study of isoniazid as therapy for MS, which was also the first multicenter, randomized, placebo-controlled, double-blind trial of a disease-modifying therapy (DMT) in patients with MS. 4,30 The DSS was revised in 1983 to encompass more resolution with half steps rather than unitary increments and has become a universally accepted standard for measuring disability in MS. 31 The result was the expanded disability status scale (EDSS), which has since become the most widely used outcome measure in MS trials. 32 The EDSS has been used to characterize trial populations and measure objective neurologic changes in disease course. It carries the advantage of unifying clinical measurements in large multicenter trials and allowing for cross-study comparisons. MS clinicians are universally familiar with the scale and its widespread acceptance by regulators has favored its continued use in trials. 33,34 Despite the popularity of the EDSS, it is not without flaws as the scale has been heavily criticized for high inter-rater variability, especially in the earlier steps, its disproportionate emphasis on walking, exclusion of cognitive impairment, and the scale's inherent nonlinearity. As DMTs became available in the decades following conception of the EDSS, trials required increased sample sizes to detect differences in treatment efficacy. In 1994, a task force was formed to develop improved outcome measurements and address the shortcomings of the EDSS, 35 which resulted in the publication of the MS functional composite (MSFC) in 1999. 36 In contrast to the neurologic examination focus of the EDSS, the MSFC was created to measure the major dimensions in which MS presents. It was designed as a clinical trial outcome measure and originally designed to capture four domains (i.e. ambulation, arm function, cognitive function, and vision); vision was excluded due to lack of data on which to base inclusion. The MSFC was required to correlate with the EDSS and assesses function in three domains including gait, upper extremity coordination, and cognition. The performance in each component is summarized using a Z-score that represents the number of standard deviations from a reference population. The Z-scores are then averaged into a single composite score providing an outcome measure on a continuous scale. The MSFC can be assessed quickly and reliably and yields more sensitive results than the EDSS and possesses predictive validity. It has also been shown to correlate better with MRI lesion burden and brain atrophy. 37,38 Despite these advantages, the MSFC scale could not replace the EDSS as the established gold standard of measuring disability from MS. There are problems with the MSFC, some of which can be remedied, but the intuitive meaning of a composite Z-score is not easily translated into a clinically meaningful quantity. This caused the FDA to have concerns around the original use of the MSFC in the IMPACT trial, 39 which had major negative impacts on its adoption even though it has been used in many trials since then. The increased efficacy of DMTs have redefined the goals of therapy, and disease activity-free status has become an attainable treatment goal. 40,41 As more patients remain disease free with currently available DMTs, the concept of 'no evidence of disease activity' (NEDA) was proposed and adopted in 2013, drawing from the term NED used in oncology that refers to complete cancer remission without ruling out recurrence. 42 NEDA traditionally comprises assessment of relapse rate, new or enlarged T2 or gadoliniumenhancing MRI lesions, and confirmed disability worsening. Clinicians have recognized the merit in the assessment of overall response to therapy that is not adequately captured by these individual outcome measures. The concept of NEDA as an outcome measure in MS trials has begun to see use, and the definition of NEDA continues to evolve as new components such as brain atrophy and CSF neurofilament levels are incorporated. 43 Currently, NEDA has not been validated in prospective studies to reflect long-term disease remission in patients at the individual level, and its wider use is limited by the inability of the composite measure to capture specific mechanisms of disease. The future of NEDA will likely adopt new imaging and fluid biomarkers into treatment monitoring, and additional experience with its use will result in a more refined and uniform definition of the concept. Collaborations in MS trials The achievements in MS trials are founded on collaboration among investigators, patients, pharmaceutical companies, and regulators. MS societies across different countries have provided significant support with grants and activities that fostered collaboration and advanced progress in clinical trials. Multinational organizations such as the European Committee for Treatment and Research in MS and its US counterpart the Americas Committee for Treatment and Research in MS have played influential roles in the promotion and support of MS clinical trials. These organizations were formed during an international meeting at Grand Island, NY, USA in 1982. 44 The meeting also led to the formation of the Advisory Committee on Clinical Trials of New Agents in Multiple Sclerosis of the National MS Society, which assisted in the design of future trials in the upcoming decades. The meeting represented active efforts to foster clinical trials and served as an important initial step forward for MS research and future collaborations and organizations. Advances in information technologies have fostered the development of clinical trials and patient databases. Collaborative efforts to create databases for epidemiologic studies and clinical trials have been underway since the early part of the 20th century. The North American Registry Committee on MS in Multiple Sclerosis was created in 1996 to collect longitudinal data on patients with MS and assist with trial enrollment. Clinical trial databases such as the large-scale database from the Sylvia Lawry Center for MS research provides information on over 20,000 patients with MS. The Multiple Sclerosis Outcome Assessments Consortium placebo database provides information on placebo arms of clinical trials. 45 MSBase is the first online global MS registry created in 2004 and now contains information on over 55,000 patients with MS. 46 It has provided important epidemiologic information and observational data on a large worldwide population with MS. Conclusion Clinical trials in MS advanced from developments that objectively defined and quantified the progression of a seemingly erratic disease and keen observation that a pathway focused on inflammation would lead to benefits if reduced or controlled. The introduction and refinement of MRI have led to visually quantifiable lesion loads that can be used to track radiologic evidence of disease burden and confirm periods of exacerbations. The evolving diagnostic criteria have increased diagnostic sensitivity and simplified enrollment in trials. Clinical outcome measures such as the EDSS and MSFC allow objective monitoring of disease progression. Together these milestones paved the way for significant growth in the landscape of MS trials but also created new challenges for future trials. The rapid development of DMTs in MS has led to the decreased feasibility of placebo trials due to ethical considerations and increased difficulty in detecting therapeutic effects compared with existing therapies. Fewer resources from competition among trials are demanding more efficient designs involving shorter studies and fewer patients, but these advances are limited by lack of biomarkers or surrogate outcomes. While much has been gained from clinical trials in the ongoing investigation to find the cause and cure of MS, the future of MS trials holds potentials and challenges for the setting of new milestones that must be addressed. Funding This research received no specific grant from any funding agency in the public, commercial, or notfor-profit sectors. Conflict of interest statement YZ and AS declare no conflicts of interest in preparing this article. GC served on Data and Safety Monitoring Boards for AMO Pharmaceuticals, Biolinerx, Horizon Pharmaceuticals, Merck, Merck/Pfizer, Opko Biologics, Neurim, Novartis, Ophazyme, Sanofi-Aventis, Reata Pharmaceuticals, Receptos/Celgene, Teva pharmaceuticals, NHLBI (Protocol Review Committee), NICHD (OPRU oversight committee); served on the Consulting or Advisory Boards for Atara Biotherapeutics, Axon, Biogen, Biotherapeutics, Argenix, Brainstorm Cell Therapeutics, Charleston Labs Inc, Click Therapeutics, Genzyme, Genentech, GW Pharma, Klein-Buendel Incorporated, Medimmune, Medday, Novartis, Roche, Scifluor, Somahlution, Teva pharmaceuticals, TG Therapeutics, UT Houston. OS serves on the editorial boards of the Multiple Sclerosis Journal and Therapeutic Advances in Neurological Disorders; served on data monitoring committees for Pfizer and TG Therapeutics without monetary compensation; advised EMD Serono and Genzyme; currently receives grant support from Sanofi Genzyme; received travel support from Shire. References 1. Miller H, Newell DJ and Ridley A. Multiple sclerosis. Treatment of acute exacerbations with corticotrophin (A.C.T.H.). Lancet 1961; 2: 1120–1122. 2. Rose AS, Kuzma JW, Kurtzke JF, et al. Cooperative study in the evaluation of therapy in multiple sclerosis. ACTH vs. placebo – final report. Neurology 1970; 20: 1–59. 3. Rose AS, Kuzma JW, Kurtzke JF, et al. Cooperative study in the evaluation of therapy in multiple sclerosis: ACTH vs placebo in acute exacerbation. Trans Am Neurol Assoc 1969; 94: 126–133. 4. Kurtzke JF. A new scale for evaluating disability in multiple sclerosis. Neurology 1955; 5: 580–583. 5. Wulthrich R, Gigli H, Wiggli U, et al. CT scanning in demyelinating disease. In: Lanksch W and Kazner E (eds) Cranial computerized tomography. Berlin, Heidelberg: Springer, 1976, pp.239–243. 6. Vinuela FV, Fox AJ, Debrun GM, et al. New perspectives in computed tomography of multiple sclerosis. AJR Am J Roentgenol 1982; 139: 123–127. 7. Young IR, Hall AS, Pallis CA, et al. Nuclear magnetic resonance imaging of the brain in multiple sclerosis. Lancet 1981; 2: 1063–1066. 8. Simon JH, Jacobs LD, Campion M, et al. Magnetic resonance studies of intramuscular interferon beta-1a for relapsing multiple sclerosis. The Multiple Sclerosis Collaborative Research Group. Ann Neurol 1998; 43: 79–87. 9. Paty DW and Li DK. Interferon beta-1b is effective in relapsing-remitting multiple sclerosis. II. MRI analysis results of a multicenter, randomized, double-blind, placebo-controlled trial. UBC MS/MRI Study Group and the IFNB Multiple Sclerosis Study Group. Neurology 1993; 43: 662–667. 10. Paty DW. Magnetic resonance imaging in the assessment of disease activity in multiple sclerosis. Can J Neurol Sci 1988; 15: 266–272. 11. Grossman RI, Gonzalez-Scarano F, Atlas SW, et al. Multiple sclerosis: gadolinium enhancement in MR imaging. Radiology 1986; 161: 721–725. 12. Coulon O, Hickman SJ, Parker GJ, et al. Quantification of spinal cord atrophy from magnetic resonance images via a B-spline active surface model. Magn Reson Med 2002; 47: 1176–1185. 13. Daumer M, Neuhaus A, Morrissey S, et al. MRI as an outcome in multiple sclerosis clinical trials. Neurology 2009; 72: 705–711. 14. Sormani MP, Bonzano L, Roccatagliata L, et al. Magnetic resonance imaging as a potential surrogate for relapses in multiple sclerosis: a meta-analytic approach. Ann Neurol 2009; 65: 268–275. 15. Schumacher GA, Beebe G, Kibler RF, et al. Problems of experimental trials of therapy in multiple sclerosis: report by the panel on the evaluation of experimental trials of therapy in multiple sclerosis. Ann N Y Acad Sci 1965; 122: 552–568. 16. Guillain G. J.-M. Charcot, 1825–1893; his life – his work. New York: Hoeber, 1959. 17. Marburg O. Die sogenannte akute mulltiple sklerose (encephaloyelitis periaxialis scleroticans). Jahrb Psychiat Neurol 1906; 27: 213–312. 18. MacIntyre HD. Prognosis of multiple sclerosis. Arch Neuro Psychiat 1943; 50: 431–438. 19. Poser CM, Paty DW, Scheinberg L, et al. New diagnostic criteria for multiple sclerosis: guidelines for research protocols. Ann Neurol 1983; 13: 227–231. 20. Poser CM, Paty DW, Scheinberg L, et al. New diagnostic criteria for multiple sclerosis: guidelines for research protocols. Ann Neurol 1983; 13: 227–231. 21. McDonald WI, Compston A, Edan G, et al. Recommended diagnostic criteria for multiple sclerosis: guidelines from the International Panel on the diagnosis of multiple sclerosis. Ann Neurol 2001; 50: 121–127. 22. Brownlee WJ, Hardy TA, Fazekas F, et al. Diagnosis of multiple sclerosis: progress and challenges. Lancet 2017; 389: 1336–1346. 23. Polman CH, Reingold SC, Edan G, et al. Diagnostic criteria for multiple sclerosis: 2005 revisions to the "McDonald Criteria". Ann Neurol 2005; 58: 840–846. 24. Polman CH, Reingold SC, Banwell B, et al. Diagnostic criteria for multiple sclerosis: 2010 revisions to the McDonald criteria. Ann Neurol 2011; 69: 292–302. 25. Thompson AJ, Banwell BL, Barkhof F, et al. Diagnosis of multiple sclerosis: 2017 revisions of the McDonald criteria. Lancet Neurol 2018; 17: 162–173. 26. Montalban X. Review of methodological issues of clinical trials in multiple sclerosis. J Neurol Sci 2011; 311(Suppl. 1): S35–S42. 27. Sormani MP, Tintore M, Rovaris M, et al. Will Rogers phenomenon in multiple sclerosis. Ann Neurol2008; 64: 428–433. 28. Arkin H, Sherman IC and Weinberg SL. Tetraethylammonium chloride in the treatment of multiple sclerosis. AMA Arch Neurol Psychiatry 1950; 64: 536–545. 29. Alexander L. A new concept of critical steps in the course of chronic debilitating disease of the nervous system as a means of understanding response to therapy; a longitudinal study of multiple sclerosis by quantitative evaluation of neurologic involvement and disability. Trans Am Neurol Assoc 1951; 56: 229–231. 30. Bauer H, Thiemann KJ and Wieding E. Isoniazid treatment of multiple sclerosis. Medizinische 1957; 10: 33–35. 31. Meyer-Moock S, Feng YS, Maeurer M, et al. Systematic literature review and validity evaluation of the Expanded Disability Status Scale (EDSS) and the Multiple Sclerosis Functional Composite (MSFC) in patients with multiple sclerosis. BMC Neurol 2014; 14: 58. 32. Kurtzke JF. Rating neurologic impairment in multiple sclerosis: an expanded disability status scale (EDSS). Neurology 1983; 33: 1444–1452. 33. Cohen JA, Reingold SC, Polman CH, et al. Disability outcome measures in multiple sclerosis clinical trials: current status and future prospects. Lancet Neurol 2012; 11: 467–476. 34. Hyland M and Rudick RA. Challenges to clinical trials in multiple sclerosis: outcome measures in the era of disease-modifying drugs. Curr Opin Neurol 2011; 24: 255–261. 35. Rawal N, Lee YJ, Whitaker JN, et al. Urinary excretion of NG-dimethylarginines in multiple sclerosis patients: preliminary observations. J Neurol Sci 1995; 129: 186–191. 36. Cutter GR, Baier ML, Rudick RA, et al. Development of a multiple sclerosis functional composite as a clinical trial outcome measure. Brain 1999; 122(Pt 5): 871–882. 37. Kalkers NF, Bergers L, de Groot V, et al. Concurrent validity of the MS Functional Composite using MRI as a biological disease marker. Neurology 2001; 56: 215–219. 38. Becker JB, Rudick CN and Jenkins WJ. The role of dopamine in the nucleus accumbens and striatum during sexual behavior in the female rat. J Neurosci 2001; 21: 3236–3241. 39. Cohen JA, Cutter GR, Fischer JS, et al. Benefit of interferon beta-1a on MSFC progression in secondary progressive MS. Neurology 2002; 59: 679–687. . 40. Giovannoni G, Turner B, Gnanapavan S, et al Is it time to target no evident disease activity (NEDA) in multiple sclerosis? Mult Scler Relat Disord 2015; 4: 329–333. 41. Kieseier BC and Stuve O. A critical appraisal of treatment decisions in multiple sclerosis – old versus new. Nat Rev Neurol 2011; 7: 255–262. 42. Giovannoni G, Bermel R, Phillips T, et al. A brief history of NEDA. Mult Scler Relat Disord 2018; 20: 228–230. 43. Giovannoni G, Tomic D, Bright JR, et al. "No evident disease activity": the use of combined assessments in the management of patients with multiple sclerosis. Mult Scler 2017; 23: 1179–1187. 44. Multiple sclerosis. Proceedings of the International Conference on Therapeutic Trials in Multiple Sclerosis. Grand Island, NY, April 23–24, 1982. Arch Neurol 1983; 40: 663–710. 45. Rudick RA, Larocca N, Hudson LD, et al. Multiple sclerosis outcome assessments consortium: genesis and initial project plan. Mult Scler 2014; 20: 12–17. 46. Butzkueven H, Chapman J, Cristiano E, et al. MSBase: an international, online registry and platform for collaborative outcomes research in multiple sclerosis. Mult Scler 2006; 12: 769–774. Visit SAGE journals online journals.sagepub.com/ home/tan SAGE journals
SCIENTIFIC AMERICAN MIND SPECIAL EDITIONSUMMER 2016 By Robert Epstein A scientific analysis ranks the 10 most effective childrearing practices. Surprisingly, some don't even involve the kids If you search the book section of Amazon.com for "dieting," you will find more than 76,000 listings. But "parenting" yields a much bigger number: more than 180,000, including books such as Jane Rankin's Parenting Experts, which do nothing but evaluate the often conflicting advice the experts offer. People, it seems, are even more nervous about their parenting than they are about their waistlines. Why is there such chaos and doubt when it comes to parenting? Why, in fact, do most parents continue to parent pretty much the way their own parents did—or, if they disliked the way they were raised, the exact opposite way? Shouldn't we all just find out what the studies say and parent accordingly? A growing body of research conduct- MIND.SCIENTIFICAMERICAN.COM ed over the past 50 years shows fairly clearly that some parenting practices produce better outcomes than others— that is, better relationships between parent and child and happier, healthier, better functioning children. And just as we use medical science cautiously and strategically to make everyday health decisions, we can also make wise use of research to become better parents. A recent study I conducted with Shannon L. Fox, then a student at the University of California, San Diego, which we presented at a meeting of the American Psychological Association, compared the effectiveness of 10 kinds of parenting practices that have gotten the thumbs-up in various scientific studies. It also showed how parenting experts rate those practices and looked at just how many parents actually use those practices. In other words, we compared three things: what experts advise, what really seems to work and what parents actually do. Our study confirmed some widely held beliefs about parenting—for example, that showing your kids that you love them is essential—and it also yielded some surprises, especially regarding the importance of a parent's ability to manage stress in his or her own life. TEN IMPORTANT COMPETENCIES To figure out which parenting skills were most important, we looked at data from about 2,000 parents who had recently taken an online test of parenting skills I developed (which is accessible at http:// MyParentingSkills.com) and who also answered questions about their children. Parents did not know this when they took the test, but the skills were organized into 10 categories, all of which derive from published studies that show that such skills are associated with good FAST FACTS ESSENTIAL PARENTING SKILLS n n Decades of research reveal 10 essential parenting skill sets. A study of 2,000 parents determined which skills are most important to bringing up healthy, happy and successful kids. o o Giving love and affection tops the list. Then comes a surprise: managing stress and having a good relationship with the other parent are more helpful than some child-focused behaviors. p p All types of people are equally competent at child-rearing—and anyone can learn how to be a better parent with a little effort. 60 SCIENTIFIC AMERICAN MIND SPECIAL EDITIONSUMMER 2016 outcomes with children. The 10 skill areas measured by the test were also evaluated by 11 parenting experts unknown to Fox and me, and we in turn were unknown to them (in other words, using a double-blind evaluation procedure). On the test, parents indicated for 100 items how much they agreed with statements such as "I generally encourage my child to make his or her own choices," "I try to involve my child in healthful outdoor activities" and "No matter how busy I am, I try to spend quality time with my child." Test takers clicked their level of agreement on a five-point scale from "agree" to "disagree." Because all the items were derived from published studies, the answers allowed us to compute an overall skill level for each test taker, as well as separate skill levels in each of the 10 competency areas. Agreement with statements that described sound parenting practices (again, according to those studies) yielded higher scores. The 10 kinds of parenting competencies, which we call "The Parents' Ten," include obvious ones such as managing problem behavior and expressing love and affection, as well as practices that affect children indirectly, such as maintaining a good relationship with one's coparent and having practical life skills [ see box on opposite page for a complete list ]. In addition to asking test takers basic demographic questions about their age, education, marital status, parenting experience, and so on, we also asked them questions about the outcomes of their parenting, such as "How happy have your children been (on average)?"; "How successful have your children been in school or work settings (on average)?"; and "How good has your relationship been with your children (on average)?" For questions such as these, test takers clicked on a 10-point scale from low to high. With scores in hand for each parent on all "The Parents' Ten," along with their general assessments regarding the outcomes of their parenting, we could now use a statistical technique called regression analysis to determine which competencies best predict good parenting outcomes. For an outcome such as the child's happiness, this kind of analysis allows us to say which parenting skills are associated with the most happiness in children. LOVE, AUTONOMY AND SURPRISES Our most important finding confirmed what most parents already believe, namely, that the best thing we can do for our children is to give them lots of love and affection. Our experts agreed, and our data showed that this skill set is an excellent predictor of good outcomes with children: of the quality of the relationship we have with our children, of their happiness, and even of their health. What's more, parents are better at this skill than they are at any of the others. We also confirmed what many other studies have shown: that encouraging children to become independent and autonomous helps them to function at a high level. But our study also yielded a number of surprises. The most surprising finding was that two of the best predictors of good outcomes with children are in fact indirect: maintaining a good relationship with the other parent and managing your own stress level. In other words, your children benefit not just from how you treat them but also from how you treat your partner and yourself. Getting along with the other parent is necessary because children inherently want their parents to get along. Many years ago, when my first marriage was failing, my six-year-old son once led me by the hand into the kitchen where his mom was standing and tried to tape our hands together. It was a desperate act that conveyed the message: "Please love each other. Please get along." Children do not like conflict, especially when it involves the two people in the world they The Parents' Ten Here are 10 competencies that predict good parenting outcomes, listed roughly in order from most to least important. The skills—all derived from published studies—were ranked based on how well they predict a strong parent-child bond and children's happiness, health and success. –R.E. love most. Even in co-parenting situations where parents live apart, it is crucial to adhere to practices that do not hurt children: to resolve conflicts out of sight of the children, to apologize to one another and forgive each other (both can be done in front of the kids), to speak kindly about the other parent, and so on. Stress management is also important for good parenting, just as it is vital in all aspects of life. In our study, parents' ability to manage stress was a good predictor of the quality of their relationship with their kids and of how happy their children were. Perhaps more telling, people who rated themselves as great parents 1. Love and affection You support and accept the child, are physically affectionate and spend quality one-on-one time together. 2. Stress management You take steps to reduce stress for yourself and your child, practice relaxation techniques and promote positive interpretations of events. 3. Relationship skills You maintain a healthy relationship with your spouse, significant other or co-parent and model effective relationship skills with other people. 4. Autonomy and independence You treat your child with respect and encourage him or her to become self-sufficient and self-reliant. 5. Education and learning You promote and model learning and provide educational opportunities for your child. 6. Life skills You provide for your child, have a steady income and plan for the future. 7. Behavior management You make extensive use of positive reinforcement and punish only when other methods of managing behavior have failed. 8. Health You model a healthy lifestyle and good habits, such as regular exercise and proper nutrition, for your child. 9. Religion You support spiritual or religious development and participate in spiritual or religious activities. 10. Safety You take precautions to protect your child and maintain aware ness of the child's activities and friends. scored more highly on stress management than on any of the other nine parenting competencies. There is, possibly, a simple lesson here: parents who lose their temper around their kids know it is bad parenting. Keeping calm is probably step one in good parenting. Fortunately, stress-management practices such as meditation, imagery techniques and breathing exercises can be learned, no matter what one's natural tendencies. People can also learn better organizational skills and even ways of managing stressful thinking. Keeping children safe—a matter of almost obsessive concern among American parents these days—seems to have both positive and negative outcomes. On the bright side, in our study safety skills did contribute to good health outcomes. But being overly concerned with safety appears to produce poorer relationships with children and appears to make children less happy. A study by Barbara Morrongiello and her colleagues at the University of Guelph in Ontario shows how complex the safety issue can be. In their study, young people between the ages of seven and 12 said that even though they were generally conforming to the safety rules of their parents, they planned to behave like their parents when they grew up, even where their parents were, by their own standards, behaving unsafely. Had they detected their parents' hypocrisy? Another surprise involves the use of behavior-management techniques. Although my own training in psychology (under the pioneering behavioral psychologist B. F. Skinner) suggests that sound behavior management—providing lots of reinforcement for good behavior, THE AUTHOR ROBERT EPSTEIN, senior research psychologist at the American Institute for Behavioral Research and Technology in Vista, Calif., is a contributing editor for Scientific American Mind and former editor in chief of Psychology Today. His latest book is Teen 2.0: Saving Our Children and Families from the Torment of Adolescence (Linden Publishing, 2010). MIND.SCIENTIFICAMERICAN.COM for example—is essential for good parenting, our study casts doubt on this idea. Behavior management ranked low across the board: it was a poor predictor of good outcomes with children; parents scored relatively poorly in this skill area; and our experts ranked it ninth in our list of 10 competencies. In general, we found that parents are far better at educating their children and keeping them safe than they are at managing stress or maintaining a good relationship with the other parent, even though the latter practices appear to have more influence on children. Getting along with one's co-parent is the third most important practice, but it ranked eighth on the parents' list of actual abilities. Even more discouraging, stress management (number two in importance) ranked 10th. WHO MAKE GOOD PARENTS? Setting aside "The Parents' Ten" for the moment, our study also shed some interesting light on what characteristics a good parent has. A general parenting ability appears to exist—something like the "g" factor that exists for intelligence (also known as general intelligence). The g factor for parenting emerged very strongly in our study using a statistical technique called factor analysis, which organizes large amounts of test data by clustering test items into a small number of highly predictive variables. Some people just seem to have a knack for parenting, which cannot be easily described in terms of specific skills. We also found that a number of characteristics that people often associate with good parenting are probably not very significant. For example, women appear to be only a hair better than men at parenting these days—a huge change in our culture. Women scored 79.7 percent on our test, compared with 78.5 percent for men—a difference that was only marginally significant. Parents who were older or who had more children also did not produce significantly better parenting outcomes in our study. Parents seem to perform just as well 62 SCIENTIFIC AMERICAN MIND whether or not they have ever been married, and divorced parents appear to be every bit as competent as those who are still married, although their children are somewhat less happy than the children of parents who were never divorced. Neither race nor ethnicity seems to contribute much to parenting competence, and gays and straights are just about equal in parenting ability. In fact, gays actually outscored straights by about 1 percentage point in our test. One characteristic that does seem to make a difference is education: generally speaking, the more the education, the better the parenting. This might be because better educated people also work harder to improve their parenting skills through parent education programs (confirmed by our data). It is also possible that good parents—those with a high parenting g—are also generally competent people who are better educated. In other words, the g for parenting might be the same as the g for intelligence, a matter to be explored in future research. The bottom line on such findings is that if you really want to know about an Ewww ... gross! Maintaining a healthy relationship with your co-parent (spouse or otherwise) is one of the most important child-rearing practices. It is good for kids to see respect, forgiveness and, yes, even love and affection. individual's competence as a parent, you should measure that competence directly rather than default to commonly held stereotypes. In the U.S., after all, women did not get the vote until 1920 because of faulty assumptions about female limitations. I believe this is one of the main lessons of our study: there is simply no substitute for the direct measure of competence. Perhaps the best news is that parents are trainable. Our data confirm that parents who have taken parenting classes produce better outcomes with their children than parents who lack such training and that more training leads to better outcomes. Training programs, such as the evidence-based Parenting Wisely program developed by Donald A. Gordon of Ohio University, can indeed improve parenting practices. Programs are available in major cities around the country, sometimes sponsored by local therapists or state or county agencies. The National Effective Parenting Initiative, which I have been associated with since its inception in 2007, is working to make quality parent training more widely available (see http:// EffectiveParentingUSA.org for additional information). WHERE EXPERTS FAIL Although parenting experts do indeed offer conflicting advice at times (perhaps SPECIAL EDITIONSUMMER 2016 because they don't keep up with the studies!), our experts generally did a good job of identifying competencies that predict positive outcomes with children. There were two notable exceptions: First, they ranked stress management eighth in our list of 10 competencies, even though it appears to be one of the most important competencies. Second, our experts seemed to be biased against the religion and spirituality competency. They ranked it rock bottom in the list of 10, and several even volunteered negative comments about this competency area, even though studies suggest that religious or spiritual training is good for children. Historically, clinicians and behavioral scientists have shied away from religious issues, at least in their professional lives; that could explain the discomfort our experts expressed about religious Parents who focus too much on keeping their children safe may see their efforts backfire, winding up with unhappy kids or a poor parent-child relationship. Kids fare better when parents encourage autonomy. or spiritual training for children. Why they were so far off on stress management is truly a mystery, however, given psychology's long interest in both the study and treatment of stress. I can only speculate that stress management is not widely taught in graduate programs in psychol- ogy-related fields as an essential component of good parenting. It should be. BRINGING IT HOME Tempering one's parenting with relevant scientific knowledge can truly have great benefits for one's family. It can reduce or eliminate conflict with one's children, for one thing, which in turn can improve a marriage or co-parenting relationship. It can also help produce happier, more capable children. I have seen how this works in my own parenting. I am a much better parent with my younger children (who range in age from nine to 17) than I was with my older two (now 34 and 36). The more I have learned about parenting over the years, the more loving and skillful I have become, with obvious benefits. These days I really do hug my children and tell them I love them several times a day, every day, without exception. When love is never in question, children are much more understanding and tolerant when a parent needs to set limits, which I do regularly. I have also learned to stay calm—to improve the way I react to things. When I am calm, my children are, too, and we avoid that deadly cycle of emotional escalation that can ruin relationships. Most important, I am much more a facilitator now than a controller. While building my own competence as a parent, I have also put more effort into recognizing and strengthening the competence of my children, helping them to become strong and independent in many ways. My 17-year-old son is now a calm, helpful role model to his siblings, and by the time she was 10, even before I had gotten out of bed, my daughter had often made scrambled eggs for all of us—and cleaned up, too. M MORE TO EXPLORE ■ ■ The Encyclopedia of Parenting Theory and Research. Edited by Charles A. Smith. Greenwood Press, 1999. ■ ■ The Positive Parent: Raising Healthy, Happy, and Successful Children, Birth-Adolescence. Kerby T. Alvy. Teachers College Press, 2008. ■ ■ The Process of Parenting. Ninth edition. Jane B. Brooks. McGraw-Hill Education, 2012. ■ ■ To take the author's parenting tests, visit http://MyParentingSkills.com and http://TeenParentingSkills.com MIND.SCIENTIFICAMERICAN.COM
Day SCHOOL CLUBS SCHEDULE - AUTUMN TERM 2019 Please see below for a full list of our current school clubs. We are proud to be able to offer approximately 60 clubs this term, covering a huge variety of activities for all our students. Please encourage your son/daughter to attend any activities which may be of interest to them. Due to a large number of sporting fixtures, number of daylight hours and facilities available, training nights may change each week. Students will be informed via their form tutors on a Friday morning as to the training schedule for the following week. We will try to ensure a training session every week for each year group, however, owing to the above factors, this may not always be possible. Day Activity StartTime Finish Time Where Members Department \| Paired Maths Support \| 8.45am (Tutor Time) \| 9.10am \| M3 \| Year 11 by invitatoin only \| \|---\|---\|---\|---\|---\| \| Jazz Band \| 8.45am (Tutor Time) \| 9.10am \| Music Studio \| Grade 3 minimum \| \| Ukulele Club \| 1.45pm (Break 2) \| 2.15pm \| MU1 \| All year groups \| \| Supervised Study Club \| 3.15pm \| 4.30pm \| Meet in IT3 \| By prior agreement \| \| Biology A Level Clinic \| 3:15pm \| 4:15pm \| S9 \| Years 12-13 \| \| A-Level Physics Drop in Clinic \| 3.15pm \| 4.15pm \| S4 \| Years 12-13 \| \| Sing-A-Long Karaoke \| 3.15pm \| 4.00pm \| MU1 \| Year 7 \| \| Rugby \| 3.15pm \| 4.15pm \| Sports Field \| Years 10/11 Boys \| \| Rugby \| 3.15pm \| 4.15pm \| Sports Field \| Years 8/9 Boys \| \| Badminton \| 3.15pm \| 4.15pm \| Sports Hall \| All years (limited numbers) \| \| Netball \| 3.15pm \| 4.15pm \| Courts \| Year 11 boys & girls \| \| Netball \| 3.15pm \| 4.15pm \| Courts \| Years 9/10 boys & girls \| \| Hockey \| 3.15pm \| 4.15pm \| Astro \| Years 7/8 boys & girls \| \| Netball \| 3.15pm \| 4.15pm \| Courts \| Year 7 boys & girls \| \| GCSE Drama Surgery \| 3.30pm \| 5.00pm \| DS1 \| Years 10/11, must be booked with teacher \| \| GCSE Music Clinic \| 3.30pm \| 4.15pm \| MU2 \| Year 11 (Year 10 invited) \| \| Actviity \| Start Time \| Finish Time \| Where \| Members \| \| Morning Maths \| 8.45am (Tutor Time) \| 9.10am \| M3 \| Year 7 by invitatoin only \| \| Paired Maths Support \| 8.45am (Tutor Time) \| 9.10am \| M3 \| Year 11 by invitatoin only \| \| Girls’ Choir \| 8.45am (Tutor Time) \| 9.10am \| MU1 \| All year groups \| \| Orchestra \| 8.45am (Tutor Time) \| 9.10am \| Music Studio \| All year groups \| \| Rock Band (Years 7 and 8) \| 1.45pm (Break 2) \| 2.15pm \| MU1 \| Years 7-8 \| \| A-Level Business Surgery \| 1.45pm (Break 2) \| 2.15pm \| BS2 \| Year 12-13 \| \| KS4 IT Catch Up Sessions \| 3.15pm \| 4.15pm \| IT1 \| Years 10 & 11 \| \| MFL Film Club \| 3,15pm \| 4.15pm \| MFL2 \| All Year groups \| \| Psychology GCSE \| 3.30pm \| 4.30pm \| IT5 \| By invitatoin only \| \| Supervised Study Club \| 3.15pm \| 4.30pm \| Meet in IT3 \| By prior agreement \| \| A-Level Chemistry Drop In Clinic \| 3:15pm \| 4:15pm \| S5 \| Years 12-13 \| \| Science Journal club \| 3.30pm \| 4.30pm \| S7 \| Years 12/13 \| \| KS5 Maths Support Clinic \| 3.30pm \| 4.30pm \| M5/M6 \| Years 12/13 \| \| Geography GCSE Revision \| 3.30pm \| 4.30pm \| H1, H2 or H3 \| Year 11 \| \| GCSE Devising Log Clinic \| 3.30pm \| 4.30pm \| IT2 \| Years 10 and 11 \| \| Lower School Drama Club \| 3.30pm \| 4.30pm \| DS1 \| Years 7 and 8 \| \| Dance Club \| 3.30pm \| 4.30pm \| Dance Studio \| Years 8 and 9 \| \| Musical Band Rehearsal \| 3.30pm \| 4.30pm \| Musical Studio \| All year groups \| \| Rugby \| 3.15pm \| 4.15pm \| Sports Field \| Year 7 boys \| \| Girls’ Rugby \| 3.15pm \| 4.15pm \| Sports Field \| All year groups \| \| Girls’ Rugby (Windsor Rugby Club) \| 3.15pm \| 4.15pm \| tbc \| By invitatoin only \| \| Cricket \| 3.15pm \| 4.15pm \| Nets \| All year groups \| \| Hockey \| 3.15pm \| 4.15pm \| Astro \| Years 9/10 boys & girls \| \| Netball \| 3.15pm \| 4.15pm \| Courts \| Year 8 \| \| Fitness \| 3.15pm \| 4.15pm \| Leisure Centre \| Years 10/11 boys & girls \| i i i i Day Day \| Activity \| Start Time \| Finish Time \| Where \| Members \| \|---\|---\|---\|---\|---\| \| Fitness Club (Boot Camp) \| 7:45am \| 8:15am \| Leisure Centre \| All year groups \| \| A-Level Economics Surgery \| 11:15am (BREAK 1) \| 11:45am \| BS3 \| Years 12-13 \| \| English Drop-in Clinic \| 3.15pm \| 4.30pm \| E7 \| Year 10-11 \| \| Supervised Study Club \| 3.15pm \| 4.30pm \| Meet in IT3 \| By prior agreement \| \| Computer Science Clinic \| 3.15pm \| 4.15pm \| IT1 \| Years 11-13 \| \| Psychology Clinic - Week 2 only \| 3.15pm \| 4pm \| PS1 \| Sixth Form Psychology students \| \| Science Club \| 3:20pm \| 4:20pm \| S4 \| Years 7-9 \| \| Musical Rehearsals \| 3:30pm \| 5pm \| DS1 \| Cast \| \| Girls’ Football \| 3:15pm \| 4:15pm \| Astro \| All year groups \| \| Rugby Skills \| 3.15pm \| 4.15pm \| Sports Field \| Year 7 boys \| \| Year 7 Fitness \| 3.15pm \| 4.15pm \| Leisure Centre \| Year 7 boys & girls \| \| Activity \| Start Time \| Finish Time \| Where \| Members \| \| Morning Maths \| 8:45am (Tutor Time) \| 9:10am \| M3 \| Year 7 by invitation only \| \| Paired Maths Support \| 8:45am (Tutor Time) \| 9:10am \| M3 \| Year 11 by invitation only \| \| Whole School Choir \| 8.45am (Tutor Time) \| 9.10am \| MU1 \| All year groups \| \| Glee Club \| 1.45pm (Break 2) \| 2.15pm \| MU1 \| By invitation only \| \| Supervised Study Club \| 3:15pm \| 4:30pm \| Meet in IT3 \| By prior agreement \| \| Maths GCSE Revision/Support \| 3:15pm \| 4:15pm \| Maths classrooms \| Year 11 \| \| KS5 IT Catch Up Sessions \| 3:15pm \| 4:15pm \| IT4 \| Years 12 & 13 \| \| Engineering Club /Robot Wars/ GreenPower \| 3:20pm \| 4:20pm \| S4 \| Years 9-13 \| \| Warhammer Club \| 3:30pm \| 4:30pm \| PSHE 1 \| All years \| \| Years 8/9 Fitness \| 3:15pm \| 4:15pm \| Leisure Centre \| Yesars 8/9 boys & girls \| i ng Day \| Activity \| Start Time \| Finish Time \| Where \| Members \| \|---\|---\|---\|---\|---\| \| Morning Maths \| 8:45am (Tutor Time) \| 9:10am \| M3 \| Year 7 by invitation only \| \| Paired Maths Support \| 8:45am (Tutor Time) \| 9:10am \| M3 \| Year 11 by invitation only \| \| Chamber Choir \| 8.45am (Tutor Time) \| 9.10am \| MU1 \| Years 9-13 by invitation only \| \| Rock Band (Years 9-11) \| 1.45pm (Break 2) \| 2.15pm \| MU1 \| Years 9-11 \| \| Maths Master Classes \| 3:15pm \| 4:15pm \| M3 \| Year 7 by invitation only \| \| Supervised Study Club \| 3:15pm \| 4:30pm \| Meet in IT3 \| By prior agreement \| \| Further Maths Support: Years 12- 13 Further Mathematicians \| 3:15pm \| 4:15pm \| M2 \| Years 12-13 \| \| Art Catch-up Club \| 3:15pm \| 4:30pm \| Art Block \| By invitation only (Years 9-11) \| i i
Non-U.S. Concentrated Growth Source: FactSet Returns calculated in U.S. Dollars. The value of investments can fluctuate. Data assumes reinvestment of dividends and capital gains. Data reflects past performance. Past performance does not guarantee future results. Periods greater than one year have been annualized. Quarterly Top Relative Contributors and Detractors \| Contributor \| (%) \| \|---\|---\| \| Li Ning Co Ltd \| 0.47 \| \| Novo Nordisk A/S \| 0.37 \| \| AstraZeneca PLC \| 0.36 \| \| Thales SA \| 0.17 \| \| ASML Holding NV \| 0.17 \| \| Detractor \| (%) \| \|---\|---\| \| Segro PLC \| -0.52 \| \| Schneider Electric SE \| -0.51 \| \| Atlassian Corp PLC \| -0.48 \| \| Adyen NV \| -0.36 \| \| Lonza Group AG \| -0.35 \| Attribution Analysis One Year Ending June 30, 2022 Source: FactSet FOR INSTITUTIONAL USE ONLY Quarterly Review At a Glance Inception: April 1, 2009 Benchmark: MSCI ACWI ex-U.S. AUM: $942.36 million Portfolio Management Team Non-U.S. Concentrated Growth Investing With a Well-Defined Bottom-Up Growth Philosophy We believe that accelerating, sustainable growth in revenues and earnings, driven by an inflection in business fundamentals, results in stock price outperformance. * markets are inefficient at identifying such points. * Our process is designed to uncover stocks that outperform as earnings growth accelerates, market expectations rise and multiples expand. We believe the direction of earnings growth is a more powerful predictor of stock price performance than the absolute level of growth. Investment Process INVESTMENT UNIVERSE Market capitalization >$3B Sufficient trading liquidity \| IDEA GENERATION \| FUNDAMENTAL ANALYSIS \| PORTFOLIO CONSTRUCTION \| PORTFOLIO23 \| \|---\|---\|---\|---\| \| \| \| \| 30-50 Holdings \| \| Identify companies exhibiting accelerating growth and improving fundamentals: Fundamental information flow Quantitative screens \| Confirm acceleration is genuine and sustainable \| Focus portfolio on best ideas Monitor risk controls and guidelines13 \| \| There are no guarantees that objectives or targets will be achieved. Risk management does not imply low risk. FOR INSTITUTIONAL USE ONLY Goal Seeks to outperform the MSCI ACWI ex-U.S. by 3% to 4% annualized over a market cycle. Risk Guidelines Maximum position size: 5% active weight Regional exposure: +/- 25% of benchmark weight Sector exposure: +/- 25% of benchmark weight Emerging markets exposure: < 50% Expected tracking error: 3% to 7% versus benchmark INFLECTION SUSTAINABILITY EARNINGS GAP VALUATION/ RISK-REWARD Portfolio Characteristics Source: FactSet Forecasts are not a reliable indicator of future performance. Top 10 Holdings Source: FactSet Top 10 Overweights Source: FactSet The holdings listed should not be considered recommendations to purchase or sell a particular security. Equity holdings are grouped to include common shares, depository receipts, rights and warrants issued by the same company. Portfolio holdings subject to change without notice. Sector Allocation Source: FactSet Quarterly Sector Performance Source: FactSet When shown, "Diversified" includes portfolio holdings that cannot be attributed to a specific GICS sector. Country Allocation: Top 10 Over/Underweights Source: FactSet Quarterly Top Relative Contributors and Detractors by Country Source: FactSet Risk-Adjusted Performance Three-Year Risk-Adjusted Performance vs. eVestment ACWI ex-US Large Cap Equity vs. MSCI ACWI ex-U.S., Citigroup 3-Month T-Bill *American Century Investments Non-U.S. Concentrated Growth Source: eVestment Analytics Excess returns are gross of fees. Number of products in the universe was 127. Quarterly Commentary Market Review Macroeconomics and war helped push stocks near bear market territory. Inflation, hawkish monetary policy, soaring energy prices and supply chain disruptions weighed on non-U.S. equities, which experienced declines of close to 20% from recent highs. An abundance of bad news pressured growth stocks. Concerns about inflation, interest rates and geopolitical issues weakened the outlook for growth. Defensive sectors continued to outperform amid supply chain shortages and higher interest rates. Longer-duration, traditionally growth-oriented sectors, including information technology and communication services, lagged. Information technology names detracted. Disappointing results from IT services holdings, such as Shopify, Adyen and Capgemini, and software name Atlassian detracted from results. Industrials holdings detracted. Select industrials holdings declined. Schneider Electric was pressured by weaker construction activity in China, the U.S. and Europe. Pharmaceuticals holding contributed. Novo Nordisk gained on the success of its obesity drug. Strong results could lead to consensus upgrades for 2022. Portfolio positioning remains consistent with our long-term process. We remain focused on bottom-up fundamentals and continue to find opportunities in solid companies with underlying structural drivers. New ideas and exited positions are driven by stock-specific data rather than short-term macroeconomic shifts. Key Contributors Li Ning. The stock advanced as sales pressure gradually lessened with the easing of COVID-19 restrictions in China. Reopening led to improved retail activity in sportswear. We believe that solid operations and strong branding should support future growth, and we see upside from government policies supporting sports participation. Novo Nordisk. Continued success of the firm's obesity and diabetes drugs raised investor optimism for positive earnings results. In our view, second-quarter results are likely to be strong, and we see potential for an upgrade to both sales and operating profit guidance for 2022, which could lead to consensus upgrades. AstraZeneca. Better-than-expected reported results aided by coronavirus vaccine sales boosted the stock. The company continued to see broad-based growth in areas such as oncology drugs and treatments for rare diseases. We believe the near-term growth outlook is strong as it is supported by multiple early stage opportunities. Key Detractors Segro. Shares of the U.K.been significant, and investors remained cautious about noncommitted development and the outlook for retail landlords. Schneider Electric. Lockdowns in China and structural challenges to growth in construction related to Chinese government policy introduced last year weighed on the stock. In addition, investors grew concerned about increasing risk of demand destruction from a slowdown in construction activity in Europe and the U.S. Atlassian. increased spending on new product development, sales and marketing remained an overhang on near-term margins and profitability. Notable Trades Alcon. While the business suffered during the pandemic, we believe it should continue to improve as COVID-19 recedes and more surgical procedures are done. In addition, Alcon has improved its contact lens business with premium products and better manufacturing, which should result in sustainable growth and margin improvement. Thales. We purchased stock of this France-based aerospace and defense company with expertise in defense electronics and cybersecurity systems. We believe the firm will see strong growth in defense sales given announced increases in defense spending by European countries and greater attention to defense spending globally. Partners Group Holding. We sold the stock as we believe the firm's private equity investment return profile will face increasing pressure. Lower stock market valuations depress performance fees tied to the realized value of private equity investments, and rising interest rates put financial pressure on business operations. CRH. CRH is the largest building materials supplier in North America and among the market leaders in Europe. We are concerned about potential risk from cost headwinds as significant energy cost volatility may negatively affect margins with increased uncertainty in Eastern Europe. We sold the stock. Top Holdings The portfolio continues to invest in companies where we believe business fundamentals are improving and where we have high conviction are highlighted below. Novo Nordisk. We believe the pharmaceutical company should continue to see accelerating growth trends due to the launch of Rybelsus, which is used to treat Type 2 diabetes, the approval of semaglutide (the chemical name of Rybelsus) to treat obesity and a full phase 3 product pipeline. AstraZeneca. Already generating strong revenue growth from new product launches in multiple areas including cancer and cardiovascular, the firm has one of the strongest pipelines in the industry with several products in late stages of the approval process. We see upside from continued revenue growth and margin expansion driven by operating leverage. Canadian Pacific Railway. We believe the company should benefit from exposure to key bulk commodities such as wheat and coal, which have enjoyed significant pricing moves in light of the ongoing Russia-Ukraine conflict. The decision to enter binding arbitration helped the company avoid the uncertainty of prolonged contract negotiations. CSL. We believe that the pending acquisition of Vifor Pharma should be value accretive for CSL shareholders. In addition, plasma collection is improving sequentially, and investments in research and development and capital spending should enable the firm to maintain its market leadership in innovation. ICON. The company is benefiting from the global pharmaceuticals industry trend toward outsourcing of manufacturing and ingredients. Strategic benefits and synergies from the recent PRA Health Sciences acquisition have expanded the total market opportunity and could drive earnings acceleration. Bookings continue to accelerate. Iberdrola. We believe this global leader in electricity infrastructure and renewable energy generation is well positioned to benefit from renewables growth and rising long-term power price expectations. Iberdrola is one of the best operators with the strongest platform to capitalize on the decarbonization trend, in our view. HSBC Holdings. costs. As the Hong Kong bank is levered to U.S. interest rates, the steepening yield curve should aid net interest margins. HSBC also plans to divest from less profitable geographies and accelerate growth in Asia. Schneider Electric. The firm benefits from demand for electrical grid improvements and greater efficiency of electrical systems. We think Schneider could also benefit from increased investment to upgrade the grid and systems to accommodate electric vehicles and hybrids. Lonza Group. This contract manufacturer appears well positioned to capitalize on the growing secular trend of outsourcing, as pharmaceutical and biotechnology companies increasingly shift their focus to research and development. We think Lonza will also benefit from more outsourcing of biologics manufacturing with its higher level of complexity. Taiwan Semiconductor Manufacturing Co. The firm continues to benefit from growing global semiconductor demand. Management raised 2022 sales guidance with high-performance computing and automotive content driving growth. The company's confidence in its capacity plans is backed up by customer demand related to long-term megatrends, in our view. Available Vehicles \| Separate Account \| Available in U.S. and certain non-U.S. countries \| \|---\|---\| \| SMA \| Available in U.S. and certain non-U.S. countries \| \| Focused International Growth Fund \| \| \| I Share Class - AFCSX \| Available only in U.S. \| \| Investor Share Class - AFCNX \| Available only in U.S. \| \| A Share Class - AFCLX \| Available only in U.S. \| \| C Share Class - AFCHX \| Available only in U.S. \| \| R Share Class - AFCWX \| Available only in U.S. \| \| R6 Share Class - AFCMX \| Available only in U.S. \| The opinions expressed are those of the American Century Investments management and are no guarantee of the future performance of any American Century Investments portfolio. Statements regarding specific sectors represent personal views and compensation has not been received in connection with such views. This information is for an educational purpose only is not intended to serve as investment advice. The information is not intended as a personalized recommendation or fiduciary advice and should not be relied upon for investment, accounting, legal or tax advice. Source: MSCI. MSCI makes no express or implied warranties or representations and shall have no liability whatsoever with respect to any MSCI data contained herein. The MSCI data may not be further redistributed or used to create indices or financial products. This report is not approved or produced by MSCI. Composite returns are gross of investment management fees. unless otherwise noted. Sector weights, portfolio characteristics and holdings are of a representative account in the composite. Holdings are current as of the date indicated, are subject to change and may not reflect the portfolio's current holdings. Portfolio construction guidelines document operational policies and not necessarily investment restrictions imposed on management of the strategy. Material presented has been derived from industry sources considered to be reliable, but their accuracy and completeness cannot be guaranteed. Opinions expressed are those of the portfolio investment team and are no guarantee of the future performance of any American Century Investments ® portfolio. Nothing in this document should be construed as offering investment advice. Please note that this is for informational purposes only and does not take into account whether an investment is suitable or appropriate for a specific investor. References to specific securities are for illustrative purposes only and are not intended as recommendations to purchase or sell securities. For purposes of compliance with the Global Investment Performance Standards (GIPS ® Investment Performance Standards (GIPS ® ). Non-U.S. Concentrated Growth composite includes portfolios that invest in the equity of large capitalization companies in non-U.S. developed markets that are demonstrating improving growth rates. Index futures (and currency forwards and futures, where applicable or appropriate) are occasionally used to equitize cash and manage portfolio risk. Other derivative instruments may be used, as allowed, as part of the investment strategy. Returns are calculated and stated in U.S. dollars. The return may increase or decrease as a result of currency fluctuations. Returns for periods less than one year are not annualized. GIPS ® is a registered trademark of CFA Institute. CFA Institute does not endorse or promote this organization, nor does it warrant the accuracy or quality of the content contained herein. To receive a complete list of composite descriptions and/or a GIPS ® Composite Report, contact: American Century Investments ® 4500 Main Street Kansas City, MO 64111 1-866-628-8826 12 Henrietta Street, 4th Floor London, WC2E 8LH United Kingdom +44 20 7024 7080 330 Madison Avenue 9th Floor New York, NY 10017 1-866-628-8826 5062 Ice House Street, Central Hong Kong +852 3405 2600 www.americancentury.com ©2022 American Century Proprietary Holdings, Inc. All rights reserved. GI-FLY-91413 FOR INSTITUTIONAL USE ONLY (Opening July, 2022) Governor Phillip Tower RM 3676 L36 1 Farrer Place Sydney, NSW, 2000, Australia +61 2 8823 3403 360 East 2nd Street 5th Floor Los Angeles, CA 90071 1-866-628-8826 Taunusanlage 8 WeWork 4.101 D-60329 Frankfurt am Main Germany +49 69 8088 5501
Book sampler: These are sample pages of the book containing front and back cover, table of contents, explanation of legends, new codes – HbA1c In Office Point of Service Testing (D0411), Teledentistry (D9995 and D9996), and Index Charles Blair, D.D.S. CODING WITH CONFIDENCE: THE "GO TO" DENTAL CODING GUIDE Dramatically Cut Coding Errors and Boost Legitimate Reimbursement CDT 2018 EDITION TABLE OF CONTENTS EXPLANATION OF THE USE OF THE LEGENDS Throughout the CDT 2018 Code section of this manual, you will find Coding Correction Warning, Watch, and Match legends depicting many common mistakes, as well as specific Comments, Limitations, Tips, Narratives, Photos, and Clinical Flow Chart legends. In addition, New Procedure, Revised, Deleted Code, Previously Deleted Code and the Author's Comments comprise the other legends. Each legend's description and purpose is as follows: D0411 D LIMITATIONS TIPS D0414 COMMENTS TIPS NARRATIVES 44 NEW PROCEDURE HbA1c IN-OFFICE POINT OF SERVICE TESTING CDT 2018 D0411 includes collection, testing, and generation of any appropriate reports related to the patient's HbA1c. It does not describe the simple testing of the patient's blood sugar levels. D0411 describes the collection and testing of an HbA1c sample conducted by a qualified dental professional. Using a glucometer to determine the patient's current blood sugar level (today) would not be described using D0411. The hemoglobin A1c test indicates average levels of blood sugar over an interval of time (i.e., 2 to 3 months). It is also called HbA1c, glycated hemoglobin test, and glycohemoglobin. Diabetic patients are monitored regularly to ensure their overall blood sugar levels are staying within range. The A1c test is used to diagnose diabetes. This code describes both the collection and interpretation of the HbA1c information. HbA1C testing would not generally be paid by conventional dental plans. Consider submission to the patient's medical plan for potential reimbursement. LABORATORY PROCESSING OF MICROBIAL SPECIMEN TO INCLUDE CULTURE AND SENSITIVITY STUDIES, PREPARATION AND TRANSMISSION OF WRITTEN REPORT CDT 2018 D0415 describes the collection of microorganisms for culture and sensitivity. D0417 describes the collection and preparation of saliva sample for laboratory diagnostic testing. D0422 describes the collection and preparation of genetic sample material for laboratory analysis and report. D0423 describes the genetic test for susceptibility to diseases – specimen analysis. D0484 describes a consultation on slides prepared elsewhere. D0414 describes the laboratory processing of the microbial specimen that includes culture and sensitivity studies. This requires the preparation and transmission of a written report. D0414 describes the laboratory processing of microbial specimen to include culture and sensitivity studies, as well as the preparation and transmission of written report. D0414 would be proceeded by D0415, the collection of microorganisms for culture and sensitivity. D0414 requires that a copy of the results be provided and transmitted to the payer. Consider providing the collection (D0415) and processing (D0414) of the microbial specimen at a low fee as a service for the patient to determine bacterial risk. A narrative establishing the necessity (e.g., an infection of unknown origin by an undetermined microorganism) should be submitted to explain the most effective treatment selected for the condition. D9994 DENTAL CASE MANAGEMENT – PATIENT EDUCATION TO IMPROVE ORAL HEALTH LITERACY CDT 2018 Individual, customized communication of information to assist the patient in making appropriate health decisions designed to improve oral health literacy, explained in a manner acknowledging economic circumstances and different cultural beliefs, values, attitudes, traditions and language preferences, and adopting information and services to these differences, which requires the expenditure of time and resources beyond that of an oral evaluation or case presentation. D9994 should not be used to report the "normal" efforts the practice makes to provide individual, customized communication of information to assist the patient in making appropriate health decisions designed to improve oral health literacy explained in a manner acknowledging economic circumstances and different cultural beliefs, values, attitudes, traditions, and language preferences, and adopting information and services to these differences. D9994 should not be used to describe a simple oral evaluation or case presentation. E COMMENTS LIMITATIONS NARRATIVES D9994 is used to report the individual, customized communication of information to assist the patient in making appropriate health decisions designed to improve oral health literacy explained in a manner acknowledging economic circumstances and different cultural beliefs, values, attitudes, traditions, and language preferences, and adopting information and services to these differences. The American Association of Pediatric Dentistry (AAPD) requested case management codes to provide a method of quantifying case management efforts. The government has begun a Medicaid Dental Transformation Initiative and the adoption of these case management codes is intended to help the dentist report efforts in fulfilling the initiative requirements. California Medicaid provides incentives for dental health management efforts. These codes will also help describe and document these efforts. Administrative codes, like this code, are intended to be used to track varying behaviors of patients and healthcare providers. It is very unlikely that these codes will be reimbursed. If this code is submitted, describe the administrative action and efforts made in association with the provision of this administrative service. The specific case management actions taken to educate the patient and improve oral health literacy should be noted. D9995 NEW PROCEDURE TELEDENTISTRY – SYNCHRONOUS; REAL-TIME ENCOUNTER CDT 2018 Reported in addition to other procedures (e.g., diagnostic) delivered to the patient on the date of service. E D9995, Teledentistry – synchronous; real-time encounter does not describe a "regular" phone consult or video consult with another healthcare professional but would include instances where both professionals "interact" with one another and/or with the patient during the encounter. COMMENTS D9995, Teledentistry – synchronous, can be defined as the real-time remote provision of dental care, advice, or treatment through the medium of information technology, rather than through direct personal contact with any patient(s) involved. 1. D9995 is reported in addition to any other procedure performed on the date of service (e.g., diagnostic services, prophylaxis, fluoride application, etc.) 2. When reporting teledentistry (D9995), the place of service code 02 should be entered in Box 38 of the 2012 ADA Dental Claim Form for the teledentistry claim. 397 D 9 9 9 LIMITATIONS TIPS 3. In addition, when reporting teledentistry (D9995), the treating dentist and treatment location must be reported in Box 56 of the 2012 ADA Dental Claim Form. The location is reported according to the physical location of the patient receiving teledentistry services. This address may differ from the location of the treating dentist providing the teledentistry services. 4. The patient's clinical record should reflect the type of teledentistry provided, all services provided and findings by all healthcare providers involved in the encounter. Some government funded programs, such as Medicaid may have specific documentation guidelines. Refer to the state Medicaid Provider Manual for clarification. 5. For additional details regarding teledentistry, visit www.practicebooster.com/dentalcoding. Use the passcode published on page 4 of this Guide. 1. Reimbursement for teledentistry is expected to vary a great deal among commercial plans and government funded plans. 2. Some medical plans and government funded plans may consider reimbursement for teledentistry under specific conditions. 1. The provider who oversees the teledentistry encounter completes the oral evaluation, provides a diagnosis and treatment plan, and is responsible for documenting and reporting the teledentistry encounter (D9995) should report the code. It is advisable to confirm any state regulations that may exist regarding who reports the teledentistry encounter. 2. The provider (e.g., hygienist, supervising dentist, etc.) who is practicing within their state licensure reports the additional procedures performed such as a prophylaxis, diagnostic images, and fluoride application. It is advisable to confirm with the state dental practice act regarding who is responsible for reporting all procedures performed. D9996 NEW PPROCEDURE TELEDENTISTRY – ASYNCHRONOUS; INFORMATION STORED AND FORWARDED TO DENTIST FOR SUBSEQUENT REVIEW CDT 2018 Reported in addition to other procedures (e.g., diagnostic) delivered to the patient on the date of service. D9996, Teledentistry – asynchronous; information stored and forwarded to dentist for subsequent review does not describe a "regular" phone consult or video consult with another healthcare professional but would include instances where the subsequent professional would have access to and could review the patient's information at a remote location after the initial encounter. E COMMENTS 398 D9996, Teledentistry – asynchronous, can be defined as the storage and subsequent review of the dental care, and to provide advice or treatment recommendations through the medium of information technology, rather than through direct personal contact with any patient(s) involved. 1. D9996 is reported in addition to any other procedure performed on the date of service (e.g., diagnostic services, prophylaxis, fluoride application, etc.) 2. When reporting teledentistry (D9996), the place of service code 02 should be entered in Box 38 of the 2012 ADA Dental Claim Form for the teledentistry claim. 3. In addition, when reporting teledentistry (D9996), the treating dentist and treatment location must be reported in Box 56 of the 2012 ADA Dental Claim Form. The location is reported according to the physical location of the patient receiving teledentistry services. This address may differ from the location of the treating dentist providing the teledentistry services. 4. The patient's clinical record should reflect the type of teledentistry provided, all services provided and findings by all healthcare providers involved in the encounter. Some government funded programs, such as Medicaid may have specific documentation guidelines. Refer to the state Medicaid Provider Manual for clarification. A Code Page Microlux DL, Identafi 3000/ OralID 407 A I D N E X Dr. Charles Blair is one of dentistry's leading authorities on practice profitability, fee analysis, insurance coding and administration, insurance coding strategies, and strategic planning. As a former successful practitioner, his passion for the business side of dentistry is unparalleled. Dr. Blair has personally consulted with thousands of practices, helping them to identify and implement new strategies for improved productivity and profitability. Dr. Blair is a nationally acclaimed speaker for dental groups, study clubs, and other professional organizations. He is also a widely read and highly respected author and publisher. His extensive background and expertise makes him uniquely qualified to share his wealth of knowledge with the dental profession. In this publication, Dr. Blair continues the use and application of Predictive Error Correction SM technology – a simple and easy-to-follow system. Dr. Blair developed Predictive Error Correction SM technology as the end result of the clinical protocol, code reporting, clinical procedure count and fee analysis of thousands of dental practices across the country. His analysis also included personal interviews with thousands of doctors and office staff, providing him the insight to develop this invaluable manual. It is designed to predict typical coding errors and to discover misuse and other common coding mistakes made by the mainstream dental practice. Related Resources www.practicebooster.com/store www.practicebooster.com Dr. Charles Blair & Associates, Inc. 85 Catawba Street P.O. Box 986 Belmont, NC 28012-0986 (866) 858-7596
Researh Article Received: November 15, 2021 ISSN 2658-5553 Accepted: November 15, 2021 Published: November 22, 2021 The natural frequency of a two-span truss Petrenko, Valeriia Fedorovna 1 1 Moscow Power Engineering Institute, Moscow, Russian Federation; firstname.lastname@example.org Correspondence:* email email@example.com; contact phone +79257349641; Keywords: Truss, Maple, Evaluation of natural vibrations, Natural vibration frequency, Two-span truss, The rigidity of the supports Abstract: The object of the research is a statically definable truss with two spans and a diamond-shaped lattice. One of the supports is a fixed hinge. The other two are movable. The dependence of the first natural vibration frequency of the truss on its size, mass, and also the number of panels is in analytical form. Methods. The rigidity of a structure with masses concentrated in its nodes is determined by the Maxwell-Mohr formula. The lower analytical estimate of the first frequency is calculated using the Dunkerley formula. Results. The generalization of a series of private solutions for trusses with a sequentially increasing number of panels is made by the induction method. The general terms of the sequence of coefficients are determined from the solution of linear homogeneous recurrent equations. All transformations, including finding the forces in the bars by cutting nodes, are performed in the Maple computer mathematics system. To check the solution, the entire frequency spectrum, including the lowest frequency, is in numerical form. Comparison of the analytical solution with the numerical one shows that the accuracy of the analytical estimate from below is quite high and increases with the number of panels. 1 Introduction Truss structures are widely used in construction to cover large spans to reduce the consumption of materials used and to lighten structures. The trusses are used as elements of robotic manipulators, in the poles of power lines, in the structures of antennas, street and road signs. Calculation of natural vibration frequencies of such structures is an urgent task, along with the assessment of rigidity and strength. As a rule, calculations are performed numerically in specialized packages based on the finite element method [1]. This makes it possible to obtain solutions to problems for statically indefinite systems and systems with complex boundary conditions to take into account the inelastic or nonlinear properties of the material of the rods. Analytical solutions are possible in the case of simple mathematical models for statically determining trusses [2] - [10]. The reference books [11], [12] collect analytical solutions for flat girder trusses, arches, frames, and consoles. Among the existing models of trusses, one can single out regular structures for which the induction method is applicable [13] - [18]. General questions of the existence of regular statically definable schemes of bar structures were studied in [19], [20]. The deflection of spatial trusses in analytical form using the Maple computer mathematics system [21] was obtained in [22] - [27]. Using the induction method, the dependence of the forces, deflection, and vibration frequencies on the order of the regular structure, for example, on the number of panels or periodic groups of bars, is determined. Such solutions are applicable both for assessing the accuracy of numerical solutions and for preliminary calculations of the designed models, for which the optimal variant can be selected by choosing the order of the regular system. The natural frequency of a two-span truss; 2021; AlfaBuild; 20 Article No 2001. doi: 10.57728/ALF.20.1 2 Materials and Methods The considered truss is a planar beam structure with a diamond-shaped lattice and additional support in the middle of the span (Fig. 1). This makes the construction outwardly statically indeterminate. Calculation of support reactions is possible only in the system of equilibrium equations for all nodes of the truss. Additional support divides the span of the truss into two equal spans of panels in height h and length a. Despite the four external links (elastic rods of length q), the structure is statically definable. It contains 2 6 n + hinges where 0 2 n n = —the number of rods, including four support rods 4 4 n = + . Writing down two equilibrium equations for each node, it is possible to obtain a closed system of equations for the forces in the rods and the reactions of the supports, which is necessary for solving the problem. The theoretical issues of the existence and calculation of regular statically definable farms were studied Consider a model of a truss, the inertial properties of which are modelled by masses located at the nodes of the lower belt. Assuming that the masses vibrate only along the vertical y-axis, we find that the number of degrees of freedom of the structure is equal 0 2 1 K n = − . In matrix form, the system of equations of motion of the masses is written as follows: Here Y is the vector of all vertical displacements of the masses, Y is the vector of accelerations, K I is the unit matrix, K D is the stiffness matrix. In the case of harmonic oscillations with frequency , the relationship 2 = − Y Y is valid. The matrix K D is the inverse of the compliance matrix K B . The elements of this matrix are calculated using the Maxwell-Mohr formula: Standard designations have been introduced: , i j b - displacement of the node i from the action of a unit dimensionless force applied to the node , j by force ( ) i S in rods with numbers from the action of a unified force applied to the node , i where the mass m is located in the direction of movement of the mass, l - the length of the rod . The first sum refers to the bars of the chords and the lattice, for which the same stiffness EF is assumed, the second sum corresponds to four support bars with rigidity / , h EF EF r = where r is the dimensionless coefficient of the relative stiffness of the support bars of length . q It is assumed that the bars are numbered so that the last in the list of bars are the support bars (Fig. 2). The natural frequency of a two-span truss; 2021; AlfaBuild; 20 Article No 2001. doi: 10.57728/ALF.20.1 Fig. 2. Numbering of elements and nodes, 0 3 n = Multiplying equality by a matrix K B , we reduce the problem to the problem of the eigenvalues of a matrix K B : , K = B Z Z where 2 1/ ( ) m = are the eigenvalues of the matrix K B . An approximate analytical solution for the lower estimate D of the first frequency 1 is sought by the Dunkerley formula [28]–[30]: There p are partial frequencies. Calculation of forces for trusses with a different number of panels shows that the problem has no solution for an even 0 n number of panels. A separate calculation of the determinant of the system of equilibrium equations showed that, in this case, it is equal to zero. The explanation for this effect is related to the kinematic variability of the structure. As an example, consider the case of an admissible pattern of the distribution of the node velocities 0 2 n = . The rods 1, 6, 7, 10, 15, and 16 rotate around the bearing hinges. The supporting joints 1, 3, 5, as well as 7 and 9, remain stationary. The rods 3 and 4 move translationally at a velocity u. The rods 2 and 5 are motionless. The rest of the rods instantly rotate. The triangle with vertices 1, 2, and 6 is rigid. Hence, we have the ratio of velocities / 2 '/ u a u c = , where 2 2 . c a h = + Next, we take an odd number of panels in half the span 0 2 1. n k = + 3 Results and Discussion 3.1 The lower estimate of the vibration frequency by the Dunkerley method To calculate the partial frequencies, we compose the equation of motion for a separate mass. Consider the case of rigid support rods, r = 0. Assume movement along the y-axis: The stiffness coefficient p D is inverse to the compliance coefficient, which, like in a system with K degrees of freedom, is calculated by the Maxwell-Mohr formula: In fact, in such a setting, only the diagonal elements of the matrix K B are calculated. When sin( ) p p y A t = + it follows, / . p p D m = Then we have: Calculation of a series of trusses with a different number of panels showed that the coefficient n has a form that does not depend on the parameter n: Where 2 2 . c a h = + The property of keeping the shape of the solution takes place for regular constructions, let's write the solution in the form: To find the common members of the sequences obtained, first, using the Maple system operators, the recurrence equations were found, which they satisfied. In the problem under consideration, it was required to calculate ten farms with a number 1,...,10. k = . Note that symbolic conversions in Maple are rather slow. The time for calculating the natural frequencies of each subsequent truss is approximately twice as long as the previous one. Solving recurrent equations gives expressions for determining the coefficients: Similarly, for the term corresponding to the deflection of the supports, we have Finally, we have an analytical estimate for the lower frequency according to Dunkerley: 3.2 Numerical solution of the problem of the first frequency of a system with many degrees of freedom To estimate the accuracy of the analytical solution, let us find the first frequency numerically from the spectrum of frequencies of natural vibrations of the structure using the special operator Eigenvalues in the Maple system, which is used to find the eigenvalues and vectors of the matrix. Consider a truss with dimensions 3m, 4m, 1m. a h q = = = . The cross-sectional area of the lattice rods and the support rods is the same 2 10.0sm . F = Modulus of elasticity of steel 5 2.1 10 E = MPa, masses in nodes: 200kg m = . Figure 3 shows the curves of the dependence of the frequency obtained analytically and numerically for 1. r = 3m, 4m, 1m, h a F F h q E E = = = = , 2 – is the frequency 1 obtained numerically, 1 r = As can be seen from the graphs obtained, the analytical evaluation error is small and rapidly decreases with an increase in the number of panels. This makes the obtained analytical solution especially attractive for farms with a large number of panels, where the counting time increases with the number of panels, and the accuracy, due to the inevitable accumulation of rounding errors, decreases. To clarify the error of the solution, we introduce a relative value 1 1 ( ) / D = − . Figure 4 shows the change in this value depending on the number of panels. With an accuracy of 9% to 28%, the analytical grade gives a satisfactory result. Numerical experiments with the selection of the stiffness of the supports have shown that this parameter has a very insignificant effect on the value of the first natural frequency. 4 Conclusions A mathematical model of a spatial statically definable farm has been built. As a result of the analysis of fluctuations, the following conclusions can be drawn: 1. The Dunkerley score for an arbitrary number of panels is compact and gives acceptable accuracy, especially with a large number of panels. 2. With an increase in the height of the truss, the accuracy of the analytical solution increases. 3. The solution obtained for the rhomboid structure not only describes well the dependence of the frequency on the number of flat truss panels but also gives, in this case, greater accuracy. 5 Acknowledgements The work was carried out within the framework of the project "Dynamics of light rod structures of manipulators" with the support of a grant from the National Research University "MPEI" for the implementation of research programs "Industry 4.0 Technologies for Industry and Robotics" 2020-2022. References 1. Vatin, N., Ivanov, Ay., Rutman, Y., Chernogorskiy, S., Shvetsov, K. Earthquake engineering optimization of structures by economic criterion. Magazine of Civil Engineering. 2017. 8(76). Pp. 67–83. DOI:10.18720/MCE.76.7. 2. Kirsanov, M.N., Tinkov, D. V. Analysis of the natural frequencies of oscillations of a planar truss with an arbitrary number of panels. Vestnik MGSU. 2019. (3). Pp. 284–292. DOI:10.22227/19970935.2019.3.284-292. 3. Kirsanov, M.N., Buka-Vaivade, K. Analytical expressions of frequencies of small oscillations of a beam truss with an arbitrary number of panels. Structural mechanics and structures. 2019. 23(4). Pp. 7–14. URL: http://vuz.exponenta.ru/PDF/NAUKA/Karina23.pdf (date of application: 27.02.2021). 4. Ilyushin, A.S. The formula for calculating the deflection of a compound externally statically indeterminate frame. Structural mechanics and structures. 2019. 22(3). Pp. 29–38. URL: https://elibrary.ru/item.asp?id=41201106 (date of application: 27.02.2021). The natural frequency of a two-span truss; 5. Sandberg, M., Yuksel, O., Baran, I., Spangenberg, J., Hattel, J.H. Steady-state modelling and analysis of process-induced stress and deformation in thermoset pultrusion processes. Composites Part B: Engineering. 2021. 216. Pp. 108812. DOI:10.1016/J.COMPOSITESB.2021.108812. 6. Kirsanov, M.N. Analytical assessment of the frequency of natural vibrations of a truss with an arbitrary number of panels. Structural Mechanics of Engineering Constructions and Buildings. 2020. 16(5). Pp. 351–360. DOI:10.22363/1815-5235-2020-16-5-351-360. URL: http://journals.rudn.ru/structural-mechanics/article/view/24967 (date of application: 11.03.2021). 7. Kilikevicius, A., Fursenko, A., Jurevicius, M., Kilikeviciene, K., Bureika, G. Analysis of parameters of railway bridge vibration caused by moving rail vehicles. Measurement and Control (United Kingdom). 2019. 52(9–10). Pp. 1210–1219. DOI:10.1177/0020294019836123. 8. Sychova, A.M., Zarin, S. V., Matskevich, A. V. Theory of determining the frequency of natural oscillations of span structures. Magazine of Civil Engineering. 2020. 98(6). Pp. 9803–9803. DOI:10.18720/MCE.98.3. URL: https://engstroy.spbstu.ru/article/2020.98.3 (date of application: 27.02.2021). 9. Vorobev, O.V. Bilateral Analytical Estimation of the First Frequency of a Plane Truss. Construction of Unique Buildings and Structures. 2020. 92(7). Pp. 9204–9204. DOI:10.18720/CUBS.92.4. URL: https://unistroy.spbstu.ru/article/2020.92.4 (date of application: 27.02.2021). 10. Kirsanov, M.N. Analytical calculation of deformations of a truss for a long span covering. Vestnik MGSU. 2020. 15(10). Pp. 1399–1406. DOI:10.22227/1997-0935.2020.10.1399-1406. 11. Kirsanov, M. Planar Trusses: Schemes and Formulas. Cambridge Scholars Publishing Lady Stephenson Library. Newcastle upon Tyne, GB, 2019. 12. Kirsanov, M. Trussed Frames and Arches: Schemes and Formulas. Cambridge Scholars Publishing Lady Stephenson Library. Newcastle upon Tyne, GB, 2020. 13. Kirsanov, M.N. Installation diagram of the lattice truss with an arbitrary number of panels. Magazine of Civil Engineering. 2018. 81(5). Pp. 174–182. DOI:10.18720/MCE.81.17. 14. Siriguleng, B., Zhang, W., Liu, T., Liu, Y.Z. Vibration modal experiments and modal interactions of a large space deployable antenna with carbon fiber material and ring-truss structure. Engineering Structures. 2020. 207. Pp. 109932. DOI:10.1016/j.engstruct.2019.109932. 15. Chopra, A.K. Dynamic of structures. Theory and Applications to Earthquake Engineering. Prentice-Hall. New Jersey, 2006. 16. Arutyunyan, V.B. Calculation of the deflection of a statically indeterminate beam truss. Postulat. 2018. 6(6). URL: http://vuz.exponenta.ru/1/ar18.pdf. 17. Petrichenko, E.A. Lower bound of the natural oscillation frequency of the Fink truss. Structural Mechanics and Structures. 2020. 26(3). Pp. 21–29. URL: https://www.elibrary.ru/item.asp?id=44110287 (date of application: 11.03.2021). 18. Ovsyannikova, V.M. Dependence of the deflection of a planar external statically undeterminable truss on the number of panels. Structural Mechanics and Structures. 2020. 27(4). Pp. 16–25. URL: https://www.elibrary.ru/download/elibrary_44374443_62905709.pdf. 19. Hutchinson, R.G., Fleck, N.A. Microarchitectured cellular solids - The hunt for statically determinate periodic trusses. ZAMM Zeitschrift fur Angewandte Mathematik und Mechanik. 2005. 85(9). Pp. 607–617. DOI:10.1002/zamm.200410208. 20. Hutchinson, R.G., Fleck, N.A. The structural performance of the periodic truss. Journal of the Mechanics and Physics of Solids. 2006. 54(4). Pp. 756–782. DOI:10.1016/j.jmps.2005.10.008. 21. Zotos, K. Performance comparison of Maple and Mathematica. Applied Mathematics and Computation. 2007. 188(2). Pp. 1426–1429. DOI:10.1016/j.amc.2006.11.008. 22. Kirsanov, M.N. The deflection of spatial coatings with periodic structure. Magazine of Civil Engineering. 2017. 76(8). DOI:10.18720/MCE.76.6. 23. Kirsanov, M.N. Evaluation of spatial deflection of coatings with periodic structure. Magazine of Civil Engineering. 2017. (8). Pp. 58–66. 24. Kirsanov, M.N. Deflection analysis of rectangular spatial coverage truss. Magazine of Civil Engineering. 2015. 53(1). Pp. 32–38. DOI:10.5862/mce.53.4. 25. Kirsanov, M.N. Analytical dependence of the deflection of the spatial truss on the number of panels. Magazine of Civil Engineering. 2020. 96(4). DOI:10.18720/MCE.96.9. 26. Kirsanov, M.N. Analysis of the buckling of spatial truss with cross lattice. Magazine of Civil Engineering. 2016. 64(4). DOI:10.5862/MCE.64.5. 27. Kirsanov, M.N., Zaborskaya, N. Deformations of the periodic truss with diagonal lattice. Magazine Petrenko V. of Civil Engineering. 2017. 71(3). DOI:10.18720/MCE.71.7. 28. Low, K.H. A modified Dunkerley formula for eigenfrequencies of beams carrying concentrated masses. International Journal of Mechanical Sciences. 2000. 42(7). Pp. 1287–1305. DOI:10.1016/S0020-7403(99)00049-1. 29. Levy, C. An iterative technique based on the Dunkerley method for determining the natural frequencies of vibrating systems. Journal of Sound and Vibration. 1991. 150(1). Pp. 111–118. DOI:10.1016/0022-460X(91)90405-9. 30. Kirsanov, M. N., V orobyev, O.V. Calculating of a spatial cantilever truss natural vibration frequency with an arbitrary number of panels: analytical solution. Construction of Unique Buildings and Structures. 2021. 94. Pp. 9402. DOI:10.4123/CUBS.94.2.
Microlife Corporation 9F, 431, RuiGuang Road, NeiHu Taipei 11492, Taiwan, China www.microlife.com CHDE Polska S.A. Biesiadna 7, 35-304 Rzeszów Tel. (0-17) 229-37-89 Fax. (0-17) 230-21-14 E-mail: email@example.com BDO 000046780 Baterie: zawierają bardzo szkodliwe metale ciężkie – rtęć, ołów, kadm – które u żywych organizmów powodują nie tylko poważne zatrucia, ale również różnego rodzaju upośledzenia w funkcjonowaniu narządów, przede wszystkim nerek, a nawet całych układów (pokarmowego, nerwowego i oddechowego). Bateria, która dostałaby się do organizmu ludzkiego, mogłaby zabić człowieka w pół godziny. Baterie są źródłem połowy wszystkich metali ciężkich, które trafiają do naszego środowiska razem z innymi śmieciami. Mała guzikowa bateria potrafi zanieczyścić 400 ml wody i 1 metr sześcienny gleby, podczas, gdy bateria – paluszek – 20 metrów sześciennych. Dlatego też ważne jest wyrobienie nawyku selektywnej zbiórki odpadów komunalnych. Pozwala to ograniczyć negatywny wpływ substancji niebezpiecznych na środowisko, a także daje drugie życie niektórym elementom składowym tego rodzaju odpadów. Baterie wyrzucamy do specjalnych pojemników, ustawionych w sklepach, galeriach handlowych, urzędach czy szkołach. Można je także oddać do Punktu Selektywnej Zbiórki Odpadów Komunalnych (PSZOK). IB BP A2 Classic EN-PL 2723 Revision Date: 2023-06-09 Microlife BP A2 Classic EN 1 RU 9 Name of Purchaser Imię i nazwisko nabywcy Serial Number Numer seryjny Date of Purchase Data zakupu Specialist Dealer Przedstawiciel 1 ON/OFF button 3 Cuff socket 2 Display 4 Mains Adapter Socket 6 Cuff 5 Battery compartment 7 Cuff connector 8 M-button (memory) Display AT Diastolic value 9 Systolic value AK Pulse rate AM Pulse AL Irregular heartbeat (IHB) symbol AN Battery display AP Traffic light indicator AO Stored value Read the important information in these instructions for use before using this device. Follow the instructions for use for your safety and keep it for future reference. Type BF applied part Keep dry Manufacturer Batteries and electronic devices must be disposed of in accordance with the locally applicable regulations, not with domestic waste. Authorized representative in the European Community Catalogue number (YYYY-MM-DD-SSSSS; Serial number year-month-day-serial number) Caution Humidity limitation Temperature limitation Medical device Keep away from children of age 0 - 3 CE Marking of Conformity Intended use: It is clinically validated in patients with hypertension, hypotension, diabetes, pregnancy, pre-eclampsia, atherosclerosis, end-stage renal disease, obesity and the elderly. This oscillometric blood pressure monitor is intended for measuring non-invasive blood pressure in people aged 12 years or older. Dear Customer, If you have any questions, problems or want to order spare parts please contact your local Microlife-Customer Service. Your dealer or pharmacy will be able to give you the address of the Microlife dealer in your country. Alternatively, visit the internet at www.microlife.com where you will find a wealth of invaluable information on our products. This device was developed in collaboration with physicians and clinical tests carried out prove its measurement accuracy to be of a very high standard.* Stay healthy – Microlife AG! * This device uses the same measuring technology as the award winning «BP 3BTO-A» model tested according to the British and Irish Hypertension Society (BIHS) protocol. Table of contents 1. Important facts about blood pressure How do I evaluate my blood pressure Inserting the batteries Selecting the correct cuff 2. Using the device for the first time 3. Taking a blood pressure measurement 4. Appearance of the irregular heartbeat (IHB) symbol Checklist for taking a reliable measurement 5. Data memory Memory full Viewing the stored values Clearing all values 6. Battery indicator and battery change How not to store a reading Low battery Flat battery - replacement Which batteries and which procedure? Using rechargeable batteries 8. Error Messages 7. Using a mains adapter 9. Safety, care, accuracy test and disposal 10. Guarantee Device care Cleaning the cuff Accuracy test Disposal 11. Technical Specifications 1. Important facts about blood pressure - Blood pressure is the pressure of the blood flowing in the arteries generated by the pumping of the heart. Two values, the systolic (upper) value and the diastolic (lower) value, are always measured. - Permanently high blood pressure values can damage your health and must be treated by your doctor! - The device indicates the pulse rate (the number of times the heart beats in a minute). - Always discuss your values with your doctor and tell them if you have noticed anything unusual or feel unsure. Never rely on single blood pressure readings. - There are several causes of excessively high blood pressure values. Your doctor will explain them in more detail and offer treatment where appropriate. - Under no circumstances should you alter the dosages of drugs or initiate a treatment without consulting your doctor. - It is quite normal for two measurements taken in quick succession to produce significantly different results. - Depending on physical exertion and condition, blood pressure is subject to wide fluctuations as the day progresses. You should therefore take your measurements in the same quiet conditions and when you feel relaxed! Take at least two readings every time (in the morning: before taking medications and eating / in the evening: before going to bed, bathing or taking medication) and average the measurements. - Deviations between measurements taken by your doctor or in the pharmacy and those taken at home are quite normal, as these situations are completely different. - Leave a small break of >5 minutes between two measurements. - Several measurements provide much more reliable information about your blood pressure than just one single measurement. - If you suffer from a cardiac arrhythmia consult with your doctor before using the device. See also chapter «Appearance of the irregular heartbeat (IHB) symbol» of this user manual. - If you are pregnant, you should monitor your blood pressure regularly as it can change drastically during this time. - The pulse display is not suitable for checking the frequency of heart pacemakers! A number of factors can affect the accuracy of measurements taken on the wrist. In some cases, the result may differ from the measurement taken on the upper arm. We therefore advise you to compare these values with those produced by the upper arm measurement and discuss them with your doctor. How do I evaluate my blood pressure Table for classifying blood pressure values in adults in accordance with the World Health Organisation (WHO) in 2003. Data in mmHg. The higher value is the one that determines the evaluation. Example: a readout value between 150/85 or 120/98 mmHg indicates «blood pressure too high». An index of 140/90 is shown adjacent to the traffic light bars AP. Your blood pressure is too high if the bars reach or exceed this index. 2. Using the device for the first time Inserting the batteries After you have unpacked your device, first insert the batteries. The battery compartment 5 is on the bottom of the device. Insert the batteries (4 x 1.5 V, size AA), thereby observing the indicated polarity. Selecting the correct cuff Microlife offers different cuff sizes. Select the cuff size to match the circumference of your upper arms (measured by close fitting in the centre of the upper arm). Pre-shaped cuffs are optionally available. Only use Microlife cuffs. Contact your local Microlife Service if the enclosed cuff 6 does not fit. Connect the cuff to the device by inserting the cuff connector 7 into the cuff socket 3 as far as it will go. 3. Taking a blood pressure measurement Checklist for taking a reliable measurement 2. Sit down on a back-supported chair and relax for 5 minutes. Keep your feet flat on the floor and do not cross your legs. 1. Avoid activity, eating or smoking immediately before the measurement. 3. Always measure on the same arm (normally left). 5. Always ensure that the correct cuff size is used (marking on the cuff). 4. Remove close-fitting garments from the upper arm. To avoid constriction, shirt sleeves should not be rolled up - they do not interfere with the cuff if they are laid flat. - Fit the cuff closely, but not too tight. - The artery mark on the cuff (ca.3 cm long bar) must lie over the artery which runs down the inner side of the arm. - Make sure that the cuff is positioned 1-2 cm above the elbow. - Support your arm so it is relaxed. 6. Press the ON/OFF button 1 to start the measurement. - Ensure that the cuff is at the same height as your heart. 7. The cuff will now pump up automatically. Relax, do not move and do not tense your arm muscles until the measurement result is displayed. Breathe normally and do not talk. 8. When the correct pressure is reached, the pumping stops and the pressure falls gradually. If the required pressure was not reached, the device will automatically pump some more air into the cuff. 9. During the measurement, the pulse indicator AP flashes in the display. 11.When the device has finished measuring, remove the cuff. 10.The result, comprising the systolic 9 and the diastolic AT blood pressure and the pulse rate AK are displayed. Note also the explanations on further display symbols in this booklet. 12.Switch off the device. (The monitor does switch off automatically after approx. 1 min.). 4. Appearance of the irregular heartbeat (IHB) symbol This symbol AL indicates that an irregular heartbeat was detected. In this case, the measured blood pressure may deviate from your actual blood pressure values. It is recommended to repeat the measurement. Information for the doctor in case of repeated appearance of the IHB symbol: This device is an oscillometric blood pressure monitor that also measures the pulse during blood pressure measurement and indicates when the heart rate is irregular. 5. Data memory This device automatically stores the last 30 measurement values. Viewing the stored values Pressing the M-button again displays the previous value. Pressing the M-button repeatedly enables you to move from one stored value to another. Press the M-button 8 briefly, when the device is switched off. The display first shows «M» AO, and «28A»which stands for the average of all stored values. Memory full Pay attention that the maximum memory capacity of 30 memories per user is not exceeded. When the 30 memory is full, the oldest value is automatically overwritten with the 31th value. Values should be evaluated by a doctor before the memory capacity is reached – otherwise data will be lost. Clearing all values If you are sure that you want to permanently remove all stored values, hold down the M-button (the device must have been switched off beforehand) until «CL» appears and then release the button. To permanently clear the memory, press the M-button while «CL» is flashing. Individual values cannot be cleared. How not to store a reading As soon as the reading is displayed press and hold the ON/OFF button 1 until «M» AO is flashing. Confirm to delete the reading by pressing the M-button 8. 6. Battery indicator and battery change Low battery When the batteries are approximately ¾ empty the battery symbol AN will flash as soon as the device is switched on (partly filled battery displayed). Although the device will continue to measure reliably, you should obtain replacement batteries. Flat battery - replacement 1. Open the battery compartment 5 on the bottom of the device. When the batteries are flat, the battery symbol AN will flash as soon as the device is switched on (flat battery displayed). You cannot take any further measurements and must replace the batteries. 2. Replace the batteries – ensure correct polarity as shown by the symbols in the compartment. Which batteries and which procedure? Do not use batteries beyond their date of expiry. Use 4 new, long-life 1.5 V, size AA alkaline batteries. Remove batteries if the device is not going to be used for a prolonged period. Using rechargeable batteries Only use «NiMH» type reusable batteries. You can also operate this device using rechargeable batteries. Batteries must be removed and recharged when the flat battery symbol appears. They should not remain inside the device as they may become damaged (total discharge as a result of low use of the device, even when switched off). Always remove the rechargeable batteries if you do not intend to use the device for a week or more. Batteries cannot be charged in the blood pressure monitor. Recharge batteries in an external charger and observe the information regarding charging, care and durability. 7. Using a mains adapter You can operate this device using the Microlife mains adapter (DC 6V, 600 mA). Ensure that neither the mains adapter nor the cable are damaged. Only use the Microlife mains adapter available as an original accessory appropriate for your supply voltage. 1. Plug the adapter cable into the mains adapter socket 4 in the blood pressure monitor. 2. Plug the adapter plug into the wall socket. When the mains adapter is connected, no battery current is consumed. 8. Error Messages If an error occurs during the measurement, the measurement is interrupted and an error message, e.g. «Err 3», is displayed. * Please immediately consult your doctor, if this or any other problem occurs repeatedly. If you think the results are unusual, please read through the information in «Section 1.» carefully. 9. Safety, care, accuracy test and disposal Safety and protection - Follow instructions for use. This document provides important product operation and safety information regarding this device. Please read this document thoroughly before using the device and keep for future reference. - This device may only be used for the purposes described in these instructions. The manufacturer cannot be held liable for damage caused by incorrect application. - The cuffs are sensitive and must be handled with care. - This device comprises sensitive components and must be treated with caution. Observe the storage and operating conditions described in the «Technical Specifications» section. - Only pump up the cuff once fitted. - Never open this device. - Do not use this device if you think it is damaged or notice anything unusual. - Read the additional safety information provided within the individual sections of this instruction manual. - The measurement results given by this device is not a diagnosis. It is not replacing the need for the consultation of a physician, especially if not matching the patient's symptoms. Do not rely on the measurement result only, always consider other potentially occurring symptoms and the patient's feedback. Calling a doctor or an ambulance is advised if needed. Ensure that children do not use this device unsupervised; some parts are small enough to be swallowed. Be aware of the risk of strangulation in case this device is supplied with cables or tubes. Contra-indications Do not use this device if the patient's condition meets the following contra-indications, to avoid inaccurate measurements or injuries. - Presence of significant cardiac arrhythmia during measurement may interfere with blood pressure measurement and affect the reliability of blood pressure readings. Consult with your doctor about whether the device is suitable for use in this case. - The device is not intended for measuring blood pressure in pediatric patients of age younger than 12 years old (children, infant, or neonates). - The device measures blood pressure using a pressured cuff. If the measuring limb suffers from injuries (for example open wounds) or under conditions or treatments (for example intravenous drip) making it unsuitable for surface contact or pressurization, do not use the device, to avoid worsening of the injuries or conditions. - Avoid taking measurements of patients with conditions, diseases, and susceptible to environment conditions that lead to incontrollable motions (e.g. trembling or shivering) and inability to communicate clearly (for example children and unconscious patients). - Patient motions during measurement may interfere with the measurement process and influence results. - The device uses oscillometric method to determine blood pressure. The arm being measure should have normal perfusion. The device is not intended to be used on a limb with restricted or impaired blood circulation. If you suffer with perfusion or blood disorders, consult your doctor before using the device. - Do not use this device in a moving vehicle (for example in a car or on an aircraft). - Avoid taking measurement on the arm on the side of a mastectomy or lymph node clearance. WARNING Indicates a potentially hazardous situation, which if not avoided, could result in death or serious injury. - This device may only be used for the intended uses described in this Instructions for Use. The manufacturer cannot be held liable for damage caused by incorrect application. - Inspect the device, cuff, and other parts for damage. DO NOT USE the device, cuff or parts if they appear damaged or operating abnormally. - Do not change the patient medication and treatment based the result of one or multiple measurements. Treatment and medication changes should be prescribed only by a medical professional. - Blood flow of the arm is temporarily interrupted during measurement. Extended interruption of blood flow reduces peripheral circulation and may cause tissue injury. Beware of signs (for example tissue discoloration) of impeded peripheral circulation if taking measurements continuously or for an extended period of time. - Do not use this device in oxygen rich environment or near flammable gas. - Prolonged exposure to cuff pressure will reduce peripheral perfusion and may lead to injury. Avoid situations of extended cuff pressurization beyond normal measurements. In the case of abnormally long pressurization, abort the measurement or loose the cuff to depressurize the cuff. - The device is not water resistant or water proof. Do not spill or immerse the device in water or other liquids. - Keep the device away from children and people incapable of operating the device. Beware of the risks of accidental ingestion of small parts and of strangulation with the cables and tubes of this device and accessories. - Do not dissemble or attempt to service the device, accessory and parts, during use or in storage. Access to the device internal hardware and software is prohibited. Unauthorized access and servicing of the device, during use or in storage, may compromise the safety and performance of the device. CAUTION Indicates a potentially hazardous situation which, if not avoided, may result in minor or moderate injury to the user or patient, or cause damage to the device or other property. - The device is intended only for measuring blood pressure at upper arm. Do not measure other sites because the reading does not reflect your blood pressure accurately. - After a measurement is completed, loosen the cuff and rest for > 5 minutes to restore limb perfusion, before taking another measurement. - Do not use this device in proximity of high frequency (HF) surgical equipment, magnetic resonance imaging (MRI) equipment, and computerized tomography (CT) scanners. This may cause device malfunction and measurement inaccuracies. - Do not use this device with other medical electrical (ME) equipment simultaneously. This may cause device malfunction or measurement inaccuracies. - Use and store the device, cuff and parts in temperature and humidity conditions specified in the «Technical Specifications». Usage and storage of the device, cuff and parts in conditions outside ranges given in the «Technical Specifications» may results in device malfunction and the safety of usage. water, other liquids, and moisture - Protect the device and accessories from the following to avoid damaging the device: extreme temperatures direct sunlight impacts and vibrations contamination and dust - Stop using this device and cuff and consult with your doctor if you experience skin irritation or discomfort. - This device has 2 user settings. Please ensure it is cleaned and disinfected between users to prevent any cross contamination. Electromagnetic Compatibility Information This device is not certified to be used in vicinity of High Frequency (HF) medical equipment. This device is compliant with EN60601-1-2: 2015 Electromagnetic Disturbances standard. Do not use this device close to strong electromagnetic fields and portable radio frequency communication devices (for example microwave oven and mobile devices). Keep a minimum distance of 0.3 m from such devices when using this device. Device care Clean the device only with a soft, dry cloth. Cleaning the cuff Carefully remove spots on the cuff with a damp cloth and soapsuds. WARNING: Do not wash the cuff in a washing machine or dishwasher! WARNING: Do not dry the cuff cover in a tumble dryer! WARNING: Under no circumstances may you wash the inner bladder! Accuracy test We recommend this device is tested for accuracy every 2 years or after mechanical impact (e.g. being dropped). Please contact your local Microlife-Service to arrange the test (see foreword). Disposal Batteries and electronic devices must be disposed of in accordance with the locally applicable regulations, not with domestic waste. 10.Guarantee This device is covered by a 5 year guarantee from the date of will repair or replace the defective product free of charge. The following items are excluded from the guarantee: purchase. During this guarantee period, at our discretion, Microlife Opening or altering the device invalidates the guarantee. - Transport costs and risks of transport. - Damage caused by leaking batteries. - Damage caused by incorrect application or non-compliance with the instructions for use. - Damage caused by accident or misuse. - - Packaging/storage material and instructions for use. - Accessories and wearing parts: Batteries, power adapter (optional). Regular checks and maintenance (calibration). The cuff is covered by a functional guarantee (bladder tightness) for 2 years. Compensation is limited to the value of the product. The guarantee will be granted if the complete product is returned with the original invoice. Repair or replacement within guarantee does not prolong or renew the guarantee period. The legal claims and rights of consumers are not limited by this guarantee. Should guarantee service be required, please contact the dealer from where the product was purchased, or your local Microlife service. You may contact your local Microlife service through our website: www.microlife.com/support 11.Technical Specifications This device complies with the requirements of the Medical Device Directive 93/42/EEC. Operating conditions: 10 - 40 °C / 50 - 104 °F 15 - 90 % relative maximum humidity Storage conditions: -20 - +55 °C / -4 - +131 °F 15 - 90 % relative maximum humidity Weight: 375 g (including batteries) Dimensions: 120 x 87 x 59 mm Cuff size: from 17 - 52 cm according to the cuff sizes (see «Selecting the correct cuff») Measuring procedure: oscillometric, corresponding to Korotkoff method: Phase I systolic, Phase V diastolic Measurement range: 20 - 280 mmHg – blood pressure 40 - 200 beats per minute – pulse Cuff pressure display range: 0 - 299 mmHg Resolution: 1 mmHg Static accuracy: within ± 3 mmHg Pulse accuracy: ± 5 % of the readout value Voltage source: - 4 x 1.5 V alkaline batteries; size AA - Mains adapter DC 6V, 600 mA (optional) Battery lifetime: approx. 920 measurements (using new batteries) IP Class: IP 20 Reference to standards: EN 1060-1 /-3 /-4; IEC 60601-1; IEC 60601-1-2 (EMC); IEC 60601-1-11 Expected service life: Device: 5 years or 10000 measurements, whichever comes first Accessories: 2 years or 5000 measurements, whichever comes first Technical alterations reserved. 1 Przycisk ON/OFF (wł./wył.) 3 Gniazdo mankietu 2 Wyświetlacz 4 Gniazdo zasilacza 6 Mankiet 5 Pojemnik na baterie 7 Wtyczka mankietu 8 Przycisk PAMIĘĆ Wyświetlacz AT Wartość rozkurczowa 9 Wartość skurczowa AK Tętno AM Wskaźnik tętna AL Symbol nieregularnego bicia serca (IHB) AN Ikona baterii AP Odczytywanie kolorowego wskaźnika klasyfikacji nadciśnienia AO Zapisana wartość Przed rozpoczęciem korzystania z wyrobu należy zapoznać się z ważnymi informacjami zawartymi w niniejszej instrukcji obsługi. Dla własnego bezpieczeństwa postępować zgodnie z instrukcją obsługi i zachować ją do wykorzystania w przyszłości. Typ zastosowanych części - BF Nie dopuścić do zamoczenia Producent Zużyte baterie oraz urządzenia elektryczne muszą być poddane utylizacji zgodnie z obowiązującymi przepisami. Nie należy wyrzucać ich wraz z odpadami domowymi. Autoryzowany przedstawiciel we Wspólnocie Europejskiej Numer katalogowy Numer seryjny(RRRR-MM-DD-SSSSS; rok-miesiąc-dzień-numer seryjny) Uwaga ograniczenie wilgotności ograniczenie temperatury Urządzenie medyczne Przechowywać w miejscu niedostępnym dla dzieci w wieku od 0 do 3 lat Oznakowanie zgodności CE Przeznaczenie: Jest walidowany klinicznie u pacjentów z nadciśnieniem, niedociśnieniem, cukrzycą, ciążą, stanem przedrzucawkowym, miażdżycą tętnic, schyłkową niewydolnością nerek, otyłością i w podeszłym wieku. Ten automatyczny ciśnieniomierz wykorzystujący oscylometryczną metodę pomiaru ciśnienia krwi jest przeznaczony do pomiaru nieinwazyjnego ciśnienia krwi u osób w wieku 12 lat lub starszych. Drogi Kliencie, W przypadku jakichkolwiek pytań lub problemów oraz w celu zamówienia części zapasowych, prosimy o kontakt z lokalnym Biurem Obsługi klienta Microlife. Adres dystrybutora produktów Microlife na terenie swojego kraju znajdziecie Państwo u sprzedawcy lub farmaceuty. Zapraszamy także na naszą stronę interne- Przyrząd został zaprojektowany we współpracy z lekarzami oraz posiada testy kliniczne, potwierdzające jego wysoką dokładność pomiarową.* tową www.microlife.com, na której można znaleźć wiele użytecznych informacji na temat naszych produktów. Zadbaj o swoje zdrowie – Microlife AG! * Przyrząd wykorzystuje tę samą metodę pomiarową co nagrodzony model «BP 3BTO-A», testowany zgodnie z wytycznymi Brytyjskiego Towarzystwa Nadciśnienia Tętniczego (BIHS). Spis treści 1. Ważne zagadnienia związane z ciśnieniem krwi Analiza wyników pomiaru ciśnienia krwi 3. Pomiar ciśnienia krwi 2. Korzystanie z urządzenia po raz pierwszy Umieszczanie baterii Wybór właściwego mankietu Lista zaleceń przed wykonaniem pomiaru 5. Pamięć 4. Pojawienie się symbolu nieregularnego bicia serca (IHB) Wywołanie zapisanych wyników pomiaru Brak wolnej pamięci Usuwanie wszystkich wyników Jak uniknąć zapisania odczytu Niski poziom baterii Wyczerpane baterie – wymiana Rodzaj baterii i sposób wymiany Korzystanie z akumulatorków 6. Wskaźnik baterii i wymiana baterii 7. Korzystanie z zasilacza 9. Bezpieczeństwo, konserwacja, sprawdzanie dokładności i utylizacja 8. Komunikaty o błędach Konserwacja urządzenia Czyszczenie mankietu Sprawdzanie dokładności Utylizacja 11. Specyfikacja techniczna 10. Gwarancja 1. Ważne zagadnienia związane z ciśnieniem krwi - Ciśnienie krwi jest to ciśnienie wytwarzane w arteriach. Powstaje ono przez ciągłą pracę serca, które nieustannie tłoczy krew w układzie krwionośnym. Opisują je zawsze dwie wartości: wartość skurczowa (górna) oraz wartość rozkurczowa (dolna). - Przyrząd mierzy także tętno (ilość uderzeń serca na minutę). - Stałe wysokie ciśnienie krwi zagraża zdrowiu i wymaga leczenia! - Przyczyny podwyższonego ciśnienia krwi mogą być różne. Lekarz szczegółowo je wyjaśni i w stosownych przypadkach zaproponuje leczenie. - Wszystkie wyniki konsultuj z lekarzem, a także informuj go o wszelkich nietypowych lub niepokojących objawach. Pojedynczy pomiar nigdy nie jest miarodajny. - W żadnym wypadku nie należy zmieniać dawkowania leków ani inicjować leczenia bez konsultacji z lekarzem. - Nie należy sie niepokoić w sytuacji, gdy uzyskamy dwa zupełnie inne wyniki pomiarów wykonywanych w krótkim odstępie czasu. - W zależności od wysiłku fizycznego i kondycji ciśnienie krwi znacznie zmienia się w ciągu dnia. Pomiar należy zatem przeprowadzać w tych samych, spokojnych warunkach, w stanie rozluźnienia. Za każdym razem przeprowadzać co najmniej dwa pomiary (rano: przed przyjęciem leków i zjedzeniem śniadania / wieczorem: przed położeniem się do łóżka lub przyjęciem leków), które następnie należy uśrednić. - Różnice pomiędzy wynikami pomiarów wykonanych u lekarza lub farmaceuty, a wynikami uzyskanymi w domu nie powinny dziwić, jako że sytuacje, w jakich były dokonywane pomiary, znacznie się różnią. - Zrób przynajmniej >5-minut przerwę między kolejnymi pomiarami. - Wielokrotne powtarzanie pomiarów daje bardziej rzetelne rezultaty niż pojedyńczy pomiar. - Jeśli cierpisz na arytmię serca, skonsultuj się z lekarzem przed użyciem urządzenia. Patrz także rozdział «Pojawienie się symbolu nieregularnego bicia serca (IHB)» w niniejszej instrukcji obsługi. - W czasie ciąży należy regularnie monitorować ciśnienie krwi, które w tym okresie może ulegać znacznym wahaniom! - Wskazanie tętna nie nadaje się do kontroli częstotliwości pracy zastawek serca! Na dokładność pomiaru ciśnienia krwi wykonanego na nadgarstku ma wpływ bardzo wiele czynników.W niektórych sytuacjach jego wynik może odbiegać od wartości uzyskanej w wyniku pomiaru ciśnienia na ramieniu. Zaleca się porównanie wartości obu pomiarów i skonsultowanie ich z lekarzem. Analiza wyników pomiaru ciśnienia krwi Zestawienie wartości ciśnienia krwi u osób dorosłych, zgodnie z wytycznymi Światowej Organizacji Zdrowia (WHO) z roku 2003. Dane w mmHg. Za rozstrzygającą należy uznać wartość wyższą. Przykład: odczyt w przedziale między 150/85 a 120/98 mmHg oznacza, że «ciśnienie krwi jest zbyt wysokie». Jeżeli wynik wynosi 140/90 i powyżej pojawi się informacja przy pasku kolorowego wskaźnika klasyfikacji nadciśnienia AP. Ciśnienie krwi jest zbyt wysokie jeżeli wartość osiągnie lub przekroczy podany wskaźnik. 2. Korzystanie z urządzenia po raz pierwszy Umieszczanie baterii Po rozpakowaniu urządzenia należy najpierw umieścić w nim baterie. Komora baterii 5 znajduje się na spodzie urządzenia. Umieścić baterie (4 x 1,5 V, baterie AA), zwracając uwagę na ich biegunowość. Wybór właściwego mankietu Microlife oferuje różne rozmiary mankietów. Wybierz mankiet według obwodu ramienia (dobrze dopasowany w środkowej części ramienia). Wstępnie ukształtowane mankiety są dostępne opcjonalnie. Używaj wyłącznie mankietów Microlife! Skontaktuj się z lokalnym Biurem Obsługi Klienta Microlife, jeżeli dołączony mankiet 6 nie pasuje. Podłącz mankiet poprzez włożenie wtyczki mankietu 7 do gniazda 3. 3. Pomiar ciśnienia krwi Lista zaleceń przed wykonaniem pomiaru 2. Usiądź na krześle z oparciem i zrelaksuj się przez 5 minut. Trzymaj stopy płasko na podłodze i nie krzyżuj nóg. 1. Przed wykonaniem pomiaru unikaj nadmiernej aktywności, przyjmowania pokarmów oraz palenia tytoniu. 3. Pomiar wykonuj zawsze na tym samym ramieniu (zwykle lewym). 5. Zawsze sprawdzaj czy został użyty mankiet o właściwym obwodzie (sprawdź znaczniki na mankiecie). 4. Zdejmij odzież, która mogłaby uciskać ramię. Nie podwijaj rękawów, gdyż mogą one uciskać ramię. Rozprostowane rękawy nie wpływają na pracę mankietu. - Zaciśnij mankiet dokładnie, jednak niezbyt silnie. - Znacznik arterii umieszczony na mankiecie (3 cm pasek) musi znaleźć się nad arterią po wewnętrznej stronie stawu łokciowego. - Upewnij się, że mankiet jest założony 1-2 cm powyżej łokcia. - Wspieraj ramię podczas pomiaru. - Upewnij się, że mankiet znajduje się na wysokości serca. 6. Wciśnij przycisk ON/OFF 1, aby rozpocząć pomiar. 8. Po osiągnięciu odpowiedniego poziomu ciśnienia, pompowanie jest przerywane, a ciśnienie w mankiecie stopniowo maleje. W przypadku niedostatecznego ciśnienia rękaw zostanie automatycznie dopompowany. 7. Mankiet zostanie napompowany automatycznie. Odpręż się, nie wykonuj żadnych ruchów i nie napinaj mięśni aż do wyświetlenia wyniku. Oddychaj normalnie i nie rozmawiaj. 9. Podczas pomiaru na wyświetlaczu pojawi się migający symbol serca AM. 11.Po zakończonym pomiarze zdejmij mankiet. 10.Po pomiarze na wyświetlaczu pojawi się wynik pomiaru ciśnienia krwi, obejmujący ciśnienie skurczowe 9 i rozkurczowe AT oraz tętno AK. W dalszej części instrukcji wyjaśniono znaczenie pozostałych wskazań wyświetlacza. 12.Wyłącz aparat (aparat wyłącza się automatycznie po około 1 min.). 4. Pojawienie się symbolu nieregularnego bicia serca (IHB) Ten symbol AL wskazuje, że wykryto nieregularne bicie serca. W takim przypadku zmierzone ciśnienie krwi może odbiegać od rzeczywistych wartości ciśnienia krwi. Zaleca się powtórzenie pomiaru. Informacje dla lekarza w przypadku ponownego pojawienia się symbolu IHB: To urządzenie jest ciśnieniomierzem oscylometrycznymi, który również mierzy puls podczas pomiaru ciśnienia krwi i wskazuje, kiedy tętno jest nieregularne. 5. Pamięć Urządzenie automatycznie przechowuje 30 ostatnich pomiarów. Wywołanie zapisanych wyników pomiaru Wciśnij na moment przycisk PAMIĘĆ 8, gdy urządzenie jest wyłączone. Na wyświetlaczu pojawi się «M» AO i «28A», co stanowi średnią wszystkich przechowywanych wartości. Kolejnym wciśnięciem przycisku PAMIĘĆ wyświetlisz poprzednią wartość. Wielokrotne wciskanie przycisku PAMIĘĆ umożliwia przechodzenie między zapisanymi wartościami. Brak wolnej pamięci Należy zwrócić uwagę, aby maksymalna pojemność pamięci 30 pomiarów dla jednego użytkownika nie została przekroczona. Gdy pamięć zostanie zapełniona, najstarsze wartości są zastępowane automatycznie wartością 31 Wyniki zgromadzone w pamięci powinny zostać przeanalizowane przez lekarza - w przeciwnym razie dane te zostaną bezpowrotnie utracone. Usuwanie wszystkich wyników Jak uniknąć zapisania odczytu Jeżeli chcesz trwale usunąć wszystkie zapisane wyniki, przytrzymaj wciśnięty przycisk PAMIĘĆ (przyrząd musi wcześniej zostać wyłączony), dopóki na ekranie pojawi się «CL», a następnie zwolnij przycisk. Aby trwale wyczyścić pamięć, naciśnij przycisk PAMIĘĆ, podczas gdy mruga «CL». Nie jest możliwe usuwanie pojedynczych wartości. Gdy tylko odczyt zostanie wyświetlony na ekranie LCD naciśnij i przytrzymaj przycisk ON/OFF 1, aż «M» AO zacznie migać. Potwierdź, aby usunąć odczyt naciskając przycisku PAMIĘĆ 8. 6. Wskaźnik baterii i wymiana baterii Niski poziom baterii Wyczerpane baterie – wymiana Kiedy baterie są w ¾ wyczerpane, zaraz po włączeniu urządzenia zaczyna mrugać symbol baterii AN (ikona częściowo naładowanej baterii). Mimo że urządzenie nadal wykonuje dokładne pomiary, powinieneś zakupić nowe baterie. Kiedy baterie są wyczerpane, zaraz po włączeniu urządzenia zaczyna mrugać symbol baterii AN (ikona wyczerpanej baterii). Wykonywanie pomiarów nie będzie możliwe, dopóki nie wymienisz baterii. 2. Wymień baterie – upewnij się, że bieguny baterii odpowiadają symbolom w pojemniku. 1. Otworzyć kieszeń na baterie 5 od spodu urządzenia. Rodzaj baterii i sposób wymiany Nie używaj baterii przeterminowanych. Użyj 4 nowych baterii alkaicznych o przedłużonej żywotności typu AA 1,5V. Wyjmij baterie, jeżeli urządzenie nie będzie używane przez dłuższy czas. Korzystanie z akumulatorków Używaj wyłącznie akumulatorków «NiMH». Urządzenie, może być także zasilane akumulatorkami. Jeżeli na wyświetlaczu pojawi się symbol baterii (wyczerpanej), należy je wyjąć i naładować akumulatorki! Nie powinny one pozostawać w urządzeniu, gdyż grozi to ich uszkodzeniem (całkowite rozładowanie spowodowane minimalnym poborem energii przez urządzenie, nawet jeśli pozostaje ono wyłączone). Akumulatorki NIE mogą być ładowane, gdy znajdują się w urządzeniu! Zawsze korzystaj z niezależnej ładowarki, przestrzegając zaleceń dotyczących ładowania, konserwacji i sposobów utrzymania trwałości! Zawsze wyjmuj akumulatorki, jeżeli nie zamierzasz używać przyrządu przez ponad tydzień! 7. Korzystanie z zasilacza Przyrząd może być zasilany przy użyciu zasilacza stabilizowanego Microlife (DC 6V, 600 mA). Upewnij się, że ani zasilacz, ani przewód nie są uszkodzone. Korzystaj tylko z oryginalnego zasilacza sieciowego Microlife dostosowanego do napięcia w Twoim gniazdku. 1. Podłącz przewód zasilacza sieciowego do gniazdka 4 w urządzeniu. 2. Włóż wtyczkę zasilacza do gniazdka sieciowego. Po podłączeniu zasilacza nie jest pobierana energia z baterii. 8. Komunikaty o błędach Jeżeli podczas wykonywania pomiaru pojawi się błąd, pomiar jest przerywany i wyświetlony zostaje komunikat o błędzie, np. «Err 3». * Skontaktuj się z lekarzem natychmiast, jeśli ten lub inny problem pojawia się cyklicznie. Jeżeli masz wątpliwości co do wiarygodności wyniku pomiaru, przeczytaj uważnie «punkt 1.». 9. Bezpieczeństwo, konserwacja, sprawdzanie dokładności i utylizacja Bezpieczeństwo i ochrona - Postępuj zgodnie z instrukcją użytkowania. Ten dokument zawiera ważne informacje o działaniu produktu i informacje dotyczące bezpiecznego korzystania z tego urządzenia. Przeczytaj dokładnie ten dokument przed pierwszym użyciem i zachowaj go na przyszłość. - Urządzenie zbudowane jest z delikatnych podzespołów i dlatego musi być używane ostrożnie. Prosimy o przestrzeganie wskazówek dotyczących przechowywania i użytkowania zamieszczonych w części «Specyfikacja techniczna». - Urządzenie może być wykorzystywane do celów określonych w niniejszej instrukcji. Producent nie ponosi odpowiedzialności za szkody powstałe w wyniku niewłaściwej eksploatacji. - Mankiety są bardzo delikatne i należy obchodzić się z nimi ostrożnie. - Prosimy nie używać urządzenia, jeżeli zauważą Państwo niepokojące objawy, które mogą wskazywać na jego uszkodzenie. - Pompuj mankiet dopiero po założeniu. - Nie należy otwierać urządzenia. - Podany przez to urządzenie wynik pomiaru nie jest diagnozą. Nie zastępuje to konieczności konsultacji lekarza, zwłaszcza jeśli wynik nie odpowiada objawom pacjenta. Nie należy polegać tylko na wyniku pomiaru, należy zawsze rozważyć inne potencjalnie pojawiające się objawy i opinie pacjenta. W razie potrzeby zaleca się wezwanie lekarza lub pogotowia. - Przeczytaj dalsze wskazówki bezpieczeństwa zamieszczone w poszczególnych punktach niniejszej instrukcji. Dopilnuj, aby dzieci nie używały urządzenia bez nadzoru osób dorosłych; jego niektóre, niewielkie części mogą zostać łatwo połknięte. Jeżeli urządzenie wyposażone jest w przewody lub rurki, może powodować ryzyko uduszenia. Przeciwwskazania Nie korzystać z wyrobu w przypadkach, gdy u pacjenta występują poniższe przeciwwskazania – mogłoby to prowadzić do uzyskania nieprawidłowych wyników lub do powstania urazu. - Występowanie istotnych zaburzeń rytmu serca podczas pomiaru może wpływać na pomiar ciśnienia krwi oraz wiarygodność wyników. W takich przypadkach należy skonsultować się z lekarzem w sprawie korzystania z wyrobu. - Wyrób nie jest przeznaczony do mierzenia ciśnienia krwi u pacjentów poniżej 12. roku życia (dzieci, niemowląt i noworodków). - Wyrób służy do mierzenia ciśnienia krwi przy użyciu pompowanego mankietu. Jeśli kończyna, na której ma być dokonywany pomiar, uległa urazowi (na przykład znajduje się na niej otwarta rana) albo objęta jest ona chorobą lub przeprowadzane jest na niej leczenie (na przykład prowadzony jest wlew dożylny), przez co niemożliwy jest bezpośredni kontakt ze skórą lub nacisk na kończynę, nie należy korzystać z wyrobu, by nie doprowadzić do pogorszenia urazu lub zaostrzenia choroby. - Należy unikać przeprowadzania pomiarów u pacjentów, u których ze względu na występujące u nich choroby lub zaburzenia albo - Jeżeli pacjent będzie ruszał się podczas przeprowadzania pomiaru, może zakłócić to pomiar i wpłynąć na wyniki. z powodu warunków środowiskowych mogą występować niekontrolowane ruchy (np. drżenie), oraz u osób, które nie są w stanie jasno się komunikować (np. u dzieci lub osób nieprzytomnych). - Nie powinno się dokonywać pomiarów na ręce po stronie, po której wykonywana była mastektomia lub zabieg usunięcia węzła chłonnego. - Pomiar ciśnienia krwi wykonywany jest metodą oscylometryczną. Perfuzja w ramieniu, na którym dokonywany jest pomiar, powinna być prawidłowa. Wyrób nie jest przeznaczony do stosowania na kończynie z ograniczonym lub zaburzonym krążeniem krwi. Osoby z nieprawidłową perfuzją i zaburzeniami przepływu krwi muszą skonsultować się z lekarzem przed użyciem wyrobu. - Nie korzystać z wyrobu w pojazdach będących w ruchu (na przykład w samochodzie czy samolocie). UWAGA Wskazuje na potencjalnie niebezpieczną sytuację, która w razie zaistnienia może spowodować zgon lub poważne obrażenia. - Nie należy zmieniać przyjmowanych leków na podstawie jednego lub większej liczby pomiarów. Zmiany w leczeniu powinno się wprowadzać wyłącznie na polecenie lekarza. - Wyrób można wykorzystywać wyłącznie do celów, do których jest on przeznaczony, opisanych w niniejszej instrukcji obsługi. Producent nie ponosi odpowiedzialności za obrażenia lub szkody spowodowane nieprawidłowym korzystaniem z wyrobu. - Sprawdzić wyrób, mankiet oraz inne części pod kątem uszkodzeń. NIE KORZYSTAĆ z wyrobu, jeśli wyrób, mankiet lub inne części wyglądają na uszkodzone lub działają nieprawidłowo. - Noszenie napompowanego mankietu przez dłuższy czas spowoduje zmniejszenie perfuzji obwodowej i może prowadzić do urazu. Poza zwykłymi pomiarami nie nosić napompowanego mankietu przez dłuższy czas. W przypadku zbyt długiego narażenia na ucisk mankietu przerwać pomiar lub poluzować mankiet, by zmniejszyć ucisk. - Podczas pomiaru przepływ krwi w ręce jest tymczasowo wstrzymany. Przedłużone wstrzymanie przepływu krwi hamuje krążenie obwodowe i może spowodować uszkodzenie tkanek. W przypadku ciągłego lub dłuższego przeprowadzania pomiarów należy zwracać uwagę na objawy zakłócenia krążenia obwodowego (na przykład zmianę koloru tkanki). - Nie korzystać z wyrobu w środowisku bogatym w tlen ani w pobliżu gazów palnych. - Nie rozkładać wyrobu na części ani nie podejmować prób konserwacji wyrobu, akcesoriów ani części podczas użytkowania lub przechowywania. Dostęp do wnętrza wyrobu oraz jego oprogramowania jest zabroniony. Nieuprawniony dostęp do wyrobu oraz jego naprawianie podczas użytkowania lub przechowywania może negatywnie wpłynąć na bezpieczeństwo i działanie wyrobu. - Wyrób nie jest wodoodporny ani wodoszczelny. Nie rozlewać wody / innych płynów na wyrób ani nie zanurzać w nich wyrobu. - Przechowywać wyrób poza zasięgiem dzieci oraz osób, które nie są zdolne do jego obsługi. Należy mieć świadomość ryzyka przypadkowego połknięcia małych części oraz uduszenia wskutek zaplątania się w kable i przewody oraz akcesoria dołączone do wyrobu. PRZESTROGA Wskazuje na potencjalnie niebezpieczną sytuację, która w razie zaistnienia może skutkować niewielkimi bądź umiarkowanymi obrażeniami użytkownika lub pacjenta albo uszkodzeniem wyrobu lub innych przedmiotów. - Po zakończeniu pomiaru poluzować mankiet i odpoczywać przez > 5 minut, aby przywrócić perfuzję w kończynie przed rozpoczęciem kolejnego pomiaru. - Wyrób przeznaczony jest wyłącznie do mierzenia ciśnienia krwi na ramienia. Nie należy używać go do dokonywania pomiarów ciśnienia krwi na innych częściach ciała, ponieważ wyniki nie będą wiarygodne. - Nie używać tego wyrobu jednocześnie z innymi medycznymi urządzeniami elektrycznymi. Może to spowodować nieprawidłowe działanie wyrobu lub niedokładne pomiary. - Korzystać z wyrobu, mankietu i części w warunkach temperatury i wilgotności określonych w «Specyfikacja techniczna» Korzystanie z wyrobu, mankietu i części lub przechowywanie ich w warunkach nieodpowiadających zakresom podanym w - Nie używać wyrobu w pobliżu sprzętu chirurgicznego pracującego z wysoką częstotliwością oraz sprzętu do obrazowania metodą rezonansu magnetycznego (RM) i tomografii komputerowej (TK). Może to spowodować nieprawidłowe działanie wyrobu i niedokładne pomiary. «Specyfikacja techniczna» może skutkować nieprawidłowym działaniem wyrobu lub zagrożeniem bezpieczeństwa. woda, inne płyny i wilgoć, - Chronić wyrób oraz akcesoria przed następującymi czynnikami, aby uniknąć ich uszkodzenia: ekstremalnymi temperaturami światłem słonecznym uderzenia i drgania. zanieczyszczeniem i kurzem - W przypadku wystąpienia podrażnień skóry lub dyskomfortu zaprzestać korzystania z wyrobu oraz mankietu i skonsultować się z lekarzem. - W pamięci wyrobu można zapisać dane dla dwóch użytkowników. Przed użyciem wyrobu przez kolejnego użytkownika należy go wyczyścić i zdezynfekować, by nie dopuścić do zakażenia krzyżowego. Informacje dotyczące zgodności elektromagnetycznej Wyrób nie został dopuszczony do użytku w pobliżu sprzętu medycznego generującego fale radiowe o wysokiej częstotliwości. Nie używać tego wyrobu w pobliżu urządzeń emitujących silne pole elektromagnetyczne oraz przenośnych urządzeń do komunikacji wykorzystujących fale radiowe (na przykład kuchenek mikrofalowych i urządzeń mobilnych). Podczas korzystania z wyrobu zachować odległość minimum 0,3 m od takich urządzeń. Wyrób jest zgodny z normą EN60601-1-2: 2015 – Zakłócenia elektromagnetyczne. Konserwacja urządzenia Urządzenie należy czyścić miękka, suchą szmatką. Czyszczenie mankietu UWAGA: Nie prać mankietu w pralce ani zmywarce! Ostrożnie usuwać plamy na mankiecie używając wilgotnej szmatki oraz mydlin. UWAGA: Nie suszyć osłony mankietu w suszarce bębnowej! UWAGA: Pod żadnym pozorem nie wolno myć nadmuchiwanej części wewnętrznej! Sprawdzanie dokładności Zaleca się sprawdzenie dokładności pomiarowej urządzenia co 2 lata lub zawsze, gdy poddane zostanie ono wstrząsom mechanicznym (np. w wyniku upuszczenia). Skontaktuj się z lokalnym serwisem Microlife w celu przeprowadzenia testów (patrz Wstęp). Utylizacja Zużyte baterie oraz urządzenia elektryczne muszą być poddane utylizacji zgodnie z obowiązującymi przepisami. Nie należy wyrzucać ich wraz z odpadami domowymi. 10.Gwarancja Urządzenie jest objęte 5-letnią gwarancją, licząc od daty zakupu. Następujące elementy są wyłączone z gwarancji: W okresie gwarancji, według naszego uznania, Microlife bezpłatnie naprawi lub wymieni wadliwy produkt. Otwarcie lub dokonanie modyfikacji urządzenia unieważnia gwarancję. - Koszty transportu i ryzyko z nim związane. - Uszkodzenia spowodowane przez wyciekające baterie. - Szkody spowodowane niewłaściwym zastosowaniem lub nieprzestrzeganiem instrukcji użytkowania. - Uszkodzenia spowodowane wypadkiem lub niewłaściwym użyciem. - Regularne kontrole i konserwacja (kalibracja). - Materiały opakowaniowe / magazynowe i instrukcje użytkowania. - Akcesoria i części zużywające się: Baterie, zasilacz (opcjonalnie). Jeśli wymagana jest usługa gwarancyjna, skontaktuj się ze sprzedawcą, u którego produkt został zakupiony, lub z lokalnym serwisem Microlife. Możesz skontaktować się z lokalnym serwisem Microlife za pośrednictwem naszej strony internetowej: www.microlife.com/support Mankiet objęty jest 2-letnią gwarancją funkcjonalną (szczelność pęcherza). Odszkodowanie jest ograniczone do wartości produktu. Gwarancja zostanie udzielona, jeśli cały produkt zostanie zwrócony z oryginalnym dokumentem zakupu oraz kartą gwarancyjną. Naprawa lub wymiana w ramach gwarancji nie przedłuża ani nie odnawia okresu gwarancji. Roszczenia prawne i prawa konsumentów nie są ograniczone przez tę gwarancję. 11.Specyfikacja techniczna Warunki pracy: 10 - 40 °C / 50 - 104 °F Maksymalna wilgotność względna 15 - 90 % Warunki przechowywania: -20 - +55 °C / -4 - +131 °F Maksymalna wilgotność względna 15 - 90 % Waga: 375 g (z bateriami) Wymiary: 120 x 87 x 59 mm Rozmiar mankietu: od 17 - 52 cm w zależności od rozmiaru mankietu (patrz «Wybór właściwego mankietu») Sposób pomiaru: oscylometryczny, odpowiadający metodzie Korotkoff'a: faza I skurczowa, faza V rozkurczowa Zakres pomiaru: 20 - 280 mmHg – ciśnienie krwi 40 - 200 uderzeń na minutę – tętno Zakres wyświetlania ciśnienia w mankiecie: 0 - 299 mmHg Rozdzielczość: 1 mmHg Dokładność statyczna: w zakresie ± 3 mmHg Dokładność pomiaru tętna: ±5 % wartości odczytu Źródło napięcia: - 4 x 1,5 V baterie alkaliczne; rozmiar AA - Zasilacz DC 6V, 600 mA (opcja) Żywotność baterii: Około 920 pomiarów (używając nowych baterii) Klasa IP: IP 20 Normy: EN 1060-1 /-3 /-4; IEC 60601-1; IEC 60601-1-2 (EMC); IEC 60601-1-11 Przewidywana żywotność urządzenia: Wyrób: 5 lat lub 10000 pomiarów, w zależności od tego, co nastąpi najpierw. Akcesoria: 2 lata lub 5000 pomiarów, w zależności od tego, co nastąpi najpierw. Urządzenie spełnia wymagania zawarte w Dyrektywie Wyrobów Medycznych 93/42/EEC. Prawo do zmian technicznych zastrzeżone.
INVITED FORUM: PEDAGOGY OF RENEWAL Journal of Communication Pedagogy 2018, Vol. 1(1) 3–8 2022, Vol. 6, 20–25 © The Author(s) 2018 © The Author(s) 2022 Reprints and permissions: http://www.csca-net.org DOI:10.31446/JCP.2022.1.04 http://www.csca-net.org Reprints and permissions: DOI:10.31446/JCP.2018.02 Central States Communication Association Heading for the Future After COVID-19: Reflections and Recommendations on Teaching Processes in a Rapidly Changing Learning Landscape Wanda Reyes-Velázquez and Carmen Pacheco-Sepúlveda Keywords: remote teaching, face-to-face in person teaching, flipped classroom, technologies for teaching Abstract: The COVID-19 pandemic posed numerous challenges for instructors and students. Professors, for example, struggled to quickly and effectively migrate face-to-face courses to remote teaching modalities. What had not been anticipated, however, were the additional challenges to be managed when returning to face-toface and in-person teaching. This reflective essay provides some insight into how faculty at the University of Puerto Rico attempted to modify teaching practices to re-engage disengaged students as they returned to the campus classroom. Also, recommendations about how to move forward by applying a pedagogy of renewal are made. Introduction In terms of teaching with technology, the COVID-19 pandemic brought the future to many academic institutions overnight. This was most certainly true at our institution in Puerto Rico. Many faculty members were abruptly thrust into an unknown reality. We went from teaching face-to-face in-person courses to teaching remotely in some combination of synchronous and asynchronous modalities. While technology had been used to assist teaching in our face-to-face courses, migrating them to different modalities posed challenges to professors and students. Moreover, some of us thought that we would be forced to teach remotely as a stopgap until the end of the semester. We had not even fathomed that it would take almost 2 years to go back to teaching face-to-face in-person courses! The process of returning to the classroom after sitting in front of a computer for 2 years has turned out to be highly stressful and exhausting for faculty members and students. For instance, I (Wanda) was assigned the same courses that I had been teaching prior to the COVID-19 lockdown. Like most of my colleagues, I prepared to teach using the same methods I used before the COVID-19 lockdown. However, to my confusion, those teaching methods no longer worked at all. At the beginning of the semester, I prepared lessons, arrived in the classroom, and started teaching just to realize that I had to change the lesson plan right there because students did not do the homework or the readings. Or, if they did do the homework, it was incomplete and full of mistakes. The classroom environment had changed, as well. I had to compete with students having side conversations during class and leaving the classroom to take phone calls. Absenteeism was high because students were either taking time off to go on vacation, to pick up additional shifts at work, and to attend doctors' appointments. In my frustration, I ultimately decided to retire. My request was denied because: "You neither have the age nor the time accrued to retire." As a last resort, I did the only thing I could think of doing. I decided to ask students how they were coping with the return to the classroom. What I learned was that students had changed. Many of these full-time students also got full-time jobs or multiple jobs during the lockdown. Therefore, finding time to do groupwork—which was challenging prior to the lockdown—was now nearly impossible. Some students were also dealing with anxiety and other mental health issues because of the COVID-19 pandemic. Some students made vacation plans while on lockdown that they still wanted to take even after returning to face-to-face courses. Classroom management was difficult as many students had become accustomed to doing class in front of a computer. In addition, cognitively speaking, critical thinking skills were clearly lacking after 2 years of remote learning. Students were only able to describe concepts at the recall level. To adapt my courses to reach these disengaged students and promote their intellectual growth in a rapidly changing landscape of teaching and learning, I started a journey of pedagogical renewal. This pedagogy has, according to Nava García (2020), "the aim of promoting a change in the way of teaching and promoting an active learning model, in contrast to the traditional education," which is characterized by a content-based teaching process, where students are passive actors, whose purpose was acquiring knowledge from a learning process based on repetition-memorization. My pedagogical renewal journey began by attending webinars about teaching practices hosted by Dr. Carmen Pacheco-Sepúlveda, Director of the Academic Excellence Center on campus. Then, she hosted meetings with faculty members, so we all could try to make sense of what was happening in our classrooms. In discussing shared challenges, we were able to identify opportunities to address them. I learned that we can only maximize those opportunities through a pedagogy of renewal, by identifying where we were before COVID-19 and where we are now, to determine how to move forward. These conversations and the information that I gathered from students led me to modify my pedagogical approach in the classroom. Pedagogy of Renewal To engage students in this changing landscape of higher education, I now place the focus solely on them. They must be responsible for their learning. I flipped the classroom and now use an online learning platform where students have access to narrated presentations, readings, and quizzes to identify if they recognize the concepts discussed in the lesson. That affords me the opportunity to work on enriching comprehension in the classroom. As part of this pedagogy, I integrated numerous exercises designed to learn by doing—a learning structure based on goal-based scenarios in which students pursue a goal by practicing target skills and using relevant content knowledge (Schank et al., 1999). Of course, these pedagogies were available before the pandemic; however, using them has become essential to engage students since then. I rely on a pedagogy of renewal that "involves learning new skills and knowledge, understanding how new knowledge is linked to practice, and recognizing how underlying beliefs influence the selection, enactment, and reflection of pedagogical approaches" (Di Biase et al., 2021). Although it was a best practice in the past, today we must identify students' profiles so we can create content that is relevant to them and their lived experiences. To do so, we need to answer the following questions: Why are they registered in the academic program? What do they expect from faculty? What are their professional expectations? If they work, how many hours a week do they work? What is their technological literacy? What technological devices do they own? Do they have to share those devices? Do they have access to the internet? Do they speak English as a second language? What is their ethnic background and what academic experiences have they had? What are their learning styles? What are their cognitive skills? How motivated are they to take a course and what motivates them to take it? In addition to learning students' profiles and adapting our pedagogies to meet them where they are at, we must also examine and adapt our pedagogies to address the new professions and workplace practices that have emerged because of the lockdown. Academic programs should stay in touch with professional organizations to identify how professions have been evolving during the COVID-19 pandemic. We need to develop a new curriculum that considers new students' profiles and how professions are evolving. Because teamwork remains one of the key elements to workplace success, we need to adapt group work pedagogies that allow students to succeed in the world they live in today. One way might be to design exercises or projects that integrate different courses. The same large group project could produce unique deliverables for different courses. For example, an advertising campaign course could be integrated with graphic design and TV or sound production courses on a project. Students enrolled in the advertising course should be able to interact with others who are preparing themselves in different fields. They should all work together on the same project and then reflect on what it means to develop a project from diverse perspectives and identify the benefits and challenges of working with people from different fields. A pedagogy of renewal must be grounded in ongoing formal and informal assessment (Bennett, 2017). Students and teachers are navigating uncharted territory. Hence, formal assessment is still important, but conducting informal assessments each time class meets is just as—if not more—critical. For example, I start class by asking how students are doing academically in general and identifying what might hinder their learning on that day. This helps me identify situations that could be competing with their attention and adapt accordingly. Also, I offer online forums for students to ask questions that may arise while they are watching narrated presentations or doing the readings before attending class. Then I have them work complete pre-class exercises that show me what they understand and what we ought to focus on for further clarification during face-to-face in-person class time. I am also considering a digital portfolio assignment for each class I teach and, perhaps, for students to keep developing throughout their journey through the program. Adopting this flipped-classroom pedagogy and conducting constant informal assessments are an example of a pedagogy of renewal I am enacting to engage my post-pandemic disengaged students. My pedagogical renewal journey has been informed greatly by Dr. PachecoSepúlveda's advice. She provides recommendations from her experience in the next section. Recommendations From the Academic Excellence Center Director I became the director of the Academic Excellence Center in August 2020. At the center, we help professors improve teaching and learning on campus. Like most centers at other universities, we offer workshops and webinars throughout the year. However, during the COVID-19 lockdown, attendance at webinars increased 89% as faculty members were migrating their courses to teach remotely. Now that our university is offering face-to-face courses again, I noticed the struggle that faculty members have endured as they return to classrooms because there has been a transformation in the learner profile. Therefore, as a collective, we must look for ways to better educate these post-pandemic students in a constantly changing teaching landscape. The COVID-19 lockdown "obstructed the entire education system," leading universities and faculty members to utilize more technologies that facilitate e-learning in their classrooms (Kalaichelvi & Sankar, 2021). Since so much work was done at a societal level on computer platforms and apps, new ways of getting the work done were available. Education can benefit from this scenario by incorporating more technologies into the teaching processes. However, I recommend that we concentrate on how we will create a safe environment in our face-to-face classrooms as we adopt technologies in our teaching. With the use of more technology, we should produce practices that: (1) provide equitable instruction and engage all students; (2) provide support for students with unique learning needs; (3) meet students' socio-emotional needs; (4) address the digital divide for families and educators; and (5) adopt anti-racist policies and practices (The Education Trust, NY, 2020). Educational processes have been impacted significantly since March 2020, when the Centers for Disease Control and Prevention (CDC) shared guidelines for alternative teaching methods (Kalaichelvi & Sankar, 2021). The transformation of face-to-face courses to virtual ones created challenges, but also brought opportunities for the education discipline. Now that we are returning to classrooms, there is a need to develop new pedagogies, teaching methods or theories of education adapted to the teaching and learning situations experienced during the pandemic, new student generations, and globalization. As we used diverse technologies to teach during the lockdown, moving forward we should consider its impact on education and the development of individuals or digital citizens that can collaborate with others at local and global levels. Thus, Hardman's proposal (2021) on the internationalization of education in the 21st century makes us consider promoting collaborative learning as a dialogical method for developing citizens with digital skills who can become globalized citizens. He proposes to motivate human relationships in educational environments to acquire shared knowledge through these interactions, produced through the cognitive-rational process. The COVID-19 pandemic forced educators to use new technologies for teaching. Nonetheless, to create safer learning environments, as we integrate more technologies in the classroom, we must continue strengthening security in learning management platforms and applications that enable communication among students and professors. Hence, digital literacy should be developed among students and faculty so we can protect devices, digital content as well as data, and keep our privacy in virtual environments. In addition, digital citizenship education, which entails creating a responsible use of technologies (Buchholz et al., 2020), can be achieved not only through new teaching practices that incorporate technology, but also with the same learning principles that apply for digital citizenship education (Biseth et al., 2021). The latter form of education concentrates on using technologies responsibly. Furthermore, since we create digital footprints as we communicate online, we must pay attention to the physical and psychological impact that they make on us as individuals. We must also ask ourselves; how do we promote effective digital citizenship among people who have different thoughts or worldviews? The safe spaces that we create to manage technology must also provide a safe environment for human interactions that allow promoting diversity of thoughts and the inclusion of people from different social groups and cultures. The safety of human interactions can be developed based on the students' profiles that we identify. Thus, as we move forward, it is important to develop intercultural intelligence—"the appropriate and effective management of interaction between people who, to some degree or another, represent different or divergent affective, cognitive, and behavioral orientations to the world" (Spitzberg & Changnon, 2009, p. 7)—in face-to-face courses that include virtual components since learners or digital citizens are exposed nowadays to more information online. When we integrate face-to-face courses with virtuality, we must also understand how learners behave as digital citizens in the cyberspace, so that discrimination or stereotypes are not perpetuated in educational activities that are carried out in the virtual world. Final Thoughts To conclude, the COVID-19 pandemic has brought many changes to our classrooms and teaching practices. Professors have worked tirelessly, and we already have made a difference. But we believe that, as we move forward, we should also take a moment to acknowledge and congratulate ourselves because we have experienced unthinkable challenges. We demonstrated our resilience. We are now showing our resolve for renewal. The future is there for us; we shall succeed. References Bennett, J. (2017). Assessment FOR Learning vs. Assessment OF Learning. Pearson. https://www. pearsonassessments.com/professional-assessments/blog-webinars/blog/2017/12/assessment-forlearning-vs-assessment-of-learning.html Buchholz, B. A., DeHart, J., & Moorman, G. (2020). Digital citizenship during a global pandemic: Moving beyond digital literacy. Journal of Adolescent & Adult Literacy: A Journal from the International Reading Association. https://doi.org/10.1002/jaal.1076 Biseth, H., Hoskins, B., & Huang, L. (Eds.). (2021). Civic and citizenship education: From big data to transformative education. In Northern lights on civic and citizenship education (pp. 147–160). https:// dx.doi.org/10.1007%2F978-3-030-66788-7_7 Di Biase, R., King, E., Kriewaldt, J., Reid, C., & Janfada, M. (2021). Insights into pedagogical renewal: Examining international pre-service teachers' changing conceptions of learner-centred education. Compare: A Journal of Comparative and International Education. https://doi.org/10.1080/03057925. 2021.1976619 Hardman, J. (2021). Pedagogical renewal: Promoting a dialogic pedagogy in the internationalized 21st-century higher education In D. Dippold, & M. Heron (Eds.), Meaningful teaching interaction at the Internationalized University: From research to impact (pp. 25–38) Routledge. University of York. Kalaichelvi, R., & Sankar, J. P. (2021). Pedagogy in post-COVID-19: Effectiveness of blended learning in higher education. Asian EFL Journal, 28(3), 86–109. https://www.researchgate.net/ profile/Vijayakumar-Chintalapalli-2/publication/352409007_Understanding_the_Use_of_Academic_ Word_List_AWL_in_EFL_Academic_Writing/links/60c8a55c299bf108abd9edc1/Understanding-theUse-of-Academic-Word-List-AWL-in-EFL-Academic-Writing.pdf#page=86 Schank, R. C., Berman, T. R., & Macpherson, K. A. (1999). Learning by doing. In C. M. Reigeluth (Ed.), Instructional-design theories and models: A new paradigm of instructional theory, Volume II (pp. 161– 181). Lawrence Erlbaum. Nava García, J. A. (2020). La renovación pedagógica. Red social educativa. https://redsocial.rededuca.net/ renovacion-pedagogica Spitzberg, B. H., & Changnon, G. (2009). Conceptualizing intercultural competence. In D. K. Deardorff (Ed.), The SAGE handbook of intercultural competence (p. 7). Sage. https://www.sagepub.com/sites/ default/files/upm-binaries/30482_1.pdf The Education Trust, NY. (2020). About this report. [PowerPoint slides]. https://newyork.edtrust.org/ wp-content/uploads/2020/08/Unanswered-Questions.pdf
FOOD ESTABLISHMENT INSPECTION REPORT TIME IN TIME OUT PAGE 1 of DATE 12:00 pm 2:00 pm 01/31/2022 3 MISSOURI DEPARTMENT OF HEALTH AND SENIOR SERVICES BUREAU OF ENVIRONMENTAL HEALTH SERVICES BASED ON AN INSPECTION THIS DAY, THE ITEMS NOTED BELOW IDENTIFY NONCOMPLIANCE IN OPERATIONS OR FACILITIES WHICH MUST BE CORRECTED BY THE NEXT ROUTINE INSPECTION, OR SUCH SHORTER PERIOD OF TIME AS MAY BE SPECIFIED IN WRITING BY THE REGULATORY AUTHORITY. FAILURE TO COMPLY WITH ANY TIME LIMITS FOR CORRECTIONS SPECIFIED IN THIS NOTICE MAY RESULT IN CESSATION OF YOUR FOOD OPERATIONS. ESTABLISHMENT NAME: OWNER: PERSON IN CHARGE: R IN IN MO 580-1814 (9-13) GOOD RETAIL PRACTICES Good Retail Practices are preventative measures to control the introduction of pathogens, chemicals, and physical objects into foods. IN OUT Safe Food and Water COS R IN OUT Proper Use of Utensils COS Pasteurized eggs used where required In-use utensils: properly stored Water and ice from approved source Utensils, equipment and linens: properly stored, dried, handled Food Temperature Control Single-use/single-service articles: properly stored, used Adequate equipment for temperature control Gloves used properly Approved thawing methods used Utensils, Equipment and Vending Thermometers provided and accurate Food and nonfood-contact surfaces cleanable, properly designed, constructed, and used Food Identification Warewashing facilities: installed, maintained, used; test strips used Food properly labeled; original container Nonfood-contact surfaces clean Prevention of Food Contamination Physical Facilities Insects, rodents, and animals not present Hot and cold water available; adequate pressure Contamination prevented during food preparation, storage and display Plumbing installed; proper backflow devices Personal cleanliness: clean outer clothing, hair restraint, fingernails and jewelry Sewage and wastewater properly disposed Wiping cloths: properly used and stored Toilet facilities: properly constructed, supplied, cleaned Fruits and vegetables washed before use Garbage/refuse properly disposed; facilities maintained Physical facilities installed, maintained, and clean Person in Charge /Title: Date: Inspector: Follow-up: Yes No Follow-up Date: ADDRESS: COUNTY: CITY/ZIP: PHONE: FAX: P.H. PRIORITY : H M I L ESTABLISHMENT TYPE BAKERY RESTAURANT C. STORE SCHOOL I CATERER SENIOR CENTER DELI SUMMER F.P. GROCERY STORE TAVERN INSTITUTION TEMP.FOOD MOBILE VENDORS PURPOSE Pre-opening Routine Follow-up Complaint Other FROZEN DESSERT Approved Disapproved Not Applicable I License No. ___________________ SEWAGE DISPOSAL PUBLIC I PRIVATE WATER SUPPLY COMMUNITY I NON-COMMUNITY PRIVATE Date Sampled _________ Results _________ RISK FACTORS AND INTERVENTIONS Risk factors are food preparation practices and employee behaviors most commonly reported to the Centers for Disease Control and Prevention as contributing factors in foodborne illness outbreaks. Public health interventions are control measures to prevent foodborne illness or injury. Compliance Demonstration of Knowledge COS R Compliance Potentially Hazardous Foods COS OUT Person in charge present, demonstrates knowledge, and performs duties Proper cooking, time and temperature Employee Health Proper reheating procedures for hot holding IN OUT Management awareness; policy present Proper cooling time and temperatures IN OUT Proper use of reporting, restriction and exclusion Proper hot holding temperatures Good Hygienic Practices Proper cold holding temperatures IN OUT N/O Proper eating, tasting, drinking or tobacco use Proper date marking and disposition IN OUT N/O No discharge from eyes, nose and mouth Time as a public health control (procedures / records) Preventing Contamination by Hands Consumer Advisory Hands clean and properly washed Consumer advisory provided for raw or undercooked food No bare hand contact with ready-to-eat foods or approved alternate method properly followed Highly Susceptible Populations IN OUT Adequate handwashing facilities supplied & accessible Pasteurized foods used, prohibited foods not offered Approved Source Chemical Food obtained from approved source Food additives: approved and properly used IN OUT N/O N/A Food received at proper temperature Toxic substances properly identified, stored and used Food in good condition, safe and unadulterated Conformance with Approved Procedures Required records available: shellstock tags, parasite destruction Compliance with approved Specialized Process and HACCP plan Protection from Contamination The letter to the left of each item indicates that item’s status at the time of the inspection. IN = in compliance OUT = not in compliance N/A = not applicable N/O = not observed COS=Corrected On Site R=Repeat Item Food separated and protected Food-contact surfaces cleaned & sanitized Proper disposition of returned, previously served, reconditioned, and unsafe food IN OUT N/O IN OUT N/O OUT IN OUT IN OUT N/O N/A OUT N/O IN OUT N/A IN OUT N/A IN OUT N/O N/A IN OUT N/A IN OUT N/A IN OUT N/A IN OUT N/A IN OUT IN OUT N/O N/A IN OUT N/O N/A IN OUT N/O N/A IN OUT N/O N/A IN OUT N/O N/A IN OUT N/O N/A ESTABLISHMENT NUMBER: IN Telephone No. EPHS No. Motomart FKG Oil Motomart Deanna Wools, General Manager 1300 S. Perryville Blvd. Perry - 157 Perryville, MO 63775 573-547-3301 N/a Deanna Wools, General Manager 01/31/2022 Melanie Honaas 1682 I 573-547-6564 N/a DISTRIBUTION: WHITE – OWNER'S COPY CANARY – FILE COPY R E6.37 MISSOURI DEPARTMENT OF HEALTH AND SENIOR SERVICES BUREAU OF ENVIRONMENTAL HEALTH SERVICES FOOD ESTABLISHMENT INSPECTION REPORT ESTABLISHMENT NAME ADDRESS PAGE of 2 3 CITY /ZIP Motomart 1300 S. Perryville Blvd. Perryville, MO 63775 FOOD PRODUCT/LOCATION TEMP. in ° F FOOD PRODUCT/ LOCATION TEMP. in ° F Initial No Code Reference PRIORITY ITEMS Priority items contribute directly to the elimination, prevention or reduction to an acceptable level, hazards associated with foodborne illness or injury. These items MUST RECEIVE IMMEDIATE ACTION within 72 hours or as stated. Correct by (date) Code Reference CORE ITEMS Core items relate to general sanitation, operational controls, facilities or structures, equipment design, general maintenance or sanitation standard operating procedures (SSOPs). These items are to be corrected by the next regular inspection or as stated. Correct by (date) Initial EDUCATION PROVIDED OR COMMENTS Person in Charge /Title: Date: Inspector: Telephone No. EPHS No. Follow-up: Yes Follow-up Date: DISTRIBUTION: WHITE – OWNER’S COPY Melanie Honaas CANARY – FILE COPY 573-547-6564 1682 Cheddar wurst / cold holding in walk-in cooler 34.0 Delfield under counter freezer #1 4.0 Vegtable & pork egg roll / hot holding on roller grill 140.0 Delfield under counter freezer #2 9.0 Cheddar wurst / hot holding on roller grill 160.0 M3 Turbo Air freezer -18.0 Pizza / hot holding in hot holding unit 135.0 Walk-in retail display cooler 33.0 White chest freezer in back storage area -2.0 F'real minus forty freezer -1.0 7-202.12 3-501.17 Observation: Container of round-up weed killer is stored next to handwash sink on the floor in food prep area. Required: Only those poisonous or toxic materials that are required for the operation and maintenance of a food establishment, such as for the cleaning and sanitizing of equipment and utensils and the control of insects and rodents, shall be allowed in a food establishment. CORRECTED: Inspector observed general manager remove round-up weed killer from kitchen areas and placed in office during inspection. Observation: There is no date mark provided on container of cheddar wursts thawing in walk-in cooler. Required: Refrigerated, ready-to-eat, potentially hazardous food, prepared and held in a food establishment for more than twenty-four (24) hours shall be clearly marked to indicate the date or day by which the food shall be consumed on the premises, sold, or discarded when held at a temperature of forty-one degrees Fahrenheit (41°F) or less for a maximum of seven (7) days CORRECTED: Inspector observed food manager provide date mark on cheddar wursts during inspection. COS 01/31/22 COS 01/31/22 6-501.16 4-601.11 6-501.12 5-501.115 Observation (REPEAT): Mop is stored in the wringer of mop bucket to air dry. Required: After use, mops shall be placed in a position that allows them to air-dry without soiling walls, equipment, or supplies. Observation (REPEAT): Treat yourself freezer has an ice-like build-up around the inside walls of unit. Required: Nonfood-contact surfaces of equipment shall be kept free of an accumulation of dust, dirt, food residue, and other debris. Observation (REPEAT): Damaged bottle beverages, paper-like debris, and dirt-like debris found on floor underneath corner shelving units in walk-in cooler. Dirt-like and paper-like debris found on floor under soda storage shelving and coolers in back storage area. Required: Physical facilities shall be cleaned as often as necessary to keep them clean. Observation (REPEAT): Enclosure for refuse has amounts of litter around the outside of dumpster. Required: A storage area and enclosure for refuse, recyclables, or returnables shall be maintained free of unnecessary items, and clean. NRI NRI NRI NRI Water and Sewer is provided by the City of Perryville, MO. Inspector discussed cleaning equipment procedures, storage of chemicals, removing unused food equipment/pans, date marking food items, cooking food items, and employee illness policy. Deanna Wools, General Manager 01/31/2022 I N/a (A) (A) (C) MISSOURI DEPARTMENT OF HEALTH AND SENIOR SERVICES BUREAU OF ENVIRONMENTAL HEALTH SERVICES FOOD ESTABLISHMENT INSPECTION REPORT ESTABLISHMENT NAME ADDRESS Motomart 1300 S. Perryville Blvd. FOOD PRO (B) (C) Person in Charge /Title: Date: Inspector: Telephone No. EPHS No. Follow-up: Yes Follow-up Date: MO 580-1814 (9-13) DISTRIBUTION: WHITE – OWNER'S COPY CANARY – FILE COPY Deanna Wools, General Manager 01/31/2022 Melanie Honaas 573-547-6564 1682 I N/a No DUCT/LOCATION TEMP. in ° F PAGE of 3 3 CITY /ZIP Perryville, MO 63775 FOOD PRODUCT/ LOCATION TEMP. in ° F Initial Initial \| \| 34.0 \| Wisconsin Best cheese retail cooler \| \| \|---\|---\|---\|---\| \| \| -8.0 \| Fiji water cooler \| \| \| \| -8.0 \| Steak & cheese ranchero / hot holding on roller grill \| \| \| \| -11.0 \| Cheesy pepper-jack tornado / hot holding on roller grill \| \| \| \| -34.0 \| Cheeseburger dog / hot holding on roller grill \| \| \| PRIORITY ITEMS Priority items contribute directly to the elimination, prevention or reduction to an acceptable level, hazards associated with foodborne illness or injury. These items MUST RECEIVE IMMEDIATE ACTION within 72 hours or as stated. \| \| \| Correct by (date) \| \| Warewashing equipment: Manual 3-compartment sink - sanitize dishes/food equipment by submersion in approved Diversey final step quaternary sanitizer at a concentration of 400 parts per million (ppm). Inspector verified concentration using a quaternary test kit during inspection. ***Inspector also discussed that the effective concentration of sanitizer ranges from 200 ppm to 400 ppm, and recommends to adjust chemical to yield a concentration that is closer to 200 ppm to save on chemical usage. \| \| \| \| \| CORE ITEMS Core items relate to general sanitation, operational controls, facilities or structures, equipment design, general maintenance or sanitation standard operating procedures (SSOPs). These items are to be corrected by the next regular inspection or as stated. \| \| \| Correct by (date) \| \| Observation (REPEAT): Dumpster lid is damaged and left open during inspection. Dumpster located inside fenced in enclosure, is observed without lid covering unit. Required: Receptacles and waste handling units for refuse, recyclables, and returnables shall be kept covered with tight-fitting lids or doors if kept outside the food establishment. COMMENT: General manager stated that the company is scheduled to remove the dumpster with damaged lids from the premise. General manager also closed the lid to dumpster located inside fenced in enclosure during inspection. Observation: Light observed coming through the center of both automatic door entrances due to gap in door sweeps. Required: Outer openings of a food establishment shall be protected against the entry of insects and rodents by filling or closing holes and other gaps along floors, walls, and ceilings; closed, tight-fitting windows; and solid, self-closing, tight-fitting doors. Observation: The bottom of freezer interior is soiled with food-like debris in M3 Turbo air freezer and both Delfield under counter freezers. Required: Nonfood-contact surfaces of equipment shall be kept free of an accumulation of dust, dirt, food residue, and other debris. \| \| \| COS 01/31/22 NRI NRI \|
Coke Drum Inspection Overview and Management Tools for Coke Drum Economic End of Service Life Richard Boswell Principal Stress Engineering Services, Inc Houston, Texas October 2013 New Delhi, India Coke Drums Self Destruct * Coke Drums are pressure vessels in batched, thermal cyclic service. * Cyclic wear and tear from thermal expansion self constraint is seen as metal fatigue and defect crack growths. * Operated for maximum production goals. * Eventually leaks happen. * And sometimes they are prevented. * And cracks are repaired. Thermal Issue * Fast Quench creates problems at internal tri-metal joint seams and skirt attachment. * Hot-Cold sides of drum create leaning – banana * Local flows of hot vapor and local flows of cold water create self constraint problems in drum wall and skirt – hot metal opposing cold metal displacement * Leaking of flanges FATIGUE LIFE CALCULATION FOR A SKIRT – FEA Improved Prediction Using Actual Thermal Transients Design (by others) predicted 152 years SES Transient analysis performed prior to T/A Finite Element Model vs Reality Maximum stress intensity range during transient = 143,430 psi Using ASME code Section VIII Division 2 fatigue design Table 5-110.1, UTS < 80 ksi, a fatigue life of 1228 cycles was obtained. After 5 years (~1369 cycles) cracks were discovered in all 4 drum skirts (no slots) Economic End of Service Life * Low Cycle Fatigue from thermal cycling and self constraints has acted on all areas of the drum, especially at places that have highest stress due to geometry. * Crack growth begins in Second Stage of Service Life and completes in a short Third and final stage. * Fatigue Damage accumulates exponentially. * Through wall cracking leaks steam and/or self igniting hydrocarbon vapor depending when in the batch cycle. * Continuous damage repair costs and lost production time exceed the profitability of the unit and other related operations of the refinery. Summary of Fatigue Problem * Solutions focused on a single cause may overlook the other contributors today or tomorrow. * Coke drums suffer fatigue damage from several causes which can be accelerated if not managed properly and these can lead to premature and repetitive cracking. * Severe thermal gradients are the result of other conditions such as global flow channeling along drum walls. * Severe thermal rates create multiple problems. * Fast quenching can create severe gradients. * Hard or Soft coke create different problems and these can change with feed stocks and recipes. * Skirt is stressed during Fill and Quench, and the drum Cylinder/Cone is stressed during Quench. * Knowing your problem lets you solve your problem and extend drum cyclic life. * Awareness starts with appropriate Equipment Health Monitoring System. Typical Client Life Assessment Questions * How long will it last? * How many cycles are left? * When is the economic end of life? * When will we have a through wall crack? * How can we extend the end of life? * Which repair is best and when to repair? Why are there Questions? * Drums were not designed/fabricated for this cyclic service [x] Not Just a pressure vessel [x] Service conditions were not fully understood or they have changed [x] Being operated for maximum economic return not maximum life (in most cases) [x] Bulges and corrugations * The game changes as the vessel changes * Consequences – Safety, Environment, and Financial Integrated Approach for Coke Drum Life Extension Practice 1. Search for bulging and evaluate it. Reinforce to reduce growth of Severity and accelerated Cracking. 2. Search for cracking and document size and growth. 3. Repair the cracks before they reach critical size. 4. Determine actual cyclic stress in shell and skirt. 5. Perform structural, mechanical and metallurgical evaluation of the drum. 6. Develop Long Term Operation, Inspection, Repair and Replacement Plans. Low Cycle Fatigue Destroys Coke Drums * Fatigue damage will be present almost everywhere in a delayed coke drum in cyclic service. * Fatigue damage accumulates with every cycle. * Failures are created from Low Cycle Fatigue in which the nominal yield strength of the material is exceeded repeatedly from thermal selfconstraints. * Cracking completes the fatigue life experience. A Design Fatigue Curve to Calculate Damage Per Histogram Why, Where, How, and When do Coke Drums Crack [x] Fabrication defects * Why ? [x] Low Cycle Fatigue from thermal transient [x] Design details, materials, and weld procedures not adequate [x] Thermal Transients are becoming more Severe & Faster [x] Long term exposure to high temperature : Embrittlement * Where ? [x] Skirt attachments [x] Circumference seams in shell [x] Nozzles (and repads) [x] Bulge Peaks and Valleys [x] Miscellaneous attachments (rings, lugs) Why, Where, How, and When do Coke Drums Crack [x] Fatigue cracking in 3 Stages for Membrane and Bending Cyclic Stress * How ? [x] Clad initiation to base metal [x] Peak Stress at gouges and undercuts * When ? [x] During Peak Season Productions [x] During Holidays [x] Before New Drum Replacements Arrive [x] Too Often Stage 1 : Fatigue is creating dislocations in the metal that cannot be seen (0-50% of Life). [x] Between 3600 and 8000 cycles is common Stage 3 : The crack depth reaches a critical value that does not leave enough thickness to adequately carry the load (Final 5% of life). Stage 2 : Cracks are birthed and grow in length and depth (50-95% of Life). Sources of Large Cyclic Stress * Thermal distributions/gradients and self constraint. * Coke bed interactions. * Thermal heating and cooling rates. * Random local flows through coke bed and around it near wall. * Bulges amplify bending stress in hoop and axial directions. Remote AET data acquisition: AET system controlled by TC readings (Data acquisition when TC's from CDA and CDB are above 250-300 0 F) Each time the system is activated, a half cycle of AE activity for each drum is captured Data transfer via Internet or client's Intranet Near real time data analysis Acoustic Emission Testing Switch out CD B Switch in CD A In-service monitoring of coke drums Typical AE transducer distribution Equipment Health Monitoring System High Temperature Strain Gage with Intrinsically Safe Instrumentation 1100 F Max Temperature Hoop Stress Axial Stress Drum Cylinder and Skirt are Stressed Differently * During Filling, the drum is stressed like a pressure vessel. * Local flow paths can quench one side of drum before the other. * Drum Shell is transiently stressed during Quench. * Drum Skirt is transiently stressed during Fill and Quench. * Top and Bottom Charts are Stress vs Time trend. * Middle chart shows Stress vs Temperature for the 5 cycle trend in Top Chart. Bulges Create and Amplify the Bending Stress on Surface When Tension Applied to Cylinder During Quench Transient * Drum Tension created by internal pressure end load reaction and local thermal constraints during quench. * This creates an axisymmetric Bending Moment as tension tries to flatten the bulge. * Membrane Forces are not at same diameter for valley and peak of bulge. * This Creates differential Hoop Stress and Axial Bending Stress with Tension and Compression on opposite surfaces. * Unloading once max condition is passed, will be linear elastic (used for fatigue calculation). * Local radius of curvature of bulge peak has large influence on bending stress. * Residual plasticity will accumulate and grow the bulge. * Size and Sharpness matter! * Cyclic tension stress areas will accelerate cracking. Pressure F Bulge Stress Amplification and Fatigue * Drums will resist mechanical and thermal loads by straining in relation to current state of yield at every point. * Low Cycle Fatigue has been historically and usefully calculated by ASME Code using elastic calculation. * Drums will unload elastically through an expanded range if yield was exceeded. * Elastic analysis is economical to perform and uses first principals of mechanical equilibrium. * Bulge Severity Analysis uses Finite Element Methods and is API 579 FFS Level III Analysis * Resulting amplification values can be compared globally on the drum and ranked for severity and areas of inspection. Weld Overlay for Reinforcement * Bulges create additional bending stress : surface stress amplification zones. * The extra thickness will re-enforce a bulge and reduce bending stress. * Structural Weld Overlay creates strategically placed extra thickness on bulge peaks or valleys. * Bulge growth rate is slowed. * Cyclic Life is extended. * Crack growth is retarded. * Bulge Severity is Less. * Benefit is realized with ID or OD designed Weld Overlay. * Should be done before severity is a threat if possible. Three Headed Problem 1. Fast Quenching can create non-uniform cooling of the coke matrix and severe temperature gradients (Thermal Issue, detected by TC and Strain Gage). [x] Local flows of hot vapor and local flows of cold water create self constraint problems in drum wall and skirt – hot metal opposing cold metal displacement. [x] Fast Quench creates problems at internal tri-metal joint seams and create severe thermal gradients. [x] Hot-Cold sides of drum create leaning – banana. 2. Coke stiffness can create friction and resistance to shrinkage of the steel envelope (Coke Issue, detected by Strain Gage). [x] Leaking of flanges. 3. Bulging can create stress multipliers – bending stress added to membrane stress (Bulge Severity Issue, detected by Strain Gage and laser scan). Why is Shot Coke a Problem? * Consequently they may pack tighter in the bottom of the drum due to hydrostatic pressure of the weight of the coke bed. * Shot coke consists of loosely bonded particles whose aggregate structural stability is much less than sponge or needle coke. * Flow channels will be less stable and may not endure the full drum cycle. * Hence, all flows within the coke bed will become very random, and * Coke bed content is less solid, more fluidized, with shifting masses causing vibration. * Flows most often found to be nearer the drum wall rather than centered and symmetric, especially with side inlets. * Fast Quench Issues Traditional Analysis methods assume a uniform average flow of water upwards to remove heat from coke bed and shell at same time, or flows up thru central primary flow channel. [x] Flow channel area and friction. * Coke bed formation determines path of least resistance for water flow. – Plugging and channel collapse creates new flow paths. [x] Porosity. [x] Permeability. [x] Collapse strength of coke matrix. [x] Fast Quench means the metal cooled quickly and the coke bed does not. * Temperature measurements suggest fast quench with flow near wall is common with the use of side feed configured drums making shot coke. [x] Generally random but not always aligned with Inlet Nozzle due to a general swirl effect that often favors one side of drum. [x] Creates greater stress at circ seams tri-metal junction. * This creates greater stress in shell/cone-cladding bond and at skirt weld. * This increases likelihood that hot zones remain in coke bed after quench. Flow Simulation Results – Straight Side-entry Nozzle, Flow Condition #2 for high flow rate The simulations represent the beginning of the coking process when VRC vapor is injected into an empty drum Impingement region Non- symmetrical recirculation regions around the inlet Close up view of flow in the inlet region Velocity (m/s) (on horizontal plane through the inlet; viewed from above) The feed rate was a furnace feed of 54,600 BPD (~2.0 API ) Velocity (m/s) (on Plane 1) Non-symmetric recirculation region beneath the inlet will encourage non uniform coke insulation to form on gate and components Flow Simulation Results The simulations represent the beginning of the coking process when VRC vapor is injected into an empty drum Symmetric flow of hot vapor inside the drum. Note low circulation beneath nozzle on top of gate will encourage coke insulation to form above gate and insulate flanges. * Goal is to restore symmetrical flow patterns to drum for hot oil feed and water quench, and encourage insulating coke buildup on gate with minimum pressure loss. * Encourage a central vertical flow of quench water that quenches the coke bed and not the drum. * Increase remaining cyclic life of the coke drum Later Cycles on Operating Drum with CF Device January 2012 Temperature in the lower cone section closely and suggests coke insulation on cone greatly reduces temperature at quench. This reduces stress in drum and skirt. Quench Water Flow with Center Feed Device * The highly focused jetting can keep quench flow centered in coke bed. * Quench stress will be less severe. * This will decrease the likelihood that quench water will flow along the sides of the cone and drum and quench steel instead of coke. * Stress measurement on skirt and shell before and after installation showed that fatigue damage decreased 37% and this extends the life of the skirt by 60%. Project Coke Drum Contacts: Claudio Allevato firstname.lastname@example.org Richard Boswell email@example.com Ron Morrison firstname.lastname@example.org Al Hegger email@example.com Steve Hoysan firstname.lastname@example.org Julian Bedoya email@example.com Sathish Ramamoorthy firstname.lastname@example.org Harbi Pordal email@example.com Brian Lance firstname.lastname@example.org Kris Wernecke email@example.com Derrick Rogers firstname.lastname@example.org Bobby Wright email@example.com k d
IRISH BORDER COMMUNITIES: QUESTIONING THE EFFECTS OF STATE BORDERS AND ETHNONATIONAL IDENTITIES James Anderson Project supported by the EU Programme for Peace and Reconciliation and administered by the Higher Education Authority, 2004-06 IRISH BORDER COMMUNITIES: QUESTIONING THE EFFECTS OF STATE BORDERS AND ETHNONATIONAL IDENTITIES James Anderson Mapping Frontiers, Plotting Pathways Working Paper No. 24, 2006 (also printed as IBIS working paper no. 74) MFPP Working Papers No. 24, 2006 (also printed as IBIS working paper no. 74) © the author, 2006 Institute for British-Irish Studies Geary Institute for the Social Sciences University College Dublin Institute of Governance Centre for International Borders Research Queen’s University Belfast ISSN 1649-0304 IRISH BORDER COMMUNITIES: QUESTIONING THE EFFECTS OF STATE BORDERS AND ETHNONATIONAL IDENTITIES This paper discusses some of the general problems of differentiating between the effects of state borders and the effects of related ethnonational identity differences, and particularly between the combined effects of ethnicity and borders and the effects of all sorts of other influences on behaviour and attitudes in border communities, including class, gender, age and geographical circumstance. It examines how borders and ethnicity interact with other such influences. Reflecting on the pitfalls in rushing to judgement on territorial and ethnic factors, and on perceived shortcomings in Irish border research, it attempts to avoid these various problems in elaborating a research design for a questionnaire survey of border households in Northern Ireland and the Republic. It devises a basic questionnaire with adaptations for different sides and sections of the border, and a random sampling framework which is stratified by distance from the border, with equal numbers on either side, and equal numbers of Catholics and Protestants—traditional markers of Irish and British national identity, though this too is questioned. Highlighting factors such as age, gender and class, it points to asymmetries across the territorial and religious divides which may significantly influence the behaviour and attitudes of the different groups. Publication information Paper produced as part of the programme Mapping frontiers, plotting pathways: routes to North-South cooperation in a divided island. The programme is funded by the Special EU Programmes Body through the Higher Education Authority over the period 2004-06. James Anderson is Professor of Political Geography at Queen’s University Belfast and Co-Director of the University’s Centre for International Borders Research (CIBR) of which he was a co-founder in 2000. Up to 1999 he held the Chair of International Development at the University of Newcastle upon Tyne, and previously he was a Senior Lecturer at the Open University and at the Architectural Association School in London. His research interests centre on political territoriality and include geopolitics, nationalism, national conflicts and conflict resolution. GENERAL RESEARCH PROBLEMS AND THE IRISH BORDER It is often quite difficult to get reliable, meaningful information about the effects of territorial borders. Issues and data tend to be distorted by disjunctures, competition or simply lack of contact between different national systems and sometimes between conflicting nationalism—indeed these “distortions” are often an important part of the reality which has to be analysed. It can be difficult to distinguish “border effects” from all the other types of factors which affect behaviour and attitudes in border regions as elsewhere; and it is difficult to say what difference identity makes. It is sometimes hard to tell whether something would or would not have happened whether the border was there or not, or whether effects are due to identity or other factors. Many of the problems seen as “typical” of border regions, such as the oft-quoted “problem of peripherality”, are also problems for other regions, and in fact not all border regions suffer from them. What is “blamed on the border” may be a more general problem of rurality or geographical isolation, of industrial restructuring or something else, though being close to the border might make things worse—or, alternatively, perhaps better. How close does one have to be for the border to make a difference? How do the effects of the border decline as distance from the border increases; and how does this “distance-decline” vary for different aspects of economic, social, cultural and political life? More generally, what and where is the “border region”? How do we delimit it—does it start at the border or cross it, and how far do “border regions” extend on either side? What do we mean by “border communities”? Irish border research The border dividing Northern Ireland from the Irish Republic, and more particularly its mid-border region(s) in counties Fermanagh, Tyrone and Armagh in Northern Ireland and in counties Cavan and Monaghan in the Republic of Ireland, provide good sites for addressing general problems of border research. Since Ireland’s partition was first mooted over a century ago, and then carried out some 85 years ago in 1920-21, the Irish border has constituted a complex and evolving political context between Irish nationalists and pro-British unionists, Catholics and Protestants, both north and south of the present borderline. Considerable attention has been paid to cross-border relations and in some contexts the lack of them, the border seen alternatively as a “bridge” or a “barrier”—and with opinion divided on whether these are “good” or “bad” things. In some respects the whole of Ireland is a “border region”, or two “border regions”, with both North and South intimately affected by the land border which divides the island, and also by the sea border dividing Ireland from Great Britain. Edna Longley put it very well. With the “postmodern” sensibility of the literary critic, she likes the fact that Belfast “up to a point, lets you live in three places at once”—Britain and the Republic as well as Northern Ireland: As local and Irish-British media intermingle, you can move, mentally at least, to another public domain when a particular set of voices becomes too annoying. This is what it means to inhabit a European borderland, even if not every citizen reads every newspaper or has the inclination or freedom to culture-surf. The downside is that you can be politically depressed in three places at once (Longley, 2005: 123-4). Well said, but what else does living in a borderland mean? What of “postmodern sensibilities” along the border, the value-added or the extra depression? What does it mean for people living close enough to move to “the other side” not just mentally via the media but in the social materiality of their daily (or perhaps weekly or monthly) lives? In terms of political and economic, if not necessarily social, materialities, the whole island is made up of “border regions”. For example, the Belfast Good Friday Agreement of 1998 set up cross-border institutions of governance covering all of Ireland (see Wilford, 2001); and earlier research focused on the “all-Ireland” level when moves towards a “single island economy” through North-South integration was seen as economically desirable with both parts of Ireland becoming integrated into the single European market after 1990 (Anderson, 1994; Bradley, 1996; Hamilton, 2001). But prior to that the attitude was often a Fawlty-esque “Don’t mention the border”—rather surprising considering its centrality in Irish life over several generations, but reflecting instead the dominant social science view developed in larger more stable states that borders were in every sense “peripheral” in the hey-day of the “nation state”. There continued to be relatively few studies at more local levels in the immediate border region, and even fewer dealing with both sides of the border. Liam O’Dowd’s detailed studies of local cross-border relations in the early 1990s were a notable exception (O’Dowd, 1994). While more recently there have been other interesting local studies and accounts, significant gaps and limitations still remain. Local “border regions”, for example, are usually defined as local authority areas contiguous (or close) to the border, which makes sense in terms of local government responsibilities along the border and the possible availability of official statistics (O’Dowd, Moore and Corrigan, 1994), but it can be rather arbitrary and indeed misleading in terms of everyday life. Such administrative definitions tell us little about the actual experience of the border and cross-border relations, which may decline quite steeply with increasing distance from the border and hence may vary greatly within given local authority areas, especially the larger ones. More detailed anthropological studies covering identities and such activities as shopping and socialising (for example, Donnan and Wilson, 1999), and the use of in-depth interviewing and focus groups, do help to close this gap, while personal accounts of the border, replete with tales of smuggling or the contradictions of officialdom (for example, Logue, 1999), help fill in subjective meanings. But they too have their limitations, particularly for making systematic comparisons, and their representativeness may be in question. Findings for one side or one section of border may not hold for the other side or for other sections. For example, an excellent recent study in our chosen mid-border section by Triskele (a research and training group based in Co. Monaghan) used focus groups to research a range of predefined “border communities”, including women, ex-political prisoners, and the Protestant minority, but it only covered the southern side of the border (Harvey et al, 2005). As for different sections, Ian McCracken, who works with Protestants on the north-west section of the border in east Donegal, and is a long-standing member of that community, sees no difference in Protestant and Catholic attitudes to the everyday effects of the border. Whereas northern Protestants in Co. Londonderry just across the border see it as a barrier protecting their British identity, the Donegal Protestants are unconcerned about the border and “are moving on from being a passive remnant of pre-partition Ireland to an active minority who identify as being Irish” (McCracken, 2004: 24). But do his observations from the Northwest hold for the mid-border area? Our questionnaire survey suggests they may not, or not completely. And how reliable and widespread are views gleaned from talking in depth to a small selection of local people (even ones as well-informed as McCracken), as distinct from questionnaire surveys of larger, more randomly chosen and perhaps more “representative” sample populations? Another interesting study of border Protestants by Kathy Walsh (2004) does include a substantial questionnaire survey as well as in-depth interviewing, but again it deals only with the southern side of the territorial divide as well as only one side of the religious divide. With northern co-religionists and Catholics both North and South all sidelined from the analysis, there is inevitably a lack of comparative perspective across both divides. In fact very few systematic questionnaire surveys of any description have been carried out along the border, and those which have been undertaken are generally limited to “local notables”, to the minority of people directly involved in cross-border projects, or to other “minorities”, rather than encompassing the general border population of so-called “ordinary people” North and South. One of the few systematic studies of “ordinary people” on both sides of the border was based on random samples in Dundalk and Newry (O’Dowd and Corrigan, 1996), but here the religious divide was not particularly relevant as the focus of the study was economic, and along this eastern section of the border the population on both sides is in fact overwhelmingly Catholic and nationalist. Rather than relying on information from a small number of selected individuals, or concentrating on what a predefined group or groups think, useful as that usually is, we need a more systematic study of different groups to see them in comparative perspective. Furthermore, we need to cover what people actually do rather than relying simply on what (they say) they think. And we need to take more systematic account of other factors such as their social class, occupation, gender and age, which may sometimes explain as much or more than differences of religion or of state territory. We also need to take into account differences or asymmetries in the geographical structure of opportunities and of problems on either side of the border, for again these may be more important than differences of identity or attitudes to the border per se. This all makes the general point that in borders research there is always the danger that if we go single-mindedly looking for the effects of borders, and/or the effects of ethnonational identities, we will of course find what we are looking for, and conversely may fail to see anything else. The danger in rushing to territorial or ethnonational judgement is that we become blind to other socio-economic or locational influences which might well be as or more important. Furthermore, we also need to deal explicitly and in some detail with such other influences precisely because ethnic and territorial factors actually work with or through them, rather than existing in some abstract isolation of their own. Thus, while often illuminating, personal accounts and focus groups encouraged or set up to concentrate on borders and identities may in some circumstances miss important parts of the story. In the "worst case scenario" the collection of anecdotes and opinions may simply recycle stereotypical views or perhaps half-truths, and hence reinforce and legitimise questionable "conventional wisdoms". Some of these research problems can be at least minimised, if not overcome, by systematic questionnaire surveys of representative sample populations; and also by the careful design and sequencing of questionnaires, avoiding "leading questions", for example, contentious ones in the initial stages of questioning, or ones which might particularly 'colour' later answers. However, such surveys too have their own limitations, as we shall see. Indeed, faced with the inherent difficulties of isolating specific "border" and "ethnonational" effects and seeing how they interact with other influences, and given the respective strengths and weaknesses of the different methodologies, it would ideally be better to think of them not as alternatives but as complementary. Thus a questionnaire survey which establishes broadly reliable factual information about behaviour patterns and attitudes might be followed up by in-depth interviews or focus groups which concentrate on the interpretation of these findings, something for which questionnaire surveys themselves are not especially well suited. BORDER COMMUNITIES AND RESEARCH DESIGN With such considerations in mind, it was decided to carry out a systematic questionnaire study covering North and South and Catholics and Protestants in equal numbers, to facilitate cross-border and cross-religion comparisons. The mid-border section was chosen as the study area for several reasons (see below) but primarily because of its religious "balance", its broadly homogeneous rural character and the relative absence of natural obstacles to (potential) cross-border linkages and movements. In these largely rural borderlands, in counties Cavan and Monaghan in the South and from Fermanagh through Tyrone to Armagh in the North, over three quarters of the population are Catholic, but there are sizeable Protestant minorities on both sides of the border. At the time of a bitterly disputed partition, the religious affiliations of Protestant and Catholic were almost synonymous with political (British) unionism and (Irish) nationalism, but when the border was set up in 1920 sizeable political-religious "minorities" found themselves "on the wrong side" of it. Subsequently much has changed, and particularly in the South where as we shall see Protestant ethnonational identity is now highly problematical. Because of this we refer to "cross-religion" rather than "ethnonational" comparisons, though in the North religion is still generally accepted as a main identifier of national affiliation—perhaps especially in the immediate border area on the northern side, religion and national identity are still synonymous for most people. Indeed this identification has arguably been reinforced by the North's three decades of armed struggle against or for partition. But we can further hypothesise that the conflict may have actually reinforced partitionist attitudes and behaviour more widely on both sides of the border, not least because it made crossing in both directions more difficult for nearly 30 years. In any case, there are still four distinct territorial-religious groups defined or delimited by the state border: northern Protestants and Catholics, and southern Protestants and Catholics—though the extent to which they constitute four separate "communities" (or fewer, or more) remains to be seen. There are interesting symmetries and asymmetries between the four groups that are united and divided by the border and religion. For instance, all except the southern Catholics are still constituted as numerical "minorities" in different ways, locally in the case of both the border Protestant groups, and in terms of Northern Ireland as a whole in the case of the locally dominant northern border Catholics. But while the national affiliations of southern Protestants are now an open question, both sets of co-religionists have to some extent diverged politically because of the border. And in all four cases there are questions about the extent to which subjective identities and stated attitudes are reflected (or not) in material behaviour patterns in relation to the border. Attitudes and identities taken on their own can be slippery evidence, and we also need to compare northerners and southerners, Catholics and Protestants, in terms of their actual activities. We need to see how or the extent to which the border circumscribes their spatial behaviour and social networks; how the two divides, territorial and religious, interact; and which is the greater source of difference, while also taking account of other factors. Here there are really three sets of interconnected issues involving both attitudes and activities: (a) North-South, cross-border comparisons and relations between the two parts of the island; (b) cross-religion Catholic-Protestant comparisons and relations; and (c) the cross-cutting or intermeshing of the two. The hyphens in "North-South" and in "Catholic-Protestant" refer both to comparing the separate territorial and communal entities, and to actual social processes, linkages or mixing across the respective divides. Study methods—questionnaires and sampling frameworks The rationale for the questionnaire and the sampling framework follows from the discussion of problems and gaps in border research. Altogether some 400 rural households were covered on a stratified random sampling basis, giving subsamples 50:50 North-South and 50:50 Catholic-Protestant, or, in other words, some 100 households in each of the four territorial-religious groups. However, the full sample of 400 and the study area were divided into two halves: 200 in the Fermanagh-Monaghan-Cavan section (FMC), and 200 in the Armagh-Tyrone-Monaghan (ATM) section. Analysing all 400 together reduces the statistical problems of small numbers when the data are subdivided into several different categories (for example, combining religion, location, and occupational class); but separating the data into the two halves allows us to compare two distinct (albeit adjacent) sections of border to see if there are any significant differences in attitudes and behaviours between them. The initial comparison of the four groups provided below is based only on the FMC sample (available first), but it already shows how we need to take account of social and economic asymmetries in the group profiles, and cross-border asymmetries in the character of the study area. A basic problem of cross-border and cross-community comparisons is that one cannot always compare like with like. The questionnaires: There are four main parts to the questionnaire (see appendix 1). In line with not “rushing to judgement” on the territorial and religious divides, it starts with an “apolitical” survey of travel patterns: potentially sensitive questions are initially avoided, and indeed the border itself is not actually mentioned until question 12. Part 1 focuses on spatial movements and linkages of all household members irrespective of whether or not the border is crossed. Then part 2 concentrates explicitly on the cross-border movements and linkages of the individual interviewees, but the tone is straightforwardly “factual”: there are no overtly political questions until question 20, and even then the questioning invites factual answers rather than the expression of opinion. Not till question 24, and in particular part 3, are there sensitive questions expressly about political identities and attitudes. The hope is that this graduated, “funnelling” approach increases the possibilities of getting reliable information on what people actually do, rather than what they think they ought to do or say, or “their politics” unduly influencing their answers. There is also an element of repetition in the questions as a check for (in)consistency and to aid interpretation (which as noted can be a problem with questionnaire data). Thus parts 1 and 2 have a strongly materialist orientation and cover a wide range of activities including education, work, different types of social networks, shopping for different types of goods and services, the use made of various information and entertainment media, and cross-border cooperation. Part 3 focuses on the subjective realm of ideas, identities and attitudes across a variety of political issues, including partition and Northern Ireland’s future, security, cross-border cooperation in different fields, Protestant-Catholic relations, and the attitudes of the four groups to co-religionists across the border and in the rest of the same state. Several questions were repeated or adapted from the annual “Northern Ireland Life and Times” (NILT) surveys of public opinion, in order to get a perspective on how the border population compares to the whole population of Northern Ireland, though NILT has not included some of the more relevant questions in recent years. With four open-ended questions (Qs. 24, 29, 30 and 41)—another aid to interpretation—we get further views on the advantages and disadvantages of living near the border and how things have changed since the ceasefires ten years earlier. Part 4 of the questionnaire provides information on household and interviewee characteristics which can be correlated with the behavioural and attitudinal variables, including data on the occupational and social class status of the chief income earner of each household (see appendix 2), and the age group, gender and formal educational attainment of the interviewee, along with religion, and location (North-South, and zonal). These data, together with other questions on car ownership, material possessions and farm size (or non-involvement in farming), also give us an overview of the border population in general and profiles of the four groups in particular (see below), revealing social and economic asymmetries which might explain some of their behavioural and attitudinal differences. As usual with questionnaires, this one is an intuitive compromise between keeping within a reasonable length and maximising the quantity and quality of the information collected. The sampling frameworks: Being stratified to give equally sized subsamples, 50:50 North-South, 50:50 Catholic-Protestant, the overall sample of 400 households is clearly not intended to be directly representative of the general rural population in the study area, where the overall Catholic:Protestant ratio is around 3 to 1. However, giving the findings for the Catholic component a three-fold weighting can make it more generally representative. The households have been chosen randomly within the stratification framework and the representativeness of the four groups can be checked against available census data. In addition to these stratifications (and the division of the total sample into two sections), the sampling was further stratified so that there were equal numbers of Protestant and Catholic households at specified distances from the border on either side. The stratification included three distance zones, A, B and C, on either side of the border (within which the Catholic-Protestant equality was maintained); and the main problem here was deciding appropriate distances and fitting them to the road pattern. The piloting of the questionnaire, together with a smaller survey of four border towns, had suggested that in this general area local border effects and cross-border contacts fall off sharply beyond around 10 miles or so for many activities, and therefore it was decided to test this hypothesis and confine the samples to strips within about 12 miles of the border. In addition, to try to gauge the varying rates at which the effects and contacts decline with increasing distance for different types of activity—their “distance-decay functions”—it was decided to divide each “12-mile strip” into the three zones; and furthermore to weight the sample towards the zone adjacent to the border (in effect “hedging one’s bets” to minimise the amount of sampling “wasted” by being beyond the range of most “border effects”). Thus half the sample, both North and South, is within three miles of the border (zones A North and A South); and the other half is divided into 30% between three and seven miles (zones B), and the remaining 20% between seven and 12 miles (zones C). However, because of the “small numbers” problem, zones B and C are sometimes combined to give a “50:50” basis of comparison between zones B and C (3 to 12 miles from the border) and zones A (zero to three miles). The six zones on either side of the border were mapped in terms of generalised road distance from the nearest border crossing point, and then households were randomly selected within this framework. Because Protestant households are nearly everywhere in a local minority and thus “harder to find”, they were identified first in an elaborate process involving electoral registers, guess-work (generally accurate) on the basis of surnames combined with forenames, and (in the South where the research use of electoral registers is now restricted) advice from local people and Protestant clergy who were very helpful in provided names of parishioners. From this the interviewers were provided with the names and addresses of most of the Protestant households in the study area, many more than were needed in each zone, and they selected households randomly from the lists until the quotas were met in each case. The corresponding Catholic quotas in each zone were met by going to nearby houses in the same or adjacent townlands which were not on the lists provided and which in almost all cases were indeed Catholic (though a tiny minority of interviewees recorded a non-Christian religion, or no religion, or refused to specify one). In addition, to minimise the problem of the interviewee sample being disproportionately female and/or elderly (because females and the elderly were perhaps more likely to be at home during the day when the interviewers called), each interviewer was limited to a 60% maximum both for female interviewees and for people aged over 65. THE STUDY AREAS AND POPULATION PROFILES As well as having the requisite Protestant minorities on both sides, the mid-section of the Irish border has other interesting or relevant features. For instance, of all sections of the Irish border, the town of Clones and its surroundings have arguably suffered most from partition and from the recent “troubles”. It is at the centre of the FMC half of the study area on the Monaghan border, but much of its traditional economic hinterland and religious organisational infrastructure (both Catholic and Protestant) were—and continue to be—in Co. Fermanagh. The town is surrounded by the border on three sides, over half the roads out of town cross the border within a short distance, and many of those were “spiked” or otherwise rendered impassable by the British army until the paramilitary ceasefires of the mid-1990s. You do not have far to look for “border effects” in this locality. They have been equally felt on the northern side where people also suffered from the decline of Clones and other southern border towns; and where the local Protestant minority felt particularly isolated and vulnerable during the “troubles”, not least because of the proximity of the border, which was considered a bolt-hole for terrorists (despite the “spiked” roads). There is in fact a fairly dense network of roads and relatively easy cross-border access along most of the mid-border section; and its particular geography and conflictual historical legacy—and contrasts with the Donegal-Derry and Newry-Dundalk sections—may be reflected in contemporary attitudes and behaviour. It has greater cross-border accessibility, and hence perhaps more potential for “cross-border community”, than the north-west section at least as far as the respective rural populations are concerned. The Foyle river and lough constitute a substantial natural barrier to movement between rural Co. Donegal and rural Co. Londonderry, with no comparable barrier in the FMC, or ATM, survey areas; though, on the other hand, the city of Derry which is located astride the only bridging points on the Foyle (and in itself is an “urban” barrier to the creation of a cross-border rural community) is the focus for a cross-border community of commuters and shoppers. The mid-border area, with its greater religious mix than the eastern Newry-Dundalk section, also has an historical legacy of local sectarian conflict being more intensive and extensive; and something similar seems to apply in the comparison with the Donegal border, despite its substantial religious mix. There are historical reasons for thinking that Ian McCracken’s observations about the national identity of his fellow-Protestants in east Donegal might not hold in this mid-border area considering its legacy of conflict and contemporary continuities. Conversely, if the historical legacy of “border problems” can be overcome in this area, it can arguably be overcome anywhere in Ireland. While all sections of the border were disputed at the time of partition (see Rankin, 2004), in the mid-border section there was more locally organised and conflicting opposition by both sides. The Protestant Orange Order, the unionist Ulster Volunteer Force (UVF) and the Irish Republican Army (IRA) were all strongly supported. Between 1917 and 1923 political violence in Co. Monaghan was generally over twice as prevalent as in other Ulster counties, and nearly three times the Donegal level (according to Hart, 2003, table 1). There were noted incidents such as the “Clones ambush” (of a cross-border train carrying British soldiers from one part of the North to another in 1922); and the “Belfast boycott” (generally of Protestant businesses) was very actively pursued in Co. Monaghan where the local IRA leader was Eoin O’Duffy, later famous as the first Commissioner of the South’s police force, the Garda Síochána, and infamous as Ireland’s putative fascist leader in the 1930s. At the time of partition there was also significant local Protestant migration northwards across the new border into Fermanagh, though not of Catholics moving South (see, for example, Hart, 2003: 258); and the recriminations about Donegal, Cavan and Monaghan unionists being “thrown from the lifeboat”, to give a six-county “Ulster” its “safe” 2:1 Protestant majority, were especially heated in Co. Monaghan. This era has been evocatively recreated by Daragh McDonald in his historical novel, The Sons of Levi, based on the rural Protestant community of Drum which still has a strong presence some eight miles south of the border at Clones; and another novelist from near Clones, Eugene McCabe, has also written interestingly on the border saga. In comparing across different sections and sides of the border we are often not comparing like with like. On the one hand, the study area is relatively homogeneous in that both sides are rural with small towns, unlike the north-west, where the city of Derry has no counterpart in Donegal, of which it has been effectively the “capital”. On the other hand, the imposition of the border resulted in very distinct cross-border asymmetries in the study area’s “central place system” of towns and villages of different sizes: for example, there are marked differences between the ATM and FMC sections, while in the FMC section the centres on the southern side are notably larger and closer to the border than their northern counterparts. This seems to have had two consequences, with the southern towns (for example, Belturbet and Ballyconnell as well as Clones) economically suffering more from the border than similar sized northern ones (for example, Lisnaskea); but—because still larger—they continue to attract more cross-border trade than the smaller centres (for example, Newtownbutler, Roslea) just across the border on the northern side. The presence or absence of practical opportunities, or differential configurations of “intervening opportunities”, whether for shopping, employment or social activities, have to be recognised when comparing levels and directions of movement: the geography of opportunities may sometimes explain more than political or ideological preferences. Asymmetries in the socio-economic structure of particular borderlands can be crucial in border studies making comparison more complicated but also more interesting, like asymmetries in the composition of the different population groups. The territorial-religious groups in profile Stratified only by location and religion, the sample was otherwise random with no controls for other variables such as social class, occupation, standard of living or education levels. These, together with the gender and age of the respondents (which as noted were subject to a quota), were the focus of questions 31 to 40 in part 4 of the questionnaire (appendix 1). The initial analysis of the FMC data provides an indicative snapshot of part of the study area’s population and highlights some of symmetries and asymmetries in the four territorial-religious groups which will need to taken into account when comparing their attitudes and behaviours. The 200 households in the FMC sample had a total household membership of some 660 men, women and children over four, and the numbers were fairly evenly balanced between North and South, and Catholic and Protestant, as planned. But on the other variables there are some significant asymmetries or biases in the sample. The overall sample can be roughly characterised in social class terms using the standard occupational classes of market research for both sides of the border (see appendix 2). Moving from higher to lower status, 17% of households are ABs, 36% are C1s, 25% C2s, and 22% DEs, which is roughly in line with the wider society (though with relatively fewer DEs and more C1s than the UK norm). Perhaps more remarkably for this FMC rural population, only 19% of households are involved in “full-time” farming, while only another 15% have “part-time farmers”; and fully two-thirds of all these rural households are not involved in farming at all. This reflects the transformation in agriculture and rural society in recent decades and means many more people go out to work with much more travelling, including more potential for cross-border travel, than in the past. Of the 660 household members, just over half (52%) travel out to work or education. With fewer, larger farms, 26% of the holdings are over 100 acres, 49% are in the 50 to 100 acre category, 22% are between 20 and 50 acres, and only 4% are now less than 20 acres (when under 50 is of doubtful viability nowadays). Clearly there is significant social deprivation and inequality in the overall border population, with nearly a tenth of households lacking a car (now a necessity for rural dwellers), and 7% lacking a telephone, while 59% of interviewees had finished their formal education by the age of 16, and only 20% had continued after age 19. This general socio-economic pattern applies to North and South, Catholic and Protestant, though there are some significant variations. Class and standard of living: According to the occupational class figures, the northern subsample has more higher status households and fewer lower status ones than the southern subsample; and likewise the overall Protestant sample has generally a somewhat higher occupational status than the Catholic sample. For instance, the relatively high status C1 category accounts for 46% of the northern households but only 27% of the southern ones, and 39% of the whole Protestant sample compared to only 29% of the Catholic one. Conversely, the low status DE category accounts for only 13% of all northerners and only 19% of all Protestants, but 31% of all southerners and 25% of all Catholics. Looking at the northern sample on its own, the class composition of Catholics and Protestants is quite similar, whereas in the southern sample there is more differentiation and polarisation (for example, 24% of southern Protestant households are in the DE category, but the figure rises to 40% for southern Catholics). Thus southern Catholics as a group have the lowest occupational status, and northern Protestants the highest (respectively 38% and 68% in the highest two class categories; and 58% and 28% in the lowest two). The other two groups come in between, with the northern Catholics very slightly higher than the southern Protestants (for example, the latter have twice as many DEs, partly reflecting their older age profile and hence greater dependence on state welfare). These significant socio-economic asymmetries suggest that of the two divides the territorial is perhaps more important than the religious. It seems there is both more deprivation and greater social inequality on the southern side of the border, and this is broadly in line with some other socio-economic differences. The comparative figures for farming show that 43% of the northern households are involved in agriculture, full- and part-time in equal proportions; but much fewer southern ones farm (26%)—only 16% full-time, and even fewer, 10%, part-time, which leaves three quarters of the southern households with no income from agriculture. This is significant for North-South differences because while farming does not have the economic status it once had—and even farms of over 50 acres may have marginal viability—nevertheless it is an important source of income and especially supplementary income for part-timers, and very few households with farms are in the lowest class categories. However it is even more significant for Protestant-Catholic differences. Relatively few of all Catholic households are involved in full-time farming (13%) and even fewer part-time (9%), whereas nearly half of all Protestant households (46%) are involved, in roughly equal proportions full- and part-time. There are less cross-border differences in farm size (for example, a quarter of the 74 farms are over 100 acres, and they are evenly divided between North and South; and in both places half the farms are in the 50-100 acre category). Here the differences by religion are more marked, especially in the North where nearly all the farms of over 100 acres are Protestant-owned. In the South, ownership patterns are very similar across the religion divide, except in the top “over 150 acre” category: the sample has four such farms in the South and four in the North and all eight are owned by Protestants. Ownership patterns for cars, telephones and seven other household and personal appliances (questions 34 and 35) support the evidence on social class, with levels lower in the South in virtually all cases, if not always by much. The ABs, not surprisingly, have higher than average levels, and the DEs have the lowest in most cases. For example, of the 9% of households without a car, two thirds are in the South and they are nearly all in the DE category. While 44% of northern households have two cars, and 10% more than two, the corresponding southern figures are only 30% and 6%. Again, of the 7% of households without a phone, two thirds are in the South and again nearly all are DEs. Protestant-Catholic differences are more mixed and sometimes less clear. In car ownership or non-ownership, in lack of a phone, and on such now fairly standard household items as dishwashers and freezers, there are little if any differences. But more interestingly, Catholic percentages are significantly higher for the five “newish” IT appliances—mobile phones (82% of Catholics have them compared to 74% of Protestants), home computers (70% compared to 59%), satellite or cable TV (36% to 24%), video players (91% to 78%), and DVD players (64% to 47%). The Protestant sample may be more “conservative” as it tends to be older. Age, gender, access to travel, and education: The educational attainment figures (as with class and standard of living) show that levels are generally lower on the southern side of the border. While 59% of all the FMC interviewees left formal education at 16 years or younger, 65% of the southern ones did so compared to 54% of the northerners; and while 20% overall continued beyond 19 years, only 13% of the southerners ones did compared to 28% of the northerners. Differences by religion are significantly less marked overall, and are complicated by age differences. Educational levels are closely associated with class in the highest and lowest categories (for example, 30% of ABs continued beyond 19, compared to only 9% of DEs; conversely, while 36% of ABs left at 16 or younger, 79% of DEs did so, and fully 43% of them are in the “younger than 16” category). This overlaps with age, as older interviewees tend to have lower occupational status, and older respondents of both religions have significantly less formal schooling than younger ones (for example, 86% of over-65s had left school by 16 compared to only 21% of those under 25). Similar proportions of Catholics (58%) and Protestants (62%) left school at 16 or younger, but more Catholics have continued in education beyond the age of 19 (24%, compared to only 15% of Protestants). Catholics with traditionally less farmland and relying more on paid employment may perhaps put more emphasis on formal education. But age seems the more important factor: the Catholic interviewees are decidedly younger (for example, 15% are in the 18-24 age group compared to only 8% of Protestants; and 12% of Catholics are over 65 compared to 32% of the Protestants). These data may exaggerate the differences but the ATM survey also shows a clear tendency for the Protestant interviewees to be older. Age, and also gender, are important factors when comparing individual activity patterns across the territorial and religious divides. In contrast to religion, there is not a big overall North-South variation in age, though the southern Protestant subsample of interviewees is the oldest of the four by a substantial margin (38% are over 65, compared to 25% of northern Protestants, and only 12% of both Catholic groups). On gender, women generally tend to have fewer opportunities for mobility, or choose to travel less than men, and the interpretation of travel patterns in terms of location and religion will have to be qualified by gender imbalance. Overall there is a reasonable balance between female (55%) and male (45%) interviewees, and no significant overall gender discrepancy between the Catholic and Protestant subsamples. But the proportion of female interviewees is higher than in the South than the North (59% compared to 52%) and is highest among southern Protestants (64%, compared to 54% for southern Catholics). However, the ATM survey is more balanced in gender terms which will mean less “bias” in the combined data. The FMC figure for women interviewees travelling out to work or education is 48% compared to 57% for men. But there is marked North-South difference with only 41% of all southern interviewees travelling out, and 59% either working at home or unemployed or retired. The respective figures for the North are virtually a “mirror image”: 62% travel out and only 38% do not. In part this reflects gender, age and class differences between the northern and southern samples, but it is also in line with the traditionally higher “economic activity rates” of Northern Ireland’s population compared to that of the Republic. The proportions travelling out are lower for old than for young adults as would be expected, and it is particularly low for the lowest class category, the DEs. But overall there is no significant difference between Catholics and Protestants—here, gender, age, class and location are all more important factors than religion. CONCLUSION In these “mixed messages” of similarity and difference, symmetry and asymmetry, there is already a warning and a promise for the analysis of behaviour and attitudes. The northern sample is generally somewhat younger and higher in occupational class terms, and with more involvement in farming, than the southern sample. The Protestant interviewees are generally older than the Catholic ones, and they appear to be more traditionally “rural” with many more Protestants than Catholics working in agriculture. But on some important issues there is little or no difference between the religious groupings, and more between North and South, although in other instances this is reversed. While most of the comparisons point to a relative social disadvantage of households south of the border, and of Catholic compared to Protestant ones on both sides, some do not. It is also clear that there are big variations within each of the four territorial-religious groups and that other categories such as gender, age and class can be at least as important. Attitudes and behaviour patterns are shaped by a wide variety of factors and the particular effects of the border and ethnonational identity must be seen in this context. Too often, analysis in this field is overly shaped by nationalist or sectarian assumptions, even—or indeed especially—if we are not always aware of them. We need to avoid rushing to judgement about the effects of state borders and ethnonational identities. But the conclusions here are brief. In discussing general research problems and outlining a particular research design in response, this paper provides only the recipe: “the proof of the pudding will be in the eating”. REFERENCES Anderson, J (1994) “Problems of inter-state economic integration: Northern Ireland and the Irish Republic in the European Community”, Political geography 13 (1): 53-72 Bradley, J (1996) An island economy: exploring the long-term consequences of peace and reconciliation in the island of Ireland. Dublin: Forum for Peace and Reconciliation Donnan, H, and TM Wilson (1999) Borders: frontiers of identity, nation and state. Oxford: Berg Hamilton, D (2001) “Economic integration on the island of Ireland”, Administration 49 (2): 73-89 Harvey, B, A Kelly, S McGearty and S Murray (2005) The emerald curtain: the social impact of the Irish border. Carrickmacross, Co. Monaghan: Triskele Community Development and Training Hart, P (2003) The IRA at war 1916-1923. Oxford: Oxford University Press Logue, P (1999) The border: personal reflections from Ireland, North and South. Dublin: Oak Tree Press Longley, E (2005) “No passports”, pp. 119-35 in Britain and Ireland: lives entwined. Dublin: British Council Ireland Market Research Society (1991) Occupation groupings: a job dictionary. 3rd ed. London: Market Research Society McCracken, I (2004) “A Donegal Protestant’s view of cross-border cooperation”, The Centre for Cross Border Studies: Year 5. 22-24 [Armagh: CCBS] O’Dowd, L (1994) Whither the Irish border? Sovereignty, democracy and economic integration. Belfast: Centre for Research and Documentation O’Dowd, L, and J Corrigan (1996) “Securing the Irish border in a Europe without frontiers”, pp. 117-34 in L O’Dowd and TM Wilson, eds, Borders, nations and states. Aldershot: Avebury O’Dowd, L, T Moore and J Corrigan (1994) The Irish border region: A socio-economic profile. Belfast: Department of Sociology and Social policy, Queen’s University Walsh, K, with M Curran and M Heaney (2004) Border Protestant perspectives: a study of the attitudes and experiences of Protestants living in the southern border counties. Dublin: ADM/CPA and the Equality Authority Wilford, R, ed. (2001) Aspects of the Belfast Agreement. Oxford: Oxford University Press APPENDIX 1: THE QUESTIONNAIRES The same basic questionnaire was used in all the surveys but in a few questions there were variations depending on whether the interviewees lived North or South, and whether they were on the FMC or the ATM section of border. The version reproduced here was for the northern (Fermanagh) component of the FMC survey, and the variations for the southern (Monaghan-Cavan) component are noted below. This version is not the actual version used by Millward Brown Ulster, who organised the interviewers. The firm added some extra ancillary questions and an elaborate coding system to aid the interviewing and data entry processes. So the version reproduced here is the one initially provided to the firm, but with the question numbers changed in line with their final version and the numbering system used for crosstabulations. In the Monaghan-Cavan survey in question 17 southerners are asked about their use of a comparable set of villages and urban centres across the border in the North; and in questions 18 and 19 southerners are asked about visiting relatives and friends across the border in Fermanagh; and in question 28 they are asked about their willingness to live in Fermanagh. Similar variations were made in the ATM questionnaires. In question 28 the last two statements are different, the northern ones referring only to northern Protestants and Catholics, the southern one only to southern Catholics and Protestants. Southerners were asked to respond to the statements: “Border Catholics feel let down by nationalists in the rest of the Irish Republic”, and “Southern Protestants feel let down by northern unionists”. There were similar variations in the ATM questionnaires, but apart from these few exceptions the other questions were the same across both the FMC and ATM samples, as in the version below: --- TRAVEL PATTERNS AND ATTITUDES IN BORDER AREAS A QUESTIONNAIRE SURVEY OF HOUSEHOLDS IN CO. FERMANAGH Q. 1. Firstly, to confirm the Townland your household is in? [Q. 1] ____________________________________________________________ [for coding distance from border] [Qs 2-4 part of Q.5 >>] PART 1. TRAVEL PATTERNS AND ACTIVITIES Q. 5. Where does each member of your household travel for work or study? \| Household Members: \| Location of Main Workplace or Place of Education (townland, village, town, or city) \| \|-------------------\|----------------------------------------------------------------------------------\| \| \| [Location, not name of firm or school and “Home”, “Retired”, or “Unemployed” as appropriate.] \| a. Interviewee: “…starting with yourself?” b. Other adults: c. d. e. f. Children over four: g. h. i. j. k. Q. 6. Where does anyone in your household travel for the following things? \| Main place? (townland, village, town, or city) \| Any other place? [ask if only one place mentioned] \| \|-------------------------------------------------\|--------------------------------------------------\| a. Weekly household groceries b. Bigger purchases (e.g., household appliances) c. Convenience shopping (e.g. only for bread or milk) d. Buying petrol or diesel—for the car e. Going to the dentist f. Going to church or chapel g. Meeting relatives—the ones visited most often 7. Where do you personally go for the following social activities? \| Main place? (townland, village, town, or city) \| Any other places? [ask if necessary] \| N/A \| \|-----------------------------------------------\|-------------------------------------\|-----\| \| a. Going to the cinema \| \| \| \| b. Going out for a meal \| \| \| \| c. Attending sporting activities \| \| \| \| d. Going to the pub \| \| \| \| e. Going to clubs & dances \| \| \| \| f. Visiting friends \| \| \| Q. 8 to 11. Newspapers, TV and radio in your household... In your household... Most often? Second most often? [ask if only one mentioned and if none cross-border] 8. Which local weekly newspapers are bought 9. Which daily newspapers are bought 10. Which TV channel news is watched 11. Which radio stations is listened to PART 2. YOUR OWN CROSS-BORDER TRAVEL AND CONTACTS Q. 12. How often do you personally travel across the border? a. four or more times a week b. two or three times a week c. weekly d. once or twice a month e. two or three times a year f. once a year g. less than once a year h. never Q. 13. How far do you live from the border [range of distances from less than a mile to more than ten] And please explain how you worked out that distance (e.g., to the nearest point on the border, or to the nearest crossing place, or…?) Q. 14. Please say whether the following possible reasons for crossing the border are Very Important, Quite Important or Not Important, (or Not Applicable) to you: Possible reasons for crossing the border: Very Important Quite Important Not Important N/A a. for work or work-related activities b. shopping for groceries c. shopping for consumer durables (e.g., appliances) d. buying petrol for the car e. entertainment and leisure activities f. visiting relatives or friends who live across the border g. other reasons (see Q. 8, below) Q. 15. If you cross the border for other reasons (g), please say what they are: Q. 16. If you cross the border for work-related reasons (a), please tell me about them: Q. 17. How often do you go to the following places? [comparable sets for the southern FMC, and for ATM surveys] \| To: \| Twice or more a week \| weekly \| once or twice a month \| 2 or 3 times \| once a year \| less than a year \| never once a year \| \|--------------\|----------------------\|--------\|-----------------------\|--------------\|-------------\|------------------\|-------------------\| \| 1. Redhills \| \| \| \| \| \| \| \| \| 2. Scotshouse\| \| \| \| \| \| \| \| \| 3. Cloverhill\| \| \| \| \| \| \| \| \| 4. Clones \| \| \| \| \| \| \| \| \| 5. Ballyconnell\| \| \| \| \| \| \| \| \| 6. Belturbet \| \| \| \| \| \| \| \| \| 7. Cootehill \| \| \| \| \| \| \| \| \| 8. Cavan Town\| \| \| \| \| \| \| \| \| 9. Monaghan Tn.\| \| \| \| \| \| \| \| \| 10. Dublin \| \| \| \| \| \| \| \| Q. 18. If you have relatives living across the border in Co. Monaghan or Co. Cavan [Fermanagh for FMC southerners] how often do you see them? a. At least once a week b. Every two weeks c. Once a month d. Two or three times a year e. Once a year f. Only on special occasions g. Not applicable Q. 19. If you have close friends living across the border in Co. Monaghan or Co. Cavan [Fermanagh] how often do you see them? 1. At least once a week 2. Every two weeks 3. Once a month 4. Two or three times a year 5. Less than twice a year 6. Not applicable Q. 20. Do you participate in any local activities or groups which operate on both sides of the border? Yes_______ No________ If Yes... Please specify: Q. 21. Are you involved in any organizations or activities which are supported by EU or "peace and reconciliation" money? Yes_______ No________ If Yes... Please specify: Q. 22. Do you participate in any work or social activities where Protestants and Catholics mix together? Yes_______ No_______ If Yes... Please specify: Q. 23. Do you normally carry euro as well as sterling currency? [vice-versa for southerners] Yes_____ No_____ Q. 24. In your opinion, how has living near the border changed since the paramilitary cease-fires ten years ago? PART 3: YOUR IDENTITY AND ATTITUDES Q. 25. How would you describe your own national identity? [do you think of yourself primarily as...] Irish British Northern Irish Ulster southern Irish Other (please specify) Q. 26. Do you think of yourself as: A unionist? A nationalist? Or neither? If "neither", can you please say how you describe yourself politically? Q. 27. For each of the following activities, please say how strongly you support or oppose cross-border cooperation with the Irish Republic [Northern Ireland]: \| Strongly support \| Support \| Neither for nor against \| Oppose \| Strongly oppose \| \|------------------\|---------\|-------------------------\|--------\|-----------------\| \| Agriculture \| \| \| \| \| \| Education \| \| \| \| \| \| Decisions about Northern Ireland’s political future \| \| \| \| \| \| Health \| \| \| \| \| \| Security \| \| \| \| \| Q. 28. Please say how strongly you agree or disagree with the following statements? \| Strongly agree \| Agree \| Neither Agree nor Disagree \| Disagree \| Strongly disagree \| \|----------------\|-------\|----------------------------\|----------\|-------------------\| \| Before the paramilitary ceasefires, border checkpoints and road closures were essential for security. \| \| \| \| \| \| If moving house, I would happily move across the border to live in Co. Cavan or Co. Monaghan. [Co. Fermanagh] \| \| \| \| \| \| There should be more integrated schools for Protestant and Catholic children in Northern Ireland and the Irish Republic. \| \| \| \| \| \| Cross-border cooperation has increased only because of EU and “peace” money. \| \| \| \| \| \| Re-opening border roads has been very important for the prosperity of my area. \| \| \| \| \| \| In 20 years time Northern Ireland will still be part of the UK. \| \| \| \| \| \| In the border region the main division is between Catholics and Protestants rather than between North and South. \| \| \| \| \| \| Northern Ireland should remain part of the UK. \| \| \| \| \| \| Northern Ireland should join the single European currency—the euro. \| \| \| \| \| Cross-border cooperation will lead to prosperity in the border region. Cross-border cooperation will lead to a united Ireland. Border Protestants feel let down by unionists in the rest of Northern Ireland. [Border Catholics…by nationalists in rest of Republic] Northern Catholics feel let down by southern nationalists. [southern Protestants…by northern unionists] Q. 29. Please say briefly what in your opinion are the main benefits or advantages in living near the border? Q. 30. What, briefly, are the main problems or disadvantages living near the border? PART 4: FINALLY, A FEW DETAILS ABOUT YOU AND YOUR HOUSEHOLD Q. 31. What is the main occupation of the chief income earner in your household? Q. 32. Does the household farm? Full-time____ Part-time_____ Neither_____ Q. 33. If your household farms, roughly how many acres in total: N/A___ Under 20___ 20-50___ 50-100___ 100-150___ Over 150____ Q. 34. How many cars are there in your household? None___ One___ Two___ More than two_____ Q. 35. Does your household (or any household members) have a: \| Yes \| No \| \|-----\|----\| \| Telephone \| \| \| Mobile phone \| \| \| Home computer \| \| \| Washing machine \| \| \| Dish washer \| \| \| Stand-alone freezer \| \| Q. 36. What is the religion of your household? a. Presbyterian b. Church of Ireland c. Other Protestant d. Roman Catholic e. Other religion f. No religion Q. 37. Record interviewee’s gender: Male_______ Female________ Q. 38. Which of these age groups are you in... 18-24_____ 25-39_____ 40-65_____ 65+_______ Q. 39. What age were you when you left full-time education? _______ Q. 40. How long have you lived in this area? And, lastly... Q. 41. What do you think are the most important issues for the border and border region (perhaps including issues which we have not already dealt with properly)? Thank you very much for your time and help APPENDIX 2: OCCUPATIONAL SOCIAL CLASSES Rather than using the different official census classifications for Northern Ireland and the Republic, the four basic market research categories, based on the occupation of the “chief income earner” in the household, were used as approximate indicators of relative “class status”. The Market Research Society (1991) definitions of the four classes (and component parts) are: 1. AB—made up of A, approx. 3% of the UK population, including professional people, senior managers, and owners of large businesses; combined with: B, approx. 14% of UK population, including middle managers, and top ones in smaller businesses. Together A and B account for around 17% or one-sixth of the UK population. 2. C1—includes junior managers and non-manual employees, and accounts for about 25% of the UK population. 3. C2—includes foremen and “skilled” manual workers, accounting for another around 25%. 4. DE—made up of D, approximately 20% of the population and including the “semi-skilled”; plus E, around 13% of the population, including casual workers, the long-term unemployed and others (e.g., the elderly) dependent on state provision. D and E together account for about 33% of the population. While the general gradation from A to E is clear, these broad categories can be difficult to apply accurately (perhaps especially in rural areas with owner-occupied farms of widely different sizes), and they give only a rough overall indication of “class” as a factor across the sample population as a whole. The FMC sample has relatively fewer DEs and more C1s than the UK norm, but otherwise is broadly in line with it: AB—17%; C1—36%; C2—25%; and DE—22%.
A Neural Model for Sonar-Based Navigation in Obstacle Fields Timothy K. Horiuchi Institute for Systems Research & the Neuroscience and Cognitive Science Program Electrical and Computer Engineering Department, University of Maryland, College Park, MD 20742, firstname.lastname@example.org Abstract — The rapid control of sonar-guided vehicles through obstacle fields has been a goal of robotics for decades. How sensory data is represented strongly affects how obstacles and goal information can be combined to select a direction of travel. While typical approaches combine attractive and repulsive effects to directly determine steering, we are investigating an algorithm that evaluates multiple directions simultaneously followed by a winner-take-all (WTA) function which then guides steering. In this paper we describe a neuromorphic VLSI implementation of this algorithm using the inherent echo delay to create a rangedependent gain in a 'race-to-first-spike' neural WTA circuit. The chip was fabricated in a commercially-available 0.5µµµµm CMOS process and in this paper we present preliminary test results. navigation, using the sonar system to evaluate the desirability of different directions of travel simultaneously and selecting the direction with the highest evaluation. Index Terms— step inhibition, spike-timing, winner-take-all, bat echolocation, multiple obstacles, robot navigation. I. INTRODUCTION The evaluation process begins with a field of evaluation units that receive an initial evaluation that represents the prior assumptions about the desirability of a given direction. This can incorporate information about actuation limits, energy conservation, single or multiple goal directions, history of previous choices, etc. Obstacles then produce a pattern of suppression (i.e., inhibition) on the evaluation pattern such that close objects produce deep, wide suppressions and faraway objects produce only narrow, shallow suppressions (see Fig. 1). A winner-take-all (WTA) process then selects the direction with the maximum evaluation. In this approach, echo strength could further modulate suppression such that weaker echoes produced weaker suppression, eliminating the problem of detection thresholds. From the selected direction, we assume that a motor control subsystem will steer our creature onto the desired heading. This process of simultaneous direction evaluation is similar to other mean-field-theory approaches to robot navigation [2]. Recent approaches to this short-term obstacle avoidance problem have utilized the summation of repulsive or attractive forces and torques to steer a particular creature (e.g., [1]). While this approach has proven to be quite successful in many cases, there are a few drawbacks to consider. An extended object, if detected as two closely-spaced objects, could produce twice the repulsive force. This force-field approach can also produce trajectories between closely-spaced objects, such as in room corners. Part of the problem is that an obstacle that produces a repulsive force (or torque) attempts to turn the creature in a particular direction, whereas obstacles should only inform the creature of where it should not go. cholocating bats are capable of flying through dense forests in complete darkness during their hunt for flying insects and other prey. How biological systems can turn the storm of sensory information into short-term motion plans amidst multiple obstacles and goals is an ongoing quest for many roboticists and neuroscientists. Noisy, ambiguous sensory data, limited time to make decisions, and the tricky question of what an obstacle is, all make this a difficult task. E A. The "Open Space" Algorithm The approach we are taking is a risk-minimization view of This work was supported in part by the Air Force Office of Scientific Research (FA95500410130) and in part by the National Science Foundation (CCF0347573). The evaluation function for each direction θ can be described by the equation: With this approach, closely-spaced objects produce only deep suppressions, but not necessarily very wide supressions in the evaluation function. In addition, an open direction on the far side of an obstacle from the direction of travel can be selected (e.g., Fig. 1). Unlike the activity of neurons recorded in the bat echolocation system, the neurons in our model produce the greatest activity when there is only open space. The first term, Eo is a constant bias term to allow the evaluation to remain positive following subtraction by other terms. In general, this term does not need to be constant, but could incorporate information about the desirability of certain directions due to actuation limits. The coefficient g is the amplitude of an additive Gaussian term which represents an increase in the desirability due to a known target location. The center of the Gaussian should be steerable with changing goal directions. The index i refers to the N obstacles that suppress the evaluation with a subtractive Gaussian term that is scaled inversely with the range, ri. Notice that the σ parameter is also a function of range. B. A Spiking Neuron Implementation While there are many implementation possibilities, we are interested in dedicated VLSI approaches that could operate in real-time on a model aircraft. Because our laboratory's principal interest is in the neural implementation of navigation in bats, we have considered a neural model. Figure 1. Left: An echolocating bat that is attempting to fly directly forward detects two obstacles (filled circles). Right: The evaluation pattern consists of a constant plus a wide, low-amplitude Gaussian with two dips created by the suppression from the two obstacles. A WTA function selects the direction with the highest evaluation. The dotted line indicates the default evaluation with no obstacles present. Simulation and robot movies can be viewed at: http://www.isr.umd.edu/~timmer direction units ‘openspace’ evaluation winner-take-all selects the max Two detected obstacles in ‘view’ bias + goal steering + obstacle inhibition An obvious neural implementation of the "open space" algorithm is to use a field of neurons that fire tonically to a uniform input bias. These neurons also receive a steerable Gaussian-shaped excitatory input pattern with the peak centered on the desired goal direction. The obstacle detection system (i.e., sonar) projects inhibition onto this field with a strength and width inversely proportional to the range. Thus, the evaluation for each possible direction is represented as the input to each neuron. If each neuron fires monotonically with the strength of its input, the evaluation pattern is observable in the pattern of neuron spiking. By incorporating a global inhibitory feedback connection, the well-known winner-takeall (WTA) function can be implemented on this field of neurons [3]. In echolocation, the returning echoes from obstacles arrive at different times according to their range. If the field of neurons is reset at the time of the sonar pulse and echoes trigger long-lasting, but weak inhibitory currents (see Fig. 2b), the latency will increase as inhibitory pulses start earlier. The use of such step currents in neural computation is described by Maass [4] and has recently been used in a VLSI circuit for visual processing [5]. Although the mean firing rate could be used to represent the evaluation, the inter-pulse-interval also carries the information, but on a shorter timescale. If we had a time-zero reference and simultaneously reset (i.e,. strongly inhibit) all neurons, the input currents would be inversely expressed in the spike latency across the field of neurons (see Fig. 2a). The neurons which integrate to threshold first are considered to be the winners. Temporal WTA circuits like this have recently been fabricated [3]. For a neuron with a membrane capacitance Cmem, a spike threshold Vthresh, that receives a constant excitatory bias current Eo and a step-inhibition current at time ti, the latency of the spike, T, is given by Equation 1.2. We assume that o E I > and that mem thresh i o C V t E ⋅ < . Thus we obtain increased latency for closer obstacles without explicitly computing the range or increasing the synaptic strength. To obtain WTA functionality, evaluation neurons excite a global inhibitory cell that in turn fires the global reset pulse. If the connections between the evaluation neurons and the inhibitory cell are strong enough, the first neuron in the evaluation field to fire will trigger the inhibitory cell, preventing any other cell from firing, allowing only a single (or small number of cells) to fire. II. CIRCUITS A. System Design To facilitate the communication of spikes in and out of the chip, we use a communication protocol known as the "addressevent" representation [6]. In this system, an asynchronous digital bus provides the address of a target synapse and produces a handshaking pulse, delivering a brief (~1µs) voltage spike to the target address. This same system is used to transmit neuron spikes out of the chip. The inputs to the system (Fig. 3) are the goal direction and the echo-triggered address-event spikes corresponding to different obstacle directions. The outputs are the spikes from the evaluation neuron array. The test chip consists of 25 evaluation neurons and one global inhibitory neuron. Figure 3. System Block Diagram. The goal direction input biases the field of neurons to fire, while the address-event inhibitory spikes (echotriggered) increase the spike latency following a reset pulse. The global inhibitor implements a WTA function once the first set of spikes occur. Address-Event Decoder Address-Event Encoder Address-Event Encoder Laterally-Diffusive Inhibitory Step Synapse Steerable Bump Excitatory Synapse Strong, Pulse Inhibitory Synapse (reset) Evaluation Neurons & Global Inhibitor Neuron goal direction voltage left_ref voltage right_ref voltage Evaluation Output Spikes Echo-Driven Input Spikes Excitatory Synapses to Inhibitor Neuron B. A Steerable Excitatory "Bump" Bias The bias term Eo and the steerable Gaussian excitation term in equation 1.1 are provided as a current to the neuron by the "bump" [7] circuit in Fig. 4. The parameter fixedbias controls the excitatory DC current and goalv corresponds to the goal direction. The drain current of M2 as a function of (goalv – res_R) is approximately a Gaussian. C. The Spiking AER Neuron The integrate-and-fire neuron circuit in Fig. 5 is based on a neuron design [8] that utilizes the inverter (M1-M3) threshold and decouples the main integration capacitor during the spike allowing fast, but low-power operation. This neuron also has a refractory period controlled by the parameter refr. D. Excitatory and Inhibitory Synapses The synapse circuits used to interconnect the evaluation neurons and the inhibitory neuron are shown in Fig. 6. For these synapses, the input signal is a logical high voltage pulse. 0 Figure 5. The neuron circuit receives current from the synapses through the node labeled vmem and produces a digital voltage spike at spike. The spike is passed to the address-event transmitter system with the handshake signals reqbar and ack. The signal spike is used to drive on-chip synapses. C1 was made large to allow long time constants (~100 ms). 0 0 0 0 0 0 Figure 6. Excitatory synapse circuit (left) and inhibitory synapse circuit (right). The input spike drives the gate of M2 to the voltage esynw (or isynw) and the linear leak by M1 controlled by esyntau (or isyntau) creates a quick-onset current with an exponential decay that is injected into (or drawn from) the membrane capacitance of the postsynaptic neuron. diffvdd E. A Diffusive AER Inhibitory Synapse The obstacle-dependent inhibition begins with an addressevent spike input, aerispikebar, that triggers a long-lasting inhibitory current step (Fig. 7). The voltage at C1 is abruptly charged to Vdd and then slowly discharged by M7 (controlled by slowtime) down to 0V. M5 acts as a switch for the current defined by M4 (controlled by w_islow). The inhibitory current is then subtracted from the neuron. The pMOS mirror is connected via nMOS transistors to adjacent inhibitory circuits, creating a "diffusor" network [9] that shares inhibitory current with neighboring neurons. The point-spread function for the diffusor is an exponentially-decaying function in each direction, instead of the desired Gaussian. Figure 8. Neuron spikes vs. time. The steerable "bump" of excitatory bias current is driven by a dynamic input voltage, goalv. Neuron spike rasters show the firing of different neurons over time. (Left) inhibition turned off, (Right) weak feedback inhibition activated. III. TESTING RESULTS The chip was fabricated in a commercially-available 0.5 µm, 2-poly, 3-metal CMOS process. For testing, we used a software-generated pattern of address-event spikes as input to the chip and captured the address-event output spikes with timing resolution of 1 µs. To first demonstrate the steerable bias currents, a sinusoidal voltage was used at the goalv input, producing rapid firing at changing locations (Fig. 8, left). In Fig. 8 (right), feedback inhibition was activated by using weak excitatory synapses and weak feedback inhibitory synapses. With weak inhibition, the global inhibitor does not reset the field of neurons and this WTA behavior operates in a mean firing rate regime. Under conditions of strong feedback inhibition, interesting firing patterns emerge at short time scales (Fig. 9), revealing that the spike latencies following a reset pulse are related to their input strength. By changing the strength of the excitatory synapse onto the global inhibitor the size of the winning group can be modulated. Fig. 10 shows that, following the sonartriggered reset of the neurons, the timing of echo-triggered inhibition can indeed control the race-to-first-spike competition. The diffusive inhibitory synapse is also shown to create a neighborhood of suppression. IV. DISCUSSION The use of input spike timing to modulate the efficacy of a connection in an on-going computation can be an effective mechanism that does not rely on the modulation of synaptic strength or on increased spike rates. We have found a natural match of this computational mechanism with the echolocationbased "open space" algorithm proposed above . ACKNOWLEDGMENT T. H. thanks T. Delbrück for the USB-based AER capture system critical to obtaining the data for this paper, S. Liu and M. Oster for helpful discussions, and P. S. Krishnaprasad for encouragement and advice throughout this project. REFERENCES [1] B. R. Fajen and W. H. Warren, "Behavioral dynamics of steering, obstacle avoidance, and route selection," J Exp Psychol Hum Percept Perform, vol. 29, pp. 343-62, 2003. [3] J. P. Abrahamsen, P. Hafliger, and T. S. Lande, "A time domain winnertake-all network of integrate-and-fire neurons," Proc. Intl Symp Circ and Sys, V-361-V-364, 2004. [2] W. Erlhagen and G. Schoner, "Dynamic field theory of movement preparation," Psychological Review, vol. 109, pp. 545-572, 2002. [4] W. Maass, Pulsed Neural Networks. Cambridge: MIT Press, 1998. [6] K. A. Boahen, "Retinomorphic Vision Systems II: Communication Channel Design," Intl Symp Circ and Sys, Supplement, 9-14, 1996. [5] V. Ravinuthula and J. G. Harris, "Time-based arithmetic using step functions," Proc Intl Symp Circ and Sys, I-305-308, 2004. [7] T. Delbruck, "`Bump' circuits for computing similarity and dissimilarity of analog voltages," Intl Joint Conf Neur Networks, I-475-479, 1991. [9] A. G. Andreou and K. A. Boahen, "A 48,000 pixel, 590,000 transistor silicon retina in current-mode subthreshold CMOS," Proc 37th Midwest Symp Circ and Sys, I-97-102, 1994. [8] E. Culurciello, R. Etienne-Cummings, and K. A. Boahen, "A biomorphic digital image sensor," IEEE Journal of Solid-State Circuits, vol. 38, pp. 281-294, 2003.
Douglas County Economic Development Forum Summary Report Final Report Prepared for: Umpqua CDC & CGG Prepared by: Community Planning Workshop/ EDA University Center A Program of the Community Service Center 1209 University of Oregon Eugene, OR 97403-‐1209 http://cpw.uoregon.edu December 2010 TABLE OF CONTENTS About the UO EDC The University of Oregon Economic Development Center is a partnership between the Community Service Center, the Center for Sustainable Business Practices, the Sustainable Cities Initiative, and UO faculty. The UO Center provides technical assistance to organizations throughout Oregon, with a focus on rural economic development. The UO Center seeks to align local strategies to community needs, specifically with regards to building understanding of the benefits of sustainable practices and providing technical training to capitalize on economic opportunities related to those practices. The EDC is partially funded through a grant from the U.S. Department of Commerce, Economic Development Administration. BACKGROUND The Coalition for Good Governance (CGG), a coalition of Douglas County citizens, has been examining economic development efforts in the County. The CGG identified the need for a broader range of economic development activity in the county, including small business retention and growth, encouraging entrepreneurialism, and support for outlying regions of the county. They have partnered with Umpqua Community Development Corporation (Umpqua CDC) to direct an initiative to develop strategies for economic development in the county. Umpqua CDC is a non-‐profit agency that provides microenterprise technical assistance and management of economic development projects. The CGG and the Umpqua CDC contracted with the Community Planning Workshop (CPW) at the University of Oregon to conduct an analysis of Douglas County's current economic development efforts. The project includes the following elements: (1) an inventory and evaluation of economic plans in Douglas County; (2) a list of major organizations involved in economic development activities in Douglas County; (3) a review of stakeholder perceptions about the effectiveness of economic development activities; and (4) a community economic development forum to discuss the research findings and future actions and opportunities. PURPOSE The goals for the Douglas County Economic Development Forum were to: 1. Share information about the economic climate of Douglas County with key stakeholders in economic development. 2. Engage stakeholders in dialogue on topics related to the data presented and encourage participants to share strategies/resources related to the topic and talk about ways to work together. 3. Discuss possible collaborative structures for this group to continue working together. These goals were developed by Umpqua CDC, CGG and CPW during the planning stages of this project. METHODOLOGY The forum was held on October 28 th from 10am-‐2pm at the Winston Community Center. Forum attendees first saw presentations from OSU and CPW about the current economic climate in Douglas County and then participated in three rounds of discussions on topics related to the data. During the first two rounds participants chose between one of six table discussions listed on the next page. Both rounds of discussion lasted for 35 minutes. 1. Tourism 2. Small Business Growth & Expansion 3. Asset Mapping & Building Assets 4. Dialogue Between Sectors 5. Health Care 6. A County-‐wide Vision During these two rounds participants were asked a set of questions by the table's facilitator. The facilitator also requested one member of the group volunteer to report back to the larger group the top three to five ideas from the discussion. The third round focused on the topic of Collaboration. All attendees of the forum were asked a set of questions for discussion by the table's facilitator. The first six discussion topics were decided upon through a collaborative process between CPW and the CGG members. CPW initially suggested the topics Tourism, Small Business Growth & Retention, Asset Mapping & Building Assets, and Dialogue Between Sectors. These four discussion topics were chosen after comparing data from the inventory of existing economic development plans in the county and reviewing comments from the stakeholder interviews. An analysis of these two elements made apparent opportunities for discussions in the areas of Tourism and Small Business Growth & Expansion and also presented opportunities for further exploration in Asset Mapping & Building Assets and Dialogue Between Sectors. The topics of Health Care and A County-‐wide Vision where added by members of CGG. Data presented to CGG from Oregon State University's Department of Agricultural and Resource Economics' Rural Studies Program and the CGG's knowledge and history within the county influenced their decision to add these two tables for discussion. ORGANIZATION OF REPORT This report is organized by the seven topic discussions and for each lists the questions presented by the table facilitator, major themes that emerged in the discussion and suggested next steps crafted by CPW. The appendices to this document are critical as they are the complete discussion notes from each table. The appendices should be used to understand the major themes more deeply and the rationale behind the suggested next steps presented by CPW. The goals for discussions on the above topics aimed to learn and share information about economic development in Douglas County, to create strategies for developing and expanding these areas of focus, and to learn new approaches for supporting collaboration between the many and various entities, cities, and communities in Douglas County. The major themes and suggested next steps presented here can be used as a starting place for the County to move forward in these focus areas. TOURISM Questions A. What are the existing tourist attractions in Douglas County and which of these has the most potential to support the county's economy? B. What actions can take place to support these tourist attractions? C. What would a county-‐wide effort to support, expand and market these attractions look like? What actions need to take place? D. What linkages to other businesses, communities, assets and/or industries could be made within the county that could benefit and support these industries? E. The wine industry appears to be an example of a successful product made in the county and has the ability to support and link to new and existing businesses. Are there steps that can be made or new linkages that can support, grow and market the wine industry? Major Themes from Discussion Create and support a consistent county-wide vision for tourism o Start a county-‐wide events clearinghouse o Develop and market county-‐wide tours linking various events and businesses o Develop consistent signage and branding for county. Use signage and wayfinding devices to help tourists find their way to all parts of the county o Link byways in county from border to border o Support and market small community events throughout the county o Support and market year-‐round community events of various sizes and verities Encourage various forms of Agri-tourism o Support the wine industry o Encourage sectors and businesses that support the wine industry and other successful or emerging tourism industries Encourage various forms of Eco-tourism o Support various forms of tourist events, guided tours, etc. which utilize various natural resources and landscapes in the county o Link and market businesses and events from border to border and from mountains to rivers to the coast Suggested Next Steps Develop case studies from Walla Walla and Sonoma and use as models for developing agri-‐tourism in Douglas County. Create partnerships and increase coordination among tourism-‐related sectors. Create an asset map focused on tourism (include assets from each community). Develop and promote a brand for the county. Explore new county-‐wide funding mechanisms for developing and promoting tourism. SMALL BUSINESS GROWTH & RETENTION Questions A. List specific small businesses (or sectors) in the county that appear to have the ability to successfully grow. B. How can the County better support these small businesses' growth, expansion and marketing? How can small businesses be supported during the start-‐up phase? How can small businesses be supported during the growth and expansion phase? C. How can we help businesses better understand where to go for the technical assistance they want or need?" Major Themes from Discussion Support existing and growing small business and sectors o Umpqua Dairy o Wineries o Retail and markets o Farmers Link businesses to local markets or opportunities for new markets o Identify complementary needs of local businesses and create local manufacturing to support those needs (e.g., do the wineries needs packaging, corks, labels, etc. that can be produces locally?) o Support value-‐add products and markets o Keep businesses local and avoid shipping raw materials out of county for production Develop a system or entity that focuses on collaboration, support and marketing o County Chamber of Commerce or small business consortium § Cost of funding could be shared between cities, communities and businesses o Market local businesses and opportunities for new businesses § Market as a part of county's identity and small-‐town benefits o Utilize and support existing structures and resources § UCC and incubator § Existing and underutilized assets in county (i.e. Canyonville has four certified kitchens that are rarely used) o Avoid businesses competing with each other and support collaborative efforts § Winegrowers could work in association with each other (e.g., they could form a wine/art walk). o Work with County to streamline regulation and reduce fees for small business o Work to provide internet and other amenities and resources to outlying areas Suggested Next Steps Consider the creation of a county-‐wide chamber of commerce to support small businesses and be a clearing house of information and resources. Identify strategic partnerships needed to help businesses expand. Conduct "exit interviews" with larger businesses that have left the area. Host yearly small business networking event. Identify businesses with potential to expand and help them find resources. Identify legislative and infrastructure barriers for businesses. Expand "Think Local" campaigns. Catalogue and advertise small business resources. ASSET MAPPING & BUILDING ASSETS Questions A. What asset/opportunities currently exist in the county? (add-‐on to mapping exercise) B. Which of these best support the economic vitality for the whole county? C. What can the County do to support, develop and market these assets? D. What actions can we start to support, develop and market these assets? Major Themes from Discussion Supporting existing local markets and resources o Prevent jobs that work with local materials and manufacturing from leaving county and encourage the production of value-‐added products § Local production, packaging, marketing, distributing, and consumption * Mills, wood working, crafts § Opportunities to turn local raw materials into value-‐ added products * Wood products * Food and agriculture * Feed stock (for production of bioenergy or creation of compost) Develop, market and link assets within the county o Diverse workforce o Livability and local beauty o Wine industry and UCC program o Land base o Culinary program o Natural resources o Tourism Suggested Next Steps Complete asset map for Douglas County – use Asset Based Community Development (ABCD) approach to create actions from items on the map. (See the ABCD Institute's websites for more information:http://www.abcdinstitute.org/) Identify "focus areas" for the county (or different areas of the county) based on existing assets. Develop strategies to add value to those assets. Create a coordinated, county-‐wide marketing effort. DIALOGUE BETWEEN SECTORS Questions A. What are existing examples of sectors within Douglas County that strengthen and add value to each other? (e.g., a local restaurant that purchases produce from a local farm and processed food from a local canner.) B. What local businesses or sectors could begin to work with and build off each other? C. What businesses or sectors could be built-‐up from within the county to support existing businesses? D. What efforts need to happen at the city and county-‐level to support these efforts? Major Themes from Discussion Supporting businesses and markets with resources found in the county and opportunities for new markets and production o Adding value by processing and marketing commodity agricultural goods locally (i.e., shifting commodity goods to locally processed goods) o Value added wood products, to use both in and out of the county o Tourism (showing off Douglas County) to real estate market o Investigate new and innovative ways to connect sectors and markets o (As stated in Asset Mapping section) Prevent jobs that work with local materials and manufacturing from leaving county and encourage the production of value-‐added products § Local production, packaging, marketing, distributing, and consumption § Mills, wood working, crafts § Opportunities to turn local raw materials into value-‐ added products § Wood products § Food and agriculture § Feed stock (for production of bioenergy or compost) City and County support for dialogue between different sectors o Effectively communicate § Structure-‐ e platforms to encourage participation of outlying communities that have to travel long distances o Have a theme to all efforts (a vision) o Support sustainable policies and practices Suggested Next Steps Help smaller towns leverage relationships with each other. Identify potential complementary markets by talking to current business owners and assessing their needs. Promote these opportunities to entrepreneurs in the county. Develop and communicate a strategy for smaller towns to follow. Identify opportunities and needs for adding value to items locally. Conduct a market analysis. HEALTH CARE Questions A. What would efforts to take advantage of economic opportunities in health care in Douglas County look like? B. How can we improve recruitment efforts? C. How can we make this a more desirable environment for physicians? D. What can we do to encourage people who have insurance to spend their health care dollars in the county instead of leaving it? Major Themes from Discussion City and County support o Encourage development of quality retirement homes § Rezone to allow for higher density developments Communicate and support physicians o Re-‐create committee to welcome and support new physicians and families into the community Medical vision and marketing o Due to size of community, hospital cannot be everything to all people; select and market specialties the hospital and community would like to have o Encourage doctors to engage in professional development and education o Advertise awards recently won by hospital and physicians o Brand and market community and local assets to potential physicians § Market small town livability, natural beauty, resources, awards, etc Suggested Next Steps Identify shared medical care needs of smaller towns to help them leverage limited funding. Choose specialties/focus areas. Encourage professional development of current physicians in identified focus areas. Identify doctor exchange and internship programs to recruit short term medical assistance from. Conduct "exit interviews" with physicians who have left the community to assess why and create actions from answers. A COUNTY-WIDE VISION FOR ECONOMIC DEVELOPMENT Questions A. What potential county-‐wide visions should be explored? How would that vision stimulate economic development? What about a vision around tourism or the wine industry? What about sustainable building materials like the Chabin study suggests? B. How can the various economic constituencies around the county coalesce around a unified vision for economic development? What type of process would be needed? What's the best way to reach a consensus? Major Themes from Discussion Support a county-wide vision and individual voices of communities within a united county o Celebrate the county's various regions, communities, and cities o Be inclusive and look for commonalities that can encourage support between communities instead of competitiveness Develop an entity to oversee the development of a unifying vision o Involve elected officials to represent public opinion to report to the County or steering committee, which would oversee the development of a unifying vision o Involve various voices: Organizations and associations, local businesses, and the general public Suggested Next Steps Identify a common focus/vision for the county. Use potential visions identified at this forum as a jumping off point (see Appendix F). Present potential visions to the County Commission and have them decide or narrow down the options and have the whole county vote on it. Develop an inclusive process for gathering input from stakeholder groups and community members. Articulate and communicate the value/benefits of having a county-‐wide vision (what's in it for the small communities?). COLLABORATION DISCUSSION Questions A. What would the most successful collaborative arrangement/structure for a county-‐ wide effort look like? B. Would a neutral, third party supporting a collaborative process ensure its success? C. What actions to support collaboration can start today with us? Major Themes from Discussion Develop a singular entity to encourage collaboration o A county-‐wide Chamber of Commerce, a clearinghouse o Need a neutral third-‐party that does not require buy-‐in Define roles of various entities in county o Who are the entities and what are their roles (many appear to be confused what the roles of the Partnership and the DCIDB are) § Are these entities linked and do they support each other? Forms of communication o Create opportunities for regular meetings and check-‐ins o Include various forms of communication § Electronically: on-‐line forum, electronic platform (due to distance between communities), satellite TV, radio, email list-‐serves, or blogs § Also include local hubs for meeting and reporting out to overseeing entity § Develop a singular calendar and way to share information and events between communities. Possibly on the County website? Suggested Next Steps Involve the county commissioners. Develop an electronic means to share information and collaborate. Explore funding opportunities to hire neutral third parties to coordinate efforts or conduct needed research. Define roles of various entities involved and assess the gaps that need to be filled. APPENDIX A: TOURISM DISCUSSION NOTES Questions F. What are the existing tourist attractions in Douglas County and which of these has the most potential to support the county's economy? G. What actions can take place to support these tourist attractions? H. What would a county-‐wide effort to support, expand and market these attractions look like? What actions need to take place? I. What linkages to other businesses, communities, assets and/or industries could be made within the county that could benefit and support these industries? J. The wine industry appears to be an example of a successful product made in the county and has the ability to support and link to new and existing businesses. Are there steps that can be made or new linkages that can support, grow and market the wine industry? Discussion Tourism as a support for the local economy SUCCESSFUL TOURIST ATTRACTIONS IN THE COUNTY * We should be looking at Walla Walla & Sonoma as destinations and take tips from them. The wine industry can provide a destination attraction. * I think the only identified opportunity is the wine sector. * Food. An airport. People coming from out of state can be pulled in -‐there are not a lot of reasons for people to come here unless they want to come to waterfalls. * I would like to see more diversity in what we have. What we have right now are: Casino, rafting, fly fishing, Wildlife Safari, and Diamond Lake. I'd like to see more to bring that all together. Have transport but expand that to have tours up the river to increase driving travel. The wine industry can be a base for that. * It cannot operate on its own. Tourism doesn't appear to be a priority. Right now there is a lot of one mindedness because one sector is working on this – tourism only comes from their perspective. Diversity is so critical. Have to look at other areas and put some effort into them. * The river is an asset. The downtown group has been developed, but folks are tired of planning -‐they want to see action. * Alpaca farms that sell goods on the internet could be attractions. Another opportunity exists in agro-‐tourism. We need to develop that. It's big in Europe. Think Local Umpqua -‐UCDC is working on this right now. The Whipple Community Center is a major hub that could be used for draws in the area. An asset that can draw people to and from destinations they travel. The Applegate house Adoes Apple Days. The small community events like that can be a draw. Actions to support local tourism ATTRACTING PEOPLE TO THE COUNTY * Windsailing and wineries made Hood River go from a dive to Ashland style success. We could generate this. They have been able to draw people from Portland. People from metropolitan areas don't like to travel south, but they travel north. How to get people to travel south instead. Or look south to CA like the Casino does. * Where do people go when they are coming through our area to see what is going on? There needs to be more of a coordinated effort for the events. There should be a county-‐wide events clearinghouse -‐this can be with chambers of the cities, etc. It should help the communities complement the events going on while informing visitors of everything the county is offering. INCREASING EFFICIENT TRAVEL TO THE COUNTY AND WITHIN THE COUNTY * ODOT has a strangle hold on signage control/ restrictions (for Freeway) and they are not accommodating to talk about it. This issue needs attention. Instead of dealing with ODOT, we could do what everyone else does and paint your ad on a large truck and park it on someone's property by the freeway. * We need signage & opportunities for tours. How close is the nearest airport? An airport could service Central Douglas County. Could we create linkage with EUG airport? Still the 'traveling south' issue. People don't like to travel south. Probably a small -‐almost impossible opportunity to get an airport. * I think that we have scenic byways that link all of the Cities -‐Rogue Umpqua, Crater Lake, etc. People who go on byways stop because they are driving the roads. We need to take advantage of the byways and supporting them. We should be getting the businesses to take on the tasks of promoting the byway and the towns and their events. Should the Chambers take this on? ODOT is the managing entity. * We could be creating one complete byway from border to border in the county. We have wild and scenic rivers that can have people boat on continuously as well since there are few dams. We are a destination-‐county. If we want to go to the casino, reservoir, coast, etc we can. We have so much to do all right here, but we have to travel to the destinations. Good fishing, swimming, recreation opportunities all over. * We need: branding, tax to support, countywide funding, more of a concerted effort by the County. Tourism to specific cities brings people who drive by/ through all of the other cities. FUNDING Room taxes help fund the cities to seek tourism promotion. SUPPORTING THE WINE INDUSTRY * The Umpqua Valley wine association is self centered-‐ they compete for customers instead of banding together, but it would be an organization to talk with to get them to collaborate with each other. * There is a little store in Myrtle Creek that has several types of wine in her store, opportunity for a wine walk. This will be an event coming up with several businesses. The popularity of the wine attraction can happen real quickly. * Wineries make more visitors passing on the roads through all the towns. Ideas to Report Out to Group * Golf courses * Tour groups -‐multi-‐day vacations * Wineries as niche * River as a tourist magnet * Issues with signage * Image * Tours * Airport * Scenic Byways and good roads can be linkage for tourists * County-‐wide event clearinghouse (website, brochures, calendar) * Branding: County-‐wide and local * Agri-‐tourism (farm tours, wineries) * Promote attractions in each community * County-‐wide funding APPENDIX B: SMALL BUSINESS GROWTH & RETENTION DISCUSSION NOTES Questions A. List specific small businesses (or sectors) in the county that appear to have the ability to successfully grow. B. How can the County better support these small businesses' growth, expansion and marketing? How can small businesses be supported during the start-‐up phase? How can small businesses be supported during the growth and expansion phase? C. How can we help businesses better understand where to go for the technical assistance they want or need?" Discussion Growing the economy through existing small businesses LOCAL SMALL BUSINESSES THAT CAN BE SUPPORTED * Dairies/milk producers working with Umpqua dairy * Wineries with packaging opportunities (manufacturing) ARTNERSHIP STRATEGIES P: MARKET COUNTY AS SUSTAINABLE BUILDING AREA * Value added wood (chairs, cabinets) EMERGING SECTORS THAT CAN SUPPORT SMALL BUSINESSES * Retail, farmers market. Farmers markets are an opportunity for emerging businesses to try the product out before investing in storefront. Can they be expandable beyond food and crafts? * Canyonville: In store bakery at Tom's natural foods. He purchases from local growers. There is the potential in store to offer other foods, but Tom has no energy/time to expand. He needs to take advantage of people driving by that want natural foods. Resources for small businesses MARKETING AND BRANDING * Myrtle Creek has implemented program to expand, grow, retain. City offers free business plans. Owner must be the implementer. Had author come down and provide training. Obstacle is education of entrepreneurs. Businesses state it helps. * Marketing of these local/sustainable opportunities? Non-‐profits cannot advertise these opportunities. How can the service providers help the businesses identify resources for marketing, etc? * Think Local book is doing it well. But some businesses are suspicious of it. COLLABORATION AND SUPPORT * Chambers of Commerce o Important to get strong chambers of commerce. o Oakland – Core group of active people. Not enough businesses to support strong chamber. Why do this when no one is open? o A county-‐wide Chamber. Funding could be shared o Or a Small Business Consortium. Chamber may be weighted term. o County chamber could funnel down information to communities and to business. o Update and strengthen chambers. Need to clarify function. Once a year conference. Bring in young business owners. Mixers. o Roseburg chamber -‐ programs/advertising. Have Roseburg visit other chambers. o Chambers attend each other's meetings. o North County chambers getting together. o Use technology to share information between chambers. * Many resources at UCC SECTORS THAT COULD GROW/COLLABORATE TOGETHER * Partnership looking at technology that includes incubator the tribe is developing. Expand to other sectors (Terra Firma, Umpqua Oats, Umpqua Dairy). These are companies with expansion but no partnership to help them to expand. * How do we keep businesses from leaving…need to support them? o Bayliner/AlCan -‐-‐ What could we have done to keep our plant open? Did anyone try and keep them? o Orenco -‐-‐ Need to have a conversation with them ahead of time. * Winegrowers -‐-‐ in competition but in association with each other. Need to work with other businesses, such as the Oakland Wine/Art walk * Ask winegrowers what we can do to support them o Myrtle Creek -‐-‐ wine being sold in antique store. Got special permit to do this. * Expand small business services/market services better * Open communication between various groups/chamber * Conversations with the businesses that are quietly being successful to find out what they would need to expand Barriers to small businesses * Transportation. One railroad. Far from customers. World economy. Gas increase in cost will make it worse. Transportation needed for manufacturing * Orenco Systems in Sutherlin. They are a green business. State laws are choking them. * Biggest stumbling block is regulations/fees * Upfront costs * Fire code * ADA * Distribution/transportation is an issue in all areas * Minimum wage * Out of work contractors licenses can only do so much work as handymen due to the minimum amount of money a handyman can get per job. * Access to money to support businesses. Capital. Banks not doing new business investment * Internet/web infrastructure in outlying areas Opportunities for small businesses * Certified kitchens. Canyonville has four kitchens that no one is using other than the public (fire hall, Masonic). We could set up a system to utilize them. * Saw dust/manure makes compost. Mills and Wildlife Safari could work together. But it is regulated. * Local products/benefits… need to educate the public about the value of buying local. * Make easier to market local products * Education for businesses * Regulation/permitting…could be tiered or phased in. For example, a business could start small and not have to pay all the permitting fees and see if the business is viable. * Get people from larger towns to smaller towns. Pull people in with signature business (such as Tolly's in Oakland). * Need to get internet services to all the valleys. Perhaps link Douglas Fastnet with schools. * UCC small business programs. May expand to extension campuses. * Education at K-‐12 level for business/finance. * Better marketing of UCC services. Better promotion. * Education on funding/SBA/local bank lending. * Enterprise zones APPENDIX C: ASSET MAPPING DISCUSSION NOTES Questions A. What asset/opportunities currently exist in the county? (add-‐on to mapping exercise) B. Which of these best support the economic vitality for the whole county? C. What can the County do to support, develop and market these assets? D. What actions can we start to support, develop and market these assets? Connecting resources and businesses to each other as means for support G OALS FOR ASSET MAPPING * This should be a tool for marketing ourselves to the larger population * Add value to the assets we have * Assets are also what we ship out o Raw materials § Wood products § Food and agriculture o Mills here process products very minimally and then ship out for further development and production. Sends jobs and money out of the area E XISTING ASSETS * Raw materials and also semi-‐produced materials * Feed Stock: cover a lot of different materials (timber and agriculture) o Before Value added to them * Electricity (relatively inexpensive) * Industrial lands o Vacant Industrial land with capacity for electricity (+power) o Large power capacity and availability * Workforce * Wood Products * Other natural resource products o Potential commercial products § Mushrooms * Raw material * Diverse workforce o Highly trained technically oriented o Workforce o Retirees (lots of them – could be an asset) * Aluminum * Culinary program o Chefs here, but they are leaving * Livability: o People move here for low cost housing o Health care is good o Electronic communications, telecommunications * Land base: o Agriculture, but not large scale agriculture § Doesn't fit the geography and the culture here § Geography is an asset * Vineyards § The climate here is perfect for growing many things * Tourism o Casino o RV Park o Unique shopping opportunities § Art galleries § Specialty foods § Antique – specialty districts o Culture and history o Lack of small businesses that use the environment (tours, guides) § Have some, but not organized and utilized well § Land base supports a lot of tourist activities, or could * More uses than just timber o North County is doing this "The Day Travelers" * Douglas County has its own water basin, self-‐contained o One entity overseeing * Example of things that are wonderful here, but nobody knows o View point assets § One in at top of Mt. Nebo should be developed EEDED ASSETS TO SUPPORT EXISTING ASSETS N * Good restaurants * Value added wood product production S UPPORT AND DEVELOPMENT OF ASSETS * Marketing, but hate to imply it is the only way o But not just marketing * Talk to people about environmental amenities o Highly productive of jobs, not high-‐users of resources, low consumption * A lot of this focuses on Roseburg o Outlying areas need to develop their own focuses * How do you communicate a clear product * Livability is major. It is high here * To get the word out, you got to advertise * Identify the local uniqueness * Non-‐profit or ad hoc group o Has funding or time to talk about what needs and opportunities there are o We have this, we need this * Industrial Development Board o What is there mission? o Can it work with small businesses? o Within different levels of productivity * There needs to be a portal or platform for marketing the county as a whole o Market anything, but need a unified voice * We need to focus on small business (Small Mart book) o Focus on family wage * Tourism should be bigger than it is * The small businesses here are unknown Assets that should be supported within the county * Industrial land and (inexpensive) power o Large acreages o Raw materials * Value-‐added wood products o Currently we do minimal production to our products and ship it out o Add value here and then sell o Saw dust o Pellet fuel o Manure/compost from Wildlife Safari * Mt Nebo o An attraction to visitors and locals o Viewing area overlooking Roseburg * Small town quality * Agriculture o Handcrafted goods APPENDIX D: DIALOGUE BETWEEN SECTORS DISCUSSION NOTES Questions E. What are existing examples of sectors within Douglas County that strengthen and add value to each other? (e.g., A local restaurant that purchases produce from a local farm and processed food from a local canner.) F. What local businesses or sectors could begin to work with and build off each other? G. What businesses or sectors could be built-‐up from within the county to support existing businesses? H. What efforts need to happen at the city and county-‐level to support these efforts? Discussion Supporting businesses and markets with resources found in the county LOCAL EXAMPLES OF SECTORS THAT CREATE SYNERGY * Community College-‐ provides work and force * Agricultural-‐ vineyards, tourism, weddings, restaurants, B&Bs * Wood Products, secondary and first wood products (Chabin study) Sustainable building products. Adding value to biomass, etc. * Fisheries and restaurants local food chain versus as a commodity product. * Beef and lamb industry * Processing (bottling wine, meat, vegetables) * When you increase tourism, you encourage a new demographic to move. Retirees are a growing demographic. One of the biggest assets we have. * College has classrooms, seats, and blackboards. And outreach to business. Information hub. * Private: timber and robots they use in the mills, technology. Get the machines locally. * Level of healthcare and retired people in the County. * Regional outreach. We are not just Douglas County. Business Oregon cross-‐ fertilization. Think about it regionally. Rail yard will help Douglas County as well (Located in Coos County). * Look at layers of transportation. Warehousing and wine warehousing. * Support of the nonprofits in Douglas county and connection between the two. * Example: LS Networks installed 300 miles of fiber optics around the county. Go to fire watch (fire towers). The folks that made a part of this fire tower fiber optic equipment is now relocating its business-‐-‐ from Africa. OPPORTUNITIES FOR NEW OR EXPANDED MARKETS IN THE COUNTY * Meat processing * Value added food processing facility * Airport, depending on what the airport is, attracting additional businesses (commercial business) * Tourism (Douglas county's amenities) and real estate (attracting retired people) * Leverage relationships between smaller towns (the county is not just Roseburg) * Wood product companies. Sustainability efforts. Having these companies share with others. Distribution of green building materials. Brand distribution. * Sustainability policies and practices. Orenco systems-‐ wastewater system. o Structure entrepreneurial energies to piggy back off of this. (Bob) o Grade-‐nine wood (Company in Springfield in Or). Something similar here. * Part lifestyle and part commerce and capitalism and education. * Self-‐employment. Incubator that the Tribes put in a place * The wine institute. Small business development center through UCC. Incubator through the tribe. * Keep efforts going to keep dialog going. * UCC degree programs. Adding another year-‐ a 3-‐year program. Might be highly resistant by CC administrators * I-‐5 Corridor. ODOT Lobbying. More local input to decisions by ODOT. * IT incubator * Utilize vacant space. Work with industrial, retail & commercial social services sects, turn it into an asset. Work with realtors, not necessarily property owners. o Day care, senior centers—figure out these shortcomings and see if empty space can fill a need. City and County support for dialogue between different sectors * There is diversity, and there is a difficulty in communicating this. The last things we need are more meetings. It's hard to have everyone in the same place in the same time. Electronic platform. o Coordinating this through the city/county * A lot of communities are talking. Needs coordination * Capitalize on a larger vision between primary and secondary industries. Communication between sectors-‐ how can entrepreneurs fit into the picture? * Make this an agenda item for cities and counties, so they pay attention * Roseburg is changing zoning, some business may benefit from this Ideas to Report Out to Group * Adding value by processing and marketing commodity agricultural goods locally (i.e., shifting commodity goods to locally processed goods) * Value added wood products, to use both in and out of the county * Tourism (showing off Douglas County) to real estate market * Transportation: trucking, airport: expansion and diversification * Effectively communicate. Structure-‐ e platform * Have a theme to all efforts (a vision) * Green building theme * Sustainability at all levels in all sectors APPENDIX E: HEALTHCARE DISCUSSION NOTES Questions A. What would efforts to take advantage of economic opportunities in health care in Douglas County look like? B. How can we improve recruitment efforts? C. How can we make this a more desirable environment for physicians? D. What can we do to encourage people who have insurance to spend their health care dollars in the county instead of leaving it? Discussion Supporting the health care industry in Douglas County ACTIONS TO IMPROVE LOCAL HEALTH CARE * Improved infrastructure in rural counties. Mobile clinic based on the already-‐existing Mobile Dental Unit? Clinic in Yoncalla? * Dial A Bus to local facilities * Quality retirement homes. Other cities have built quality homes and have very recently been expanded to meet the need. * Specializing in orthopedics, gerontology, specialties related to an aging population. We can't be 'everything to everyone' because of the size of the population, so we must choose which specialties we would like to have. The recently opened Cancer Center and the heart doctors are doing good work. Heart stint procedures are more than twice what was projected. IMPROVING RECRUITMENT * Local Doctors Association recently signed a new contract; this may help attract other doctors. * Communicate with OHSU * Recruit from other small communities; what can we do to attract you to our town? * Communicate with internship program in Klamath Falls * Work with J1 program to bring foreign doctors who need work visas CREATING DESIRABLE ENVIRONMENT FOR PHYSICIANS * Lobby congressional parties to increase Medicare and Medicaid reimbursement amounts. The new healthcare bill does address this and may put us on equal footing with other communities. * In the past there have been efforts to find a group of people in the community who can help doctors and their families' transition into the community. Those efforts have dropped off and could be restarted. * It is a large problem that there are no jobs or opportunities for the spouses of doctors here. * Ask physicians who leave why they leave. Someone probably already does this. What do they do with this information? How do they follow up on it? ENCOURAGING PEOPLE WHO HAVE INSURANCE TO SPEND THEIR HEALTH CARE DOLLARS IN THE COUNTY * Rezone so that new retirement homes can be created. Increase multi-‐use zoning. * Address realities and perceptions of the quality of care. Can the community support this somehow? Annual physician award? * Encourage doctors to have better professional development (maybe On The Job Training?). Many people leave because of Centers of Excellence practicing newer and better techniques in other areas. Our doctors have been unenthusiastic about learning those procedures. * Mercy hospital advertised on I5 about the award they won recently. It is important not to let marketing fall during the recession because using it correctly can bring us out of the recession on top. APPENDIX F: COUNTY-WIDE VISION DISCUSSION NOTES Questions C. What potential county-‐wide visions should be explored? How would that vision stimulate economic development? What about a vision around tourism or the wine industry? What about sustainable building materials like the Chabin study suggests? D. How can the various economic constituencies around the county coalesce around a unified vision for economic development? What type of process would be needed? What's the best way to reach a consensus? Discussion Participants had many general comments about what needs to happen for a vision to be developed and named several potential visions for a county-‐wide effort to pursue and how they might be pursued. * The various players in the County need to find their common interest first and there needs to be one single thing that the County wants to achieve. * There needs to be a regional component to it because what will work well in Roseburg is not the same as what will work well in a smaller community; however, the strategies can be complementary. * There should be recognition and support of self employed people. * We need to value of all regions in the county because we all contribute. * We all have to focus on one specific thing and speak the same language about it. The Oregon 150 meeting was a successful example of this. Potential County-wide Visions to Explore SUSTAINABILITY Apply sustainable practices to all sectors in the county. There are lots of aspects of sustainability and it can be used as big umbrella that we can all fall under. The Chabin report recognized this and it is something that more could get behind. DISTRIBUTION HUB Douglas County can be the distribution hub of southern Oregon. Ingram Books and WinCo distribution centers are already here and I-‐5 goes from North to South through the County. WINE AND TOURISM Develop the unique features and incredible variety of Douglas County; the whole County is a destination. The potential for the wine industry and supporting sectors (e.g., restaurants, Bed & Breakfasts, etc.) is immense. Douglas County can become the next Napa Valley. POTENTIAL TO FEED OURSELVES Do more to produce and consumer with a local focus. We need to access what we produce here. The people in Douglas County do not consume what is produced here. For example, it is hard for me to buy fish from our coast here in Roseburg. LIVABILITY Broaden livability and quality of life beyond manufacturing. We can tie on to existing assets in the County to promote economic development and be a high performing center with high paying jobs. The amount of transfer payments and other state and federal money coming into this County is a huge economic driver that we should consider. VALUE-ADDED PRODUCTS Add value to our environment, businesses, economy and youth. We need to add value to the things we already mass-‐produce here. Douglas County exports too many raw materials like cattle, mushrooms, lumber, wood and cedar. We need to better capitalize on what we are producing. EDUCATION Develop a 4-‐year degree institute. Douglas County is the only place on I-‐5 that is more than one hour away from a 4-‐year institute. The County is a natural resources county and a good place for a 4-‐year or graduate program in that area. We also need to education our children, keep them in the County and make sure we are developing a workforce that is capable of running the industries that are coming in. How to Unite the County under a Vision Be Inclusive * The vision needs to be shared by the whole County and we need to find out what we have in common with each other. The root of the issue is that we are all competitive and we try to get at it from what we know best. You have to knock those barriers down. There is a real urban/rural divide in this County and we need to show the advantages to the rural populace. * The process to develop the vision needs to be inclusive of the whole County and communicated the whole County. The small population base of the County makes this possible. * We need to move around the County gathering input and then shop it back through the communities. INVOLVE ELECTED OFFICIALS AND THE COUNTY * We need some representation of public opinion to report to the County Commissioners and City Councils. The County Commissioners need to decide what the vision should be. * We need to develop an avenue for getting the voice of the people to the elected officials. * The vision needs to include ideas from state and federal government representatives. * There should be a department within the County that works on the county-‐ wide vision. INVOLVE BUSINESS * It is really important to get input from businesses, which includes people who are self-‐employed. * A government and business forum for people to sit down and discuss these issues could be a good way to get these parties talking. INVOLVE ORGANIZATIONS AND ASSOCIATIONS * Use the Chambers of Commerce to gather information. There is an association of Chambers that could be helpful. Some mentioned that a revitalization of the Douglas County Chamber of Commerce may by the best solution. * There are 19 organizations in the county trying to get their own ends achieved. We need to find common ground because we all want the same thing. One way to do this is to have a forum. INVOLVE THE GENERAL PUBLIC * Have public meetings in each of the towns. We should leave them with something in hand about what we heard and the next steps and then share it with others electronically. * Plan on doing some advance work. It is important to talk to people in all communities. USE A STEERING COMMITTEE * Need to have a steering committee made up of people from all over the county; that will help bridge the urban/rural divide APPENDIX G: COLLABORATION DISCUSSION NOTES Questions D. What would the most successful collaborative arrangement/structure for a county-‐ wide effort look like? E. Would a neutral, third party supporting a collaborative process ensure its success? F. What actions to support collaboration can start today with us? Discussion What would a county-wide effort in collaboration look like? * I think that having countywide chambers of commerce would be awesome if there were a shared vision. It would go bad if there weren't one. We could be the advisors to such a group. * There could be an online forum, but there would also need to be some meetings sometimes. Telecommunication meetings could happen. You could go to your local hub and meet then telecommute with the other hubs. * What are the first steps? Look into the scenic byway business. We need to look into doing the chambers of commerce association. If we can get participation from each community, at least there would be a continuum of what's happening here today. Maybe the county would give us a spot on their website to include the calendar. The commissioners will have to do something if that means keeping the ball rolling, contacting the chambers to get them to collaborate. We should have a Facebook account that links to our Google calendars of events. * The folks at the table would like to get together and form an effort to create a calendar and do the sharing of materials between chambers and find a way to bring the events out of the county. A neutral third-party advocating for economic development in Douglas County * There needs to be someone who collects data and other work, which requires funding * In the past there have been issues with non-‐neutrality and cooperation between communities so it is very important * The Partnership as it is not a neutral third party * The economic development message needs to come from the community, not from any one group. What are the next steps? * Would like to see a follow up meeting of the same people in 3 months * Blogs are useful. Seewww.NRMarketwatch.com for local Douglas County business blog * Economic issues are discussed on the side at League of Oregon Cities meetings * Electronic platform (Facebook, electronic listserve, opening page) o Who will be responsible to house it, how will it be paid for o Have all people chip in a little bit (creates buy-‐in) More people putting in less money o Umbrella partnership * The Partnership for Economic Development for Douglas County * Invest time and money from committed citizens * Economic Development Facebook Page * How do we continue some sort of dialogue o How do we refine o How do we combine with other counties o Actions * Clearing House o How do we get this info o No one knows what each county does or make § I.e. Thunderbird manufacturing * ½ mile away and he found out in Korea * County wide effort § What is their role and how are the partnerships linked to it o Industrial Development Board § Do we need to create another entity? § Who knows what they are doing § Seems like a waste of time and resources § But we can't re-‐write their mission and focus and expect them to expand * This is why other groups were expanded o Do we need a third party? o "Partnership" type group for businesses?? § Through CGG, UCC, CPW, or… § Small Business Development Center? § A non-‐profit? § University of Oregon? * RARE (comparable)? § Might be able to get access to funding o EDA – get them to sit down and talk * Funding o Ford Foundation o EDA * Emailing o Coast is 80 minutes away o People drove a long way to get here o Divided not just north/south but also east/west * We need a buy-‐in with all the businesses o Tim Allan: * Group out of Roseburg and broadcast on satellite TV o Or radio
Council Chambers Tonawanda, New York July 11, 2017 A Regular Meeting of the Common Council Present: Council President Koch Present Councilmembers: Gilbert, Smilinich, Rautenstrauch, Toth Pledge of Allegiance and Silent Prayer led by Council President Koch COMMUNICATIONS FROM THE MAYOR Communication from the Mayor Announcing plans for the Downtown Day- 2017 for the Opening of the City of Tonawanda Blue & Greenways Intermodal Hub with Agenda for the Event COMMUNICATIONS FROM CITY OFFICIALS AND CORRESPONDENCE Letter from Michael Rogers in regards to moving a fire hydrant at 87 Niagara Shore Drive June Monthly Report for Traffic and Safety Advisory Board May Monthly Report for the Office of the Building Inspector July Cash Report of the City Clerks Office June Meeting Minutes of the Board of Appeals Referred to the Committee of the Whole Ordered filed Council President Koch- We have tabled Resolution #8 and we will not be going into Executive Session. COMMENTS BY THE PUBLIC ON RESOLUTIONS No comments by the Public The Tonawanda Common Council, in an effort to conduct business in a timely fashion and maintain an open line of communication with the public, welcomes comments on resolutions and other City business. * Persons wishing to speak and be recognized by the President of the Common Council are to be courteous, respectful, non-repetitive and brief. * All questions and/or comments should be addressed to the President of the Common Council. * Persons may address the Common Council during (2) separate sessions of the meeting for a total of 30 minutes per session. Once prior to the resolutions and also after the resolutions prior to Common Council comments. * Please state your name and address clearly for inclusion in the Common Council minutes. In the event any person wishes a response outside the confines of the Common Council meeting, please leave all necessary contact information with the City Clerk after the meeting. * Individuals may speak a total of (3) minutes per speaker per session. The President of the Common Council will adhere to this (3) minute guideline in an effort to allow everyone an opportunity to speak who wishes to do so. * The President of the Common Council reserves the Council's right to limit or expand upon these limits as he/she may deem necessary and prudent. * Usage of cell phones other than for emergency is prohibited during all Council Sessions. MOTIONS AND RESOLUTIONS 165. By the Council seconded by the Council Resolved, that the Common Council minutes from June 20, 2017 be accepted as filed. Ayes: Gilbert, Smilinich, Rautenstrauch, Toth, Koch Nays: None Resolution declared adopted 166. By Councilmember Gilbert seconded by Councilmember Smilinich Resolved, that the readings of the resolutions be waived. Ayes: Gilbert, Smilinich, Rautenstrauch, Toth, Koch Nays: None Resolution declared adopted 167. By Councilmember Gilbert seconded by Councilmember Rautenstrauch Resolved, that the residents of Ilion Street between Maldiner Street and Amsterdam Street be permitted to conduct a Block Party on Saturday, September 9, 2017 from 1:00 P.M. to 11:00 P.M. Ayes: Gilbert, Smilinich, Rautenstrauch, Toth, Koch Nays: None Resolution declared adopted 168. By Councilmember Smilinich seconded by Council President Koch Whereas, a Special Events application was received by the City Clerk from Dennis Smilinich on behalf of the American Legion to conduct the Badge of Honor Ride Whereas, the application was reviewed and commented on by all appropriate departments heads to insure the safety and well being of our residents, Whereas, all details for the above named event must be coordinated with Captain Fredric Foels and Superintendent Joseph Warthling of the Department of Public Works, and the event chairperson, now Therefore, be it resolved that permission is granted to the American Legion to hold their Badge of Honor Ride on Sunday, July 30, 2017 at 12:00 P.M. Councilmember Smilinich- I am told that a portion of the funds will be given to Trooper Davis. Ayes: Gilbert, Smilinich, Rautenstrauch, Toth, Koch Nays: None Resolution declared adopted 169. By Councilmember Gilbert seconded by Councilmember Toth Whereas, a Special Events application was received by the City Clerk from Jessica Haskill on behalf of the Tonawanda Cheerleaders to conduct a Car Wash Whereas, the application was reviewed and commented on by all appropriate departments heads to insure the safety and well being of our residents, Therefore, be it resolved that permission is granted to the Tonawanda Cheerleaders to hold their Car Wash on Saturday, July 29, 2017 and that a Certificate of Insurance naming the City of Tonawanda as additional issued be filed with the City Clerk no later than July 22, 2017. Ayes: Gilbert, Smilinich, Rautenstrauch, Toth, Koch Nays: None Resolution declared adopted 170. By the Council Whereas a Contract for Dog Shelter/Impound services was signed on August 1, 2015 with All Dawgs Academy, LLC and Whereas, the Contract provided for automatic and continuous renewal for each succeeding year until the City or All Dawgs Academy, LLC provided 30 day written notice to the other, prior to commencement of the succeeding year, that they wish to terminate the Agreement; and Whereas All Dawgs Academy has served a 30 day notice to the City of an Amendment in the Agreement regarding Paragraph 7 (a) entitled Fees, for an increase from $25 to $30 per dog, per day, for the first five days of Shelter and/or Pound Services; and Whereas, Dog Warden, Jace Kowsky, has reviewed said Agreement and is in support of the continuation of the Contract. Now, therefore be it resolved that Mayor Rick Davis is authorized and directed to sign the amended Contract for continuation of services from All Dawgs Academy, LLC, 363 Delaware Street, Tonawanda, NY commencing August 1, 2017. A copy of said Contract is on file in the Office of the City Clerk. Ayes: Gilbert, Smilinich, Rautenstrauch, Toth, Koch Nays: None Resolution declared adopted 171. By the Council seconded by the Council Resolved, that Rick Davis, as Mayor of the City of Tonawanda, is hereby authorized and directed to file an electronic Consolidated Funding Application for funds in accordance with the endorsement standards set forth by the New York State Regional Economic Development Councils, in an amount no less than 50% of the approved funding and upon approval of said request to enter into and execute a project agreement with the State for such financial assistance to the City of Tonawanda for the proposed Feasibility Study for the Reconfiguration of Tonawanda's Niagara Street Corridor through the Empire State Development Program. Ayes: Gilbert, Smilinich, Rautenstrauch, Toth, Koch Nays: None Resolution declared adopted 172. By Councilmember seconded by Councilmember WHEREAS, Corey McGowan Productions, Inc. desires to enter into a Rental Agreement with the City for use of the band shell located at Niawanda Park for concert events. Now, Therefore be it resolved that Mayor Rick Davis is hereby authorized and directed to execute a proposed Rental Agreement between the City and Corey McGowan Productions, Inc. regarding rental of the band shell. A copy of said Agreement is on file with the City Clerk. Council President Koch- A motion to table the resolution was made by Councilmember Smilinich, seconded by Councilmember Gilbert Ayes: Gilbert, Smilinich, Rautenstrauch, Toth, Koch Nays: None Resolution declared tabled 173. By Councilmember Toth seconded by Council President Koch Whereas, a Special Events application was received by the City Clerk from Amanda Lofft for the Glory Be to Kids Softball Tourneys and Whereas, the application was reviewed and commented on by all appropriate department heads to insure the safety and well being of our residents, Therefore, be it resolved that permission is granted to Glory Be To Kids to hold their Softball Tourneys on July 15 th and 16 th and August 12 th with rain dates of July 22 nd and 23rd and, Resolved, that a Certificate of Insurance naming the City of Tonawanda is on file in the City Clerk's office. Ayes: Gilbert, Smilinich, Rautenstrauch, Toth, Koch Nays: None Resolution declared adopted COMMENTS BY THE PUBLIC AFTER RESOLUTIONS Peter Deeb, 47 James Street, City of Tonawanda-I'm here along with a few others. We're negotiating a contract with Yerkes Dupont. It's becoming very serious situation. They've brought in some workers who will replace us possibly. One of our big concerns is the safety of our community. This is a high hazard operation. We are kind of experts in our field. We have a lot of training that consists of computer training, hands on training, haz wop training, how to handle chemicals. I know that the City of Tonawanda has been part of disaster drills at the plant. If there were a disaster at the plant I'm sure that Tonawanda would be called to help. This is a no small event if it were to happen. We could just look back to 2010 we had a fatality unfortunately, tragically. I would hate to relinquish our control to people we don't believe have the training and the expertise to work in this type of environment. One of the other things I would like to definitely bring up is that I've lived here all my life. I spend all my money here basically. I try to make my home nice. I try to bring our property values up. Part of the things they want to do is go to the twochair wage system which would virtually cut our wages in half. At that type of rate I'm not going to be able to do the things that I do. There is a way to raise taxes in the City and then there's a way to raise taxes which would be all ships raised by a tide, by a high tide. So to keep these high paying jobs benefits not only, of course it is in the Town of Tonawanda, all our communities around the area from Grand Island, Town of Tonawanda, Cheektowaga, wherever we are from folks are coming into the plant, 350 union folks coming into this plant from all over. We believe that we are helping our communities and helping the economy. I think what we would like to ask the Council and the Mayor to do if there is any way to contact our plant with concerns that you might have. I know this is a very brief explanation and I hope I kind of nailed it as far as how important it really is. A few of us live here right in the City of Tonawanda, quite a few really. A lot of people drive right though the City and will stop at Tim Horton's; they'll stop at McDonald's, maybe at Shanghai or Mooney's and grab some lunch. So, it benefits everybody in our community. They might even see a home they like and buy it. Again, if they determine they can give us this low wage we are not going to be quite as effective in helping our community get where it needs to be. Also, the cheap power kind of thing might be an issue too now. They've been able to get low cost power based on jobs. If they're getting low cost power here for jobs here and they bring the jobs here I think they're double dipping. I find that kind of, I won't say it, but that's how I find it. It's not where we really need to be. So I have some contact information that I will drop off to the clerk after. Thank-you very much. Brian McMaster, 1718 Broadway, Grand Island- Another thing about these replacement workers they are being brought in from out of town. The money that they are being paid right now isn't even going to stay in the community. I think that is a big deal and it bothers me. That's all I have to say. COMMENTS BY THE COUNCILMEMBERS AFTER RESOLUTIONS Councilmember Rautenstrauch- I have a reminder about the Erie County Recycling Event this weekend at the school bringing any kind of extra electronics that you have. It's been advertised for awhile on Facebook. If anybody has any electronic equipment they're looking to dispose of there will be an event this weekend from 9:00 A.M. to 1:00 P.M. at the High School. I plan on being there in the morning until noon to help. Councilmember Toth- I just want to thank our speakers tonight from Dupont. I know what kind of operation they have over there. My brother-in-law recently retired from there. Unfortunately, he was one of the first people that was on that scene that day with the fatal accident over there. I know that there is a a big tie in with the City and the Town and Emergencies over there so you have my support and I will take some of that contact information before I leave tonight and thank you for speaking on behalf and wanted to say, same as Sean about the recycling event on Saturday, I will be there as well all day with my two girls helping out so we have lots of extra hands and legs to help with the equipment. Councilmember Gilbert – Well I'm glad to hear we're going to have a lot of help at the recycling event. The recycling event benefits two organizations in the area, the Lions Club and the City of Tonawanda Youth Board and with the Youth Board, that money goes directly to our youth, it does not stay anywhere, it doesn't go into government, that money goes right back to the kids in the form of book awards and or other things, events that the kids get out of it so all the money, it's usually around a thousand dollars that is raised through doing that unless more electronics are brought in then we can get some more which benefits the kids in the area so bring your tv's, bring your computers and we'll all load them for you. All you have to do is drive up so it'll be a great event. Then, I just want to take a second and congratulate a couple kids that I know since they were knee high to a grasshopper. A lot of the kids today going to college or they're going to work but these two kids have decided to give service to our Military. They are joining the US Coast Guard, they did it together, they are twins in the City and they are putting their lives on the line now for us and to protect us and just want to take a second and if everybody could give them a round of applause and thank them for their service. (Applause) Their names are Seth and Sidney Kowsky, they are very shy about being here so two really great kids and I do look forward to seeing them in the future. Mayor Davis – I'd just like to thank our City of Tonawanda Police and the Town of Tonawanda Police, everybody on Facebook for getting the word out about the missing young man who was found safe and sound and his Mother couldn't be more ecstatic so I'd like to thank everybody for sharing the post, for their well wishes, their prayers and the work of the two police departments in finding this young man. BPO, the place was mobbed, love to see that many people down at the River, I'd like to thank Assemblyman Schimminger for putting that together and bringing them to the City for a third year in a row. Kohler Pool today celebrates 60 years of being open. Just about everyone up here today can't remember 60 years ago except for Mrs. Smilinich and Mrs. Syposs but Kohler Pool for the last 60 years has been keeping the young and old cool in the summer and here's to another 60 years for Kohler Pool. Canal Fest, love it or hate it, it is going to be here over the weekend and I look forward to winning the tug of and being carted over the Canal by Mayor Pappas. Our Website is currently in the works of being reconstructed. For the next two weeks if there is anything you would like to see on our website that maybe other communities have done, please contact my office and we're going to take all the suggestions, put them together as we revamp that. Myself and Council President Koch took a tour of Highland School and we were very impressed with how that project turned out. Could have been an eyesore in that area much like the old Junior High was for many years and they have sunk a lot of money into that project and the apartments are quite nice. To comment on Mr. Deeb, bringing in of, I'll call them scabs because I am a Union President so bringing in of scabs to do somebody else's job, A. I don't agree with but B, from an environmental standpoint, I fought about twelve, eighteen months ago – Dupont wanted to lessen the regulations as far as emissions into the atmosphere of certain toxins and I worked with the Clean Air Coalition to get the EPA to extend their permit banning most if not all of the toxins that they wanted to emit into the atmosphere, but my concern is here we're putting unqualified people in charge of jobs here that could put our residents at risk if they're not doing their job right so hats off to you guys for everything you are doing to try to raise concerns in the community to what's happening there and I will definitely be sending a letter out and I appreciate you guys coming in tonight and explaining everything. Lastly, I would like to ask everyone to keep the Galas Family in your thoughts and prayers. Mandy Galas Lofft lost her Mother so please think about their family tonight. Council President Koch – I want to thank the Police Department for doing such a great job with traffic control the night of the BPO. The BPO said they had about four thousand people in attendance so certainly my hats off to everybody who helped make that such a great concert for us. I wanted to wish Jeff Schultz a congratulations on his recent retirement from the City and thank him for all that he's done for us. Due to the Canal Fest, the Council will meet again on July 25 th and surprised the Mayor didn't mention this as his house is on the Garden Walk but the Garden Walk will be held this Friday and Saturday so please take time to stop by and see the beautiful gardens that are on display. Tonight, Kohler pool is having their 60 th Birthday Party, we proposed the idea after a Warriors Walk and Skip Johnson had mentioned that this year would be their 60 th birthday and low and behold a year later we are celebrating with cupcakes and free swim till 7:50 so please feel free, you still have time to put your bathing suit on and jump in. As a reminder, you cannot put tv's out to the curb so now is a great time to clean out your basement, grab your electronics and drop it off to an event that benefits some wonderful organizations in our community. ADJOURNMENT 174. By Council President Koch seconded by the Councilmember Toth Resolved, that this Common Council adjourn until July 25, 2017. Ayes: Gilbert, Smilinich, Rautenstrauch, Toth, Koch Nays: None Resolution declared adopted _________________ City Clerk _________________ Mayor ______________ Date Filed
Infrastructure (Wales) Bill Summary of written evidence September 2023 The Welsh Parliament is the democratically elected body that represents the interests of Wales and its people. Commonly known as the Senedd, it makes laws for Wales, agrees Welsh taxes and holds the Welsh Government to account. An electronic copy of this document can be found on the Senedd's website: research.senedd.wales Copies of this document can also be obtained in accessible formats including Braille, large print, audio or hard copy from: Welsh Parliament Tŷ Hywel Cardiff Bay CF99 1SN Tel: 0300 200 7536 Email: email@example.com Twitter: @SeneddResearch Senedd Research: research.senedd.wales Subscription: Newsletter © Senedd Commission Copyright 2023 The text of this document may be reproduced free of charge in any format or medium providing that it is reproduced accurately and not used in a misleading or derogatory context. The material must be acknowledged as copyright of the Senedd Commission and the title of the document specified. Infrastructure (Wales) Bill Summary of written evidence September 2023 Author: Francesca Howorth This brief provides a high level summary of written evidence received in response to the Climate Change, Environment and Infrastructure Committee's (the Committee) consultation on the Infrastructure (Wales) Bill. It is not intended to be exhaustive and links to the full responses submitted can be found at Annex 1. Contents Summary of evidence Overall, stakeholders, including the National Infrastructure Commission for Wales (NICW) and the Future Generations Commissioner, support the Bill. They agree there is a need for a unified consenting process. The Royal Town Planning Institute (RTPI) highlights it: …has long called for a regulatory framework to enable an effective infrastructure consenting regime… on large infrastructure projects, providing structure and clarity... The recent rise in renewable energy applications on the Developments of National Significance (DNS) register is one indicator of the increasing volume of infrastructure applications coming down the line. Wales and West Utilities suggests the current DNS process is "not fit for purpose" and puts Wales at a disadvantage compared to other parts of the UK. Anglesey County Council says the current process is lengthy and inefficient which creates uncertainty for both the consenting and delivery of projects. It recognises the Bill as an opportunity to "provide certainty, consistency, require applications of quality as well as require [an] appropriate level of public/community engagement". Although all respondents support the introduction of a new consenting regime, the need for clarity on the transition from current DNS arrangements is a recurring theme throughout the evidence. Anglesey County Council highlights the need for clarity, for both developers and affected communities, that any preapplication work already undertaken when the new regime is introduced remains valid. While supportive of the Bill, Professor Hannah Hickman, of the University of the West of England, warns "there is a careful balance to be struck between the quest for speed of consent and its potential consequences for future delivery". A lack of detail on the face of the Bill The Minister for Climate Change, Julie James MS, acknowledged in the Senedd on 13 June that much of the detail of the new process will be left to subordinate legislation. She argued this was appropriate to allow flexibility. When questioned on the issue during an initial evidence session on the Bill in July, the Minister told the Committee: …we want to be able to keep it up to date, and we want to be able to make sure that we take advantage of emerging technologies… we don't want to get ourselves into a mess where we've got a process Bill that ties us to particular things that, within even the life of this Senedd, will be just out of date… The Minister went on to say: …there will be a series of processes [that] will need to be refreshed with probably quite a lot of regularity, particularly in the early days. The Welsh Government has since published a statement of policy intent for the subordinate legislation to be made under the Bill. Natural Resources Wales (NRW) suggests it is difficult to judge whether the Bill will achieve its policy intention. It says the "framework nature of the Bill" makes it challenging to understand the full implications on its statutory functions. NFU Cymru agrees that more detail should be provided on the face of the Bill. It suggests a similar approach should be taken to that of the Planning Act 2008 (the 2008 Act). The 2008 Act introduced a new consenting regime for major infrastructure projects in England and non-devolved projects in Wales. NFU Cymru suggests the 2008 Act includes more detail and a similar approach should be taken for the Bill. The level of detail reserved for subordinate legislation is described as "one of the Bill's key failings" by Bute Energy. Concerns that current resources are insufficient to support the new process Many stakeholders express concern that current resources will be unable to support the new process. The RTPI says: …LPA departments are significantly underfunded, and research shows that planning services are suffering most severely of all local government services due to budget cuts… we believe that resourcing and expertise in the public sector, including Welsh Government, PEDW [Planning and Environment Decisions Wales], LPAs [local planning authorities] and local authorities more widely e.g. highways departments, NRW and other statutory consultees, is currently a key barrier to the timely decision making and delivery of projects… The National Trust, Marine Conservation Society and Anglesey County Council also raise concerns over resources. Newport City Council highlights that projects being captured by the new consenting process would take "fees away from LPAs in the first instance and yet [the process] requires significant [input] from them". NRW believes it is essential for guidance and training to be provided for all participants in the new process to enable its successful implementation. EDF Energy suggests a central resource of experts accessible to LPAs, NRW and developers as a solution. It says it is unrealistic for all LPAs to have the necessary inhouse expertise and suggests a "pool of experts operating on a full cost recovery basis is potentially more cost effective". During the Committee's evidence session in July, the Minister for Climate Change outlined that the Welsh Government encourages local authorities to share expertise and does "provide some support to authorities if they do have something that they've never dealt with before". She suggested LPAs "should have enough resource". General support for Significant Infrastructure Project (SIP) categories Stakeholders generally supported the categories of SIP included within the Bill. However the absence of any reference to hydrogen projects is raised by the RTPI and a number of stakeholders in the energy sector, namely Bute Energy, RWE Renewables and Ynni Glan. Wales and West Utilities describes this as a missed opportunity. Professor Hannah Hickman highlights that energy storage schemes (with the exception of liquid gas storage) are not defined within the Bill. She suggests that "energy storage is going to become more important, so this may be an omission". Newport City Council calls for energy storage to be "explicitly excluded" for the avoidance of doubt. Pembrokeshire County Council supports LPAs determining energy generation applications under 50 Megawatts (MW).The Bill would see energy generation projects of between 10-49MW, currently consented through the DNS regime, be consented by LPAs rather than through the new consenting process. The Campaign for the Protection of Rural Wales (CPRW) highlights the impact this may have on LPA resources. Defining "significant" Professor Hannah Hickman highlights that neither the Bill nor the Explanatory Memorandum (EM) defines 'significant'. She advocates for a definition to be included given that some thresholds within the Bill relate to scale of operation, some to capacity and some to measures such as length. She questions whether 'significant' should take account of third party impact or the impact of the service a project seeks to deliver. This point is echoed by the RTPI which calls for further clarity on the evidence behind the thresholds. It says this would be useful to understand "if consideration was given to scale and impact, rather than a standard measure". Optional thresholds The RTPI questions whether the fact that the Welsh Government intends to set out a tier of optional SIP thresholds and criteria in guidance will cause ambiguity in the system. NRW says this needs to be based "on clear and consistent criteria" as all parties should expect "a reasonable degree of certainty over which consenting regime is appropriate for… any given infrastructure project". Powers to direct The level of discretion provided to the Welsh Ministers to direct that a project which otherwise wouldn't be captured by the process is a SIP, and vice versa, is a concern for NFU Cymru. It highlights a lack of any criteria (on the face of the Bill) governing the circumstances as to when these powers may be used. RWE Renewables calls for a statutory deadline for a direction to be made to be included in the Bill. It highlights that the 2008 Act includes such a provision. Llanarthne and Area Community Pylon Group agrees this is needed. The discretion provided by the Bill is however welcomed by Transport for Wales (TfW). It suggests many of its projects would be unlikely to trigger the definition of a SIP but as these are often viewed as highly complex and of relatively high cost to the public it may be desirable that they are treated as such. The Association of British Ports (ABP) also supports such flexibility. Mixed views on a 52 week statutory timeframe for deciding applications TfW welcomes the introduction of a 52 week timeframe, as does Marine Energy Wales. The FSB notes the importance of ensuring resources are in place to meet such timeframes. ScottishPower Renewables argues the 52 week period should be a limit not a target and that some smaller applications can be decided in a much quicker timeframe. Conversely, the Wildlife Trusts Wales believes "there is a very strong argument… for more time to be devoted to the consideration of major infrastructure projects". It says "success or otherwise [should not be] expressed solely in terms of the speed with which such consents are given out". Ashfords LLP expresses concern from its experience of dealing with such projects that failure to meet the 52 week timeframe will be a regular occurrence. Although the Bill provides for the Welsh Ministers to extend this timeframe, the Crown Estate suggests clarity is needed on the maximum length of time this can be extended for. Bute Energy highlights that under the Nationally Significant Infrastructure Projects (NSIP) consenting process (established by the 2008 Act), if the Secretary of State extends the deadline for determining an application (following receipt of an Inspector's report), then a statement must be made to Parliament setting a new deadline. It argues this gives elected representatives an opportunity to scrutinise such decisions and that the Bill should include a similar requirement. It suggests the current requirement in the Bill for the Welsh Ministers to report performance against the 52 week timeframe to the Senedd annually is insufficient. Stages of the process Bute Energy also argues the Bill should include statutory timeframes for each stage of the process, as is included in the 2008 Act. Reference to the 2008 Act is also made by a number of stakeholders in relation to validating an application. Kelvin MacDonald, a Senior Visting Fellow at Cambridge University, outlines that section 55 of the 2008 Act allows an Inspector to consider whether the material submitted is comprehensive enough to allow a meaningful examination to take place. He suggests a similar provision in the Bill would be useful. RWE Renewables argues for the inclusion of a statutory time period for the validation of applications. This is supported by Lightsource, ABP and NFU Cymru, which argues this time period should be set at 28 days. Confusion over the status and hierarchy of planning policies The Bill provides that applications must be decided in accordance with any infrastructure policy statement relating to the type of development to which the application relates the National Development Framework (NDF) (currently Future Wales) where relevant and the Welsh Ministers' marine plan (currently the Welsh National Marine Plan) where relevant. Where a provision in a relevant policy statement is incompatible with provision in the NDF or Marine Plan it must be decided in accordance with the relevant policy statement. Kelvin MacDonald suggests this is one of the most important parts of the Bill, but one which risks leading to confusion and challenge in practice. He highlights that although policy statements will take precedence, the Bill makes no provision as to what these will look like or the process by which they would be adopted. The Bill would not require these statements to be approved by the Senedd. He suggests that "given the importance of these documents, the Committee may wish to consider whether such a requirement should be on the face of the Bill". Similarly, the RSPB says: …it does not appear that [infrastructure policy statements] will be subject to any kind of public consultation, sustainability appraisal or scrutiny by the Senedd (as national policy statements are in the UK Parliament) but simply designated by Ministers. This view is echoed by the National Trust, while the RTPI says it is important such statements do not undermine the NDF as the established national policy. The Welsh Local Government Association (WLGA) and Anglesey County Council question where Strategic Development Plans (SDPs) currently under development will sit. Professor Hannah Hickman suggests the Welsh Government should clarify what policy statements are being planned. The Minister for Climate Change previously told the Committee the Welsh Government was not currently preparing any such statements as it was not aware of any policy gaps. However Kelvin MacDonald suggests: …a number of categories of SIPs, such as… radioactive waste geological disposal are not covered [by the NDF] in policy terms. Therefore, unless a comprehensive set of infrastructure policy statements are produced, there will be a policy void. There could also be a policy void if Welsh Ministers exercised their powers… to bring other schemes into the regime of a type for which no infrastructure policy statement existed. Mixed views on the discretion provided to Examining Authorities NFU Cymru expresses concerns over the discretion given by the Bill for the Examining Authority to decide which form the examination of an application will take – written procedures, a hearing or inquiry. RWE Renewables says this will make it difficult for applicants to gauge upfront the likely cost and resource requirements of the new regime. Meanwhile the ABP welcomes this discretion, as does the RSPB, although it warns the method of examination needs to be proportionate and appropriate to the issues under discussion No consensus on who should be the decision maker RWE Renewables welcomes the provisions in the Bill which would allow for either the Examining Authority or the Welsh Ministers to make the decision on an application for Infrastructure Consent. It believes this would enable decisions on less complex applications to be made earlier than the 52 week decision deadline. The National Grid agrees with this point. The RSPB says the Welsh Ministers should not restrict "their role to policy-making, but retain the final say on SIPs, as they carry the political accountability for the consent". NFU Cymru suggests the Examining Authority should "report and recommend on all applications… and leave all final decisions to Welsh Ministers". Anglesey County Council suggest the process should allow for a LPA to raise an objection where they consider the use of powers to allow the Examining Authority to make a decision would be inappropriate. The potential need for enforcement action is a concern for LPAs The RTPI says that while the number of enforcement cases is anticipated to be minimal, "it is important to recognise the potential magnitude of costs and officer time at the enforcement stage for LPAs". Newport City Council has concerns over the potential need for enforcement action. As does Anglesey County Council, which says: Compliance with terms of this type of consent is very important and extends potentially over considerable time. This raises considerable resourcing issues as it could… need significant technical input for the Council to be able to take effective steps to ensure compliance or [enforce] remedial action by a developer or subsequent operator. Lessons should be learned from similar legislation in England RWE Renewables highlights the UK government is carrying out a review of the 2008 Act and has recently consulted on operational reforms as part of its NSIP Action Plan. It suggests there are a number of lessons which can be drawn from in designing and implementing the new SIP regime in Wales. Professor Hannah Hickman echoes this point. She says research into the regime in England has shown a considerable number of secondary consents and licenses are still required to enable a development to proceed to construction – which lead to delays and further costs. Cross-border projects Several stakeholders also highlight the potential impact on developers with crossborder projects. Lightsource bp suggests there is currently "insufficient detail on how cross-border projects would be consented and how the… regimes on each side of the [border] will interact". Kelvin MacDonald says applicants may be faced with slightly different requirements and procedures for the same class of scheme in Wales as opposed to in England. The new regime should ensure environmental protections are upheld The Bat Conservation Trust says the streamlining of the consenting process "cannot be at the cost of reduced environmental assessment or less robust environmental protections". The CPRW and Pembrokeshire Coast National Park Authority (PCNPA) share these views. Kelvin MacDonald highlights that environmental permits are omitted from the Bill but questions whether these permitting regimes should be brought into the new regime to achieve greater coherence and efficiency. He says: This reflection is drawn in part from my own experience of dealing with applications [in England] in which delays by Natural England or the Environment Agency in issuing such permits can lead to uncertainty as to whether the Examining Authorities recommendation is robust. The importance of involving affected communities The NICW and Future Generations Commissioner call for the role of communities in the process to be strengthened through the Bill. In its response, Planning Aid Wales highlights the matters most commonly raised by members of the public accessing its services in relation to large scale infrastructure projects. This includes a feeling that "hands are tied" by the time the public become aware of a project and a feeling of being unable to fully participate due to complexity. Solar Energy UK highlights that the detail of how pre-application consultation should be carried out by developers will be set out in regulations. It says this is "unhelpful" and asks for more detail on the face of the Bill. One member of the public responding to the Committee's consultation suggests "consultation fatigue" should be considered. They state: …whilst a project may exceed the threshold and be designated [a SIP], that does not necessarily mean that extensive engagement is requirednot least if it is development [already] designated within [the NDF]… Annex 1 – Consultation responses \| Ashfords LLP \| Newport City Council \| \|---\|---\| \| Associated British Ports \| National Farmers Union (NFU)Cymru \| \| Association for Consultancy and Engineering Wales \| National Infrastructure Commission for Wales and the Future Generations Commissioner \| \| Bat Conservation Trust \| Pembrokeshire Coast National Park Authority \| \| Bute Energy \| Pembrokeshire County Council \| \| Campaign for the Protection of Rural Wales \| Planning Aid Wales \| \| Cwmni Egino \| Public Health Wales \| \| Design Commission for Wales \| RenewableUK Cymru \| \| EDF Energy \| Royal Society for the Protection of Birds (RSPB) Cymru \| \| Federation of Small Business Wales \| Royal Town Planning Institute (RTPI) Cymru \| \| Professor Hannah Hickman UWE \| RWE Renewables \| \| Individual \| ScottishPower Renewables \| \| Individual \| Solar Energy UK \| \| Individual \| SP Energy Networks \| \| Isle of Anglesey County Council \| Statkraft UK \| \| Kelvin MacDonald \| The Central Association of Agricultural Valuers (CAAV) \| \| Lightsource bp \| The Crown Estate \| \| Llanarthne and Area Community Pylon Group \| Transport for Wales \| \| MaresConnect Limited \| Wales & West Utilities \| \| Marine Conservation Society \| Welsh Local Government Association \| \| Marine Energy Wales \| Welsh Water/ Dwr Cymru \| \| National Grid Electricity Distribution \| Wildlife Trusts Wales \| \| National Trust Cymru \| Ynni Glân \| \| Natural Resources Wales \| \| \| Network Rail \| \|
HARD WON WISDOM VOL 1 Practical, everyday tactics to help your people thrive, from 17 of the best in the business, including Olympic gold medalists, bestselling business book authors, leading executive coaches, and senior leaders from Facebook, Pret a Manger, Walmart and more. MICHAEL BUNGAY STANIER SENIOR PARTNER BOX OF CRAYONS TESTIMONIALS Michael has done it again! He transformed wisdoms taken from 17 leaders into easyto-read, thought provoking and practical strategies for overwhelmed leaders. Michael provides a set of useful and high-impact questions that one can use right away to unleash another's potential. This book empowers readers to be better leaders by providing four key reflective questions at the end of each strategy to enable one to personalize their own learning. This is an essential tool for busy managers that would like to be high impact leaders and people managers. Gerald Wu Director, Talent Management CIBC Once again, Box of Crayons demonstrates a winning formula, by providing inspirational yet practical tips from a wide range of perspectives, with brevity and humour. Thanks for not making us read 200 pages of text to impart great insights! Diane Dowsett AVP, Talent Management LoyaltyOne I recently assumed direct leadership of a team that I had been indirectly managing for the past year and a half. In my first week I of course jumped right into the weeds in my best attempt to untangle all solutions for everyone and save the day! I was overwhelmed and exhausted (and in thicker weeds…) when Michael asked me to give "Hard Won Wisdom" a read. My immediate reaction was "he's a fun Aussie, but this request could not come at a worse time"! In fact, it of course came at the PERFECT time. Thanks for stopping ME in my tracks with quick, to-the-point tips that reminded me about what's important in leadership. I'm back. Scott Reid Director Talent Management Softchoice TABLE OF CONTENTS 01 HARD WON WISDOM TO HELP YOUR PEOPLE THRIVE 02 03 STRATEGY 1: Expand their capacity STRATEGY 2: Build focus and courage STRATEGY 3: Stop them in their tracks FANTASTIC RESOURCES ABOUT BOX OF CRAYONS HAVE YOU PICKED UP YOUR FREE COPY OF THE THREE ESSENTIAL COACHING HABITS FOR THE TIME-CRUNCHED MANAGER? In our first report we look at the three fundamental challenges managers face today – preventing over-dependent teams; battling overwhelming amounts of work; and being disconnected from the work that matters – and we share three practical habits to break out of those vicious cycles. You can get your own copy of the report HERE. "What a relief. A remarkably simple, practical and highly 'doable' plan for even the most overwhelmed manager. The content is both intelligent and accessible, with Box of Crayons' trademark ability to reduce the complex to the memorable and doable. I have piles of management books in my office and always value actionable insight, but they can add to the overwhelmed feeling and remain un-actioned. I intend to adopt these three very simple habits that tackle my inner 'Advice Monster' so I can be more helpful by being less helpful, and to share them with our managers." Siobhan McCarthy, SVP, Head of Talent, BBDO Canada "If you are looking for a formulaic, step-by-step "how-to" manual for coaching (yawn!), you are out of luck. If, however, you are looking for an accessible and actionable guide to being a better manager, get out of your own way, and unlock greater potential in your team, this coaching guide is it! Based on the latest from neuroscience, psychology and management research, this guide holds deceptively simple tactics to help you become a managerial powerhouse." Jessica Amortegui, Director of Global Talent Development, VMware HARD WON WISDOM TO HELP YOUR PEOPLE THRIVE 01 HARD WON WISDOM TO HELP YOUR PEOPLE THRIVE We've all experienced the difference between the manager who somehow has the gift to call forth your best and help you do more Great Work… and those who (unwittingly or deliberately) just snuff out the flame. I've been managed by both types. And – sad to admit, but true – I've been both types as well. At Box of Crayons we're committed to helping people and organizations do less Good Work and more Great Work, and we've got a range of programs to help do just that. But there's often a gap between theory and practice, so I'm always asking the smart people I meet – from frontline managers to New York Times bestselling authors, from Olympians to the very best executive coaches – what their hard won wisdom for managerial success might be. To compile this report, I've reviewed my notes from over 150 suggestions and selected 17 terrific insights, clustered into three strategies. THREE STRATEGIES The FIRST STRATEGY is about helping people see the bigger picture. I'm not much of a fan of Donald Rumsfeld, but he was onto something when he said, "There are known knowns. These are things we know that we know. There are known unknowns. That is to say, there are things that we know we don't know. But there are also unknown unknowns. There are things we don't know we don't know." (If you'd rather not quote Rummy, the Johari Window offers a similar insight.) 1 As a manager and a leader, one of the most powerful things you can do is reveal what's previously been an Unknown Unknown. What's intriguing about some of the tactics in this first section is that the focus is not just about what's "out there" that's an Unknown Unknown, but it's also about what's "in here" too. The SECOND STRATEGY is to build focus and courage. It's one thing to see the bigger picture. It's another thing altogether to begin to trust yourself to move forward on the work that matters. Giving your people the capacity to trust their own approach and their own path forward is an immense gift, as is the experience to know what – in this world of overwhelm – we should focus on to have the most impact. 2 The FINAL STRATEGY focuses on the mechanics of asking a good question and, in doing so, stopping your people in their tracks. Warren Berger's terrific book introduced me to this quotation from e. e. cummings who said "Always the beautiful answer/ who asks a more beautiful question." Asking a more beautiful question is much harder to do than you might think. In the final section, there are five practical suggestions to help you ask a good question, and ask it well. 3 STRATEGY 1 EXPAND THEIR CAPACITY DOUG CARMICHAEL CEO, Commonwealth Bank Group Super IAN WATSON Head, Pret Academy MARK TEWKSBURY Olympic Gold medalist KEVIN WILDE Chief Learning Officer, General Mills JAMIE BROUGHTON Managing Partner, Footprint Leadership DEBRA FRANCE W. L. Gore & Associates EXPAND THEIR CAPACITY If you're of a certain age (here's the test: Do you know what a rotary telephone is?), you've probably found out that you've somehow become your parents. I know I have. Having gently mocked my father when I was a brash young man, I now find myself walking and talking and – nooooooooooooo! – filing papers just like him. One thing I've inherited directly from my Dad is his lack of physical flexibility. Forget touching toes. I'm delighted if I can get close to my knees when I'm bending down. So as to not go quietly towards the light, for the last year or so I've been doing Hot Yoga. I'm not sure if you've come across that yet, but imagine a 90-minute stretching session in a sauna and you'll get the idea. It is a humbling experience. It took me six months' practice to be able to make it through an entire session without needing to have a little lie down to rest half way through the session. There are still positions where the gap between what I can do and what I'm supposed to do remains vast. Still, I have slowly gotten better. Two disciplines about how I practice have helped me along. The first discipline is to strive for good form rather than maximum exertion. My naturally competitive urge was pushing me to push myself, but slowly it's become clear that it's better to do it with beauty than do it with force. The other discipline is that between each pose we rest in savasana – corpse pose. Not only is it a chance to regain my breath a little, but it allows me to absorb some of the benefit of the exercise. The tactics gathered in this first core strategy – expand their capacity – offer up similar insights. As a manager and a leader, you've got the opportunity to be a teacher, and in being a teacher, to literally expand people's capacity. By providing the opportunities for the experience and reflection needed for an a-ha moment, you'll help create new neural pathways; and with each new neural connection, capacity and potential grow. And what's great is that you don't even need to spend an hour and a half in a 100 degree room to make it so... A long time ago a manager of mine said to me, "Doug, remember that I pay you to think. I want you to spend a little bit of time every day thinking." It sounds simple, but I've repeated that story over the years because I think it's something that all too often we can forget. I encourage people to take a little bit of time by themselves or to go for a walk… and just think. Not so much about the task that we have to deal with – although that can be important too – but to think about our business and the bigger picture. What really matters? Where are the opportunities? I want people to exercise their brains more. Just five minutes a day can make a big difference. Doug Carmichael CEO, Commonwealth Bank Group Super In our over-connected and over-scheduled world, we've all fallen into the trap of thinking that Doing Stuff Right matters more than Doing the Right Stuff. Doug points to the need to stay connected to the bigger picture. Two powerful questions to provoke the thinking Doug encourages are "What really matters right now?" and "What's the real challenge here?" ENCOURAGE PEOPLE TO SPEND A LITTLE BIT OF TIME EVERY DAY THINKING The greatest coaches I have worked with didn't tell me what to do, they helped me find what would work best to get the most out of myself. For me, a winning coach empowers versus prescribes. Mark Tewksbury Olympic Gold medalist and Chef du Mission for 2012 Canadian Olympic Team Mark's not only been coached by world-class coaches, but in his role as Chef du Mission of the Canadian Olympic team, he has also worked in partnership with them. You'd think in sport – unlike management – coaching would be prescriptive. But it seems not. How do you empower? One way is to let them go first. The questions that offer the way forward on that are "What do you think? What are your first thoughts?" EMPOWER, DON'T PRESCRIBE Every encounter is a chance to coach, to help the other person grow to realize his or her potential. I've found the most effective coaching fits one of three approaches: invest, value or stretch. The invest coach gives ideas and resources. The value coach offers confidence building encouragement. The stretch coach provides challenge to push for higher performance or unrecognized talents. In any one meeting, look for ways to invest, value or stretch. Over time, a mixture of each approach is most effective. Don't miss an opportunity today to help someone realize their potential! Kevin Wilde Chief Learning Officer, General Mills Kevin's been a beacon within the learning community for many years, and has won many awards for his innovative and progressive approach to helping people thrive. Teasing apart and articulating three different ways to challenge and provoke is powerful and useful. I particularly like the "stretch" idea, which challenges the cliché that coaching is a soft, pastelcoloured experience of tepid appreciation. Great coaching can be confronting and powerful. INVEST, VALUE OR STRETCH Sometimes in leadership it just seems quicker and easier to do it yourself. You believe you can do it better than others and probably achieve a faster result in doing so. How much time does it cost you? How does your team perceive this? Could you possibly delegate it and perhaps get the same (or better) result? How could you let it go? What could be the positive outcome? Hands up all those who don't have enough on their plate right now. Exactly. We're all overwhelmed, and Ian's insight is that at least some of that is self-inflicted. You're hanging on to tasks you need to hand over. Control issues? (Me too. Join the club.) How much pain – for you, for your team – are you willing to suffer until you're ready to give up control to gain some freedom? HOW MUCH DOES CONTROL COST YOU? "People's actions are always in direct alignment with how a situation occurs to them." This makes sense, doesn't it? If something occurs as 'an opportunity,' we'll act in accordance with it being an 'opportunity' – getting to it as soon as we can and making it happen. If, on the other hand, something occurs as an 'obligation … and something I'll never fulfill anyway' (or some other disempowering context), we'll avoid it or do it half-heartedly. No amount of cajoling or convincing will create a sustained and meaningful impact. Don't start with the situation; rather, start with how the situation appears to someone and the floodgates of commitment, engagement and performance will open. A powerful question to start the conversation? "What are you really committed to in this area?" That will start to uncover exactly how the situation is seen. Jamie Broughton Managing Partner, Footprint Leadership Jamie's a Master Trainer at Box of Crayons and a superb coach. His ability to reframe situations has always impressed me, and seeing his advice here, I'm starting to understand why. I'd add to Jamie's great question these two questions that might also help: "What are you excited about here?" and "What could make you anxious?" DEAL HEAD-ON WITH HOW A SITUATION OCCURS TO SOMEONE Coaching others is an act of faith. You see in them what they are or are becoming – often before they know it themselves. You help them navigate their doubt with conviction, nourished by yours until they develop their own. Debra's short piece of advice is a perfect way to finish this section. It ties together the wisdom of the other contributors and speaks to Sir John Whitmore's powerful description of the power of coaching as "unlocking people's potential to maximize their own performance. It is helping them to learn rather than teaching them." It's such a delicate act, to help create the space and the courage for someone to step towards the bigger version of themselves. It can be extraordinarily powerful to tell them "I think you can do this." HELP THEM NAVIGATE THEIR DOUBT FROM THIS SECTION ON "EXPAND THEIR CAPACITY" … What was the insight for you? What's one thing you might do differently? What surprised you? What's the new habit you might begin to build? STRATEGY 2 BUILD FOCUS AND COURAGE TREVOR SATOUR Founder, Building Indigenous Capability LIBBY ROBINSON Managing Partner, Integral Leadership CONNIE RISTIC Head of Talent, EMEA, Nomura KATE LYE Senior Partner, KLI Consulting SABRINA HASHAM CEO, CHAYA RODD OLMSTEAD RVP Operations, Walmart Canada BUILD FOCUS AND COURAGE My brother Gus trained as a teacher in Australia. As soon as he was able, he and his family headed up to the remote North of the country to work in aboriginal communities. His second posting was in Ngukurr, a town of about 1,500 people that was a threehour drive from the nearest 'big city' of 10,000 people. Ngukurr sits in an ancient landscape, one that's almost entirely flat, worn down to the nub over millennia. At night, with no ambient light and no nearby cities, the Milky Way stretches like tangled silver ivy from horizon to horizon. One afternoon when I was there, we hopped into Gus's 4-wheel drive and headed out of town. We were aiming for a small hillock that had somehow resisted the forces of erosion. When we parked the car and scrambled up to the summit, my perspective on the community changed. Even though we were little more than 100 meters higher, suddenly I could see how the Roper River wound around the town, the way the horizon stretched further back, and how I could stay in the last of the setting sun's light, even as the ground below fell into shadow. You understand the metaphor here, I'm sure. Take your people to higher ground. Help them see not only the situation differently but help them see themselves differently. Your conversation can be where they expand their entire sense of who they are and what might be possible for them. I work in development contexts, where an important aim is to create environments and facilitate processes that encourage people to think and problem solve for themselves. One useful practice I have adopted is consciously running a background question, "For the sake of what?" This question is a trigger to remind me of the essence of what we do. It acts as a brake on that part of the ego that rushes to provide answers or solutions as an amazing demonstration of my personal brilliance, or that part inhabited by a strong rescuer that cannot hold the tension between empathy and action, and simply wants to do it all for those deemed in need. Trevor Satour Founder, Building Indigenous Capability Clarifying and connecting to "For the sake of what?" is a strategic act, helping make sure that what you're doing is aligned to the organization's bigger picture. But it's more than that. It connects to the hopes and aspirations and goals of the individual. It helps them find their strongest place in the scheme of things. CLARIFY "FOR THE SAKE OF WHAT?" Start where the person is. No matter what the preconceptions about what the work will cover and where it will lead, in my experience progress can only truly occur if we both have an accurate understanding of the current state of things. Reflect the person's best self back to them. This is the 'self' they are when think or feel they are at their authentic best. This can help boost their motivation and self belief, but also helps surface gaps in expectations, values and capabilities. See emotions (both yours and theirs) as signposts. Sometimes it's not necessary to talk about the feeling at all, but just to use it to 'settle in' to the work or explore something further. Share the tools and resources most useful in your work with others. This generates equity between you and enables people to more easily recognise within themselves the energy, information and methods to resolve and move through or past challenges. Connie Ristic Head of Talent, EMEA, Nomura To do any one of the four suggestions Connie has made will be to elevate your management style to one of coaching mastery. They are simple but difficult. If I had but one question to use here, I'd consider "What do you know to be true?" You can ask that about the situation at hand. You can also ask that about their own self-identity. It's a powerful way of stripping back judgments and stories from the kernels of truth. REFLECT THEIR BEST SELF BACK TO THEM Task lists and project plans have their place. In fact no one loves a to-do list more than I do, but they do have an uncanny knack of factoring out the personal and the unique. So when you next look at your action list or when you are feeling overwhelmed by just how much there is to do, pause and ask yourself "What can I uniquely contribute here?" Stopping and naming what isn't going to happen without that special ingredient of 'you' helps you to recognise your own brand of magic, however mundane the task. It helps factor your flair, insight, hard won judgment and creativity back into the mix. It can nudge you to bring the best of you to your work. Kate Lye Senior Partner KLI Consulting True confession: Kate was my boss a decade or so ago, and while we're fast friends now… it wasn't always smooth sailing back then. (I'm sure it was almost entirely my fault.) Kate's as successful an operator as I know within the corporate setting, so it's powerful that she's making space for what's different and magic. It's easy enough to get flattened out into conformity, to lose your edges. Asking – of yourself or of others – "What can I uniquely contribute here?" not only helps find your sweet spot about what you SHOULD do, but also helps you figure out what NOT to do. FACTOR BACK IN THE FLAIR, INSIGHT, HARD WON JUDGMENT AND CREATIVITY The best coaching helps people just get out of the way of themselves, distractions, and allows them to hear themselves, really hear themselves. You'd be surprised how many possibilities open up when the space between two people becomes more generous. As the poet Rumi liked to put it, "Out beyond ideas of rightdoing and wrongdoing, there is a field. I'll meet you there." Libby Robinson Managing Partner, Integral Leadership I know Libby well, and she's a superb coach. It's no surprise to me that her focus goes beyond you and them, and looks to the safety and spaciousness and generosity of the space, conversation, relationship. Creating that safety helps them step out towards the edge of what's possible. ALLOW THEM TO REALLY HEAR THEMSELVES My coaching tip has seven words: "I am me and you are you!" We coined this phrase when our daughter moved from the class of 3-year-olds to the class of 4-year-olds and we noticed peer pressure influencing her behaviour. So we talked about the importance of finding one's own path and making one's own choices while respecting those of others. When I feel spent from following my own path or am frustrated with others who don't seem to do things my way, I repeat the phrase to myself. Then I feel both courageous about my own path and more accepting of theirs… which usually results in a better outcome than I could have originally anticipated. If you knew Sabrina's daughter like I do, you'd find it hard to imagine her succumbing to peer pressure. Except, of course, we've all felt that 'toe the line' pressure. A question that's deceptively simple and often goes to the heart of the conversation is "What do you want?" HELP THEM FIND THEIR OWN PATH AND MAKE THEIR OWN CHOICES I spend a great deal of time mentoring leaders who want to know the secret to be more strategic, or to improve their prioritization, or more simply to have a more balanced life. The secret to this often lies deep inside… where they are terrified to let people down. No matter how many times you read about the ability to say "No," you never read about the ability to live with the consequences. But this is the measure: Have some of your stakeholders be unhappy 'slightly,' while exceeding the expectations of your key customers. The courage to do this is what separates the average from the true performer. Rodd Olmstead RVP Operations, Walmart Canada It's one of the metrics of doing more Great Work: "Is everyone happy?" If everyone is, you're probably doing lots of Good Work… but not yet getting close to doing your Great Work. What does it take to be brave enough to stop being liked by everyone? Perhaps it lies in the answer to the questions "Who truly matters?" and "What are you willing to sacrifice for the bigger win?" HAVE SOME OF YOUR STAKEHOLDERS BE UNHAPPY 'SLIGHTLY,' WHILE EXCEEDING THE EXPECTATIONS OF YOUR KEY CUSTOMERS FROM THIS SECTION ON "BUILD FOCUS AND COURAGE" … What was the insight for you? What's one thing you might do differently? What surprised you? What's the new habit you might begin to build? STRATEGY 3 STOP THEM IN THEIR TRACKS STUART CRABB Global Director of Learning, Facebook KRIS DUNN CHRO Kinetix & The HR Capitalist JOYCE RUSSELL President, Adecco Staffing USA DOROTHY STRACHAN Partner, Strachan-Tomlinson JULIA ROSAMOND HR Director, Travelodge STOP THEM IN THEIR TRACKS Have you ever had 'the goldfish effect' on someone with whom you're working? It happens when you ask a question that's so appropriate, so useful, so on the mark that it stops that person in their tracks. They pop their eyes a little wider, open their mouth to say something but don't… and if you listen very, very carefully, you can hear new connections being made in their brain as this a-ha! moment literally increases their wisdom, capacity and potential. It's a wonderful moment. The irony is that offering up to someone your very best advice, suggestions, solutions and ideas will almost never stop them dead or create that powerful moment of insight. To put it simply, when you scan people's brains as they receive offered wisdom, nothing much changes in the typical electrical activity. But ask a question that lands, and you can see those new neural pathways forming. The challenge is that we all LOVE giving people our advice. We are finely-tuned advice giving machines. Even before we have any idea of what's really going on, we're pretty sure we know how to fix it. In the final section of this Hard Won Wisdom report, we'll learn some of the most practical ways to stop them in their tracks, create that learning moment, and expand what is possible for them and for you. It's crucial that you quiet your inner voice when you're in dialogue with someone, so that the 'stories' they sometimes create don't distract your attention or contaminate your understanding of what you're being told. This can be like watching the effect of a drop of ink in a glass of water. Stay centred and focused on the other person and restate what appear to be critical points, to check for accuracy and to demonstrate your understanding. Stuart Crabb Global Director of Learning, Facebook We look at young children in class and we think it's adorable that they're so eager to answer the teacher's questions. You can see them now, can't you? Hands straining upwards, desperate to be picked to give the answer. Plus ça change, plus c'est la même chose… Of course we're cooler now. But as soon as a conversation starts, our inner voice immediately starts shouting "Ooh, ooh, ooh, I know the answer, I can help!" What's wonderful about Stuart's advice here is that before any tricks or techniques or tools of the trade, being present with someone is one of the most powerful management moments you can create. STAY CENTRED AND FOCUSED One way to have a more powerful conversation is... by being generous. Not only being generous in terms of our time, but also by being generous emotionally. That means sharing the best of ourselves with others by being present and engaged. Joyce Russell President, Adecco Staffing USA Edgar Schein is one of my intellectual heroes, and his most recent works have been about the slipperiness of trying to be helpful. The offer to help – which I know comes from a good place – is also something that puts you 'one up' from the person you're trying to help. I can help you – you're broken and I'm not. What I take from Joyce's guidance here is a willingness to be vulnerable, to make this a conversation between equals rather than superior/inferior. How does Schein suggest we do that? His suggestion is 'humble curiosity'… which is why the habit of asking questions rather than giving advice can be so powerful. BE GENEROUS Consider the risk factor when asking questions; not so much your risk, but the risk to the person you're asking to respond. Begin with meaningful and inviting questions that people can and want to answer so you can build on their success before moving on to more difficult questions related to controversial topics. Think 'low risk to high risk.' Dorothy Strachan Partner, Strachan-Tomlinson Dorothy's the author of one of my favourite books, Making Questions Work. And when a champion for the good question says to be wary about asking some questions, it's enough to slow you down and make you think. Asking questions is risky for you. You're giving up the control and certainty and comfort of offering advice, and instead are asking a question that could lead you whoknows-where. But how powerful to realize that it's risky for them, too. They no longer have the warm comfort of your guidance, but must step up to the challenge of wrestling with the question to find an answer. Help make that journey easier for them. THINK 'LOW RISK TO HIGH RISK' Want to be a better manager and coach? Shut up at least two times in every conversation when other mere mortals want to speak. By letting/forcing the person in front of you to react to your observation and help come up with what happens next, you raise the probability of improvement by... about 1,000%. Kris Dunn CHRO Kinetix & The HR Capitalist Kris is not one to pull his punches. He's absolutely right when he says that your questions will be infinitely more effective when you ask them… and then stop and listen to the answer. Revisit Stuart Crabb's advice about being present and you'll forge a powerful combination of quiet, attentive presence that will immediately lift your game. SHUT UP Know when to coach. A coaching process as a tool has to be used at the right time. There are times when you may be required to give direction and leadership in a situation when coaching is just not appropriate. Enjoy, celebrate and forgive mistakes. Nobody ever grew in their role or learnt more without making a few mistakes. Julia Rosamond HR Director, Travelodge The whole tenor of this report has been about encouraging busy managers and leaders like you to make coaching an everyday part of your working life. But coaching is just one style of management. Daniel Goleman, the man who popularized the notion of Emotional Intelligence, wrote an article for Harvard Business Review in 2000 called 'Leadership That Gets Results.' In that, he identifies six different leadership styles, each one appropriate for certain circumstances. Coaching was then (as it is now, I suspect) the least utilized. But it is still just one style of six. KNOW THAT THERE ARE TIMES WHEN COACHING IS JUST NOT APPROPRIATE FROM THIS SECTION ON "STOP THEM IN THEIR TRACKS" … What was the insight for you? What's one thing you might do differently? What surprised you? What's the new habit you might begin to build? FANTASTIC RESOURCES 02 "MY ONE BEST QUESTION" VIDEO SERIES "TOP SHELF" COACHING BOOKS MY ONE BEST QUESTION We're big fans of a great question at Box of Crayons. e. e. cummings was on to something when he wrote: "Always the beautiful answer / who asks a more beautiful question." We've been nagging people we know who have a gift for a good question – elite executive coaches, New York Times bestselling authors, and managers and leaders from organizations such as Twitter, UBS, Google and T-Mobile – to share their one best question with us by shooting a short video clip of them explaining what the question is and why they like it so. Every couple of weeks we release a new short video episode that shares three of these powerful questions. Check out the archives, take a look, pick the ones you like the best… and start asking a more powerful question. There's even the opportunity for you to submit your own favourite question. If you're looking for books to read that will deepen your own capacity to coach, here's what's on my own 'top shelf': Fantastic collection of powerful questions and facilitation tips. Very good about coaching within organizations. Michael Bungay Stanier GET UNSTUCK & GET GOING… ON THE STUFF THAT MATTERS David Rock & Linda Page COACHING WITH THE BRAIN IN MIND The closest thing there is to a coaching textbook, with a useful focus on using neuroscience to explain why coaching works. Mary Beth O'Neill EXECUTIVE COACHING WITH BACKBONE AND HEART A classic of the genre. Moving from coaching the individual to the team. Dorothy Strachan MAKING QUESTIONS WORK An award-winning self-coaching tool: www.GetUnstuckAndGetGoing.com Tim Gallwey THE INNER GAME OF TENNIS: THE CLASSIC GUIDE TO THE MENTAL SIDE OF PEAK PERFORMANCE From one of the acclaimed fathers of coaching, and very good on the 'inner critic.' Charles Duhigg THE POWER OF HABIT How to convert insight into new ways of behaving. BOX OF CRAYONS 03 BOX OF CRAYONS If you understand the importance of having your managers be more coach-like and are frustrated with solutions that haven't worked, then contact us now. Box of Crayons is a training company that gives timecrunched managers the tools to coach in 10 minutes or less. Headquartered in Toronto, Canada and with faculty in North America and Europe, we offer these three programs: OUR CLIENTS "The feedback I received from the team was that this wasn't your typical training session. They didn't receive a large binder of course material or be subject to Death by PowerPoint. It was simple, easy to understand, easy to use concepts and a lot of interaction during the course itself. Our Sales Management Team is made up of individuals with varying backgrounds and tenure. There wasn't a single participant that came back and said that the training wasn't relevant or that they didn't see where they could use it on a daily basis working with their own team. This will become part of the way we manage the business going forward." Peter Ronan - VP Direct Sales, Ricoh Canada "What participants said was, "I now have something I can put in practice this afternoon." You know, the challenge sometimes is the concept is good in theory… but I have no idea what to do with it. With this program, I can go to my next meeting and use these new skills and I will probably get a different result. This is not your grandmother's coaching workshop. People said that it felt fresh and contemporary. It felt different and simple and practical and relevant. And they honestly didn't expect that" Stacey Porter - Director Talent Development, Intuitive Surgical MICHAEL BUNGAY STANIER Michael is the Senior Partner and Founder of Box of Crayons. Box of Crayons helps organizations around the world do less Good Work and more Great Work. Their training programs give time-crunched managers the tools to coach in 10 minutes or less. Michael is the author of a number of books, including the bestselling Do More Great Work. His book and philanthropic project End Malaria collected essays by thought leaders around the topic of Great Work, and through its sale raised $400,000 for Malaria No More. He's also a popular speaker, and as well as speaking at such organizations as Google, GSK and TD Bank is constantly top ranked at conferences such as HRPA, Evanta, The Conference Board of Canada and CSTD. As an Australian, he's surprised to find himself living in Toronto, Canada. However, as a Rhodes Scholar at Oxford University his only real success was falling in love with a Canadian (and now wife of 20 years). So that explains that. George Orwell said, "an autobiography is only to be trusted when it reveals something disgraceful." Bearing that in mind, Michael was banned from his high-school graduation for "the balloon incident", left Law School being sued by one of his lecturers for defamation, and managed to knock himself unconscious while digging a hole as a labourer. THANK YOU IF YOU'D LIKE TO CONTACT BOX OF CRAYONS: BoxOfCrayons.biz 416 532-1322 firstname.lastname@example.org LINKEDIN GROUP: Tools for the Time Crunched Manager YOUTUBE: BoxOfCrayonsMovies IF YOU'D LIKE TO CONTACT MICHAEL: EMAIL: email@example.com TWITTER: @BoxOfCrayons LINKEDIN: ca.linkedin.com/in/michaelbungaystanier
Essays of an Information Scientist: Ghostwriting and Other Essays, Vol:8, p.87, 1985 Current Contents, #10, p.3-11, March 11, 1985. I INSTITUTE FOR SCIENTIFIC INFORMATION* 3501 MARKET ST.. PHILADELPHIA, PA 191C4 EUGENE GARFIELD I I AcBd Rafn. Part 2. PuMfc Issues and Proposed Sohstiom Number 10 March 11, 1985 Many of the studies to date have indk cated that acid rain is rapidly becoming a worldwide problem. The portrayal of the problem in the American press might lead people to believe that the issue is one chiefly between Canada and the northeastern US on the one hand and the midwestem US on the other. As I noted in Part 1, much of the early research into acid rain was done by Europeans. 1Indeed, many of the current research projects are being conducted outside of North America. Much attention is now focusing on acid-rain damage in European forests. For some time, evidence has been gathered on acid-rain damage to fisheries in Scandinavia. Z-5 But concern is not limited to areas near the great industrial centers of the Western world. Arne Jemelov, Swedkh Environmental Research Institute, Stockhohn, has reported on acid-rain problems as far afield as the People's Republic of Chma.6 Dispersion of acid emissions, such as those from very tall smokestacks, means that areas far from the emission sources can feel the effects of acid rain. ume of information and opinion appearing in the popular press. Whereas most of the information in Part 1 of th~ essay came from scienti[c publications, many of the articles cited here are from newspapers, magazines, and books aimed at the general public. In fact, the vohsme of relevant items in these publications is so great that only a small fraction can be mentioned here. It would seem, therefore, that the popular press is providing considerable coverage of the issue. Whether the public is absorbing the discussion is another question. According to Stephen Clarkson, professor of political economics, University of Toronto, Canadian demonstrations against acid rain prompted many Americans to phone radio and televMon stations, asking what acid rain was.v (p. 183) Reducing or elhninating acid emissions can be done in two ways. The installation of devices such as smokestack As awareness of the acid-rain problem increases, the emphasis must inevitably shtit from "is it a problem?" to "what do we do about it?" Various methods for reducing or eliminating the undesirable effects of acid rain have been proposed. They fall into two general categories: those measures taken at the site of acid deposition and those taken to prevent or reduce the emission of acid precursors into the atmosphere. The former include measures such as liming of sensitive lakes. Of course, these methods do not prevent acid rain, but they do attempt to limit its adverse effects. Liming of lakes is currently in use in Canada, the US, and Sweden, but this is only possible in accessible sreas.fJ (p. 20) — In Part 1 of th~ essay, I I defined the problem of acid rain and briefly reviewed some of the voluminous scienM[c literature on the subject. In this part, I will examine the worldwide nature of the acid-rain problem, public perceptions of it, and some possible solutions. With the possibility that acid rain is such a widespread problem, we might wonder what the general public around the world knows about the issue. An indicator of public knowledge is the vol- scrubbers reduces sulfur dioxide (S02) emissions by removing most of the harmful substances from the effluent before they are released into the atmosphere. The second approach involves the use of low-sulfur fossil fuels, alternative energy sources, or improved methods of combustion of fossil fuels.s (p. 6) In addition to power plants and industries, automobdes contribute to acid I rain, so it might seem logical to undertake efforts to further reduce auto emissions. George R. Hendrey, Terrestrial and Aquatic Ecology Division, Department of Energy and Environment, Brookhaven National Laboratory, Associated Universities, Inc., Upton, New York, believes that such measures would not have much of an effect. He notes that alf forms of transportation combined contribute only about 3 percent of the suffur emissions and less than 14 percent of total strong-acid-anion emissions in the US. Hendrey's data come from emission figures for 1980, that is, after the introduction of emission controfs on motor vehicles. 10 Preventive measures aimed at power plants and other large industrial fac~lties are the most important, since these installations are the greatest source of man-made emissions. Using low-sulfur coaf can reduce the emissions that would otherwise be produced by burning highsulfur coals (p. 6) One new, promising method is pressurized fluid-bed combustion. In this technique, coal k burned whfle suspended in a column of air along with pieces of limestone. The limestone reacts with the sulfur emissions to produce calcium sulfate, or gypsum, an inert material that can be disposed of easily. However, the technology for commercial use of this method has not yet been developed. Moreover, this method is probably not suited to existing plants, as pointed out by Fred Pearce, news edhor, Z'Jew ScientiW.9 Each of the proposed control methods, developed or undeveloped, has its proponents, and research continues to develop better alternatives. But a general review of the literature indicates that no control is perfect, and each carries an economic cost for someone. Many articles in newspapers and other publications have addressed the scientific and political controversy. There are far too many of these to cover here, but the discussions have included research scientists, government officials, and representatives of environmental groups, as reported in publications ranging from scient~lc and trade journals to daily newspapers. While much debate exists in the scient~lc community about the best technology for controlling acid rain, even greater controversy has been generated by questions of public policy on the issue. Some indication of the variety of opinions on the subject was provided in two issues of Current Controversy that presented the views of a broad spectrum of authors in many different publications. One article summarized the debate over the costs of controlling acid rain, 11while the other addressed the question of whether controfs are really necessary. 12 The question of how to control acid rain involves important politicaf and social issues, as welf as purely technological questions. As Myron Magnet, contributing edhor, Fortune magazine, notes, all of the proposed control methods cost money. 13 Questions therefore arise about whether the cost of such controls is justified by the countervailing economic and social costs of not controlling acid rain. If controfs are deemed justified, someone must then decide who will pay for them. Adoption of a particular type of control often means that the jobs of certain classes of workers (e.g., coal miners) will be threatened. Whole regions may be affected by the loss of jobs. If the burden of control measures is placed on power utilities, consumers and industry may be saddled with much higher electric WMS.Is These considerations have made control of acid rain an important political issue. Acid rain has captured the attention of politicians around the world, but especially those in Canada and Europe, I have already mentioned some research projects in Part 1 of this essay. 1 The Canadian government has taken unilateral actions to address the issue, while attempting to negotiate a cooperative effort with the US. The state of US-Canadian relations at various times on the acid-rain issue has been described in detaif by John E. Carroll, associate professor of environmental conservation, University of New Hampshire, Durham, 14 and Clarkson.7 (p. 181-203) The Federal Republic of Germany has recently become a leader in the movement to develop a common strategy for combatting acid rain among the nations of the European Economic Community. The impetus for the move stems from the fears of the German people that their forests, particularly the Black Forest, are being destroyed by acid rain. The Germans, supported by the Swiss and Danes, want to reduce sulfur emissions 30 percent by 1990. They also want to establish monitoring programs and research into emission-control technology,16 Norway and Sweden have for some time been calliig for controls on sulfur dioxide emissions. They have cited damage to fisheries, an important part of the Scandinavian economy. Dermot A. OSullivan, reporting on acid rain in Chemical & Engineen'ng News, notes that other European nations did not join the Scandinavians in their concern untif relatively recently, when evidence of severe damage to European forests began to mount. 15 In 1983, the West German government imposed new standards for controllkg acid emissions by power plants and industries. These standards called for a reduction of annuaf S02 emissions by 25 percent, from 3.2 to 2.4 million tons. 16 While they have served as a model for other nations, however, the West German regulations pointed up a major problem with such governmental efforts in many countries. Loopholes in the regulations allowed many producers of emissions to avoid both the obligation and the expense of control measures. In the Federal Repubfic of Germany, as many as 90 percent of the nation's power plants would not have had to meet the 1983 standards. As news writers R. Zen and M. Cross point out, exemptions based on remaining plant Me-expectancy were allowed in the law for power plants, and the maximum alfowed level of sulfur in the coal used by the plants was raised. 17 Recently, Britain's House of Lords called for the installation of equipment to remove sulfur oxides (SO=) from the emissions of at least two British power plants. In issuing the call, a subcommittee of the Lords said, "The magmitude of damage [due to air pollution] makes it necessary to implement a preventive programme now despite the 'scientific uncertainties.' " The subcommittee said that failure to act would be "foolish and dangerous." While the subcommittee report calls for installation of some desulfurization equipment, the Lords believe that the best long-term method for reducing sulfur emissions is to develop pressurized fluid-bed combuste~. They feel this is cheaper and more energy-efficient than desulfurization of flue gas.~ More recently, the West Germans have pushed for greater reductions in suffur emissions, and a number of nations in both eastern and western Europe have formed the so-called 30-Percent Club. The Club comprises nations that have committed themselves to reduce their sulfur emissions by 30 percent below 1980 base Ievefs.ls In another development in Britain, a five-year study is underway by the Royal Society. The project, which is being conducted with the cooperation of the Norwegian Academy of Science and Letters and the Royal Swedish Academy, wilf provide an independent evaluation of the effects of acid rain. What is unusual about the study is that it is funded by two agencies that could be subject to a substantial economic burden if British emissions are found to cause damage in Scandinavia. These agencies are the Central Electricity Generating Board and the National Coal Board. la Acid rain is clearly an important issue to many Europeans. The British publication Nature, in summarizing the situation, acknowledged the public clamor for action. At the same time, however, the journal urged that the problem be more clearly defiied and understood, so that governments do not take rash and ill-considered actions. 19 Exactly what action, if any, will be taken in the US remains unclear at this time. It maybe significant that the EPA recentiy turned down a petition by New York and other states to reduce emissions from sources in the Midwest. The EPA cited a lack of proof of harm from the sources in question. Commenting on the EPA decision, the New York Times noted that the current administration in Washington has taken stands on other issues, such as alleged Soviet use of "yellow rain," on the basis of evidence much more tenuous than that available on acid rain. The Times also noted that an acidrain reduction program, if initiated now, would take 7 to 10years to produce a signflcant effect. The newspaper argued that further delay for addhional studies will only waste time and allow the prob lem to get worse.zl In 1983, an interagency task force of the US government released a report concluding that most acid rain is produced by human activities and that action should be taken to reduce it. Previously, government officials, including Ann Burford, then director, Environmental Protection Agency (EPA), maintained that the scientific evidence was not strong enough to justify new cleanair regulations. m Some sort of acid-rain legislation will probably be passed by about 1986, according to Michael Oppenheimer, Environmental Defense Fund, a non-profit organization that favors a reduction in sulfur emissions. Oppenheimer predicts that the impetus for the legislation wiU come from Congress, rather than from the executive branch.zz Many of the political and economic issues affecting acid-rain control in other countries can be illustrated by what has happened in the US. Bmce A. Ackerman, professor of law and philosophy, Columbia University, and William T. Hassler, his student when he was at Yale, wrote a highly readable account of the political maneuvering in the US on the issue of regulating the burning of coal by new plants. They detail how measures that were intended to produce cleaner air and less acid rain have been manipulated to protect the interests of particular political constituencies. The result has been a requirement for expensive equipment that has not been effective and a failure to achieve the desired reduction in acid-forming emissions. ~ Proposals under consideration by the US Congress vary in the way that the costs of controls would be distributed among emission producers, electric rate-payers, and taxpayers. One proposaf before the US Congress would impose a nationwide tax on electricity to pay for emission controls on power plants. The bill's sponsors claim that the tax would distribute the burden fairly and would avoid severe economic penalties on the midwestem states that would have to undertake the controls. The tax would be levied on electricity not produced by nuclear power.zd Magnet analyzed how proposed regulations on acid emissions might affect electric power companies. He found estimates of the total cost of control to be in the range of $6.2 to $35 billion, with $2.2 to $12 bfion of this to be added to the power companies' operating costs. Under a "mild" proposal, companies in 31 states of the eastern US could be saddled with costs ranging from $49 to S818 million per company each year. These companies might pass on addhional costs of S39 to $442 per year to each of their residential customers. 13 Senator George J. Mitchell of Maine is a leader in the emission-controls fight. He believes that power companies in the Midwestern US are a prime target for emission reductions. Mitchell cites a report by the Office of Technology Assessment. It predicts, for example, that a 50 percent reduction in emissions by companies in Indwna alone would reduce US sulfur emissions by 700,@30 tons, at a cost of an 8 percent rise in utility rates.zs The Interagency Task Force on Acid Precipitation's 1983 Annual Report to the President and Congress put total annual sulfur emissions in the US at 27.6 million tons.zb (p. 26) One political organization in the US that has attempted to deal with acid rain is the National Governors' Association (NGA). Governor John H. Sununu of New Hampshire, former chairman of the NGAS Acid Rain Task Force and current chairman of the Energy and Environment Committee, has described the importance of regional politics in attempting to form a government policy on acid rain.~ He notes that the acidrain issue has created new political alliances. Of particular interest is the difference in the balance of political power between the US Senate, where senators from the Northeast and West hold key committee posts, and the House of Representatives, where midwestem lawmakers who might oppose certain controls have considerable power. Governor Sununu attributes much of the dtificulty in passing federal acid-rain legislation to th~ dtiference between the legislative houses and the need to reconcile the interests of different regions. Regional politics play a part not only with respect to emission sources, but also with respect to the sources of the fuels that produce the emissions. It is signfilcant that coal from the western US tends to be low in sulfur, whale eastern US coal tends to be high in sulfur. A shift to the use of low-sulfur coal would therefore benefit western coal miners at the expense of eastern coal miners.ZT (p. 92) Opponents of measures to control emissions have argued that some measures may not produce the expected benefits. They argue that acid rain is not necessarily produced in a linear fashion—that is, in proportion to the quantity of sulfur oxides released into the air. ThK view has been expressed by representatives of public utilities and the coal industry. zg Contradictory findings came to light at the 1983 International Colloquium on Acid Precipitation, held in Lindau, Federal Republic of Germany. The colloquium heard a report by the National Research Council (NRC) in the US. Led by Jack G. Calvert, Ohio State University, Columbus, the NRC team found that conversion of S02 to sulfuric acid does indeed occur as a linear phenomenon.~ (p. 139) Their report concluded that a reduction of sulfur and nitrogen emissions by SOpercent would bring about an approximate 50 percent reduction in acid rain in downwind areas. This conclusion lends support to claims that the cost of controlling emissions would produce a substantial economic gain because damage would be averted, The NRC, however, could not say with certainty where specKlc reductions in acid rain would occur. The NRC said that the computer-modeling methods used in their calculations were not accurate enough to allow specflc predictions.~ (p. 139-41) The Acid Rain Foundation, Inc., based in St. Paul, Minnesota, is dedicated to promoting public awareness of, education about, and research into acid rain. The Foundation's president is 131iis B. Cowling, North Carolina State University, Raleigh, whose work was cited in Part 1 of this essay. The Environmental Defense Fund, headquartered in New York, is a 50,000member public-interest group dedicated to the responsible reform of public policy on matters affecting the environment. The Fund has offices in Boulder, Colorado; Berkeley, California; Richmond, Virghda; and Washington, DC. Another organization concerned with acid rain is the Natural Resources Defense Council, Inc. (NRDC), also headquartered in New York. According to Debbie Sheiman of A number of organizations around the world have dwected their attention to the problem of acid rain and, in some instances, to the broader problems of air polfution and the environment in general. A representative sampling of these organizations is shown in Table 1. TaMa It A selected list of organizations that are concerned with acid rain. Acid Rain Foundation, Inc. 1fJ30Blackhawk Hills Road St. pad, MN 55122 Acid Rain Information Clearinghouse 33 S. Washington Street Center for Environmental Information, Rochester, NY 14fx38 Asaoc'mtion for the Prevention Atmoaph&ique-APPA) (Association pour la Pri%ention de la Pollution 62 Rue de CourceUes F-7SO08 Paris, France Canadian Coalition on Acid Rain Suite S04 112 St. ClSir Avenue West Toronto, Ontario M4V 2Y3 Canada Environmental Defense Fund (EDF) New York, NY 10016 444 Park Avenue, S. Gemm Federation for Environmental (Deutscher Protection fiir Umweltschutz-DNR) Natumchutzring e. V., Bundesverband Kalkuhlstrssae 24 D-5300 Bonn 3 Postf. 320210 FRG Hellenic Association on Environmental Polfution (ERYEA) Athems 118 XenOfOntns 14 Greece fznak Walton League of America, Inc. (IW-A) 1701 N. Fort Myer Drive Suite 1lCO Arfington, VA 22209 National Clean Air Coalition Washington, 530 7th Street, SE DC 201J33 National Wifdlife Federation 1412 16th Street, NW Dept. AR Wsaldngton, DC 200% Natural Resources Defense Council, Inc. (NRDC) New York, NY 10168 122 E. 42nd Street sierra Club San Francisco, 5X3 Bush Street CA 94108 Soif Conservation Society Ankeny, 7515 NE Ankeny Road of America IA W021 Swed~h Water and Air Poffution Sten Sturegatan Institute S-4S3224 Gothenburg Research 42 Sweden (ARIC) Inc. of AU Pollution NRDC'Sacid-rain project, the NRDC is a nonprofit public-interest faw fii with 46,000 members from various disciplines, who seek to promote public understanding, conduct research, and provide legal advice and services on matters related to the environment .31 We described the NRDC in more detail pretiouS1y.32 Bibliographic information on acid rain can also be obtained from ISP's own SCISEARCW, a database introduced in 1976 that provides comprehensive information on articles listed in Current Contents@ and the Science Citation Inde& (SCP ) since 1974. The SCZ and SCISEARCH include coverage of all important journals related to environmental research.~ The social aspects of the problem may be researched in Sociaf SCISEARCIiF, the online version of the Social Sciences Citation Indefl .34 The Izaak Walton League of America, Inc., is a conservation group with 50,000 members that also promotes public awareness of environmental issues. The League is particularly active in encouraging citizen involvement in efforts to protect the environment. The Canadian Coalition on Acid Rain, formed in 1980, comprises businessmen, environmentalists, conservationists, and recreation groups with the common goal of reducing emissions of sulfur and nitrogen oxides and the speedy conclusion of an airquality agreement between the US and Canada. Further information about the groups may be obtained by writing to the addresses given in the table. For those interested in locating more information, EIC/Intelhgence, Inc., has started a new database dedicated entirely to acid rain. The database includes sources of information on the causes, effects, and possible solutions to the acid-rain problem, dating from 1984 onward. It is clear from the available evidence that acid rain is a serious problem. Unfortunately, it is also evident that, in many instances, the precise effects of acid rain and the extent of environmental damage are not yet known. We still have much to learn about the problem, and future political developments are unclear. Moreover, simply learning more about acid rain will not solve the problem. need for a healthy environment against legitimate economic and social needs of large numbers of people. Governments have not yet developed a common policy for action, and they may not, as long as the scientific picture remains controversial. ***** Governments and societies will have to make hard decisions, balancing the My thanks to Tern" Freedman and Robert Hand for their help in the preparation of this essay REFERENCES 1. Garffeld E. Acid rain. Part 1. What is it and what does it do? Currenf Confenf$ (9):3-12, 4 March 1985, 3. Holt-lsmaerr A. Acid rain in Scandinavia. Eco[ogist 3:37&82, 1973. 2. Emmeffn L. Effects of acid rain. AMBIO 5:83-4, 1976. 4. N&bet 1 C T. Acid rain—fossil suffur returned to earth. Technol. Rev. 76(4):8-9, 1974. 6. lerneliiv A. Acid rain and sulfur dioxide emissions in China, AMBIO 12:362, 1983. 5. Alnrer B, Dkkaon W, Ekstrom C, Homstrom E & Mffler U. Effects of acidification on Swedish lakes. AMB1O 3:30-6, 1974. 7. Cfarkamr S. Canada and the Reagan cha/[enge. Toronto: James Lm'irner, 1982, 383 p. 8. US Department of Energy, Acid rain information book. Dmft final report. 9. Pearee F. Lords back acid rain controls. New .$ci. 103(1415):4, 1984. Washington, DC: Office of Environmental Assessments, December 1980. DOE/EV/ 10273-1. 10. Hemfrey G R. Letter to editor. (Automobiles and acid rain.) Science 222:8, 1983. 12. Do we need pollution controls to stop acid rain? Cum. Corrtrovemy 1(5):4-5, 1982. 11. Acid rain: debate over costs. Curr. Contro veiny 2(12):4-5, 1983, (Thk publication is published jointly by 1S1 and SJPl in NYC.) 13. Magnet M. How acid rain might dampen the utilities. Fortune 108(3):58-64, 1983. Washington, 14. Carroll J E. Acid ruin: an issue in Canadia n-A mrwican relations. 15. O'Sufffvarr D A. European concern about acid rain is growing. Chem. .Eng. News fiM4):12-8, 1985. DC: Canadian-American Committee, 1982. SO p. 16. Gemrany calls for controls on acid rain. New Sci. 98:680, 1983. 18. Royal Society appointed referee in UK dispute. Nafurs 335:85, 1983. 17, ZeU R & Cross M. Germany's acid rain laws go up in smoke. New Sci. 99:915, 19S3. 19. How to neutralize acid rain. Nafure 310:611-2, 1984. 21. Acid procrastination. NY Times 2 September 1984. p. 14 E. 22. Oppenbefmer M. Personal communication, 13 February 1985. 20. Experts fw the blame for acid rain. US News World Rep. 94(24):12, 1983. 23. Ackerman B A & Haarder W T. Clean coal/ditiy air. 24. House gets bfil to curb acid rain. Phi/a. Inquirer 15 May 1984. p. C-11. NewHaven, ~ Yale University Press, 1981.193 p. 25. ?+lftcheff G J. To decrease acid rain, cut smokestack emissions. Chri.rtian Sci. Monit. 1I October 1983. p. 30. 27. US Congress. Serrate. Committee on Forefgrr Relations.Subcommitteeon Arms Control, Oceans, International Oparatlons and Environment. Hearing on acid ruin. 97th Congr., 2nd Sess. 10 February 1982. Committee Print. 26. Interagency TaskForceon Add preclpltalkm. Nation@/ Acid Precipitation Amemment Progmm. 1983 Annual Report to the President and Congress. Washington, DC: GPO, 19S3. 72 p. 28, Srmrmu I H. Acid rain: sharing the cost. Issue$ .$ci. TechnoL 1(2):47-59, 19S5. 30. National Research Councif. Acid deposition: ntmosphen"c processes in eastern North Amen"ca. Washington, DC: National Academy Press, 1983.375 p. 29. US study says acid rain can be beaten. New .'ki. 99(1365):9, 1983. 31. Shelrrmn D. Personal communication. 12 February 1985. 33---------------- If you think you're ready to search online, here's how to uae SciSearch, Current Corrfent$ (4):3-9, 28 January 1985. 32. Garffald E. The Natural Resources Defense Council, Inc.: scientists and lawyers go to court in defense of the environment. Essays of an information scientist. Philadelphia: 1S1 Preaa, 1981. Vol. 4. p. 323-32. 34. --------------- How to use the Socia/ Sciences Citation Index (SSCO. Current Contents (27):3-13, 2 July 1984. 01985 1s1 A Note on Cluster Maps for Add Rafn In Part 1of the essay on acid rain, 1wc included a multidimensional scaling map, or C-1 level cluster map, showing the co-citation relationships among the 14 papers that were core to the 1983 research front #831991, "Transport, deposition and atmospheric chemistry oi sulfur, aerosols and other substances. " Another 1983 research front (#83-1341~ that was discussed in Part 1, but not mapped, was "Effects of acid rain on pollen germination and stomatal changes in plants exposed to sulfur dioxide. " Our procedures for identifying research fronts have been discussed in detail in previous essays.z Not only can we identify research fronts through clustering, but we can afao create "clusters of clusters''—hierarchies of research fronts and groups of research fronts that show the citation Iiiks between various areas of research, and even between whole disciplines. For acid-rain research, we have reproduced below some of the higher-level maps. Research front #83- 1991 is one of three closely linked research fronts shown in the C-2 level map in Figure 1; these three fronts, in turn, are represented by the single point 718, "Atmospheric transport of sulfur compounds," on the C-3 level map of "Atmospheric processes" in Figure 2. Similarly, the relationship between research frent #83-1341 and a research front entitled "Pollination barriers, selfincompatibility and pollen-tube growth" is shown in the C-2 level map in Figure 3. These two research fronts are both encompassed within the point labeled 533, "Plant pollination barriers," on the C-3 level map of "Plant ecology and botany" in Figure 4. Figure 2: C-3 level map for cluster 64, "Atmospheric princesses." radlccarbm d,!mq & H.ct.atmm, !. - 'ho'm""he:,% \TZ Ffgure 3: C-2 level map for cluster 533, "Plant pnlIination barriers." 1s41 4280 effects.{ ead ,,," on& pollen g.wn,rlmmn smmtd plants expoti to changes m poll,nwon barr,em, & @len. tube growth sulfur d,ox, de In creating these higher-level maps, we move from the more spectlc to the more generic. At the C-1 level, you can observe the "connections" between individual core papers. At the C-2 level, various C-1 research fronts are linked. At the C-3 level, you can observe !inks between the various C-2 maps. In this way, the interdisciplinary and multidisciplinary nature of the scientific enterprise can be concretely illustrated. In this instance, we see that acid rain "falls" withh the earth sciences and the biological sciences. REFERENCES 1. Garfkfd E. Acid rain. Part 1. What is it and what does it do? Current Contents (9):3-12, 4 March 1985. 2. --------------- ABCS of cluster mapping. Parts 1&2. Most active fields in the life and physical sciences in 1978. Emays o~arr in~ormation scientist. Philadelphia: ISI Press, 1981. Vol. 4. p. 634-49. (Reprinted from: Current Contents (40):5-12, 6 October 1980 and (41):5-12, 13 October 1980.) $elf.,ncomPat!bclW
Solomon Islands Integrated Financing Framework (SIIFF) Solomon Islands Integrated Financing Framework (SIIFF) Solomon Islands integrated f inancing framework Foreword The Solomon Islands Government (SIG) adopted a 20-year National Development Strategy (NDS) 2016–2035, launched in April 2016. The NDS 2016–2035 maps out a strategic direction for the future development of Solomon Islands and presents a visionary strategy for the next 20 years, setting out a long-term vision, mission and objectives that reflect the aspirations of all Solomon Islanders. The NDS 2016–2035 focuses on two key areas: social and economic livelihoods. It presents a National Vision "Improving the Social and Economic Livelihoods of all Solomon Islanders". The NDS presents five broad objectives that will contribute towards achieving the overall vision and long term objectives. The five objectives represent the five main challenging areas that the country needs to focus on in the medium to long-term timeframe. These can be summarized as follows: economic growth, poverty alleviation, quality health and education, environmentally sustainable development and good governance. The SIG resolve is to embark on more serious and aggressive efforts to advance and implement the NDS to achieve its goals as well as those of the sustainable development goals, the Istanbul Programme of Action (IPoA) and other global commitments. Within this context, the Ministry of Development Planning and Aid Coordination (MDPAC) on behalf of the NDS implementation oversight committee (NDSIOC) initiated a development finance assessment (DFA) with the United Nations Development Programme (UNDP) and the Asia Pacific Development Effective Facility to carry out the assessment. The aim of the DFA is to support the development of a financing framework for the NDS, the SDGs, implementation of the IPOA commitments as well as other global commitments. MDPAC with support of UNDP and Asia Pacific Development Effective Facility successfully carried out the DFA in close dialogue with key national stakeholders. The information and discussion shared during the DFA national consultations assisted the DFA Team to put together the DFA Report and a proposed Solomon Islands Integrated Financing Framework (SIIFF). A series of recommendations about steps that can be taken to strengthen the financing of the NDS have also been developed. These recommendations have been refined through discussions with the NDS Implementation Oversight Committee (NDSIOC) and with stakeholders from across government, development partners, private sector representatives and other actors, notably at respective inception, validation and dissemination workshops in Honiara in February, May and July in 2018. On the basis of the DFA, the SIIFF was developed. The SIIFF links the aspirations of the NDS to the government policies and operations that will mobilize the necessary financing. The SIIFF would support the NDS by providing guidance on the kinds of financing and investments that will be needed. It would bring together actors from across government and partners and guide the strategic approach that can be taken to mobilize and effectively invest these public and private flows. This way, it would bridge the aspirations of the longterm NDS with short and medium operational policymaking across a range of financing areas. It would link the NDS with policies designed to mobilize and promote public and private investment that directly and indirectly advances the sectors and thematic priorities of the NDS. In order to bridge the aspirations of the NDS with policy change and reforms to strengthen financing in the short and medium term, the SIIFF is structured around a range of public and private finance flows iii iv as well as the key policy and institutional structures that government uses to influence the way they do them. In each area, it presents a 'vision' of the context and trends implied by the NDS and summarize the current context and trends. It then presents guidance about how to move from the current context to the context implied by the NDS, identifying the general strategic direction needed as well as specific shortterm recommendations. The SIIFF brings together areas of policy from across government and the NDSIOC would, therefore, be the most appropriate forum for owning and operationalizing it. It can build on the issues identified and recommendations developed through the DFA process, with further consultation to engender the buy in and collective ownership over the direction and reforms articulated in each area of financing policy. The SIIFF also aims to guide the Government in mobilizing and securing development cooperation and assistance of development partners, private sector and other development stakeholders. The SIIFF would be an opportunity where development partners come together to support the NDS and integrated SDG implementation at the country level. The SIIFF would also provide guidance for development and investments by development partners, private sector and stakeholders in the areas and sectors that would bring about the desired objectives of the NDS, SDGs, IPoA and other global commitments. The SIIFF is also designed to articulate a holistic approach to mobilizing and investing the finance that is needed to realize the objectives of the NDS. It is envisaged that SIIFF will also play an important role in supporting the smooth transition process for the Solomon Islands graduation from the LDC status. The SIIFF is a living document that would be reviewed periodically to assess progress in implementing the NDS and updated to reflect further steps needed towards the kind of financing trends that it implies. The consultation process has been a key element in developing the SIIFF. In this connection, I wish to express my appreciation to all who participated in the consultations to provide information, guidance and comments. The participation approach and process have made this document a national one owned by Solomon Islanders. I would also like to recognize and appreciate the contributions from the UNDP and the Asia Pacific Development Effective Facility for their financial support and technical inputs in helping to prepare this SIIFF and for their commitment and dedication in finalizing this SIIFF document. I wish to also express my personal gratitude to my MDPAC staff for their support in the preparation and development of the SIIFF. All these efforts have contributed enormously to the successful preparation of the SIIFF. It is my sincere call for the national and provincial governments, our development partners, private sector, civil society and all Solomon Islanders to embrace and implement the SIIFF. I dedicate this SIIFF and, more importantly, its implementation to all the people of Solomon Islands. Hon Jeremiah Manele Minister of Development Planning and Aid Coordination, September 2018 Contents vi Introduction In 2016 the Solomon Islands Government launched the National Development Strategy 2016–2035 (NDS). The NDS targets improved social and economic livelihoods for all Solomon Islanders, with five headline objectives and fifteen medium-term strategies. It is an aspirational vision that provides direction on the kind of progress that the country, and the policies and investments of government, are aiming for. The extent to which the NDS will be realized in practice depends on actors across society – as the Minister of Planning has noted, "When it comes to the NDS, its everyone's business1." Achieving the five objectives of the NDS will require a wide range of investments to be made and services to be delivered, by both public and private actors. Mobilizing and effectively investing the finance to fund those investments and services is a critical part of advancing progress toward the NDS. Financing the NDS will require policies, partnerships and an enabling environment that effectively mobilizes and uses public finance and promotes growth in impactful private finance. This Solomon Islands Integrated Financing Framework (SIIFF) provides a framework to link the aspirations of the NDS with the operations of policy on a range of public and private financing issues. It supports the NDS by providing guidance on the kinds of financing that will be needed to make the necessary investments. It outlines a strategic approach for government and its partners to mobilize and effectively invest these flows in the vision articulated by the NDS. The SIIFF is designed to act as a bridge between the aspirations of the long-term NDS and the design and implementation of short and medium operational policymaking. It links the NDS with policies designed to mobilize and promote public and private investment that advance directly and indirectly the sector and thematic priorities of the NDS. The SIIFF will also play an important role in supporting the transition process as the Solomon Islands graduates from least developed country status. The SIIFF has been developed in follow-up to the Development finance assessment (DFA) that was commissioned by MDPAC with the support of UNDP in 2018. The DFA undertook a comprehensive assessment of public and private financial trends, considered the potential for different types of finance to contribute to the outcomes targeted by the NDS and developed a roadmap of recommendations. The SIIFF, as recommended in the DFA, adapts the concept of an integrated national financing framework that was called for in the Addis Ababa Action Agenda. It outlines a holistic approach to mobilizing public and private finance for the NDS and identifies priorities for the institutional factors that government uses to influence them and promote investment that will advance the NDS. The SIIFF presents strategic direction and recommendations about how to mobilize the financing needed for the NDS. It outlines a holistic approach to mobilize public and private finance for the NDS and 1 Quote from the Minister of Planning at the outset of the Development finance assessment process. identifies priorities for the institutional factors that government uses to influence them and promote investment that will advance the NDS. In each area of financing and each institutional factor, it outlines actions and guidance that government can take to move from the current financing context to the kind of financing trends that will be needed to realize the NDS. The strategic direction presented in the SIIFF captures reforms, which are already ongoing, or to which a commitment has been made, as well as the recommendations developed through the DFA process. The SIIFF is designed to articulate a holistic approach to mobilizing and investing the finance required to realize the objectives of the NDS. It will be used by the NDSIOC to manage and coordinate reforms for financing across the NDS agenda. The following section outlines how the SIIFF will support NDS implementation. It introduces the templates for the SIIFF matrices that are presented in the following two sections. The second section looks at financing flows, first presenting an overview of the nine types of financing covered and then presenting matrices for each of them. The final section presents an overview of the institutional and policy factors covered before presenting matrices for each. How the SIIFF will support the National Development Strategy The SIIFF is designed to be used as a framework for managing policy across a range of financing areas, in support of the implementation of the NDS. It outlines a holistic approach to mobilizing public and private finance for the NDS and identifies priorities for the institutional factors that government uses to influence them and promote investment that will advance the NDS. The SIIFF is designed to be actively used by the NDSIOC. It will enable NDSIOC to coordinate, in an integrated manner, reforms designed to mobilize financing for the NDS, across the agenda as a whole. It is the place where all NDS-related financing reforms are brought together so that the NDSIOC has oversight on trends and policy changes across the whole financing landscape. Bringing together reforms on financing in this way will support the NDSIOC in its role, as the overseer of NDS implementation, to prioritize efforts to mobilize or influence financing for the NDS where they are most needed. It will allow the committee to assess the connections, synergies and trade-offs between policies in different aspects of NDS financing. And it will provide a clearer picture of the implementation of reforms and their outcomes across the whole NDS financing agenda that helps them follow up on progress. The SIIFF is divided into two parts. The first covers policies towards different aspects of public and private financing. The second covers the key institutional structures and systems that the government uses to manage and influence financing. Each part is divided into a series of matrices, which focuses on a specific type of financing or a specific institutional structure or system (see below). Within each, it presents a 'vision' of the context and trends implied by the NDS and summarizes the current context and trends. It then provides guidance on how to move from the current context to the vision, outlining short-term actions (reforms, policy changes or key projects) and a medium to long-term strategic direction that can guide future actions. This early draft of the SIIFF does not specify who is responsible for actions in each policy area, or the timelines and milestones to be met. It is envisaged that this information will be added to the framework as it is operationalized. Clarity on responsibilities and timelines will be critical to ensure its use by NDSIOC. With this structure, the SIIFF is designed to support the NDSIOC functions outlined above. It will enable a comprehensive overview of the finance-related reforms and projects underway across government that supports oversight and follow-up. It will be a live document that is updated and revised periodically or as necessary. The SIIFF matrices The following sections present strategic direction in nine areas of financing and four policy and institutional areas. This strategic direction is presented in a series of matrices, each of which follows the format of table 1. The first two rows present an overview of the current context and recommendations about tangible steps that can be taken to strengthen the area of financing or policy over the short term. They will be updated and revised during periodic reviews of the SIIFF, in line with the cycle of NDS performance reviews. The latter two rows present the longer-term strategic direction and 'vision' for what the financing or policy area should look like by 2035. These may be adapted over time as strategies change, but they are likely to change less than the shorter-term aspects of the SIIFF. The strategic direction presented in the SIIFF is taken from the DFA. The 'current context' row in each matrix summarizes the financing trends analysis and analysis of the policy and institutional structures used by government. The 'short to medium-term actions' and the 'strategic direction' rows bring together ongoing or committed reforms with the recommendations made by the DFA. The vision summarizes DFA analysis of the implied financing needs of the NDS. Table 1. Template for SIIFF matrices \| Current context \| The current context and trends in this type of finance or policy/institutional area. This is based on information available in 2018. What are the current trends? What role is it currently playing in progressing the NDS? What are the major current challenges and opportunities? \| \|---\|---\| \| Short to medium Steps that can be taken over the next two to three years to move from the current term actions context in this area of finance or policy/institutional area in line with the strategic direction. What reforms are ongoing or planned? What steps can be taken in the short term to move forward in the strategic direction outlined above, on route to the ‘vision’ for this type of finance or policy/institutional area. \| \| \| Strategic direction \| Overall strategic direction that should guide reforms relating to this area of finance or policy/institutional area between 2018 and 2035. What kinds of reforms – policy changes, partnerships or collaboration, or institutional changes are needed to move from the current context to the ‘vision’ for this type of fniance or policy/institutional area by 2035? \| Finance flows Overview of finance flows covered by the SIIFF The SIIFF is designed as an integrated, holistic framework for financing the NDS. It aims to capture reforms related to every aspect of financing that can play a role in advancing the NDS. As such, it covers a wide range of public and private finance flows and instruments. The coverage of the SIIFF builds on the DFA, which examined current financing trends in the Solomon Islands as well as the types of financing that will be required to achieve the NDS. The types of finance covered by the SIIFF are summarized in figure 1. Each of these types of finance can contribute towards the NDS by making investments or delivering services. The roles that each type of finance can play will, however, differ widely from flow to flow according to their specific characteristics. These roles and the steps and strategic direction that can be taken to promote them are articulated in the following nine matrices that cover each type of finance. Figure 1. The types of finance covered by the SIIFF Public-private partnerships International private finance Private investment Credit and financial services Domestic public finance Government revenue Government spending Subnational government finance State-owned enterprises International private finance Private investment Credit and financial services Domestic private finance Private investment Credit and financial services NGOs and faith-based organisations Note that the matrices for some private flows cover both domestic and international finance. Government revenue Current context The context in 2018 is one characterized by high tax rates that are collected from a narrow base of taxpayers. There is a reliance on export duties, particularly from the logging industry, and opportunity for improvement in enforcement and tax collection rates. Revenue collection authorities suffer from capacity constraints. Short to medium term actions Strategic direction Vision Reforms already underway: • Implement the replacement of goods and sales tax with a new VAT tax, by 2020. • Introduce e-payment systems that simplify the tax return process. • Introduce system that allows payment to IRD, SIPA and CBSI through one mechanism. Additional steps to be taken: • Following replacement of GST by VAT, review and implement change to (i) corporate taxation and (ii) PAYE, with the aim to reduce barriers to private sector development and broadening the tax base. • Introduce a dividend policy for SOEs2. • Undertake a review of natural resource contracting with a focus on revenues and royalties payable to government. • Prioritize capacity building in revenue collection. To develop government revenue in line with that implied by the NDS will require progress within a number of strategic priorities: • Rebalancing: lowering tax rates and broadening the tax base. • Reducing leakages in national revenue by addressing transfer pricing, including consideration of new legislation. • Investing in enforcement and compliance. • Developing a sustainable model for dividends from the state-owned enterprises. • Establishing mechanisms to manage revenues from natural resources. • Developing capacity and procedures to use instruments, such as, development bonds3 periodically, when there is an appropriate business case and within a sustainable debt framework that resists pressure for irresponsible use. Government revenue will be the primary source of finance for public investment; overall volumes of revenue will be stable and sufficient to finance public services and investment in line with the scale of ambition articulated through the NDS. Revenue collection will be efficient, characterized by tax that is 'easy to pay, hard to avoid.' There will be steady growth in government revenue, in line with economic growth. Revenues will be drawn from diverse sources, mixing direct and indirect revenue streams with receipts spread across industries. There will be effective mechanisms for managing natural resource revenues, with buffers against price volatility, and investment in assets to generate returns for future generations. The tax system overall will be progressive and conducive to private sector development. 2 This step is also articulated in the state owned enterprises financing matrix. 3 For example the development bond that was taken up by the Provident Fund in 2018, which was issued specifically to capitalize the ICSI as part of the undersea cable project. Government spending Current context The context in 2018 is one in which spending is weakly aligned to the NDS. Strategic planning and programming are weakly aligned to the NDS, and it is common for significant changes toward the latter stages of the budget process, particularly as it is finalized by caucus and the Cabinet. Overall levels of spending grew rapidly over 2014– 2017, rising to unsustainable levels. This resulted in a significant cut in 2018, with a 42 percent reduction in the development budget, governments primary mechanism for strategic investment in NDS priorities. Short to medium term actions Strategic direction Vision Reforms already underway: • Finalize the Planning Bill, including measures to strengthen the use of the development budget as government's key strategic instrument for NDS investment. • Bring aggregate spending back to sustainable levels. Additional steps to be taken: • Enforce existing standards for MTDP project proposals, budgeting and accounting; develop and apply standardized strategic planning guidelines4. • Adapt the annual budget preparation process to include a formal review of the draft budget against NDS objectives and to create incentives for cross-ministry budgeting. • Trial sector-wide budgeting in one to two key economic sectors. • Undertake a 'spring cleaning' exercise to remove development budget items that are not strategic for the NDS or which are not development in nature. • Increase the use and predictability of SOE community service obligations5. • Implement a strategic planning capacity building programme to boost the alignment of ministry plans and programmes to the NDS. • Create an emergency fund. Move towards the kind of public spending implied by the NDS requires reforms across a number of strategic priorities: • Increasing use of the development budget as government's primary strategic instrument for investing in NDS progress, with enforcement of rising standards of project alignment to the NDS and tight control over projects that are not developmental in nature or which prove unsuccessful. • Moving towards medium-term, programme-based budgeting. • Taking steps to build a culture of policy making more focused on outcomes, including through the spread of successful instruments, such as, CSOs. • Increasing use of cross-ministerial programming to address cross-cutting areas. • Enforcing higher standards regarding strategic planning and financial management. Government spending will be a key driver of progress toward the objectives of the NDS, through public services, investment and partnership with other actors. The annual and medium-term budget process will be closely aligned to the NDS with development spending in particular, used strategically to make investments that can catalyse progress towards the NDS objectives. There will be a growing focus on outcomes and public spending, used to strategically leverage investment and partnership with other actors that can contribute to the NDS. Financial management will be strong, and government will have built an appropriate level of reserves, with spending growth at sustainable levels, avoiding the need for periodic budget cuts. 4 This step is also articulated in the integrated planning and financing matrix 5 See also the SOE matrix Subnational government financing Current context The context of subnational government financing in 2018 is one of multiple, distinct mechanisms for funding local projects, at the ward, constituency and provincial levels. There is no systematic coordination between these mechanisms and transparency and accountability is weak, particularly for the RCDF. Structures to ensure that project development and prioritization reflect the needs of communities are ineffective and politicization of these budgets is common. There are few links between these funding mechanisms and the NDS. Provincial governments are under-capacity and under-funded. Constituency development committees are in many cases not functioning. Short to medium term actions Strategic direction Reforms already underway: • Finalize and implement the regulations for the RCDF. These should particularly aim to improve governance, alignment to the NDS, collaboration with other subnational funding mechanisms and monitoring, transparency and accountability of the CDF.6 Additional steps to be taken: • Publish detailed annual reports of spending and outcomes for the RCDF. • Expedite capacity building in provincial governments, with a focus on financial management; combine with stricter criteria for accessing PCDF disbursements7. • Invest in strategic planning capacity building for provincial governments and constituency development officers. • Ensure constituency development committees are active and representative.8 • Showcase best practices from constituencies in strategic planning and CDF spending. • Establish a system for collating information on provincial government spending and incorporate it in regular reporting on public investment in the NDS9. Realizing the role envisioned for subnational government financing in the NDS requires reforms across a number of strategic priorities: • Increasing alignment between strategic plans at the provincial and constituency level, and the NDS, with capacity building on strategic planning and results-based planning. • Increasing coordination between the different subnational funding mechanisms in order to reduce duplication and increase efficiency. • Ongoing, expedited investment in capacity building for financial management, strategic planning, monitoring and reporting. • Improving transparency and strengthening accountability. 6 This step is also articulated in the transparency and accountability matrix below. 7 This step is also articulated in the transparency and accountability matrix below. 8 This step is also referenced in the NGOs and FBOs matrix below. 9 This step is also articulated in the monitoring and review matrix above. Subnational government financing (continued) Vision Subnational government will play a key role in translating the NDS to the local context, and delivering services and investments that are responsive to local needs, while also contributing to national NDS objectives. Provincial government and structures at the constituency and ward levels will be effective in identifying and responding to priority issues. There will be sufficient, predictable levels of funding and provincial governments will collect decentralized revenues and may take on and manage debt within a national debt management framework. There will be effective, financial management and transparent publication of spending information. Investments in regional infrastructure as well as services in areas, such as, health, education, water and sanitation, disaster preparedness and response, agriculture and support for disadvantaged people, will be managed effectively. There will be effective collaboration with national government and other entities, particularly NGOs and faith-based organizations. State-owned enterprises financing Current context An SOE reform programme initiated in 2007 has been largely successful. Most SOEs are profitable (SOLAIR was the only SOE to make a loss in 2016) and investments by key SOEs, for example, in electricity and water and sanitation infrastructure, have been growing rapidly. The use of community service obligations (CSOs) has helped increase access to services provided by SOEs, although the use of these contracts has fluctuated year-onyear. SIEA paid its first dividend to government in 2016, though there is no agreement in place to govern the payment of dividends. This is holding back the use of CSOs. Short to medium term actions Strategic direction Vision Steps to be taken: • Establish an SOE dividend policy10. • Increase the use and predictability of the CSO model of contracting. • Bring SOLAIR to break-even or profitable point. • Consider the potential for SI Postal Corporation to expand its financial services offering, as part of efforts to increase access to financial services, especially in rural areas. • Undertake an assessment of the potential to (re)establish a national development bank, focusing on a model and governance structure that can boost financial services and investment in key industries while avoiding past failings. Realizing the role for SOEs implied by the NDS will require progress in the following areas: • Achieving financial viability in the remaining loss-making SOEs (notably SOLAIR). • Increasing the predictability of CSO contracting. • Considering the (re)establishment of a development bank to support increased access to financial services and investment in key industries. State-owned enterprises (SOEs) will play an important role in delivering public services and providing public goods that advance progress towards the NDS objectives. SOEs will be financially sustainable and able to fund recurrent spending as well as growing capital investment. SOEs will manage growing, efficient infrastructure and services in key areas, maintaining a balance between providing essential services without crowding out services that could be provided more effectively by commercial actors. There will be a balance between profitability (including dividend payments to government) and the provision of accessible services. Community service obligation (CSO) contracts will be used regularly and predictably with government to increase access to these services for low income and isolated communities. Private investment Current context The context in 2018 is one in which volumes of private investment, both domestic and foreign, remain low. Though there are some signs of growth in domestic investment, as indicated by steady credit growth, levels remain low and the trajectory of growth is lower than the trends required to meet the NDS objectives for more rapid growth led by private sector development. Investment in key industries, such as, tourism, agriculture, mining and others remains low. Short to medium term actions Strategic direction Reforms already underway: • Establish the private sector advisory group as a mechanism for meaningful regular dialogue between government and the private sector11. • Trade and investment missions to countries that could be important sources of FDI. • Finalize the land recording process as part of efforts to address land ownership. • Implement tax reforms (see government revenue matrix). • Finalize SME policy and act. • Establish the major projects unit in MoFT and develop a framework for PPPs12. Additional steps to be taken: • Establish an investment promotion initiative.13 This would bring together efforts to improve the business environment, develop and promote investment opportunities, attract investors and manage the social and environment impacts of investment in a single strategy managed by a senior level coordination team. • Develop targeted incentives to attract investment in key industries. • Develop a regulatory framework regarding environmental and social impact assessments for major investments. • Develop a coordinated programme to protect the environment and catalyse wider economic and social benefits as larger investments in targeted industries are realized. To move towards the kind of private sector investment implied by the NDS will require reforms that advance a few key strategic priorities: • Addressing structural constraints to the business environment for private sector investment, notably land, tax reform and infrastructure. • Actively promoting investment in the highest priority industries with a comprehensive package of activities including bankable project pipelines, creating targeted incentives, investment forums and international marketing. • Strengthening coordination among ministries and agencies responsible for different aspects of the business environment and investment promotion. • Strengthening coordination and targeted policies regarding measures to promote the wider benefits of investment (e.g. skills development to boost employment in priority industries) and mitigate the risks (e.g. environmental protection). • Strengthening dialogue with private sector representatives. Vision Private sector investment will be a key driver of progress toward the NDS, contributing directly to many outcomes and providing capital and revenues that can be invested in others. There will be steady growth in domestic and foreign investment in priority industries including tourism, fisheries, commercial and cash crop agriculture, and energy, as well as a significant investment stock in mining. Access to credit will provide a means for SMEs to expand operations and deepen value chains in these priority industries. Collaboration between the public and private sectors will be strong and investments will occur within a supportive framework that promotes sustainable, inclusive business models. 11 This step is also articulated in the public-private collaboration and transparency and accountability matrices. 12 This step is also articulated in the PPP matrix below. 13 This step is also articulated in the public-private collaboration matrix. Public-private partnerships Current context A small number of PPPs have been implemented or are underway, typically including both development partners and private sector actors, such as the Tina Hydro project). There is, however, no framework governing the use of PPPs overall, although there are plans to develop a more systematic approach through the major projects unit that is being set up within the Ministry of Finance and Treasury. Short to medium term actions Strategic direction Reforms already underway: • Establish the major project unit within Ministry of Finance and Treasury and develop a framework guiding when and how PPPs can be used. Additional steps to be taken: • Undertake a review of international lessons about the factors that have determined the success and failure of PPPs in contexts and for priorities similar to those in the Solomon Islands. • Invest in capacity to develop and manage these complex instruments. • Establish mechanisms for transparency in PPP contracting. To realize the kind of PPP portfolio envisioned by the NDS will require reforms along a number of key factors: • Establishing strong, clear, transparent criteria for determining when it is appropriate to use PPPs and the kinds of models, risks and costs that are acceptable. • Investing in capacity to evaluate the potential benefits and costs of PPPs, and to design, negotiate and implement them effectively. • Developing a pipeline of high potential projects that may be suited to PPP financing. • Actively promoting opportunities to potential investors. Vision There will be a moderate portfolio of PPPs that plays an important role in mobilizing resources to fund the construction and/or operation of investments that are strategic for the NDS. Risks, costs and profits will be shared effectively between public and private partners. There will be a core body of staff within government that are skilled and experienced in designing, negotiating and managing PPPs. Information on the contracts, investments and payments by government within a PPP will be transparent and accessible. Credit and financial services Current context There has been some recent growth in credit to the private sector, a sign of some overall growth in investment. However, volumes remain low and are spread across industries, indicating that none of the industries targeted for growth by the NDS are yet showing the kind of trajectory that will see them expand rapidly in the medium term. Public debt levels remain low and are managed within the framework of the Honiara Club agreement. Short to medium term actions Reforms already underway: • Evaluate the potential for SIPC to use its network and presence in the provinces to expand its financial service offering and boost access to credit for rural and remote businesses14. Additional steps to be taken: • Establish a regulatory framework that encourages the development of a mobile money sector with services offered by a range of interconnected institutions. 14 This step is also articulated in the SOE matrix above. Credit and financial services (continued) Strategic direction Realizing the role of credit and financial services in financing investment in the NDS will require forums along a number of strategic priorities: • Invest in the capacity of SMEs to be able to responsibly take on credit to fund growth in key industries. • Work with financial institutions to encourage increased access to credit. • Continued close management of national public debt. • Develop capacity within public institutions beyond central government, such as, SOEs and provincial government, so that they are able to take on debt, for appropriate investments and within a managed overall sustainable public debt framework. Vision The financial system will offer a range of financial services that are accessible countrywide to businesses of all sizes. Technological innovations, such as, mobile money, and partnerships with institutions, like, SIPC, will boost access to financial services for rural, geographically isolated and low-income communities. Public debt will be managed carefully within an overall sustainable debt framework. Entities beyond central government, including SOEs and provincial government may take on some debt within this framework, where there is a strong case for doing so. Official development assistance Current context ODA cooperation provides a critical source of financing for investment in the NDS. ODA accounted for around one-quarter of government revenue in 2016. It accounts for a significant proportion of spending in key sectors, such as, education and health, though at the sector level ODA is often dominated by one to two development partners, meaning that there is vulnerability to policy change by those partners. From the perspective of donors, there may be challenges with fungibility. Short to medium term actions Strategic direction Vision Reforms already underway: • Re-establish the core economic working group, involving central ministries and key development partners. • Policy reforms in line with increased budget support. Additional steps to be taken: • Work with development partners to pilot new instruments, such as, development impact bonds and initiatives to support impact investment. To enhance the contribution of ODA to the NDS efforts can be made along a number of strategic priorities: • Work to decrease off-budget support and increase the predictability ODA. • Further enhance information sharing, regarding on and off budget assistance as well as information about future spending plans. • Work with development partners to leverage their expertise, reputation and with institutions in their home country to catalyse further development finance, through instruments, such as, development bonds, blended finance or partnerships with private sector actors, like, outward investment agencies. ODA will continue to play an important role in progress towards the NDS, though the country's reliance on ODA will have declined overall and within key sectors, such as, education and health. ODA from bilateral development partners and MDBs will continue to play an important role in supporting infrastructure and productive sector investment, including through the promotion of investment in key industries. Innovative financing will play a role in ensuring the sustainability of key industries, such as, logging. NGOs and faith-based organizations Current context • NGOs and faith-based organizations play an important role in delivering services in key areas of the NDS, such as, health and education as well as some income generating sectors and disaster preparedness and response. • They are present in some local areas of the country where government services are lacking. Churches in particular played an important role during the tensions and continue to contribute to national unity and stability. • NGOs and FBOs regularly collaborate with development partners though direct collaboration with government is less common as there are no systems for systematic coordination. Reforms already underway: • Finalize revisions to the NGO Act. • Create an NGO and FBO roster to improve the information available to government about potential partners. Additional steps to be taken: • Develop a policy framework for active dialogue between the government and NGOs and FBOs that covers issues, such as, project financing and implementation, sector support, disaster preparedness and response, community level partnerships and information sharing. • Develop mechanisms for dialogue between government and NGO and FBO networks around the role that these organizations can play in advancing the NDS objectives and deepening coordination and partnerships. • Develop mechanisms for sharing information between government and NGOs and FBOs in order to build a fuller understanding of the investments and progress being made toward the NDS.15 • Ensure that FBOs and community organizations play the role envisioned for them as part of constituency development committees that identify the most pertinent needs and prioritize projects to be funded through the RCDF.16 To enhance the contribution of NGOs and FBOs to the NDS efforts can be made along a number of strategic priorities: • Establish an effective policy framework for NGOs and FBOs that promotes their contributions to the NDS. • Invest in greater dialogue, coordination and collaboration with NGOs and FBOs in key social, environmental and peacebuilding components of the NDS, to leverage the strengths of these organizations. • Ensure an active role for NGOs and FBOs at the community level in helping to objectively identify and prioritize needs to be addressed through subnational funding mechanisms, such as, the CDF and RDP. Vision NGOs and FBOs will be important investors and providers of services in areas central to the NDS, particularly the social sectors, environmental management and national unity. There will be effective dialogue and collaboration between national and provincial government, and NGOs and FBOs. 15 This step is also articulated in the monitoring and review matrix below. 16 This step is also referenced in the subnational government funding matrix above. Short to medium term actions Strategic direction Policy and institutional structures Overview of policy and institutional structures covered by the SIIFF This section presents strategic guidance on a range of policy and institutional structures that are essential for effective governance of financing policy. It identifies reforms that can strengthen financing for the NDS in four key areas: integrated planning and finance policy functions, public-private collaboration, monitoring and review, and transparency and accountability. The four structures covered in the SIIFF derive from the methodology for the development finance assessment, which focuses on these areas as key components of an integrated national financing framework. Integrated national financing frameworks are a concept called for by the Addis Ababa Action Agenda, which articulates their role in supporting cohesive, nationally owned sustainable development strategies.17 The four structures are based on the factors a government needs to have in place to implement and instigate an integrated approach to financing the SDGs. The four structures play a key role in an integrated approach to financing that brings together public and private finance and links aspirational planning functions with operational policies: 1. Integrated planning and finance policy functions: strong connections and alignment between the national development vision and the policies designed to mobilize investments that will be necessary to achieve it. 2. Public-private collaboration. The creation of an environment that is conducive to sustainable, inclusive growth in private actors and promotes contributions to the national development vision according to their specific characteristics. 3. Monitoring and review. The systems used to track finance, monitor sustainable development outcomes, bring this information together and use it to inform policymaking. 4. Transparency and accountability. The mechanisms by which governments and other actors share information and hold each other accountable. Figure 2. The policy and institutional structures covered by the SIIFF Transparency & accountability Monitoring & review Public-private collaboration Integrated planning & ﬁ nancing Public Domestic & International Private Domestic & International The following matrices outline key reforms and strategic direction that can be taken to strengthen these structures for more effective management of and influence over financing for the NDS. Integrated planning and financing Current context Awareness of and alignment to the NDS is weak outside central ministries and development partners. Policies and programmes are not aligned or prioritized according to the strategic approach of the NDS. As many as 40–50 percent of projects funded by the development budget have not been properly planned.18 The budget process encourages a siloed approach, in contrast to the NDS, which recognizes cross-cutting themes. Some policies focused on non-state finance incorporate links to the NDS, though links are superficial in some cases. Some sector strategies have been costed, focusing mainly on public finance, though others are not costed. The NDSIOC was reconvened in early 2018 following a period of dormancy after the launch of the NDS. Short to medium term actions Strategic direction Reforms already underway: • Finalize the Planning Bill, including measures that align the budget process to the NDS, strengthen the coordination role of the NDSIOC including a focus on financing and strengthen planning and budgeting standards across government. Additional steps to be taken: • Enforce existing standards for MTDP project proposals, budgeting and accounting; develop and apply standardized strategic planning guidelines19. • Initiate an awareness building campaign to increase the understanding of, and buy-in to, the NDS. This would target national and subnational government, SOEs, the private sector, NGOs, FBOs and community groups. • Expand the NDS performance report to include analysis of financing and the investments that are being made to advance the NDS20. • Estimate public costs and necessary private investment as part of future policy development processes. • Share the lessons of the results-focused CSO instrument across government. Moving towards this vision of more integrated and holistic planning and finance policy functions will require reforms in a number of areas: • Increasing awareness of the NDS and building capacity for strategic planning and programming aligned to the NDS across government. • Estimating the public finance costs and other required resources of new and revised strategies at the sector and thematic levels. • Enhancing the role of the NDSIOC as a coordinating body for NDS implementation with a particular focus on making and mobilizing investments that can catalyse progress toward its objectives Vision Government's planning and finance policy functions will be closely aligned with one another. This will enable policies and programming that invest and influence different types of finance to contribute towards the NDS objectives according to their specific characteristics. There will be a clear sense of the kinds of public and private investments needed to deliver the infrastructure and services required to achieve the outcomes envisioned by the NDS. Annual and medium-term budget processes will promote the alignment of public spending to the NDS. Policies focused on other types of finance will be aligned to the NDS and strategically encourage investments that can advance its objectives. The NDSIOC will actively coordinate implementation and policies across ministries and partnerships with other stakeholders. 18 2017 NDS performance report 19 This step is also articulated in the government spending matrix 20 This objective is also articulated in the monitoring and review matrix below. Public-private collaboration Current context Recent innovations, such as, the establishment of a private sector advisory group, have boosted dialogue between government and the private sector. There are a small number of partnerships between government and the private sector, though there is currently no framework guiding the use of PPPs. Dialogue and coordination between government and actors, such as, NGOs and Churches that provide many services relevant to the NDS is lacking. While there is some coordination in certain sector-specific strategies (such as, certain aspects of health), there are no mechanisms for more systematic dialogue and coordination of activities either nationally or in the provinces. Reforms already underway: • Establish the private sector advisory group as a mechanism for meaningful regular dialogue between government and the private sector21. • Establish a framework for PPPs (as part of MoFT's major projects unit). Additional steps to be taken: • Establish an investment promotion initiative to improve coordination and collaboration in efforts to promote private sector investment.22 • Establish a regular multi-stakeholder NDS follow-up forum that would be convened every two to three years to review progress, build partnerships and mobilize financing for the NDS23. • Establish a national policy for partnership between government and NGOs and FBOs that encourages coordination/collaboration in service delivery to advance key areas of the NDS. • Consider opening up community service obligation contracting to allow bids from private sector actors. • Boost and deepen dialogue with private sector actors around solutions for how to sustainably and inclusively stimulate investment in key industries. • Boost dialogue and coordination with NGOs, Churches and other organizations that provide social and environmental services. • Develop frameworks for careful, balanced use of PPPs and similar instruments that mobilize resources for key investments while balancing risks and costs. • Invest in capacity to effectively manage PPPs and other complex instruments. Vision There will be strong mechanisms for dialogue between government and the private sector, NGOs, Churches and other private actors. These mechanisms will help to build trust and foster a shared sense of ownership over the NDS among public and private actors. Dialogue on private sector development will inform the design and implementation of policy that promotes and fosters sustainable, inclusive investment. Dialogue and coordination with NGOs, Churches and other organizations will enhance coordination around service delivery. There will be a growing portfolio of projects that entail a formal partnership between public and private actors, leveraging the skills and resources of both for progress towards the NDS. 21 This step is also articulated in the private investment matrix above. 22 This step is also articulated in the private investment matrix above. 23 This step is also articulated in the transparency and accountability matrix below. Short to medium term actions Strategic direction Monitoring and review Current context The monitoring and evaluation framework for the NDS was revised in 2017 and progress is reviewed every two to three years in the NDS performance report. There are challenges for collecting and sharing information on spending and outcomes within government, both at the national level and between national and provincial government. Monitoring and evaluation capacity in ministries and agencies is weak. Little information is shared between government and partners, such as, private sector networks, NGOs and Churches as there are no systems for capturing their spending and outcome data beyond the balance of payment survey administered by CBSI. Systems for sharing information with development partners are in place though there have been some challenges with implementation. The NSO is expanding its surveys and data collection in line with the National Statistics Development Strategy, which was launched in November 2015. Short to medium term actions Strategic direction Reforms already underway: • Complete ward mapping exercise. Additional steps to be taken: • Establish a system for collating information on provincial government spending and incorporate it in regular reporting on public investment in the NDS24. • Establish a framework for information sharing between government and actors, such as, NGOs and Churches, that makes important contributions to the NDS but who are not fully captured in current data collection systems25. • Establish a regular labour force survey. • Extend the scope of the NDS performance report to analyse provincial and local progress as well as financing and the investments made to advance the NDS26. Monitoring and review structures will play a vital role in financing the NDS and can be developed according to the following medium to long-term strategic priorities: • Invest in monitoring and evaluation capacity across government ministries. • Iteratively develop systems with government for monitoring outcomes and tracking activities on cross-cutting themes, such as, gender and environment. • Expand the portfolio of surveys undertaken and information on financing and NDS outcomes collected by NSO and CBSI. • Build relationships and systems for sharing information between government and actors whose activities and investments are not captured in current systems27. Vision Administrative data systems will produce detailed information on public spending by government ministries, through national funds and by subnational government, with information on expenditure, outputs and outcomes. Information will be collected and shared within an established network of monitoring and evaluation staff across government. Institutions, such as, the NSO and CBSI will collect a growing depth and breadth of data on social and environmental outcomes and investments made by nonstate actors. There may be a voluntary system for companies to share information on their contributions to the NDS, such as, through sustainability reporting. The NDS monitoring and evaluation framework will capture regular information on progress towards the NDS outcomes and on the investments that are being made by public and private actors towards it. 24 This step is also articulated in the subnational government funding matrix above. 25 This could be linked with the regular NDS follow-up forum included in the public-private collaboration matrix. 26 This objective is also articulated in the integrated planning and financing matrix above. 27 This step is also articulated in the NGOs and FBOs matrix above. Transparency and accountability Current context Information on the budget and spending outcomes is published annually. Reports from the Auditor-General show a number of challenges in financial reporting, particularly among provincial governments. There is little information published on the use of funds or outcomes realized from some of the major funds on the budget, notably the RCDF, scholarship fund or shipping grants. Parliamentary oversight of the budget is led by the Public Accounts Committee, which reviews spending plans though has limited power to enforce changes. Its mandate is not directly linked to the NDS. There is little information sharing between government and partners, such as, private sector networks, NGOs and Churches. Information is shared between government and development partners though there are some challenges. Short to medium term actions Strategic direction Reforms already underway: • Finalize the PAC Bill, including measures to (i) enhance the focus of PAC on NDS financing and implementation and (ii) give greater powers to enforce changes in ineffective areas of spending or policy. • Establish the private sector advisory group as a mechanism for meaningful regular dialogue between government and the private sector27. • Finalize regulations for the RCDF that enshrine principles of transparency and accountability for the use of funds.28 Additional steps to be taken: • Building on steps taken during the DFA process to collate data from organizations, such as, NGOs and FBOs, build partnerships with these partners to share data and information on planned activities and outcomes. • Establish an NDS follow-up forum as a mechanism for regular dialogue and mutual accountability on progress towards the NDS29. • Expedite financial management capacity building in provincial governments30. • Secure a ringfenced budget for the Auditor-General's office. Transparency and accountability is vital for effective financing of the NDS; mechanisms to facilitate transparency and accountability can be further developed over time in line with the following strategic priorities: • Strengthen transparency of public spending, in particular regarding the use and outcomes of spending within the key funds – RCDF, scholarships fund and shipping grants. • Invest in financial management capacity across national and subnational government • Strengthen mechanisms and opportunities for scrutiny of government spending and policies by actors including parliament, civil society and the private sector. • Continue to enhance consultations with non-state stakeholders as a systematic part of the budget preparation and policy development processes. Vision Information on all aspects of public spending and the outcomes of public programmes and policy will be transparent and accessible. Strong oversight of annual and mediumterm public spending plans and outcomes will contribute to more effective investment and service delivery to advance the NDS. Information on the investments and activities of non-state actors will be shared to enhance mutual accountability and as a basis for enhanced coordination and collaboration. 28 This step is also articulated in the private investment and public-private collaboration matrices above. 29 This step is also articulated in the subnational government funding matrix above. 30 This step is also articulated in the public-private collaboration matrix above. 31 This step is also articulated in the subnational government funding matrix above.
Devising Yorùbá Terminology for Phonology Terms (from letter P to letter R) Bankale Oyetayo A., Oye Taiwo and Olawale Rukayat Department of Linguistics and African Languages University of Ibadan, Ibadan, Nigeria firstname.lastname@example.org; email@example.com Abstract This essay, which is part three (3) of the report on the formulation of Yorùbá phonology terms from their English counterparts, discusses English phonology terms for letters P, Q, and R and the Yorùbá counterparts, totaling ninety-one (91) terms numbered from 187 to 278. 1 Preceding letters A to O have been discussed in part one and part two of this report, numbers 1 to 104, letters A to G, and numbers 105 to 186, letters H to O, respectively. In this report, we compiled these terms in English, alphabetically arranged, from letter P to letter R, and developed their Yorùbá equivalents. In doing this, we extracted these phonology terms from three phonology textbooks and two specialized/technical dictionaries on linguistics and phonology. We employed the Information Processing Model (IPM) framework. Some of the terms developed are palatalization ìso̩ dàfàjàpè, paragoge ìfìró-bo̩ ̀parí, parasitic harmony àǹkóò àfòmo̩ ́, parse ìpínsífo̩ ́rán-ìhun, partial overlapping ìwo̩ nú-ara e̩ lé̩be̩ , phonaestheme fóníìmù-àyo̩ túnyo̩ , phonemic overlapping ìpòórá fóníìmù, phonological phrase boundary ààlà àpólà fono̩ ́lo̩ ́jì, phonological prime fo̩ ́nrán-akérépin fono̩ ́lo̩ ́jì, quantity-sensitive feet è̩wo̩ n-atéńté aníwò̩ n-agbe̩ gé̩ , recessive vowel fáwè̩ lì àdínkù, redundancy rule òfin aléélè̩ Keywords: Yorùbá phonology terms, Terminology creation, Information Processing Model 1 See Yoruba – The Journal of Yoruba Studies Association of Nigeria, Volume 12:1, January 2023 and Volume 12:2, June 2023 for the first 2 of the four-part essays. Introduction This essay is part three of the report of our research work on developing Yorùbá terms for phonology. The English phonology terms in this report cover letters P, Q, and R totaling ninety-one (91) terms from with their Yorùbá counterparts that we formulated. At the back of our mind in carrying out this research are the principles for term creation such as transparency, clinical cognition, explicitness, term uniqueness, felicity condition, linguistic economy, consistency of form and meaning, and relation to the subject field. Research Methodology We extracted phonology terms from the following texts: Oyebade (2008) A Course in Phonology, Hyman (1975) Phonology, theory and Analysis, Goldsmith (1976) Autosegmental Phonology, Crystal (2008) A Dictionary of Linguistics and Phonetics, Trask (1996) A Dictionary of Phonetics and Phonology. Yorùbá equivalents were devised using the IPM framework. We also consulted some user groups as well as some existing Yorùbá terminology documents such as Bámgbósé (ed.) (1984) Yorùbá Metalanguage volume 1, Awóbùlúyì (ed.) (1990) Yorùbá Metalanguage volume 2, Dictionary of Modern Yorùbá and Quadrilingual Glossary of Legislative Terms. Theoretical Framework: Information Processing Model (IPM) We adopted Owólabí (2004) Information Processing Model (IPM) for term creation. IPM is a theory that explains the linguistic configuration and the steps involved in term creation, especially for a Yorùbá term. In developing the strategy, Owólabí (2006, p.44) asserts that: While current devices for formulating new terms in native languages can be said to be somewhat viable, the way in which some of them are applied is not strictly in conformity with the principle of insightfulness which is one of the hallmarks of a linguistic approach … Organization of the IPM The IPM operates in five steps that interact by feeding relationships to derive a target term. The five steps divided into two interrelated aspects: a Semantic Aspect (SA) and a Derivational Aspect (DA). As Owólabí puts it, the SA covers the steps 1-3, while the DA covers the steps 4-5. In elucidating the model, Owólabí (2004, pp.402-404) says: Given this source we can formulate the corresponding Yorùbá term from it, step by step thus: Step 1: This involves stating the relevant meaning(s) of the source term. Step 2: This involves the giving of the Yorùbá equivalent(s) of the meaning(s) of the source term in step 1. Step 3: This involves extrapolating the canonical semantic unit(s), from the Yorùbá equivalent(s) obtained according to step 2 which may be partly covert. A canonical semantic unit is the unit chosen as a "target" by virtue of the fact that it provides the basic semantic information (the building blocks) for the purposes of creating Yorùbá legislative terms. Step 4: Involves application of the relevant tactics to the canonical semantic units obtained according to step 3 for the purposes of concatenating such units or converting them into another form. Step 5: Involves the application of the relevant processes (phonological and /or morphological) to limit the length of the concatenated structure produced according to step 4 for the purposes of obtaining the required Yorùbá term. These steps could be summarized as follows: ``` Source Term (ST) ↓ Meaning of Source Term (MST) ↓ Yorùbá Equivalent (YE) ↓ Canonical Semantic Unit (CSU) ↓ Formulation Tactic (FT) ↓ Formulation Process (FP) ↓ End result: Yorùbá legislative Term (YLT) ``` Samples ST: president Step 1: MST: the leader of a republic, organization, etc. Step 2: YE: olórí orílè-èdè tí ó ni ìjọba tí kò jẹ mọ́ ọba tàbí ayaba, olórí ẹgbẹ́(abbl) Step 3: CSU: olórí: orílè-èdè /ẹgbẹ́ abbl Step 4: FT: semantic extension, composition: olórí + orílè-èdè /ẹgbẹ́ → Ààrẹ + orílè-èdè/ẹgbẹ́(abbl) Step 5: FP: compounding: Ààrẹ+ orílè-èdè /ẹgbẹ́(abbl) YLT: Ààrẹ orílè-èdè /ẹgbẹ́ ST: president elect Step 1: MST: a president that has been elected but is not yet installed Step 2: YE: Ààrẹ tí a di ìbò yàn ṣùgbọ́n tí kò tíì gun orí oyè Step 3: CSU: Ààrẹ : tí kò tíì gun orí oyè Step 4: FT: composition, explication, idiomatization: Ààrẹ + tí kò tíì gun orí oyè →Ààrẹ + ní ọ̀la Step 5: FP: contraction, compounding: Ààrẹ + ní ọ̀la → Ààrẹ + lọ́la YLT: Ààrẹ - lọ́la(lit. President in tomorrow) Scope of the Study The focus of this research is to provide equivalents of phonology terms from the letters H to O in Yorùbá. Processes involved in term creation are linguistic and stylistic. The linguistic devices are semantic processes, morphological processes, and phonological processes, while the stylistic processes are idiomatization, ideophonization, and euphemism. Some of them are discussed briefly. Scope of the Study and Term Creation Processes Expansion: Extending the meaning of a term by giving it a new meaning, a shift from one concrete to the abstract or form of the abstract to the concrete. Revival of old words: This involves the use of obsolete words in a living language or words from an ancestor language in which the old meaning might be retained or a new meaning might be assigned to them. Conversion: This involves the changing of grammatical category, also known as functional shift Composition or Compounding: This is a situation where two or more morphemes, words, or phrases are combined in order to express various foreign concepts in native languages. Blending: Blends are hybrid words. They are rather like compounds except that only part of each individual word has been used. Affixation: This is a process whereby an affix is prefixed, suffixed, or infixed to some input forms Acronyms: Acronyms are pronounceable words formed from the initial letters of other words. Clipping: Clipping involves missing part of the word to create a word with the same meaning. Either the beginning (fore-clipping), ending (back-clipping) or both ends of the original word may be removed. Abbreviations: Abbreviations are also formed from the initial letters of other words but this time they do not make pronounceable words, and instead the letter names are spoken. Borrowing: Borrowing refers to the process of using a lexical item that is not in the lexicon of a certain language but borrowed into the language due to language contact Vowel Coalescence: Where two contiguous segments at the underlying representation disappear at the surface phonetic level replaced by a third segment that shares features from both of the segments that disappeared. Coinage: Coinage refers to the creation of a new term for a source term that does not have an existing lexicon in the language or whose lexicon is going out of usage. Assimilation: Assimilation takes place when two segments that are contiguous to each other with different modes of production become identical in some or all of the atomic features of their production. Deletion: Deletion involves the loss of a segment under some language– specifically imposed conditions. Insertion: This is a process that occurs when an extraneous element not present originally is introduced into the utterance usually to break unwanted sequence. Idiomatization: this refers to the use of idioms to formulate terms. Euphemism: in making use of euphemism, a pleasant way is employed to describe an unpleasant situation. Ideophonization: this is where a terminologist adopts the onomatopoeic representation of the term in question to devise a name for it. Sample Presentation and Analysis A total of 91 phonology terms were analyzed from which new Yorùbá terms were developed. These terms are arranged in alphabetical order from P to R. In adopting Owólabí's (2004) Information Processing Model (IPM), we modified the framework is the term for the End result where we removed ´legislative' and retained Yorùbá Term. Samples Source Term: glottalized [+glot] Meaning of Source Term: They are glottal sounds whose productions are accompanied by the constriction of the glottis caused by a close-up action of the vo- cal cords Yorùbá Equivalent: àwọn ni ìró tí a so̩ di à fitań-án-nápè ni pípè wo̩n wáyé pẹ̀lú ìfúnpò̩ àlàfo tán-án-ná nípasè̩ pípadé àwọn tán-án-ná Canonical Semantic Unit: ìró : tí a : so̩ : di : à : fi : tán-án-ná : pè composition: ìró + tí a + so̩ + di + à + fi + tán-án-ná + pè Formulation Tactic: Formulation Processes: contraction, nominalization by prefixation, deletion: ìró + tí a + so̩ + di + à + fi + tán- án-ná + pè→ à +so̩dàfitán-án-nápè Yorùbá Term: àso̩ dàfitán-án-nápè [+tán-án-ná] Source Term: long [+long] Meaning of Source Term: features of sounds pronounced longer than usual. Long sounds are often transcribed with a colon at the right side Yorùbá Equivalent: àbùdá ìró tí a pè pẹ̀lú ìfàgùn ju ti tẹ́lẹ̀ lọ. Àmì kólọ̀ọ̀nù ni a fi máa ń ṣe ìfàgùn nínú àdàkọ fònẹ́tíìkì Canonical Semantic Unit: àbùdá : ìró : tí a : fà gùn Formulation Tactic: composition: Àbùdá + ìró + tí a + fà gùn contraction, nominalization by prefixation, deletion: àbùdá + ìró + tí a + fà gùn→ à + fàgùn Formulation Processes: Yorùbá Term: àfàgùn [+àfàgùn] Source Term place features Meaning of Source Term: They features used to distinguish different places of articulation Yorùbá Equivalent: àwo̩ n ni àbùdá tí à ń lò láti ṣe ìyàtọ láàárín àwọn ibití a ṣé nu pè ìró Canonical Semantic Unit: àbùdá : ibi : tí a: ṣé ẹnu : pè Formulation Tactic: composition: àbùdá + ibi + tí a + ṣé ẹnu + pè Formulation Processes contraction: nominalization by prefixation, àbùdá + ibi +ì + ṣénupè Yorùbá Equivalent àbùdá ibi ìṣénupè Source Term: Round [+round] Meaning of Source Term: feature of sounds that are produced when the lips form a round shape when viewed from the front and are protruded when viewed from the side Yorùbá Equivalent: àbùdá ìró tí a pè nígbà tí ètè bá rí roboto Canonical Semantic Unit: àbùdá: ìró: ètè : roboto Formulation Tactic: composition: àbùdá + ìró + ètè + roboto Formulation Process: deletion: àbùdá + ìró + ètè + roboto→àbùdá +ètè + roboto Yorùbá Term: àbùdá ètè roboto/ àbùdá roboto [+roboto] Having presented samples and the processing hypothesis used for the creation of Yorùbá equivalents of the phonology terminologies, we shall outline the ninety-one (91) phonology terms and their Yorùbá equivalents below under these headings: Source Term (ST), Meaning of Source Term (MST) their meaning, Yorùbá Term (YT) and Yorùbá Equivalent (YE) i.e., the meaning of source in Yorùbá. These terms are arranged alphabetically from P to R. Meaning of Source Yorùbá Equivalent \| 187 \| pair test \| A procedure for test- ing the presence of a phonological con- trast between two linguistic items. One native speaker asked to pronounce the two items repeatedly in an arbitrary order se- lected by the investi- gator, while a second native speaker tries to identify them. \| èjì ìdánwò \| \|---\|---\|---\|---\| \| 188 \| Palatal- ize-tion \| The phenomenon in which a segment whose primary ar- ticulation is at some other location is ar- ticulated with a sec- ondary articulation involving the raising of the front of the tongue towards the palate. (2) Any pho- nological process in which a non-palatal segment converted to a palatal or pala- to-alveolar segment. \| ìso̩ dàfàjàpè \| \| 189 \| paragoge \| The insertion of one or more segments to the end of a word. \| ìfìró-bo̩ ̀parí \| \| 191 \| parasitic harmony \| A type of vowel har- mony in which two vowels are required to harmonize for one feature if and only if they also harmonize for another feature. \| àǹkóò àfòmo̩ ́ \| È̩ yà àǹkóò fáwè̩lì nípasè̩ èyí tí fáwè̩lì méjì nílò láti wà papo̩ ̀ fún àbùdá kan tí ó bá jé̩ pé wo̩ ́n tún wà papo̩ ̀ fún àbùdá míìràn. \| \|---\|---\|---\|---\|---\| \| 192 \| parse \| To assign a valid phonological struc- ture to (a string of elements in a representation). \| ip̀ iń sif́o̩ ́rań -ih̀ un \| Yíyan ìhun fono̩ ́lo̩ ́jì tí ó bá yé̩ fún (okùn o̩ ̀ro̩ ̀ àwo̩ n fo̩ ́nrán nínú ìs̩ àfihàn. \| \| 193 \| partial overlap- ping \| The phenomenon in which two phonemes have phonetically identical allophones occurring in different environments. \| ìwo̩ nú-ara e̩ lé̩be̩ \| ìgbésè̩ nípasè̩ èyí tí àwo̩ n fóníìmù méjì ní è̩dà fóníìmù ajo̩ ra ní ìlànà fòné̩tíìkì tí wo̩ ́n je̩ yo̩ ní sàkání o̩ ̀to̩ ̀o̩ ̀to̩ ̀. \| \| 194 \| par- tial tone language \| A language in which tones appear on cer- tain syllables only. \| èdè olóhùn e̩ lé̩be̩ \| Èdè kan nínú èyí tí àwo̩ n àmì-ohùn je̩ yo̩ lórí àwo̩ n sílébù kan nìkan. \| \| 195 \| particle phonology \| An approach to pho- nology that focuses on the analysis of the internal structure of phonological seg- ments. For example, in the analysis of vowels, three priva- tive features (parti- cles) are recognized – [a] representing openness, [i] repre- senting frontness, and [u] representing rounding – and seg- ments are seen to be composed of one or more particles. \| fono̩ ́lo̩ ́jì è̩rún \| Ìwòye fono̩ ́lo̩ ́jì tí ó dá lórí ìtúpalè̩ ìhun inú àwo̩ n ègé fono̩ ́lo̩ ́jì. Bí àpe̩ e̩ re̩ , nínú ìtúpalè̩ àwo̩ n fáwè̩lì, àwo̩ n àbùdá alójúlódì mé̩ta ni ó wà- [a] dúró fún ìyanupè, [i] dúró fún iwájú, [u] sì dúró fún [roboto]- a sì rí àwo̩ n ègé gé̩gé̩ bí èyí tí wo̩ ́n ní è̩rún kan tàbí jù bé̩è̩ lo̩ . \| \| 196 \| path \| Any single valid route along the arcs in a metrical tree. \| o̩ ̀nà \| \|---\|---\|---\|---\| \| 197 \| pattern congruity \| Either of two crite- ria for phonological analysis invoked to choose among com- peting analyses. In the first (paradig- matic) version, that analysis is preferred which yields a more symmetric phone- mic system. In the second (syntagmatic) version that analysis is preferred which yields the simpler or more regular phonotactics. \| ìbámu bátànì \| \| 198 \| Phonaes- theme \| A phoneme or clus- ter in a particular language that recurs repeatedly in words of related meanings, such as English lsi-I in slip, slick, slide, slop, slush, \| fóníìmù-àyo̩ tún- yo̩ \| \| 199 \| phoneme principle \| The principle is that tis the sounds of a particular speech va- riety can be exhaus- tively assigned to a (usually small) set of phonemes. \| ìlànà fóníìmù \| The procedure by Ìlànà nípasè̩ èyí tí \| 201 \| phonemic overlap- ping \| Any state of af- fairs in which two or more phonemes in a particular lan- guage have identical phonetic realiza- tions in certain en- vironments, not necessarily the same environments. \| ìpòórá fóníìmù \| Èyíkéyìí ipò ìs̩ e nípasè̩ èyí tí fóníìmù méjì tàbí jù bé̩è̩ lo̩ nínú èdè kan bá ní àwo̩ n ìje̩ jáde fòné̩tíìkì ajo̩ ra nínú àwo̩ n sàkáni kan tí kò po̩ ̀n dandan kí wo̩ ́n jé̩ sàkání kan-náà. \| \|---\|---\|---\|---\|---\| \| 202 \| phonetic correlate \| Any phonetic prop- erty whose presence is associated with the presence of a phono- logical characteris- tic. For example, the phonetic correlates of stress may be any or all of greater loudness, higher pitch, or greater duration. \| ìbámu fòné̩tìkì \| Èyíkéyìí àbùdá fòné̩tíìkì tí wíwà rè̩ tan mo̩ ́ wíwà àbùdá fono̩ ́lo̩ ́jì. Bí àpe̩ e̩ re̩ àwo̩ n ìbámu fòné̩tíìkì àtè̩mo̩ ́ lè jé̩ èyíkéyìí tàbí gbogbo ìdún láko̩ láko̩ , ìró-ohùn tí ó ga tàbí ì- fàgùn tí ó pé̩. \| \| 203 \| phonetic illusion \| The phenomenon in which a native speaker insists that two different words, which, objectively, are phonetically identical, neverthe- less sound different, because of their hav- ing different under- lying forms. \| ìrújú fòné̩tíìkì \| Ìgbésè̩ nípasè̩ èyí tí elédè kan bá dúró lórí pé o̩ ̀ro̩ ̀ méjì o̩ ̀to̩ ̀o̩ ̀to̩ ̀ tí wo̩ ́n jo̩ ́ra ní ìlànà fòné̩tíìkì sùgbo̩ ́n síbè̩ náà dídún wo̩ n yàto̩ ̀ nípasè̩ pé wo̩ ́n ní ìrísí ìpìlè̩ o̩ ̀to̩ ̀o̩ ̀to̩ ̀. \| \| 204 \| phonetic motivation \| The property of a phonological rule, which is easy to un- derstand in pho- netic terms, such as the nasalization of a vowel before a nasal consonant. Phoneti- cally motivated rules commonly called natural rules. \| ìmòríyá fòné̩tíìkì \| Àbùdá òfin fono̩ ́lo̩ ́jì tí ó ro̩ rùn láti gbo̩ ́yé ní ìlànà fòné̩tíìkì bíi ìso̩ dàrán- múpè fáwè̩lì tí ó sáájú kónsónáǹtì àránmúpè. Òfin amóríyá ní ìlànà fòné̩tíìkì ni a máa ń sáábà pè ní àwo̩ n òfin àdánidá. \| \|---\|---\|---\|---\|---\| \| 205 \| phonetic plausibility \| 1. In American Structuralist phonol- ogy, a criterion for phonological analy- sis by which differ- ent phones assigned to a single phoneme only if the phonetic variation of the re- sulting phoneme can be explained in terms of natural pho- netic processes. 2. The property of a phonological rule whose presence makes either produc- tion or perception of speech easier in some identifiable re- spect. Sommerstein (1977: 14-15). \| ìs̩ eégbà fòné̩tíìkì \| Nínú fono̩ ́lo̩ ́jì àwo̩ n afo- jú-ìhun-wò ti ilè̩ Amé̩ríkà, ìlànà fún ìtúpalè̩ fono̩ ́lo̩ ́- jì nípasè̩ èyí tí a lè yàn orísirísìí fóònù fún fóníìmù e̩ yo̩ kan s̩ os̩ o àyàfi tí yíyè̩dà fòné̩tíìkì yíyo̩ rí sí fóníìmù bá s̩ eé s̩ àlàyé ní ìlànà àwo̩ n ìg- bésè̩ fòné̩tíìkì àdánidá. 2. Àbùdá òfin fono̩ ́lo̩ ́jì kan tí wíwà rè̩ jé̩ kí yálà pípè tàbí gbígbo̩ ́ ìfo̩ ̀ kan ro̩ rùn ní àwo̩ n o̩ ̀nà àdámo̩ ̀ kan. \| \| 206 \| phonetic rule \| In any approach to phonology employ- ing rules, a particular type of rule whose function is, in some sense, no more than producing the cor- rect phonetic detail in the pronunciation of a linguistic form: a low-level rule. \| òfin fòné̩tíìkì \| Nínú èyíkéyìí ìwòye fono̩ ́lo̩ ́jì tí ó máa ńs̩ e àmúlò òfin, è̩yà òfin kan tí ìs̩ e rè̩ kò ju kí ó pèsè àlàyé kíkún as̩ éég- bà fòné̩tíìkì nínú pípè ìrísí fòné̩tíìkì kan: òfin akéré-nípele. \| \|---\|---\|---\|---\|---\| \| 207 \| phonetic setting \| The tendency on the part of a given speaker to maintain a particular config- uration or state of the vocal appara- tus throughout the speech. \| ètò fòné̩tíìkì \| ìs̩ eés̩ e fún elédè kan láti dúró lórí ìs̩ ètò kan pàtó tàbí ipò òpónà-aje̩ móhùn títí a fi máa s̩ àfo̩ ̀ tán. \| \| 208 \| phonetic specifi- ca-tion \| The determination, in terms of some system of descrip- tion, of the phonetic characteristics of a speech sound. \| ìso̩ do̩ ̀to̩ ̀ fòné̩tíìkì \| mímo̩ ̀, ní ìlànà ètò ìs̩ àpèjúwe àwo̩ n àbùdá fòné̩tíìkì ìró ifo̩ ̀kan. \| \| 209 \| phonetic universal \| Any universal that pertains primarily to the phonetic charac- teristics of segments. \| àkótán fòné̩tíìkì \| èyíkéyìí àkótán tí ó je̩ mo̩ ́ ti àwo̩ n àbùdá fòné̩tíìkì àwo̩ n ègé ní jù. \| \| 210 \| phonic \| Pertaining to speech sounds. 2. Using speech sounds as a medium; oral. \| fóníìkì \| Tí ó je̩ mo̩ ́ àwo̩ n ìró ifo̩ ̀, lílo àwo̩ n ìró ìfo̩ gé̩gé̩ bí èdè-ìko̩ ́ni. \| \| 211 \| phonics \| A method of teach- ing spelling and reading that concen- trates on breaking a word down into a sequence of graphic elements and assign- ing pronunciations to these. \| ìmo̩ ̀ ìró-ifo̩ ̀ \| \|---\|---\|---\|---\| \| 212 \| Phono- logical change \| 1. Broadly, any his- torical change which has perceptible con- sequences for the pronunciation of a language. 2. More narrowly, a historical change that has conse- quences for the pho- nological structure of language, such as a change in the num- ber or distribution of phonemes, in the way the phonemes are related, or in the number, nature, or ordering of phono- logical rules. In this narrower sense, the term excludes purely phonetic changes in which nothing hap- pens beyond fairly small changes in the phonetic realizations of certain segments. \| ìyípadà fono̩ ́lo̩ ́jì \| \| 213 \| Phono- logical component \| In some compre- hensive theories of grammar, notably in transformational grammar and its de- scendants, that part of the framework deals with relating phonological repre- sentations and their corresponding pho- netic realizations. \| è̩ya fono̩ ́lo̩ ́jì \| \|---\|---\|---\|---\| \| 214 \| Phonolog- ical form (PF) \| In some theory or analysis, a represen- tation of linguistic objects (a word, a phrase, etc.) in terms of the phonological elements is recog- nized in that frame- work. The term is particularly associ- ated with early ver- sions of generative phonology, where it is applied to a rather abstract level of rep- resentation that has not yet been con- verted by rules to its corresponding pho- netic form. \| ìrísí fono̩ ́lo̩ ́jì \| \| 215 \| Phono- logical phrase \| In some analyses, a posited level of pho- nological structure is larger than a pho- nological word but smaller than an into- national phrase. This construct is particu- larly associated with the Prosodic Hierar- chy model. \| àpólà fono̩ ́lo̩ ́jì \| \|---\|---\|---\|---\| \| 216 \| Phono- logical phrase boundary \| (also major pause) A boundary separat- ing units that form the maximal domain within which any phonological pro- cesses can apply, generally identified as a single intona- tion contour and often represented by the symbol//. No rule can ever apply across such a boundary. \| ààlà àpólà fono̩ ́lo̩ ́jì \| \| 217 \| phonolog- ical prime \| In a given theory of phonology, any one of the minimal pho- nological elements in terms of which the theory operates and which can in a way be decom- posed into simpler elements. Most ver- sions of classical phonology took the phonemes as primes; the Prague School (arguably) and clas- sical generative pho- nology (certainly) took the distinctive features as primes. Many contemporary theories of phonol- ogy take as their prime components or auto segments that are rather similar to unary features. \| fo̩ ́nrań -akeŕ eṕ in fono̩ ́lo̩ ́jì \| \|---\|---\|---\|---\| \| 218 \| phonolog- ical repre- sentation \| A representation of the sound structure of a linguistic form that excludes pho- netic information predictable by rules, such as a phonemic transcription. \| ìs̩ àfihàn fono̩ ́lo̩ ́jì \| \| 219 \| phonolog- ical rule \| In the broadest sense, any rule, which, in some anal- ysis, is posited as, involved in deriv- ing a pronunciation from an underly- ing phonological representation. \| òfin fono̩ ́lo̩ ́jì \| \|---\|---\|---\|---\| \| 220 \| phonolog- ical space \| An abstract con- ception of the total range of possibilities available for distin- guishing one seg- ment from another. \| ààyè fono̩ ́lójì \| \| 221 \| phono- logical strength \| An abstract dimen- sion, or rather one of several abstract dimensions, along which segments hi- erarchically ordered with respect to their behavior in the pho- nological processes of lenition and for- tition. A familiar example is the di- mension of open- ness, along which segments may be ranked Stop >Frica- tive > Approximant > Zero. \| agbára/ipá fono̩ ́lo̩ ́jì \| \| 222 \| phono- logical universal \| Any universal or fundamentally pho- nological character, such as one con- straining phoneme system. \| akótán fono̩ ́lo̩ ́jì \| \| 223 \| phonolog- ical word \| A particular phono- logical unit is the domain of certain phonological pro- cesses in a given language. In the un- marked case, the phonological word is identical to the mor- phological word. \| o̩ ̀ro̩ ̀ fono̩ ́lo̩ ́jì \| \|---\|---\|---\|---\| \| 224 \| phonolo- gization \| A term used in his- torical phonology for a process whereby sounds that were formerly allophones become phonemic through the loss of their conditioning environments. \| ìso̩ difo̩ ́níìmù \| \| 225 \| Phonosty- listics \| The study of the aesthetic or expres- sive functions of sound(s). \| ìmo̩ ̀-ìlò aje̩ mé̩wa \| \| 226 \| phono- tactically motivated rule \| A phonological rule which has the effect of bringing phono- logical forms into line with the pho- notactics of the lan- guage. A ‘positively motivated rule’ re- moves or alleviates violations~ a “neg- atively motivated rule’ applies except when its application would produce a vio- lation. Sommerstein (1977: 197). \| òfin amóríyá fonotátíìkì \| \| 227 \| phonotac- tic range \| The total set of con- texts in which a par- ticular segment can occur. \| ipò fonotátíìkì \| Àpapo̩ ̀ àkójo̩ po̩ ̀o̩ ̀gangan ipò nínú èyí tí ègé kan pàtó tí lè je̩ yo̩ \| \|---\|---\|---\|---\|---\| \| 228 \| phonotac- tics \| In a given language, the set of constraints on the possible se- quences of con- sonant and vowel phonemes within a word, a morpheme, or a syllable. \| fonotátíìkì \| Nínú èdè kan, Àkójo̩ po̩ ̀ àwo̩ n òté lórí tè̩léńtè̩lé as̩ éé̩gbà àwo̩ n fóníìmù ko̩ ́nsónáǹtì àti fáwè̩lì nínú o̩ ̀ro̩ ̀, nínú mo̩ ́fíìmù tàbí nínú sílébù kan \| \| 229 \| pitch accent \| A type of word ac- cent occurs in some languages, in which the syllables (or moras) of each word must exhibit one of the permitted se- quences of pitches. \| ásé̩ǹtì ìró-ohùn: \| È̩ yà aséǹtì o̩ ̀ro̩ ̀ tí ó máa ń je̩ yo̩ nínú àwo̩ n èdè kan, nípasè̩ èyí tí àwo̩ n sílébù o̩ ̀ro̩ ̀ ko̩ ̀o̩ ̀kan gbo̩ ́do̩ ̀s̩ e àfi- hàn o̩ ̀kan lára àwo̩ n tè̩léńtè̩lé àté̩wo̩ ́gbà àwo̩ n ìró ohùn. \| \| 230 \| pitch contour \| The shape of the pitch value within the duration of the syllable bearing it. \| ìrísí ìró-ohùn: \| Ìrísí àbùdá ìró ohùn nínú àkókò tí a fi pe sílébù tí ó ní i. \| \| 231 \| pitch height \| The exact placement of the pitch of a syl- lable within a given pitch span. \| gíga ìró-ohùn \| Ipò (gíga) ìró-ohùn sílébù kan ní pàtó ní ìgbà tí a pe ìró ohùn kan pàtó. \| \| 234 \| place feature \| The feature used to distinguish different places of articulation \| àbùdà ibi-ìs̩ énupè \| àwo̩ n àbùdá tí a lò láti ṣe ìyàtọ láàárín àwọn ibití a ṣé nu pè ìró \| \|---\|---\|---\|---\|---\| \| 235 \| plateauing \| A term used in au- tosegmental phonol- ogy for a type of rule in which a sequence of high–low–high tones is changed to high–high–high. The rule applies regard- less of whether the sequence appears in the same word or in separate words. A tone assimilation phenomenon oc- curs in some tone languages, in which non-high tones are assimilated to adja- cent high tones, as when the sequence HLH is assimilated to HHH \| ìso̩ dòkè \| O̩ ̀ ro̩ ̀-ìperí tí à ń lò nínú fono̩ ́lo̩ ́jì ajé̩mádápelení fún è̩yà òfin kan nípasè̩ èyí tí tè̩léńtè̩lé àwo̩ n ohùn òkè-ìs̩ àlè̩-òkè ti yí padà sí òkè-òkè-òkè. Òfin náà máa ń s̩ is̩ é láìwo pé bóyá tè̩léńtè̩lé náà je̩ yo̩ nínú o̩ ̀ro̩ ̀ kan-ùn tàbí nínú àwo̩ n o̩ ̀ro̩ ̀o̩ ̀to̩ ̀o̩ ̀to̩ ̀. Ìgbésè̩ àrànmo̩ ́ ohùn kan, tí ó máa ń wáyé nínú àwo̩ n èdè olóhùn kan nípasè̩ èyí tí àwo̩ n ohùn àìje̩ -òkè ti ràn mo̩ ́ àwo̩ n ohùn òkè è̩gbé̩ wo̩ n, bí ìgbá tí tè̩léńtè̩lé OIO bá ràn dí OOO. \| \| 238 \| posterior [-ant] \| Posterior sounds are produced with a pri- mary constriction behind the alveolar ridge; palate-alveo- lars, palatals, velars, uvular, and pharyn- geal are [-ant] \| aje̩ mé̩yìn [-iwájú] \| \|---\|---\|---\|---\| \| 239 \| post-nu- cleus \| Any material follow- ing the intonational nucleus within an in- tonational phrase. \| agbè̩yìn-odo \| \| 240 \| post-tonic \| (of a syllable or seg- ment) Occurring after the position of the stress, sometimes more specifically im- mediately after the stress. \| agbè̩yìn-àtè̩mo̩ ́: \| \| 241 \| Postvo- calic \| (of a segment) Oc- curring immediately after a vowel. \| agbè̩yìn-fáwè̩lì \| \| 242 \| pre-af- frication \| The phenomenon in which a conso- nant (most usually a voiceless plosive) preceded by a brief period of friction noise, as in [a˟k]. \| as̩ áájú ìso̩ dàs̩ és̩ í: \| \| 243 \| pre-nasal- ization \| The articulation of a segment, most often a plosive, with an initial brief period of airflow through the nasal cavity, as in the segment [ᵐb]. \| as̩ áá- jú-ìso̩ dàrán- múpè \| ìpe ègé kan, ní o̩ ̀po̩ ̀lo̩ po̩ ̀ ìgbà às̩ énupè, pè̩lú àkókò s̩ ókí ìbè̩rè̩ èémí tí ó ń gbà ihò imú jáde, bii nínú ègé [mb]. \| \|---\|---\|---\|---\|---\| \| 244 \| primary articula- tion \| In a segment that is articulated with constrictions at two different locations, that constriction is more radical (that is, which involves the tighter closure), the other being treated as a secondary articulation. \| ìs̩ énupè àko̩ ́ko̩ ́ \| Nínú ègé tí a pè pè̩lú àwo̩ n ìfúnpo̩ ̀ ní ààyè méjì o̩ ̀to̩ ̀o̩ ̀to̩ ̀, ìfúnpo̩ ̀ èyí tí ó jé̩ tí ìpìlè̩sè̩ jù (èyí tí ó ní ìpadé tí ó fún jù), ìkejì ní a mo̩ ̀ sí ìsé̩nupè e̩ lé̩è̩kejì. \| \| 245 \| privative opposition \| A privative opposi- tion is a binary one, where one member is seen as marked by the presence of a feature, which its opposite member lacks (i.e. it is ‘un- marked’), as in the /p/ v./b/ distinction in English, where the latter is seen as marked for voicing. \| ìs̩ èlòdì alójúlódì: \| As̩ èlòdì yí jé̩ alójúlódì níbí tí a ti rí ake̩ gbé̩ kan gé̩gé̩ bí alámì pè̩lú níní àbùdá kan tí ake̩ gbé̩ kejì kò ní (i.e. kò làámì) gé̩gé̩ bí nínú ìyàto̩ ̀ /p/ vs /b/ níbi tí ti ìke̩ yìn ti ní àmì ìkùnyùn. \| \| 246 \| prolonga- tion \| Unusual or abnor- mal lengthening of a sound during speech. \| ìfàgùn-àìto̩ \| Fífàgùn àìs̩ e ìgbàkúùgbà tàbíàìto̩ ìró kan nígbà tí a bá ń sàfo̩ ̀. \| \| 247 \| promotion \| The replacement of a primary place fea- ture by a secondary one. \| ìgbésíwájú \| fífi ìs̩ énupè è̩kejì ro̩ ́pò aláàko̩ ́ko̩ ́ \| The addition of a Fifi fáwè̩lì kan kún \| 249 \| propor- tional opposition \| A set of opposition that correspond in the same contrast. i.e., when members of two or more op- positions differ in the same way. e.g, the voicing contrast dis- tinguishing English Ip/-/b/, It/-/d/, Ik/-/g/. \| ìs̩ èlòdì o̩ ̀kan-ùn \| \|---\|---\|---\|---\| \| 250 \| Prosodic Hierarchy \| An approach to pho- nological organiza- tion that holds that phonological phe- nomena involving structures larger than a single segment can be linearly ordered into types applying to different prosodic domains such that each smaller domain is properly included within the next larger one. \| Ìpele Até̩re̩ re̩ \| \| 252 \| protected environ- ment \| An environment in which a segment is much less likely than elsewhere to undergo some phonological process, often es- pecially lenition or loss. \| sàkání as̩ èdáàbòbò \| \|---\|---\|---\|---\| \| 253 \| prosthesis \| A term used in pho- netics and phonol- ogy to refer to a type of intrusion, where an extra sound has been inserted ini- tially in a word. \| ìfìróbo̩ ̀-bè̩rè̩ \| \| 254 \| quantal vowel \| A vowel whose acoustic qualities are little affected by variation in its artic- ulation and whose perception is little affected by variation in its acoustic qual- ity: one of [i u a]. Stevens (1972). \| fáwè̩lì aníye \| \| 255 \| quantita- tive metre \| A type of rhythm based on the pho- nological weight of syllables and not upon stress, typical of verse in Ancient Greek and Classical Latin. \| Ìwo̩ ̀n-ìwo̩ ́hùn àtè̩wo̩ ̀n \| ̀ \| 256 \| quantity \| A term used in pho- nology to refer to the relative durations of sounds and syllables when these are lin- guistically contras- tive; also referred to as length. \| Iye/ìwo̩ n \| O̩ ̀ro̩ ̀-ìperí tí à ń lò nínú fono̩ ́lo̩ ́jì láti to̩ ́ka sí iye àkókò tí a fí pe àwo̩ n ìró àti àwo̩ n sílébù nígbà tí àwo̩ n wo̩ ̀nyí bá yàto̩ ̀ ní ìlànà lìngísíìkì; èyí tí a tún mo̩ ̀ sí gígùnsí. \| \|---\|---\|---\|---\|---\| \| 257 \| quanti- ty-insensi- tive feet \| In quantity-insen- sitive feet, all syl- lables are treated as equally light or equally heavy; there are no restrictions. \| è̩wo̩ n-atéńté aníwo̩ ̀n-àìgbe̩ gé̩ \| Nínú è̩wo̩ n-atéńté aníwo̩ ̀n-àìgbe̩ gé̩, gbogbo sílébù ni a máa rí bí afúyé̩ ní dído̩ ́gba tàbí atè̩wo̩ ̀n ní dído̩ ́gba. Kò sí òtéKankan. \| \| 258 \| quanti- ty-sensi- tive feet \| In quantity-sensi- tive feet, heavy syl- lables may not occur in recessive positions and are stressed. \| è̩wo̩ n-atéńté aníwo̩ ̀n-agbe̩ gé̩ \| Nínú è̩wo̩ n-atéńté aníwo̩ ̀n-agbe̩ gé̩, àwo̩ n sílébù atè̩wo̩ ̀n lè má je̩ yo̩ ní àwo̩ n ipò fo̩ ́nrán aláìgàba, wo̩ ́n sì máa ní àtè̩mo̩ ́. \| \| 259 \| quantity sensitivity \| In metrical phonol- ogy, a foot-shape pa- rameter governs the distribution of light and heavy syllables in the terminal nodes of feet. Quantity sensitivity may also be formalized using moras (as in metrical grid theory). The phenomenon occurs in some lan- guages, in which the position of the word accent is partly determined by the quantity of some syllable(s). \| ìwo̩ ̀n ìgbe̩ gé̩ \| Nínú fono̩ ́lo̩ ́jì ìwo̩ ̀n- ìwo̩ ́hùn ìlànà ìrísí è̩wo̩ n- atéńté tí ó ń de ìfo̩ ́nká àwo̩ n sílébù afúyé̩ àti atè̩wo̩ ̀̀̀n nínú àwo̩ n è̩wo̩ ́n agbè̩yìn è̩wo̩ ́n atéńté. Ìwo̩ ̀n ìgbe̩ gé̩ ni a tún lè so̩ dàìgbagbè̩fé̩ pè̩lú lílo mórà (gé̩gé̩ bíi nínú tío̩ ́rì gírìdì ìwo̩ ̀n-ìwo̩ ́hùn). ìgbésè̩, tí ó wáyé nínú àwo̩ n ède kan, nípasè̩ èyí tí ipò ásè̩ntì o̩ ̀ro̩ ̀ jé̩ dídámo̩ ̀ pè̩lú iye ìwo̩ ̀n sílébù. \| A distinctive feature Àbùdá apààlà tí ó lè ní \| 261 \| radical \| Pertaining to the root of the tongue. 2. (of a constriction) In- volving a complete or nearly complete obstruction of the vocal tract, as in the articulation of an ob- struent. 3. In some analyses, a super- ordinate feature of which [ATR] is a dependent. \| ìpìlè̩s̩ è̩ \| \|---\|---\|---\|---\| \| 262 \| Radical Underspe- cification (RU) \| A version of Under- specification The- ory that holds that, in every phonolog- ical position, one value or the other of each feature is the unmarked value, and that the un- marked value can- not be specified underlyingly; hence all underlying fea- ture specifications are of (contextu- ally) marked feature values. \| Ìso̩ do̩ ̀to̩ ̀-àyo̩ ́o̩ ́lè̩ Ìpìlè̩ \| \| 264 \| realization \| The phonetic form of a phonological representation, for instance, an allo- phone is a realiza- tion of a phoneme in some particular con- text. 2. By extension, any representation of a linguistic form which is less abstract (closer to the phonet- ics) than some other representation. \| ìje̩ yo̩ \| Ìrísí fòné̩tíìkì ìs̩ àfihàn fono̩ ́lo̩ ́jì. Fún àpe̩ e̩ re̩ è̩dà fóníìmù jé̩ ìje̩ yo̩ (ìs̩ àfi- hàn) fóníìmù nínú o̩ ̀gan- gan ipò kan pàtó. Ní kíkún èyíkéyìí ìs̩ àfihàn ìrísí lìngísíìkì kan, tí kò jé̩ afòyemo̩ ̀ jù (tí ó súnmo̩ ́ fòné̩tíìkì) ju ìs̩ àfihàn míìràn lo̩ . \| \|---\|---\|---\|---\|---\| \| 265 \| recessive \| In metrical phonol- ogy, a term used to refer to the nondom- inant elements in a foot. In left-domi- nant feet, all right nodes are recessive, and in right-dom- inant feet all left nodes are recessive. Recessive nodes do not branch. \| fo̩ ́nrán aláìgàba \| Nínú fono̩ ́lo̩ ́jì ìwo̩ n- ìwo̩ ́hùn o̩ ̀ro̩ ̀-ìperí tí a lò láti to̩ ka sí àwo̩ n fo̩ ́nrán aláìgàba nínú è̩wo̩ ́n- atéńté. Nínú è̩wo̩ n-atéńté agàba-òsì, gbogbo è̩wo̩ ́n apá-o̩ ̀tun ní wo̩ n dínkù, atí pe nínú è̩wo̩ ́n-atéńté àgàba-o̩ ̀tún gbogbo àwo̩ n è̩wo̩ ́n apá-òsì ní wo̩ ́n dínkù, àwo̩ n è̩wo̩ ́n aláìgàba kìí pè̩ka. \| \| 266 \| recessive rule \| In some theories of rule ordering, nota- bly partial ordering, a rule fails to apply when its structural description (SD) is met if there is an- other rule taking precedence over it whose SD is met at the same time. \| òfin fo̩ ́nrán aláìgàba \| Nínú àwo̩ n tío̩ ́rì títò òfin, pàápàá jùlo̩ tító e̩ lé̩be̩ , òfin tí ó ko̩ ̀ láti sìs̩ é̩ nígbà tí a ti té̩ àpèjúwe ìhun (AI) rè̩lo̩ ́rùn tí òfin míìran wà tí ó s̩ aájú rè tí a ti té̩ AI rè̩ lo̩ ́rùn nígbà kàn-náà. \| \| 267 \| recessive vowel \| In a language with dominant/recessive vowel harmony, In the right context, their dominant part- ners automatically substitute any of the vowels. \| fáwe̩ ̀lì àdínkù \| Nínú èdè tí ó ní àńkóò fáwe̩ ̀lì púpo̩ ̀/aláìgab̀ a, èy- íkéyìí nínú àwo̩ n fáwe̩ ̀lì tí àwo̩ n fáwè̩lì ake̩ gbé̩ agàbawo̩ n bá máa ń rópo̩ ̀ lé̩se̩ ̀ke̩ se̩ ̀ nínú àwo̩ n ipò as̩ éégbà kan. \| \|---\|---\|---\|---\|---\| \| 268 \| recogni- tion test \| A standard test of speech percep- tion, in which a set of spoken words is presented and a lis- tener asked to repeat, write down, or other- wise respond to the test items. \| ìdánwò ìdámò̩ \| Olórí ìdánwò gbígbo̩ ́ ifo̩ ̀, nípase̩ ̀ èyí tí a s̩ e àg- békale̩ ̀ àkójo̩ po̩ ̀ àwo̩ n o̩ ̀ro̩ ̀ àfe̩ nuso̩ tí a wa béèrè lo̩ ́wo̩ ́ òlùgbo̩ ́ kan pé kí o s̩ e àtúnpè wo̩ n, kí ó sí ko̩ àwo̩ n o̩ ̀ro̩ ̀ náà tàbí kí ó fèsì sí àyè̩wò àwo̩ n wún- re̩ ̀n náà. \| \| 269 \| redun- dancy rule \| Any rule, which states that some fea- ture, or behavior is entirely predictable from the presence of something else. \| òfin aléélè̩ \| Èyíkéyìí òfin tí ó ní pé àbùdá kan tàbí ìs̩ es̩ í kan máa ń jé̩ àmo̩ ̀té̩le̩ ̀ láti ara wíwá nǹkan mìíràn. \| \| 270 \| redun- dancy rule ordering constraint \| In some versions of Underspecification Theory, the require- ment that a redun- dancy rule supplying a feature value F must apply before any rule referring to F in its structural de- scription. This con- straint is designed to prevent the misuse of blanks. Arch- angeli (1984). \| òté títò òfin aléélè̩ \| Nínú àwo̩ n e̩ ̀yà tío̩ ́rì ìso̩ do̩ ̀tò-àyo̩ ́óle̩ ̀, ohun-a- fé̩ tí ó ní pé òfin alééle̩ ̀ apèsè ìwúlò àbùdá kan F nínú ìsàpèjúwe ìhun re̩ ̀. gbo̩ ́do̩ ̀ s̩ is̩ é̩ sáájú kí èyíkéyìí òfin tí ó ń to̩ ́ka sí F nínú àpèjúwe ìhun rè̩. Òté yìí wà láti dí lílo àwo̩ n ìs̩ òfo jù lo̩ ́wo̩ ́. \| The natural pitch Ipò ìró-ohùn àdánidá tí ó \| 272 \| register tone \| An unvarying level pitch on its syllable, with no upward or downward move- ment, realizes a par- ticular tone in a tone language. A tone lan- guage that uses such tones exclusively is a register tone language. e.g. in Yorùbá, the critical feature is the relative height of the syllabic pitches and not the direction in which they move. \| ohùn anípò-ìró-ohùn \| \|---\|---\|---\|---\| \| 273 \| repho- nologi-za- tion \| A type of phono- logical change in which the relations among phonemes are changed but not the number of phonemes or their distribution. \| ìtúnso̩ dí-fono̩ ́lo̩ ́- jì: \| \| 274 \| represen- tation \| Any conventional rendering of a piece of speech with a set of symbols or lin- guistic objects ap- propriate to some particular level of analysis. \| ìs̩ àfihàn/ ìdúrófún \| \| 275 \| resyllabi- fication \| It refers to a reanal- ysis that alters the location of syllable boundaries. It is a process that applies during a derivation to move segments from one syllable to another. For exam- ple, when French bete ‘beast’ [bɛtə] loses its schwa, the [t] must be moved from the second syl- lable to the first. \| ìtúnso̩ dísílébù \| \|---\|---\|---\|---\| \| 276 \| right-dom- inant feet/ right- headed foot \| In Metrical Phonol- ogy, a foot whose most prominent el- ement (its head) comes last. \| è̩wo̩ n-atéńté, agàba-o̩ ̀tún/ alórí-o̩ ̀tún \| \| 277 \| rounded \| Feature of sounds that are produced when the lips form a round shape when viewed from the front and are pro- truded when viewed from the side. \| roboto [+roboto] \| Conclusion In this essay, we discussed the formulation of Yorùbá Phonology terms, ninety-one (91) terms were formulated from English phonology terms covering letters P, Q and R. We made use of the Information Processing Model (IPM) framework and employed term creation processes such as expansion, conversion, revival of old words, composition or compounding, affixation, blending, acronyms, abbreviations, clipping borrowing: borrowing, coinage, vowel coalescence, assimilation insertion deletion, idiomatization, ideophonization and euphemism. Some of the terms developed are Some of the terms developed are palatalization ìso̩ dàfàjàpè, paragoge ìfìró-bo̩ ̀parí, parasitic harmony àǹkóò àfòmo̩ ́, parse ìpínsífo̩ ́rán-ìhun, partial overlapping ìwo̩ nú-ara e̩ lé̩be̩ , phonaestheme fóníìmù-àyo̩ túnyo̩ , phonemic overlapping ìpòórá fóníìmù, phonological phrase boundary ààlà àpólà fono̩ ́lo̩ ́jì, phonological prime fo̩ ́nrán-akérépin fono̩ ́lo̩ ́jì, quantity-sensitive feet è̩wo̩ n-atéńté aníwò̩ n-agbe̩ gé̩ , recessive vowel fáwè̩ lì àdínkù, redundancy rule òfin aléélè̩. References Agbéyangí, F.. Development of Machine Translation System for Simple Yorùbá Sentences. In Adegbite et al. (eds.) (2013) Linguistics and Glocalisation of African Languages for Sustainable Development. Ibadan: Universal Akada Books Ltd. Abraham, R.C. A Dictionary of Modern Yorùbá. London: University of London Press (1958). Archangeli, Diana. Underspecification in Yawelmani phonology and morphology. Unpublished Ph.D. dissertation, MIT (1984). Awóbùlúyì, O̩ Yorùbá Metalanguage. Vol. II, Ibadan; University Press Limited. (ed.) 1990. Bámgbos̩ é, A. Yorùbá Metalanguage. Vol. 1 Ibadan; University Press Limited (ed.) 1984. Awóbùlúyì, O̩ . Yorùbá Must Not Die Out. Faculty Lecture: The Faculty of Arts, Obafemi Awolowo University, Ile-Ife, Nigeria (2014)6th February. Booij, G Morphological Analysis in Bernd Heine and Heiko Narrog (eds.), The Oxford Handbook of Grammatical Analysis. Oxford: Oxford University Press, (2009) 563-589. Chomsky, N. and Halle, M. The Sound Pattern of English New York: Haper and Row (1968). Cabre, M.T. Terminology Theory, Methods and Applications. Amsterdam: John Benjamins Publishing Company (1990). Crystal, D.. A Dictionary of Linguistics and Phonetics. Malden: Blackwell Publishing (2008). Eludiora The design implementation of a calendar software system in Adegbite et al. (eds.) et.al (2013) Linguistics and Glocalisation of African Languages for Sustainable Development. Ibadan: Universal Akada Books Ltd. E̩ je̩ ba, O. Igala Numeral System: A Proposal for Modification in Adegbite et al. (eds.) 2013. Linguistics and Glocalization of African Languages for Sustainable Development.Ibadan: Universal Akada Books Ltd. Fákíndé, J.K. Yorùbá Modern Practical Dictionary. New York: Hippocrene Books INC (2003). Federal Government of Nigeria (FGN) Constitution of the Federal Republic of Nigeria (1999). Federal Government of Nigeria (FGN) Quadrilingual Dictionary of Legislative Terms Lagos (1991). Giegerich, Hans J. Metrical Phonology and Phonological Structure: German and English. Cambridge: Cambridge University Press (1985). Hyman, L. Phonology, theory and analysis, New York: Holt, Rinehart and Winston (1975). Goldsmith, J. Autosegmental Phonology. Indiana University Linguisti Club (1976.) Kó̩mo̩ láfé̩, O.E..Enhancing the Term Generation Power of the Information Processing Model of Term Creation. In Adegbite et al. (eds.) 2013Linguistics and Glocalisation of African Languages for Sustainable Development. Ibadan: Universal Akada Books Ltd. 161-171. Martinet, A. 'Un ou deux phonemes?' Acta Linguistica (1939.)1: 94-103. Reprinted in A. Martinet (1968), La Linguistique synchronique:etudes Labov, W. Principles of Linguistic Change, vol. 1: Internal Factors.Oxford: Blackwell (1994). et recherches, 2nd edition, pp. 109-123. Paris: Presses Universitaires de France. Nigeria Educational Research and Development Council (NERDC) 1990.A Vocabulary of Primary Science and Mathematics in Nine Nigerian Languages. Vol.1 Enugu: Fourth Dimension Publishing Co. Ltd. for NERDC. McCarthy, J. OCP effects: gemination and antigemination. (1986) LI 17:207-263. O̩ dé̩táyò̩, J.A. Ìwé Ìtúmò̩ Ò̩rò̩ Ìmò̩ È̩dá-Àrígbéwo̩n Yorùbá Dictionary of Engineering Physics Lagos: University of Lagos Press (1993) Olúbò̩dé-Sawè̩, F. Yorùbá Vocabulary for Building Construction. Unpublished, Ph.D. Thesis, Adekunle Ajasin University (2010) O̩ láté̩jú, A..Language Engineering and Democracy in Nigeria: The example of the Yorùbá Language in Owólabí and Dasylva (eds.) 2004 Forms and Functions of English and Indigenous Languages in Nigeria, Ibadan: Group Publishers, 417-436. Olúpònà, O. O. Devising Yorùbá Terminology for Human Diseases. Unpublished, A Master's Project submitted to the Department of Linguistics and African Languages, University of Ibadan, Nigeria (2017) Owólabí, K. Nigeria's Native Language Modernization in Specialized Domain for National Development: A Linguist Approach. Ibadan: University of Ibadan (2006) Owólabí, K. Developing a Strategy for the Formulation and Use of Yorùbá Legislative Term in Owólabí and Dasylva (eds.) Forms and Functions of English and Indigenous Languages in Nigeria, Ibadan: Group Publishers. (2004) 397-416. Owólabí, K. Ìjìnlè̩ Ìtúpalè̩ Èdè Yorùbá: fòné̩tíìkì àti fono̩ ́lo̩ ́jì. Universal Akada Books Nigeria Limited (2011) Oyèbádé, F. A Course in Phonology. Ijebu-Ode: Shebiotimo Publication (2008). Oxford Advanced Learner's Dictionary of Current English. Sixth edition 2000.Oxford; Oxford University Press. Sager, J.C. A Practical Course in Terminology Processing. Amsterdam: John Benjamins Publishing Company (1990). Stevens, Kenneth N.. The quantal nature of speech: evidence from articulatory-acoustic data. In E. E. David and ~ B. Denes(eds), Human Communication: a Unified View, (1972)pp. 51-56. New York: McGraw-Hill. Sommerstein, Alan H. Modern Phonology. London: Edward Arnold (1977) Trask, R. L. A Dictionary of Phonetics and Phonology. London and New York: Routledge (1996) Wells, John C. Syllabification and allophony. In S. Ramsaran (ed.), Studies in the Pronunciation of English: a Commemorative Volume in Honour of A. c. Gimson, (1990b)pp. 76-86. London: Routledge. Yule, G. Tone in Tone Languages. Cambridge University Press (1985) Wiktoria G. et al (2009) A Linguistic-based approach to term extraction from corpora in the biomedical domain.1MIG INRA UR1077, Domaine de Vilvert, F-850 Jouy-en- Josas, France 2 2LaTTiCe UMR 8094 CNRS, 1 rue Maurice Arnoux, F-92120 Montrouge, France. Yusuf, O. An Introduction to Linguistics. Ijebu-Ode Nigeria: Shebiotimo Publication (1992) Yusuff. L.ALexical Morphology in Yorùbá Language Engineering (. 2008) Unpublished: A PhD Thesis submitted to the Department of Linguistics and Asian Studies, University of Lagos, Nigeria.
REZUMAT TEZĂ DE DOCTORAT Limfadenectomia ca factor de prognostic în cancerul gastric Doctorand Nicoleta Emilia Nicolescu Conducător de doctorat Liviu Vlad CUPRINS 4.5. Discuţii 140 CUVINTE CHEIE: cancer gastric, invazie limfatică, metastaze ganglionare, limfadenectomie, factori de pronostic, supraviețuire. STADIUL ACTUAL AL CUNOAŞTERII Principala cale de diseminare a cancerului gastric este cea limfatică iar acest aspect a fost descris pe larg în prima parte a tezei în mai multe capitole: Stadializarea cancerului gastric, Diseminarea limfatică a cancerului gastric, Drenajul limfatic al stomacului, Ganglionul santinelă, Tratamentul chirurgical – limfadenectomia, Diseminarea limfatică - factor prognostic în cancerul gastric, Limfadenectomia - factor de prognostic în cancerul gastric. CONTRIBUŢIA PERSONALĂ 1. Ipoteza de lucru/obiective Teza de doctorat abordează un subiect destul de controversat în literatura de specialitate: extinderea limfadenectomiei și rolul acesteia în prognosticul pacienților cu cancer gastric. Contribuția personală a constat în: - studierea și repartiția cazurilor de cancer gastric din punct de vedere a invaziei limfatice, al numărului de ganglioni excizaţi şi pozitivi, N-ratio și pN; - evidenţierea factorilor care cresc riscul diseminării limfatice; - determinarea de corelații între prezența invaziei limfatice și metastazarea ganglionară, N ratio și pN; - studiul limfadenectomiei efectuate, din punct de vedere al extensiei, a morbidității și mortalității aferente; Obiectivul principal a studiului a constat în evidențierea rolului diseminării limfatice și a limfadenectomiei în prognosticul cancerului gastric. 2. Metodologie generală Studiul s-a efectuat prospectiv pe un număr de 184 cazuri cu diagnosticul de cancer gastric, la care s-a practicat rezecţie gastrică cu limfadenectomie, în perioada 2006-2007, la Clinica Chirurgie III Institutul Regional de Gastroenterologie-Hepatologie, Cluj-Napoca şi Institutul Oncologic Cluj Napoca. Studiul a fost început sub îndrumarea Prof. Dr. Lucian Lazar la catedra de Chirurgie Oncologică și continuat sub îndrumarea Prof. Dr. Liviu Vlad la catedra de Chirurgie. Cazuistica a fost împarţită în două loturi: lotul I care conţine 14 cazuri cu early cancer şi lotul II cu 170 cazuri de cancer gastric avansat. Din protocoalele operatorii au fost obținute date despre extensia macroscopică a tumorii, prezenţa şi localizare adenopatiei și limfadenectomiile efectuate. Adenopatia intraoperatorie a fost raportă la localizarea anatomică a acesteia (sistemul japonez). Stadializarea bolii s-a efectuat postoperator, pe baza examenului histopatologic al piesei de rezecţie, conform sistemului TNM. Rezultatele histopatologice au oferit date despre aspectul macroscopic, dimensiunile tumorii, clasificarea Lauren, invazia locală și limfatică, numărul ganglionilor excizaţi și pozitivi, G, stadializarea TNM. Supravegherea pacienţilor până la începutul anului 2011, a fost destul de dificilă datorită necomplianţei acestora. O parte au fost monitorizaţi prin controale periodice din 6 în 6 luni, efectuându-se astfel şi investigaţiile necesare depistării recurenţei bolii. Despre ceilalţi s-a aflat doar data eventualului deces. 3. Studiu I. Diseminarea limfatică și limfadenectomia ca factori prognostici în cancerul gastric incipient Material şi metodă Lotul I include 14 pacienţii diagnosticaţi cu early cancer, 7,6% din cazuistică. Toţi au beneficiat de tratament chirurgical cu intenţie de radicalitate: rezecţie gastrică şi limfadenectomie. Diagnosticul de cancer incipient a fost stabilit postoperator de examenul histopatologic al piesei de rezecţie. Cazurile au fost repartizate și studiate în funcție de: vârstă, sex, anemie, adenopatii intraoperatorii, dimensiunile şi aspectul macroscopic (clasificarea japoneză), invazia locală, aspectul microscopic (clasificarea Lauren), G, invazia limfatică, metastazarea ganglionară, stadializarea TNM, limfadenectomia efectuată. Între datele morfo-clinice obținute au fost efectuate numeroase corelații cu scopul determinării factorilor de risc pentru invazia limfatică și metastazarea ganglionară, a rolului diseminării limfatice și a limfadenectomiei asupra prognosticului pacienţilor cu cancer gastric incipient. Rezultate Caracterizare lot I Invazia limfatică a fost negativă la 71% dintre pacienţii cu early cancer (10 cazuri) şi pozitivă la 28,6% dintre aceştia (4 cazuri). Pentru o stadializare corectă pN în sistemul TNM este necesară histologia ≥15 ganglioni, în 6 cazuri (42,85%) numărul nodulilor limfatici examinaţi fiind <15. La toate aceste cazuri nu s-au evidenţiat determinări secundare ganglionare iar stadializarea lor a fost pN0. Dintre cazurile ≥15 ganglioni excizați 4 au fost pN0 și N ratio 0%, 2 cazuri pN1 au fost cu N ratio 10,1-30%, iar 2 cazuri pN2 au fost N ratio >30%. Numărul ganglionilor excizaţi au variat între minim 3 şi maxim 30 (media 14,71), iar numărul ganglionilor pozitivi au fost minim 0 şi maxim 14 (media 2). Rata ganglionilor metastazaţi (N ratio) a fost între 0,0-53,84%. Aproape trei sferturi dintre cazuri au fost cu N ratio 0%. Examenul histopatologic a evidenţiat metastaze ganglionare la 4 pacienţi (28,6%), câte 2 cazuri pN1 şi pN2 și 10 pacienţi (71,4%) pN0. La toate cazurile s-a intervenit chirurgical efectuându-se rezecţie gastrică cu intenţie curativă şi limfadenectomie. S-a practicat D1 la 12 pacienţi (85,7%) şi D1,5 (D1+α) la 2 pacienţi (14,3%). Pentru cele 3 cazuri cu adenopatie macroscopică din staţia ganglionară 1 s-a practicat D1, iar la cele 2 cazuri cu ganglioni în staţie 2 s-a practicat D1,5. Raportat la stadializarea TNM, cele 2 limfadenectomii D1,5 s-au practicat la pacienţi în stadiul pIB şi pII, D1 efectuându-se la toţi ceilalţi pacienţi cu cancer gastric incipient. Complicaţii postoperatorii au apărut la un singur pacient cu limfadenectomie D1,5, tratamentul conservativ fiind suficient. Nu a fost niciun deces. Determinarea riscului invaziei limfatice Invazia limfatică a fost mai frecventă la pacienții de sex masculin, la cei fără anemie, în prezența adenopatiei, la tumorile tip IIc și III, <= 2 cm, difuze, G3 și G4, care invadează submucoasa și aparțin stadiilor IB și II. Doar stadiul TNM pare să fie factor care influențează semnificativ invazia limfatică dar nici acesta nu a reprezintat factor de risc independent pentru invazia limfatică. Determinarea riscului metastazării ganglionare Numărul ganglionilor metastazaţi a fost mai mare la pacienții de sex masculin, fără anemie, cu adenopatie, cu tumori de aspect macroscopic tip IIc și microscopic de tip intestinal, cu dimensiuni >2 cm, G3 și G4 și care invadează submucoasa. Anemia preoperatorie și invazia locală par să fie factori care influențează la limita semnificaţiei statistice metastazarea limfonodulară, însă doar anemia a reprezentat un factor predictiv independent (factor de protecție) pentru numărul de ganglioni metastazați N ratio a avut valori crescute la pacienții de sex masculin, fără anemie, cu adenopatie intraoperatorie, cu tumori tip IIc (aspect macroscopic), >2 cm, de tip intestinal (clasificare Lauren), G3 și G4 și care invadează submucoasa. Anemia și gradul de diferențiere tumorală influențează semnificativ N ratio, însă doar anemia a reprezentat un factor predictiv independent (factor de protecție). Relaţia dintre invazia limfatică şi metastazarea ganglionară Pacienţii cu invazie limfatică au prezentat în medie 7±5,09 ganglioni pozitivi spre deosebire de cei fără invazie care au fost fără metastazare ganglionară. N ratio a fost în medie de 32%±17,83% la pacienţii cu invazie limfatică faţă de 0% pentru cei fără invazie limfatică. Diferența ȋntre cei cu vs fǎrǎ invazie limfatică a fost semnificativă statistic pentru ganglionii pozitivi (p=0.001) şi pentru N ratio (p<0.001). La toţi pacienţii cu invazie limfatică pozitivă au fost evidenţiate metastaze ganglionare fiind stadializaţi pN1 (50%) şi pN2 (50%), cei fără invazie limfatică fiind doar în stadiul pN0 (p=0,001). Supravieţuirea raportată la factorii de prognostic ai cancerul gastric Dintre cei 14 pacienţi cu early cancer au decedat 3 (21,42%). Un pacient în stadiul II a decedat la 3 luni de la intervenţia chirurgicală, unul stadializat IB a decedat la 1 an și al treilea din stadiul IB a decedat după 2 ani. La toţi cei 3 pacienţi cu cancer incipient care au decedat au fost evidenţiate adenopatii (p=0.02). Pacienții cu adenopatii au avut o supraviețuire semnificativ mai redusǎ (p=0,05). La cei decedaţi au fost pozitivi în medie 4.67±2.51 ganglioni vs 1.27±4.2 la cei care nu au decedat. La cei 3 pacienţi cu cancer incipient care au decedat invazia limfatică a fost pozitivă (p=0.01). A existat o diferențǎ semnificativ statisticǎ ȋntre supraviețuirea pacienților cu vs fǎrǎ invazie limfaticǎ (p=0,04). La cei decedaţi valoarea N ratio a fost în medie 24,97%±12,82% vs 4,89%±16,23% la cei care nu au decedat (p=0,07). Au decedat cei 2 pacienţi cu valori ale N ratio între 10-20% şi 1 pacient cu N ratio >30% (p=0.004). Supraviețuirea cea mai bunǎ s-a ȋnregistrat la cei cu valoarea cea mai redusǎ a N ratio. Toţi pacienţii cu cancer gastric incipient care au decedat au prezentat metastaze ganglionare. Două cazuri au aparţinut stadiului pN1 iar un caz a fost în stadiul pN2 (p=0,004). Pacienții cu pN0 au avut cea mai bunǎ supraviețuire (100% la 54 luni). Tipul limfadenectomiei nu a influenţat semnificativ nici decesul şi nici supravieţuirea pacienţilor cu cancer gastric incipient. Din punct de vedere al limfadenectomiei practicate, la 2 dintre cazurile decedate s-a efectuat D1 şi la un caz D1,5. Dintre cei 12 pacienţi cu limfadenectomie D1 au decedat 20%, iar dintre cei 2 cu limfadenectomie D1,5 au decedat jumătate. 4. Studiu II. Diseminarea limfatică și limfadenectomia ca factori prognostici în cancerul gastric avansat Material şi metodă Lotul II cuprinde majoritatea cazurilor aflate în studiu (170, 92,4%), cu cancer gastric avansat la care s-au efectuat rezecții gastrice cu intenție de curabilitate și limfadenectomie. Cazurile au fost repartizate și studiate în funcție de: vârstă, sex, anemie, adenopatii, dimensiunile şi aspectul macroscopic (clasificarea Bormann), pT, aspectul microscopic (clasificarea Lauren), G, invazia limfatică, pN, stadializarea TNM, limfadenectomia efectuată. Cazurile incluse în studiul limfadenectomiei au fost doar cele fără metastaze M1 (18 cazuri) Supraviețuirea a fost determinată doar la 116 pacienți la care intervenția chirurgicală a fost curativă, fără cazurile cu metastaze și fără cele cu rezecții R1. Splenectomia a fost efectuată în prezența invaziei locale sau/și în prezența adenopatiei arterei splenice şi din hilul splenic. Pancreatectomia caudală s-a realizat datorită invaziei locale sau adenopatiei arterei splenice. Între datele morfo-clinice obținute au fost efectuate numeroase corelații cu scopul determinării factorilor de risc pentru invazia limfatică și metastazarea ganglionară, a rolului diseminării limfatice și a limfadenectomiei asupra prognosticului pacienţilor cu cancer gastric avansat. Rezultate Caracterizare lot II În protocoalele operatorii specificată adenopatia la 57 pacienţi (33,5%), adenopatiile fiind descrise la 113 pacienţi (66,5%). Majoritatea pacienţilor au prezentat adenopatii în primele două staţii ganglionare: la 36 (31,85%) pacienţi la nivelul staţiei 1, la 29 (25,66%) pacienţi la nivelul staţiei 2 şi la 32 (28,31%) pacienţi, ganglionii au fost evidenţiaţi în ambele staţii ganglionare. Au fost 4 cazuri (3,53%) cu adenopatie în staţia ganglionară 3, 2 cazuri (1,76%) cu ganglioni în staţiile 2 şi 3 şi 4 cazuri (3,53%) cu adenopatie prezentă la nivelul celor 3 staţii. Invazia limfatică a fost pozitivă la 138 pacienți (81,2%). Numărul ganglionilor excizaţi variază între minim 1 şi maxim 73 (media 20,14). Numărul ganglionilor pozitivi a fost minim 0 şi maxim 51 (media 9,36). Doar 18,8% dintre pacienţi au fost fără metastaze ganglionare. Rata ganglionilor metastazaţi (N ratio) a fost între 0,0-100,0% (media 44,92%). Mai mult de jumătate dintre cazuri (54,9%) au fost cu N ratio >30%. La cel puțin 50% dintre pacienți au fost excizați cel puțin 18 ganglioni, au fost pozitivi cel puțin 7 ganglioni, iar N ratio >40%. pN - fără metastaze ganglionare (pN0) la 32 (18,8%) dintre pacienţii cu cancer gastric avansat. În stadiul pN1 au fost 48 pacienţi (28,2%), în stadiul pN2 au fost 51 pacienţi (30,0%) iar în stadiul pN3 au fost 39 pacienţi (22,9%). La 32,9% dintre pacienţi numărul ganglionilor examinaţi a fost <15. Există diferență semnificativă între procentele pacienților încadrați la un anumit pN între cei la care s-au excizat ≥15 ganglioni versus cei care s-au excizat <15 ganglioni. Cazurile incluse în studiul limfadenectomiei au fost doar cele cu intervenție chirurgicală cu intenție de radicalitate. Din cele 170 de cazuri cu cancer gastric avansat au fost excluse cele cu metastaze M1 (18 cazuri). La aproape trei sferturi dintre pacienți s-a practicat limfadenectomie D1, la restul pacienților efectuându-se D2 ± splenectomie±rezecție pancreatică. D2+splenectomie s-a efectuat dacă tumora a invadat hilul splinei sau dacă au fost depistate adenopatii în stațiile ganglionare 10 și 11. D2+splenectomie+pancreatectomie caudală s-a practicat când au fost depistate adenopatii la nivelul hilului splenic și/sau arterei splenice sau invazie locală în capsula pancreatică. D1 s-a practicat pentru 90% dintre cancerele gastrice cu adenopatie în stația ganglionară 1, pentru jumătate dintre cele cu adenopatie în stațiile 1+2 și 2, pentru trei sferturi dintre cele cu ganglioni prezenți la nivelul tuturor stațiilor ganglionare și pentru toate cazurile cu adenopatie în stațiile 3 sau 2+3. D2±splenectomie±pancreatectomie, s-au practicat pentru jumătate dintre tumorile cu adenopatie localizate în stațiile ganglionare 1+2 sau 2. Prin D1 s-au excizat în medie 18,6±10,25 ganglioni (minim 3, maxim 67) iar prin D2 media ganglionilor excizaţi a fost de 24,05±14,10 (minim 4, maxim 73), diferenţa având semnificaţie statistică. D1 s-au efectuat mai ales pentru tumorile pN0 și pN1. D2 completate sau nu cu splenectomii și rezectii pancreatice au fost mai des efectuate la cazurile pN2 și pN3. Pentru tumorile stadializate pIB, pII, pIIIA, pIIIB s-au practicat în special D1. Pentru aproape jumătate dintre tumorile pIV s-au efectuat D2 completate sau nu cu splenectomie sau rezecție pancreatică. Morbiditate în funcție de extinderea limfadenectomiei a fost la limita semnificaţiei statistice: D2+splenectomie - 31,3%, D2+splenectomie+pancreatectomie - 25%, D1 - 12,2% și D2 - 0%. Există diferență semnificativă între tipurile de limfadenectomii și în ceea ce privește producerea unei anumite complicatii. Mortalitatea a fost mai mare după D2 (5,12%) decât după D1 (3,53%). La toţi pacienţii cu D2 care au decedat postoperator, limfadenectomia a fost completată cu splenectomie. Determinarea riscului invaziei limfatice Cele două sexe au fost relativ egal afectate de invazia limfatică. Pacienții care au prezentat invazie limfatică au avut o vȃrsta semnificativ mai redusǎ comparativ cu cei fǎrǎ invazie limfaticǎ (p=0,05). Invazia limfatică a fost mai rară la pacienţii cu anemie faţă de cei fără anemie (p=0,03). Anemia pare să ofere o oarecare protecţie împotriva invaziei limfatice la pacienţii cu cancer gastric. Nu s-a evidențiat diferență semnificativă statistic ȋntre diferitele localizǎri ȋn ceea ce priveşte prezența invaziei limfatice. Invazia limfatică a fost mai frecventă la pacienţii cu adenopatii intraoperatorii decât la cei fără. Incidenţa invaziei limfatice a fost mare la toate tumorile indiferent de tipul Bormann. Invazia limfatică a fost întâlnită mai frecvent la tumorile mixte, apoi la cele de tip difuz, fiind mai rară, dar totuşi într-un procent ridicat și la cele de tip intestinal. Invazia limfatică a fost des evidenţiată la tumorile G3 și G4 decât la cele G1 și G2. Invazia limfatică a crescut paralel cu invazia tumorii în peretele gastric, fiind pozitivă la aproape toate tumorile pT3 şi la toate tumorile pT4 (p=0,001). Invazia limfatică a lipsit la toate tumorile din stadiul pIB (0%) dar a fost prezentă la toate tumorile din stadiul pIIIA, pIIIB și pIV (100%) (p<0,001). Utilizȃnd analiza univariată, dintre factorii de risc, vârsta, anemia, pT şi stadiul TNM reprezintǎ variabile care contribuie semnificativ la predicția invaziei limfatice. Doar prezența stadiului TNM I sau II, respectiv prezența anemiei au fost factori predictivi independenți și protectivi contra apariției invaziei limfatice. Determinarea riscului metastazării ganglionare La femei metastazarea ganglionară a fost mai frecventă decât la bărbaţi, media ganglionilor pozitivi fiind de 10,53±10,85 faţă de 8,75±8,89. Și numărul maxim de ganglioni pozitivi a fost mai mare la femei făță de bărbați (51 ganglioni vs 37 ganglioni). N ratio a avut valori aproape egale la cele două sexe. Numărul cazurilor repartizate unui anumit stadiu pN a fost aproximativ egal indiferent de sexul pacienților, excepţie face doar pN2 unde numărul bărbaţilor este aproape dublu faţă de al femeilor. Anemia nu pare să influenţeze metastazarea ganglionară. Numărul ganglionilor pozitivi a fost mai mare și aproximativ egal pentru tumorile localizate în 1/3 superioară, 1/3 medie și 1/3 inferioară+medie față de tumorile din 1/3 inferioară sau cele difuze (p=0,04). Și N ratio a fost aproape aceeași pentru tumorile din 1/3 superioară, 1/3 medie și 1/3 inferioară+medie fiind mai mare decât cele din 1/3 inferioară sau cele difuze. Numărul și rata cea mai mare de ganglioni metastazaţi au fost evidenţiate la tumorile tipul IV şi la cele de tipul III (clasificarea Bormann). Atât numărul ganglionilor pozitivi (p<0.05) cât şi N ratio (p<0.05) a diferit semnificativ în funcţie de tipul macroscopic. Numărul ganglionilor pozitivi a fost mai mare la pacienții cu adenopatie intraoperatorii (p=0,005). N ratio a fost aproximativ egal indiferent de prezența sau absența adenopatiei. Mai mult de jumătate dintre cazurile fără adenopatie au fost stadializate pN0 și pN1 spre deosebire de cele cu adenopatie dintre care marea majoritate au aparținut stadiilor pN2 și pN3 (p=0,003). Tumorile difuze au metastazat ganglionar mai frecvent decât cele de tip mixt sau intestinal. N ratio a fost mai mare la tumorile mixte, urmat de cele difuze şi cele de tip intestinal. Tumorile difuze au predominat în stadiile pN2 și pN3, mai mult de jumătate dintre cele de tip intestinal au fost în stadiile pN0 și pN1, iar jumătate dintre tumorile mixte au fost pN2 (p=0,02). Numărul și rata metastazelor ganglionare au fost crescute la tumorile G4 și G3 (p<0.05, respectiv p=0.05). Tumorile G1 și G2 au fost stadializate mai frecvent pN0 și pN1 spre deosebire de tumorile G3 și G4 care au predominat în stadiile pN2 și pN3. Utilizȃnd regresia multiplǎ, prezența adenopatiilor macroscopice, localizarea tumorii, aspectul macroscopic (clasificarea Bormann) şi stadiul TNM au fost factori independenți de risc pentru predicția numǎrului de ganglioni pozitivi. Invazia locală a determinat creşterea numărului ganglionilor pozitivi și a N ratio (p<0,001). Majoritatea tumorilor pT2 au fost stadializate ca pN0 și pN1, majoritatea tumorilor pT3 au fost pN2 și pN3, iar dintre tumorile pT4, majoritatea au fost în stadiul pN3 (p<0,001). Analiza multivariată pentru N ratio arată că localizarea tumorii, aspectul macroscopic (clasificarea Bormann) şi stadiul TNM au reprezentat factori independenți de risc pentru predicția ratei de metastazare ganglionară. Analiza multivariată pentru pN arată că vârsta, lipsa adenopatiilor, tip Lauren difuz şi pT3 au reprezentat factori independenți de predicție pentru stadializarea pN. Vârsta şi lipsa adenopatiilor au fost factori protectivi. Relaţia dintre invazia limfatică şi metastazarea ganglionară Media ganglionilor pozitivi la pacienții cu invazie limfatică a fost de 11,51±9,43 față de 0,06±0,35 la pacienții fără invazie limfatică (p<0.001). N ratio a avut o medie de 55,24%±31,81% la cei cu invazie limfatică pozitivă în comparație cu 0,41%±2,35 la cei fără invazie limfatică (p<0.001). Niciunul dintre pacienții pN0 nu au avut invazie limfatică. Toate tumorile clasificate pN1, pN2 și pN3 (100%) au prezentat invazie limfatică pozitivă (p<0.001). Relaţia dintre numărul ganglionilor excizați, N ratio și pN Pentru o stadjializare corectă a determinării metastazelor ganglionare este necesară analiză histopatologică a ≥15 ganglioni, în 56 cazuri (32,9%) numărul acestora fiind <15. Dintre aceștia 26,78% (15 cazuri) au fost în stadiul pN0, 39,78% (22 cazuri) în pN1, 32,14% (18 cazuri) în stadiul pN2 și 1,78% (1 caz) în pN3. A existat diferență intens semnificativă între procentele pacienților încadrați la un anumit pN cei la cei care s-au excizat ≥15 ganglioni versus cei care s-au excizat <15 ganglioni (p<0.001). La pacienții cu <15 ganglioni disecați, din punct de vedere al ratei de metastazare ganglionară, la pacienții pN0, N ratio a fost 0%. Dintre cei pN1 54,5% au fost cu N ratio 10,1-30% și 45% au fost cu N ratio >30%. Marea majoritate dintre pacienții pN2 au avut >30% ganglioni metastazați restul fiind cu N ratio 10,1-30%. La toți pacienții stadializați pN3, N ratio a fost >30%. La cazurile cu <15 ganglioni excizați relația dintre pN și N ratio a fost intens semnificativă statistic (p<0.001). Supravieţuirea raportată la factorii de prognostic ai cancerul gastric Au decedat 63,6% dintre cei cu invazie limfatică spre deosebire de 32,1% dintre cei fără invazie limfatică (p=0.003). Pacienţii fără invazie limfatică au supravieţuit mai mult. Adenopatia a influențat la limita semnificației statistice decesul (p=0.07). Nu a existat o diferențǎ semnificativă statistic ȋntre supraviețuirea pacienților cu vs fǎrǎ adenopatie. Decesul și supraviețuirea nu au fost influenţate statistic de către numărul ganglionilor excizaţi, cu toate că cei cu număr mai mare de ganglioni excizați au trăit mai mult. Decesul pacienților cu cancer gastric avansat a fost semnificativ influențat de numărul ganglionilor pozitivi (p=0.002), de N ratio (p=0.04) și de stadializarea pN (p=0.003). Supraviețuirea pacienților cu cancer gastric avansat a fost semnificativ mai bună la cei cu număr redus de ganglioni pozitivi (p=0,004), cu N ratio scăzut (p=0,07) și cu stadiul pN cât mai mici (p=0,01). Nu a existat diferenţă semnificativă între proporţia celor decedaţi la cei cu D1 vs D2 (± splenectomie și pancretectomie) dar s-a abservat o îmbunătățire a supraviețuirii după D2 față de D1 (16,3% vs 13,7%). La pacienții cu D2+splenectomie±pancreatectomie decesul a fost mai frecvent decât la pacienții cu D2 sau D1 diferența fiind semnificativă statistic. Efectuarea splenectomiei±pancreatectomie în completarea D2 a scăzut supravieţuirea. La pacienții cu invazie limfatică, supraviețuirea a fost mai bună după D2 în comparație cu D1. La cei fără invazie limfatică supraviețuirea a fost mai bună după D1 față de D2, diferența fiind la limita semnificației statistice (p=0,08). Supraviețuirea pacienților cu cancer gastric avansat indiferent de prezența metastazelor ganglionare a fost mai bună dacă a fost efectuată limfadenectomie D2. La cei fără ganglioni pozitivi, D2 a influențat semnificativ prognosticul (p=0,01). 5. Concluzii generale 1. Majoritatea cazurilor aflate în studiu (92,4%) au fost diagnosticate cu cancer gastric avansat, doar 7,6% din cazuri fiind cu early cancer. 2. Invazia limfatică a fost pozitivă la 29% dintre pacienţii cu early cancer și la 81,2% dintre cei cu cancer avansat. 3. Media ganglionilor excizați a fost de 14,71, la cazurile cu early cancer și de 20,14 la cazurile cu cancer avansat. 4. Media ganglionilor pozitivi a fost de 2 la pacienții cu early cancer și de 9,36 la cei cu cancer avansat. 5. Media N ratio a fost de 9,19% pentru early cancer și de de 44,92% pentru cancerul avansat. 6. Metastazele ganglionare au fost depistate la 28,6% dintre pacienții cu early cancer față de 81,2% dintre cei cu cancer avansat. 7. Adenopatiile au fost descrise la 35.7% dintre cazurile cu early cancer și la 66,5% dintre cei cu cancer avansat. 8. Indiferent de stadiul bolii, invazia limfatică, număr ganglioni pozitivi și N ratio sunt mai frecvente la tumori de dimensiuni crescute, care au invadat submucoasa, difuze, slab diferențiate și nediferențiate, cu adenopatie intraoperatorie. 9. Anemia a reprezintat un factor predictiv independent (factor de protecție) pentru diseminarea limfatică în cancerul gastric incipient. 10. Decesul a fost semnificativ mai frecvent la pacienţii cu adenopatie macroscopică, invazie limfatică, la cei cu număr şi o rată crescută de ganglioni metastazaţi, stadiu avansat (pN şi TNM). 11. Supravieţuire a fost mai bună la pacienţii fără adenopatie, fără invazie limfatică, la care s-au excizat mai mulţi ganglioni, cu număr redus de ganglioni pozitivi și cu o rată scăzută a N ratio. 12. La majoritate pacienților s-a practicat limfadenectomie D1. La pacienții cu early cancer s-au efectuat D1 (85,7%) și D1,5 (D1+α) (14,3%). La pacienții cu cancer avansat, aproape trei sferturi au fost cu D1, iar ceilalți cu D2 ± cu splenectomie sau/și rezecție pancreatică. 13. La cazurile cu early cancer, complicaţii postoperatorii, au apărut la un singur pacient iar mortalitatea înregistrată a fost zero. 14. La cazurile cu cancer avansat morbiditatea a fost mai mare pentru D2+splenectomie - 31,3% și D2+splenectomie+pancreatectomie - 25% și mai mică pentru D1 - 12,2% și D2 - 0%, cu diferență semnificativă între tipurile de limfadenectomii în ceea ce privește producerea unei anumite complicatii. 15. La pacienții cu cancer avansat mortalitatea a fost mai mare după D2 (5,12%) decât după D1 (3,53%). La toţi pacienţii cu D2 care au decedat postoperator, limfadenectomia a fost completată cu splenectomie. 16. Limfadenectomia efectuată nu a influenţat semnificativ decesul sau supravieţuirea pacienţilor cu cancer incipient. 17. La pacienții cu cancer avansat nu a existat diferenţă semnificativă între proporţia celor decedaţi la cei cu D1 vs D2 (54.2% vs 60.6%). Decesul pacienților cu D2 completată cu splenectomie cu/fără pancreatectomie s-a produs mai frecvent decât la pacienții cu D2 sau D1. 18. Supraviețuirea la 54 luni pentru pacienții cu cancer avansat a fost ușor îmbunătățită după D2 (16,3%) față de D1 (13,7%), diferența nefiind semnificativă. 19. Efectuarea splenectomiei şi pancreatectomiei în completarea D2 a scăzut supravieţuirea. 20. Supraviețuire la 54 luni a pacienților cu invazie limfatică a fost mai bună dacă s-a practicat D2, dar la pacienții fără invazie limfatică prognosticul a fost mai bun după D1. 21. Supraviețuire pacienților cu cancer avansat indiferent de prezența ganglionilor pozitivi a fost mai bună după D2, aceasta influențând semnificativ supraviețuirea pacienților fără metastaze ganglionare. 22. Supravieţuirea a scăzut paralel cu creşterea stadiului. 23. Rezultatele studiului au arătat că în cancerul gastric, indiferent de stadiu, diseminarea limfatică afectează negativ prognosticul, supraviețuirea fiind mai bună la pacienții fără invazie limfatică și fără adenopatie, la cei cu număr mic de ganglioni pozitivi și N ratio scăzută, cu un stadiu pN și TNM cât mai incipient. 24. Excizia unui număr cât mai mare de ganglioni și o limfadenectomie mai extinsă îmbunătățesc prognosticul pacienților cu cancer gastric avansat la care s-a efectuat un tratament chirurgical R0. PhD THESIS ABSTRACT Lymphadenectomy as a prognosis factor for gastric cancer PhD student Nicoleta Emilia Nicolescu Mentor Liviu Vlad TABLE OF CONTENTS 140 150 159 Key words: gastric cancer, lymphatic invasion, lymph node metastasis, lymphadenectomy, prognosis factors, survival. ACTUAL STATE OF THE ART Gastric cancer disseminates mainly via the lymphatic route; this subject is described extensively in the first part of the thesis, in several chapters: Gastric cancer staging, Lymphatic dissemination of gastric cancer, Lymphatic drainage of the stomach, Sentinel lymph node, Surgical treatment – lymphadenectomy, Lymphatic dissemination as a prognostic factor in gastric cancer, Lymphadenectomy – as a prognostic factor in gastric cancer. PERSONAL CONTRIBUTION 1. Work hypothesis/objectives The PhD thesis deals with a rather controversial subject in literature: the extension of lymphadenectomy and its role in the prognosis of gastric cancer patients. The personal contribution resided in: - studying and classifying gastric cancer cases depending on lymphatic invasion, number of excised positive lymph nodes, N-ratio and pN; - identifying the factors leading to an increased lymphatic dissemination; -determining the correlations between the presence of lymphatic invasion and lymph node metastasis, N ratio and pN; - studying lymphadenectomies from the point of view of extension and ensuing morbidity and mortality, respectively. The main objective of the study was to establish the role of lymphatic dissemination and lymphadenectomy in the prognosis of gastric cancer. 2. General methodology The study was performed prospectively on 184 cases diagnosed with gastric cancer, treated with gastric resection with lymphadenectomy in the 3 rd Surgical Clinic – The Regional Institute of Gastroenterology and Hepatology, Cluj Napoca. The study was initiated under the supervision of Professor Lucian Lazar, PhD, from the Oncological Surgery Department and continued under the supervision of Professor Liviu Vlad, PhD, from the Surgery Department. The patients were divided into two groups: group I included 14 cases diagnosed with early cancer, and group II, including 170 cases of advanced gastric cancer. Data on the macroscopic extension of the tumor, the presence and location of lymph nodes and the performed lymphadenectomies were obtained from the surgical protocols. The adenopathies found intraoperatively were reported at their anatomical location (according to the Japanese system) The staging of disease was performed postoperatory, according to the TNM system, based on the pathological examination of the resection piece. The pathological results provided data on the macroscopic aspect, tumor size, Lauren classification, local and lymphatic classification, the number of lymph nodes, the number of excised positive lymph nodes, G, TNM staging. The patients' follow-up until the beginning of year 2011 was rather difficult due to low compliance. Some were followed up every 6 months, when investigations designed to identify disease recurrence were also performed. On the rest of the patients we only found the date of their death. 3. The first study. Lymphatic dissemination and lymphadenectomy as prognostic factors in early gastric cancer Material and method The 1 st group included 14 patients, 7.6% of the cases, diagnosed with early cancer. All received surgical treatment with radical intent: gastric resection and lymphadenectomy. The early cancer diagnosis was established postoperatively on the pathological examination of the resection piece. The cases were classified and studied according to: age, sex, anemia, intraoperatory adenopathies, size and macroscopic aspect (Japanese classification), local invasion, microscopic aspect (Lauren classification), G, lymphatic invasion, lymph node metastasis, TNM staging and the performed lymphadenectomy. Several correlations were made between the morphological and clinical data gathered in order to identify the risk factors for lymphatic invasion and lymph node metastasis, the role of lymphatic dissemination and lymphadenectomy on the prognosis of patients with early gastric cancer. Results Characteristics of group I Lymphatic invasion was negative in 71% of the early cancer patients (10 cases) and positive in 28.6% of patients (4 cases). The number of excised lymph nodes varied between 3 and 30 (mean 14.71), and the number of positive lymph nodes varied between 0 and 14 (mean 2). The rate of metastasized lymph nodes (N ratio) ranged between 0.0-53.84%. Almost three quarters of the cases had a 0% N ratio. Histological results of ≥15 lymph nodes is necessary for a correct pN staging in the TNM system; in 6 cases (42.85%), the number of examined lymph nodes was <15. In these cases, no lymph node metastasis was found and their stage was pN0. Of the cases with ≥15 excised lymph nodes, 4 had pN0 staging and N ratio 0%, 2 pN1 cases had 10.1-30% N ratio, and 2 pN2 cases had a >30% N ratio. The pathological examination revealed lymph node metastases in 4 patients (28.6%), 2 cases pN1 2 cases pN2, respectively, while 10 patients (71.4%) were pN0. All cases received surgical treatment: gastric resection with curative intent and lymphadenectomy The types of resection were as follows: D1 in 12 patients (85.7%) and D1.5 (D1+α) in 2 patients (14.3%). . A D1 resection was chosen for the 3 cases with macroscopic adenopathy in lymph node station 1 and a D 1.5 resection for the 2 cases with lymph nodes in station 2. In what concerns the TNM staging, the 2 D1.5 lymphadenectomies were performed in patients in stages pIB and pII, respectively, while D1 resection was performed in all the other early gastric cancer patients. Postoperative complications occurred in only one patient with D1.5 lymphadenectomy, but resolved with just conservative treatment. No deaths were recorded. Determining the risk of lymphatic invasion Lymphatic invasion was more frequent in male patients, in those without anemia, in patients with adenopathies, in type IIc and III tumors, <= 2 cm in size, diffuse, G3 and G4, invading the submucosa and belonging to stages IB and II. The TNM stage appeared to be he only factor significantly influencing the lymphatic invasion but it was not an independent risk factor for lymphatic invasion. Determining the risk of lymph node metastasis The number of metastatic lymph nodes was higher in male patients, without anemia, with adenopathy, having macroscopic type IIc tumors and intestinal-type tumors, >2 cm in size, G3 and G4 tumors, invading the submucosa. Preoperative anemia and local invasion appeared to be factors influencing lymph node metastasizing at the limit of statistical significance, but anemia alone was found to be and independent predictive factor (protective factor) of the number of metastasized lymph nodes. The N ratio had high values in male patients, without anemia, with intraoperative adenopathy, having type IIc tumors (macroscopic aspect), >2 cm in size, of intestinal type (Lauren classification), G3 and G4, invading the submucosa. The anemia and the grade of tumor differentiation significantly influenced the N ratio, but anemia alone proved an independent predictive factor (protective factor). The relationship between lymphatic invasion and lymph node metastasis The patients with lymphatic invasion had a mean of 7±5.09 positive lymph nodes, as opposed to those without invasion, who did no have lymph node metastases. The N ratio was 32%±17.83% in patients with lymphatic invasion, as opposed to 0% in those without lymphatic invasion. The difference between those with and those without lymphatic invasion was statistically significant for positive lymph nodes (p=0.001) and for the N ratio (p<0.001). Lymph node metastases were found in all patients with positive lymphatic invasion; they were therefore staged as pN1 (50%) and pN2 (50%), those without lymphatic invasion belonging to the pN0 stage (p=0.001). Survival in accordance to the prognosis factors for gastric cancer Adenopathies were found in all 3 early cancer patients who died (p=0.02). Patients with adenopathies had a significantly lower survival (p=0.05). Of the 14 patients with early gastric cancer, 3 died (21.42%). One patients in stage II died 3 months after surgery, another one, staged IB, died after 1 year and a third, in stage IB, deceased 2 years after surgery. All 3 early cancer patients who died had positive lymphatic invasion (p=0.01). There was a statistically significant difference in survival between patients with vs. those without lymphatic invasion (p=0.04). The positive lymph node rate was 4.67±2.51 in the patients who died vs. 1.27±4.2 in those who survived. The N ratio was 24.97%±12.82% in patients who died vs. 4.89%±16.23% in those who survived (p=0.07). The two patients with N ratio values between 10-20% and 1 patient with N ratio >30% died (p=0.004). The better survival rate was recorded in patients with lower N ratios. In what concerns the type of lymphadenectomy chosen, D1 was performed in two of the cases and D 1.5 in one case that died, respectively. Of the 12 patients with D1 lymphadenectomy, 20% deceased and of the two with D1.5 lymphadenectomy, one deceased. All patients with early gastric cancer who died had lymph node metastasis. Two cases were staged as pN1 and one case as pN2 (p=0.004). Patients in pN0 stage had the best survival rate (100% at 54 months). The type of lymphadenectomy did not influence significantly the death or survival of early gastric cancer. 4. The second study. Lymphatic dissemination and lymphadenectomy as prognostic factors in advanced gastric cancer Material and method The cases were divided in studied according to: age, sex, anemia, the presence, size and macroscopic aspect of adenopathies (Bormann classification), pT, microscopic aspect (Lauren classification), G, lymphatic invasion, pN, TNM staging, the type of lymphadenectomy performed. The second group included the majority of cases taken into study (170 – 92.4%), having advanced gastric cancer; the therapy of these patients was gastric resection with curative intent and lymphadenectomy. The cases included in the lymphadenectomy study were only those without M1 metastases (18 cases). Survival was recorded only in 116 patients with curative surgery, excluding the cases with metastases and those with R1 resections. Splenectomy was performed in the presence of local invasion and/or of adenopathies of the splenic artery and splenic hilum. Caudal pancreatectomy was chosen in the face of local invasion or splenic artery adenopathy. Several correlations were made between the morphological and clinical data gathered in order to identify the risk factors for lymphatic invasion and lymph node metastasis, the role of lymphatic dissemination and lymphadenectomy on the prognosis of patients with advanced gastric cancer. Results Characteristics of the 2 nd group In the surgical protocols, we found adenopathies in 113 cases (66.5%). Most patients had adenopathies in the first two lymph node stations: in station 1, 36 (31.85%) patients, in station 2, 29 (25.66%) patients and in both stations, 32 (28.31%) patients. Four cases (3.53%) had adenopathies in lymph node station 3, 2 cases (1.76%) in stations 2 and 3 and 4 cases (3.53%) in all three stations. Lymphatic invasion was positive in 138 patients (81.2%). The number of excised lymph nodes varied between 1 and 73 (mean 20.14). The number of positive lymph nodes ranged between 0 and 51 (mean 9.36). Only 18.8% of patients had no lymph node metastases. The rate of metastasized lymph nodes (N ratio) ranged between 0-100% (mean 44.92%). More than half of the cases (54.9%) had an >30% N ratio. At least 18 lymph nodes were excised in more than half of the patients; of these at least 7 lymph nodes were positive and the N ratio was >40%. pN – there were no lymph node metastases (pN0) in 32 (18.8%) of the patients with advanced gastric cancer. We recorded 48 (28.2%) patients in the pN1 stage, 51 patients (30.0%) in the pN2 and 39 patients (22.9%) in the pN3 stage. In 32.9% of patients, the number of examined lymph nodes was <15. We found significant differences for each pN stage between the groups of patients with ≥15 excised lymph nodes vs. that of patients with <15 excised lymph nodes. The cases included in the lymphadenectomy study were only the ones with surgical therapy with radical intent. The cases with M1 metastases (18 patients) were excluded from the 170 cases with advanced gastric cancer. A D1 lymphadenectomy was performed in almost three quarters of the patients; the rest of the patients had D2 ± splenectomy ± pancreatic resection. D2 + splenectomy was chosen in case the tumor had invaded the splenic hilum or if adenopathies were found in the lymph nodes stations 10 and 11. D2 + splenectomy + caudal pancreatectomy was the surgery of choice when finding adenopathies in the splenic hilum and/or the splenic artery or local invasion in the pancreatic capsule. D1 was performed in 90% of the gastric cancers with adenopathies in lymph node station 1, for half of those with adenopathies in stations 1+2 and 2, for 75% of those with adenopathies in all stations and in all cases with adenopathies in stations 3 or 2+3. D2 ± splenectomy ± pancreatectomy was performed for half of the tumors with adenopathies in stations 1+2 or 2. When using D1, a mean of 18.6±10.25 lymph nodes were excised (range 3 - 67) and a mean of 24.05±14.10 (range 4 - 73) when using D2 resection, the difference reaching statistical significance. D1 resection was performed especially for pN0 and pN1 tumors. For the pN2 and pN3 cases, the D2 resections were sometimes completed with splenectomies and pancreatic resections. D1 resections were especially chosen for tumors staged as pIB, pII, pIIIA and pIIIB. D2 resections, sometimes completed with splenectomies or pancreatic resections, were performed for almost half of the pIV tumors. The difference in morbidity depending on the extension of lymphadenectomy reached the limit of statistical significance: D2 + splenectomy – 31.3%, D2 + splenectomy + pancreatectomy - 25%, D1 – 12.2% and D2 - 0%. We found significant differences between the types of lymphadenectomies in what concerns the occurrence of certain complications. The mortality was higher in case of D2 (5.12%) than D1 resections (3.53%). In all patients having deceased after D2 surgery, the lymphadenectomy had been completed with splenectomy. Determining the risk of lymphatic invasion The patients who had lymphatic invasion were significantly younger than those without (p=0.05). The two sexes were relatively equally affected by lymphatic invasion. Lymphatic invasion occurred more frequently in patients without anemia than in those who had anemia (p=0.03). Anemia appeared to confer a certain degree of protection against lymphatic invasion in patients with gastric cancer. We did not find a statistically significant difference between the various locations, from the point of view of the lymphatic invasion. Lymphatic invasion occurred more frequently in patients with adenopathies found during surgery than in in those without. The incidence of lymphatic invasions was high in all tumors, regardless of Bormann type. Lymphatic invasion was recorded more often in mixed tumors, followed by diffuse-type tumors; in the intestinal-type tumors lymphatic invasion was rarer, but still occurred frequently. Lymphatic invasion was more frequently identified in G3 and G4 tumors than in G1 and G2 ones. The extent of lymphatic invasion was found to increase alongside the tumor invasion in the gastric wall; consequently, it was positive in almost all pT3 tumors and in all pT4 tumors (p=0.001). No tumors staged as pIB (0%) had lymphatic invasion; however, it was present in all tumors belonging to stages pIIIA, pIIIB and pIV (100%) (p<0.001). In univariate analysis, age, the presence of anemia, the pT and TNM staging were, among the risk factors, the variables with significant contribution in predicting lymphatic invasion. TNM stages I and II and the presence of anemia were found to be the only independent factors predictive and protective against lymphatic invasion. Determining the risk of lymph node metastasis Anemia did not appear to influence lymph node metastasis. In women, lymph node metastasis is more frequent than in men, the mean of positive lymph nodes being 10.53±10.85 as opposed to 8.75±8.89, respectively. Furthermore, the maximum number of positive lymph nodes was higher in women than in men (51 vs. 37 lymph nodes). The N ratio was almost equal in the two sexes. The number of cases belonging to a certain pN stage was almost the same, regardless of sex, with the exception of the pN2 stage, where the number of males was double compared to that of female patients. The N ratio was almost the same for the tumors of the upper, medium and lower+medium third of the stomach and higher than that of the tumors of the lower third or the diffuse tumors (p=0.04). The number of positive lymph nodes was higher in patients with adenopathies found during surgery (p=0.005). The N ratio was approximately the same regardless whether the adenopathies were present or not. More than half of the cases without adenopathy were staged as pN0 and pN1, as opposed to those with adenopathies found intraoperatively, of which the majority belonged to stages pN2 and pN3 (p=0.003). The type III and IV tumors (according to Bormann's classification) yielded the highest number and rate of metastasized lymph nodes. Both the number of positive lymph nodes (p<0.05) and the N ratio (p<0.05) varied significantly according to the macroscopic type. Diffuse tumors metastasized more frequently than the mixed or intestinal-type ones. The N ratio was higher in mixed tumors, followed by the diffuse and intestinal tumors. The diffuse tumors were predominant in stages pN2 and pN3, with more than half of intestinal tumors in stages pN0 and pN1, and half of the mixed tumors in the pN2 stage (p=0.02). The G3 and G4 tumors yielded a higher number and rate of lymph node metastasis (p<0.05 and p=0.05, respectively). The G1 and G2 tumors were more frequently staged as pN0 and pN1, as opposed to G3 and G4 tumors, in which stages pN2 and pN3 predominated. Local invasion lead to an increase in the number of positive lymph nodes and in N ratio (p<0.001). The majority of pT2 tumors were staged as pN0 and pN1, most of the pT3 tumors were pN2 and pN3, and most of pT4 tumors belonged to stage pN3 (p<0.001). In multiple regression, the presence of macroscopic adenopathies, the tumor location, the macroscopic aspect (Bormann classification) and the TNM stage were found to be independent risk factors for the prediction of the number of positive lymph nodes. The multivariate analysis performed for pN revealed age, the lack of adenopathies, the diffuse Lauren type and the pT3 tumors to be independent predictive factors of the pN stage. Age and the lack of adenopathies were protective factors. The multivariate analysis performed for the N ratio showed that tumor location, macroscopic aspect (Bormann's classification) and TNM stage were independent risk factors for the prediction of the lymph node metastasis rate. The relationship between lymphatic invasion and lymph node metastasis The mean of positive lymph nodes in patients with lymphatic invasion was 11.51±9.43 as compared to 0.06±0.35, in patients without lymphatic invasion (p<0.001). The N ratio had a mean of 55.24%±31.81% in patients with positive lymphatic invasion, as compared to 0.41%±2.35 in those without (p<0.001). None of the pN0 patients had lymphatic invasion. All pN1, pN2 and pN3 tumors (100%) had positive lymphatic invasion (p<0.001). The relationship between the number of excised lymph nodes, the N ratio and pN The pathological examination of ≥15 lymph nodes is required in order to perform a correct staging of lymph node metastases; however, the number of examined lymph nodes was <15 in 56 cases (32.9%). Of these, 26.78% (15 cases) were staged pN0, 39.78% (22 cases) as pN1, 32.14% (18 cases) as pN2 and 1.78% (1 case) as pN3. A statistically significant difference was found between the percentages of patients belonging to a certain stage, depending on whether more or less than 15 lymph nodes had been excised (p<0.001). In patients with <15 dissected lymph nodes, depending on the rate of lymph node metastasis, the N ratio was 0% in pN0 patients. Of the pN1 cases, 54.5% had 10.1-30% N ratio and 45% had a >30% N ratio. The great majority of pN2 patients had >30% metastasized lymph nodes, the rest having an N ratio between 10.1-30%. The N ratio was >30% in all patients staged pN3. In cases where <15 lymph nodes were excised, the relationship between the pN stage and the N ratio had a high statistical significance (p<0.001). The survival rate depending on the prognostic factors of gastric cancer The presence of adenopathies influenced the survival at the limit of statistical significance (p=0.07). There was no statistically significant difference between the survival of patients with or without adenopathies. We recorded 63.6% deaths among the patients with lymphatic invasion, as opposed to the 32,1% deaths in the group without lymphatic invasion (p=0.003). It is apparent that the patients without lymphatic invasion had a better survival. The survival rate was not influenced significantly by the number of excised lymph nodes, although the patients with more excised lymph nodes were found to have a better survival. The survival rate of advanced gastric cancer patients was significantly influenced by the number of positive lymph nodes found (p=0.002), by the N ratio (p=0.04) and by the pN staging (p=0.003). The survival of patients with advanced gastric cancer was significantly better in patients with few positive lymph nodes (p=0.004), low N ratio (p=0.07) and lower pN stages (p=0.01). More deaths were recorded in the group of patients treated with D2 + splenectomy ± pancreatectomy than in the groups of patients treated with either D2 or D1, the difference reaching statistical significance. Adding splenectomy ± pancreatectomy to D2 was found to decrease survival. There was no significant difference between the numbers of deaths in the groups operated by D1 vs. D2 resection (± splenectomy and pancreatectomy); however, we did record a better survival in the D2 than in the D1 group (16.3% vs. 13.7%). In patients with lymphatic invasion, the survival was better when D2 rather than D1 was used. Conversely, in patients without lymphatic invasion, D1 yielded better survival than D2, the difference being at the limit f statistical significance (p=0.08). The survival of patients with advanced gastric cancer, regardless of metastases, was better when D2 lymphadenectomy was performed. In patients without positive lymph nodes, D2 had a significant influence on the prognosis (p=0.01). 5. General conclusions 1. Most of the cases taken into study (92.4%) were diagnosed with advanced gastric cancer, with only 7.6% of cases having early cancer. 2. Lymphatic invasion was positive in 29% of the patients with early cancer and in 81.2% of those with advanced cancer. 3. The mean number of excised lymph nodes was 14.71 in early cancer cases and 20.14 in advanced cancer cases. 4. We found a mean of 3 positive lymph nodes in the early cancer group and of 9.36 in the advanced cancer group. 5. The mean N ratio was 9.19% for early cancer and 44.92% for advanced cancer. 6. Lymph node metastases were found in 28.6% of the early cancer patients as opposed to 81.2% in the advanced cancer group. 7. Adenopathies were described in 35.7% of the early cancer cases and in 66.5% of the advanced cancer patients. 8. Regardless of disease stage, the lymphatic invasion, number of positive lymph nodes and N ratio are higher in large, diffuse tumors, invading the submucosa, either low or undifferentiated tumors, with adenopathies found intraoperatively. 9. Anemia was found to be an independent predictive factor (protective factor) for lymphatic dissemination in early gastric cancer. 11. We found a better survival rate in patients without adenopathy or lymphatic invasion, were more lymph nodes had been excised, having a lower number of positive lymph nodes and a lower N ratio. 10. More patients died in the group with macroscopic adenopathy, lymphatic invasion, with higher numbers and rates of metastasized lymph nodes and a more advanced stage of disease (both pN and TNM). 12. D1 lymphadenectomy was performed in most patients. In early cancer patients, D1 was performed in 85.7% and D1.5 (D1+α) in 14.3%. In patients with advanced cancer, almost three quarters were operated using the D1 resection, while for the rest D2 ± splenectomy and/or pancreatic resection was chosen. 13. In early cancer cases, postoperative complications occurred in just one patient and the recorded mortality was zero. 14. In advanced cancer cases, we recorded a higher morbidity for D2 + splenectomy – 31.3% of cases, and for D2 + splenectomy + pancreatectomy - 25%, and a lower morbidity rate in D1 – 12.2% and D2 - 0%, with a significant difference between the types of lymphadenectomies in relation to the occurrence of a certain complication. 15. We recorded a higher mortality in the advanced cancer group following D2 (5.12%) than D1 (3.53%). In all D2 patients who died after the operation, splenectomy had been added to the lymphadenectomy. 16. The type of lymphadenectomy did not influence significantly the survival rate of patients with early cancer. 18. The 54 month-survival was slightly better in advanced cancer patients treated with D2 (16.3%) than with D1 (13.7%), but without statistical significance. 17. No significant difference was found in the advanced cancer group between the proportions of deaths following D1 vs. D2 (54.2% vs. 60.6%). More deaths occurred after D2 + splenectomy with/without pancreatectomy than after D2 or D1. 19. Adding splenectomy and pancreatectomy to D2 decreased the survival rate. 20. The 54 month-survival of patients with lymphatic invasion was better following D2 resection and better after D1 in patients without lymphatic invasion. 21. The survival of advanced cancer patients regardless of the presence of positive lymph nodes was better following D2; this type of resection had a significant influence on the survival of patients without lymph node metastases. 22. The survival rate decreased alongside the increase in stage. 23. The results of the study showed that in gastric cancer, regardless of stage, the lymphatic dissemination has a negative effect on prognosis; survival was better in patients without lymphatic dissemination and without adenopathy, in those with fewer positive lymph nodes and a lower N ratio, pN and TNM stage. 24. The excision of more lymph nodes and a more extensive lymphadenectomy improve the prognosis of patients with advanced gastric cancer treated with R0 surgery.
Regularisation in Nonperturbative Extensions of Effective Field Theory Curtis D. Abell,1,* Derek B. Leinweber,1 Anthony W. Thomas,1 and Jia-Jun Wu2 1Special Research Centre for the Subatomic Structure of Matter (CSSM), Department of Physics, University of Adelaide, Adelaide, South Australia 5005, Australia 2School of Physical Sciences, University of Chinese Academy of Sciences (UCAS), Beijing 100049, China The process of renormalisation in nonperturbative Hamiltonian Effective Field Theory (HEFT) is examined in the $\Delta$-resonance scattering channel. As an extension of effective field theory incorporating the Lüscher formalism, HEFT provides a bridge between the infinite-volume scattering data of experiment and the finite-volume spectrum of energy eigenstates in lattice QCD. HEFT also provides phenomenological insight into the basis-state composition of the finite-volume eigenstates via the state eigenvectors. The Hamiltonian matrix is made finite through the introduction of finite-range regularisation. The extent to which the established features of this regularisation scheme survive in HEFT is examined. In a single-channel $\pi N$ analysis, fits to experimental phase shifts withstand large variations in the regularisation parameter, $\Lambda$, providing an opportunity to explore the sensitivity of the finite-volume spectrum and state composition to $\Lambda$. In contrast, while the Lüscher formalism ensures that eigenvalues are insensitive to $\Lambda$, variation in the single-channel scattering eigenstate composition varies with $\Lambda$ due to the addition of short distance interactions diminishing single-particle contributions to the states. In the two-channel $\pi N, \pi\Delta$ analysis, $\Lambda$ is restricted to a small range by the experimental data. Here the inelasticity is particularly sensitive to variations in $\Lambda$ and its associated parameter set. This sensitivity is also manifest in the finite-volume spectrum for states near the opening of the $\pi\Delta$ scattering channel. Future high-quality lattice QCD results will be able to discriminate $\Lambda$, describe the inelasticity, and constrain a description of the basis-state composition of the energy eigenstates. Finally, HEFT has the unique ability to describe the quark-mass dependence of the finite-volume eigenstates. The robust nature of this capability is presented and used to confront current state-of-the-art lattice QCD calculations. I. INTRODUCTION The calculation of scattering observables from first principles in lattice QCD simulations is facilitated by an understanding of the impact of the lattice finite volume on the spectrum of observed states. The most prominent method for converting quantities obtained through lattice QCD into physical scattering observables is that developed by Lüscher [1–3]. With only a single open scattering channel, Lüscher’s method can be used to calculate a scattering phase shift from a single eigenstate generated on a finite volume through a relatively straightforward process. While this process has been generalised to cases such as multiple scattering channels [4–10], and three-body systems [11–13], it requires a parametrisation of the scattering observables and becomes significantly more complicated. Through increases in computational power and algorithmic advances, lattice QCD is now able to consider physical quark masses, yielding, for example, results for the lowest-lying resonance, the $\Delta(1232)$ [14–17]. Hamiltonian Effective Field Theory (HEFT) also allows for the conversion between lattice QCD quantities and physical quantities, and may have advantages for systems involving multiple scattering channels. These advantages have been seen to manifest in studies of resonances such as the Roper [18], and the $\Lambda(1405)$ [19]. Here the parametrisation is performed in constructing the Hamiltonian describing the scattering process. Single and non-interacting multi-particle basis states are then mixed in solving the Hamiltonian system and insight into the composition of the states is contained in the energy eigenvectors of the Hamiltonian. On multiple occasions [20, 21], it has been shown that by isolating the pole term in the eigenvalue equation for the Hamiltonian of HEFT, one can obtain an identical expression to the Lüscher quantisation up to exponentially suppressed terms in the lattice size $L$. However insights into the composition of the states through analysis of the eigenvectors is unique to HEFT. In chiral perturbation theory ($\chi$PT), working within the power-counting regime (PCR), where higher order terms of the chiral expansion make a negligible contribution, the independence of results on the regularisation method is well understood. Consider, the finite-range regularisation (FRR) formalism where a momentum regulator, governed by $\Lambda$, is introduced into loop integrals to suppress the effective-field contributions at large momenta. Each $\Lambda$-dependent term in the PCR is accompanied by a ($\Lambda$-dependent) counter term constrained by phenomenology. In this way the regulator cannot have any impact, provided one works within the PCR [22–24]. In a nonperturbative extension of effective field theory (EFT), the process of renormalisation has a significant impact. The couplings between the basis states are significantly renormalised, introducing a new degree of influence in the calculations. As the regulator changes, the couplings are renormalised as they maintain fits to experimental data. This is different from chiral perturbation theory where the couplings are defined and fixed in the chiral limit. The idea of a power-counting regime is lost as the Hamiltonian models the experimental data. We will illustrate how the role of a single particle basis state can be exchanged for two-particle states within the Hamiltonian, provided the regulator allows strong short-distance attractive interactions. However, model independence is not completely lost. The Lüscher formalism embedded within HEFT brings model independence by linking the scattering data to the finite-volume energy levels. We will explore how this relationship is independent of the manner in which the data is modelled via the intermediate Hamiltonian. Upon examining the quark-mass dependence of nonperturbative HEFT, one finds a useful degree of model-independence for the finite-volume eigenvalues across the range of regulator parameters considered. Without contributions from a bare state however, the correct mass extrapolation cannot be obtained purely through the interaction of two-particle states. In this work we take the $\Delta(1232)$ as a case study to explore the process of regularisation of the nonperturbative extension of effective field theory, HEFT. As the energy eigenvectors describing the composition of the states are renormalisation dependent, our aim is to understand the extent to which one can obtain insight into the structure of a resonance through the application of HEFT. We commence our report with a brief review of the FRR formalism in perturbation theory in Sec. II. Our aim here is to present the residual series expansion and connect its role to HEFT. In Sec. III we present the details of the nonperturbative HEFT approach. This is followed in Sec. IV by an analysis of renormalisation in the single $\pi N$-channel calculation of the $\pi N$ phase shifts and the corresponding finite-volume lattice energy levels. It is here the model independence provided by the Lüscher formalism is manifest. While the Hamiltonian and its associated eigenvectors are $\Lambda$-dependent, the finite-volume energy eigenvalues are constrained by experimental data. In Sec. V the analysis is extended to the two-channel case, where the $\pi\Delta$ coupled channel is included, giving access to somewhat higher energies and allowing for a comparison with contemporary lattice QCD results. In this case, the inelasticity constrains the regulator parameter and a unique description of the eigenstate composition emerges. We finish with an outline of the conclusions in Sec. VI. II. FINITE-RANGE REGULARISATION IN PERTURBATION THEORY The $\Delta$ resonance has the formal quark-mass expansion ($m_q \propto m_\pi^2$, [25]) $$M_\Delta = \{a_0^\Delta + a_2^\Delta m_\pi^2 + a_4^\Delta m_\pi^4 + \cdots\}$$ $$+ \Sigma_{\pi\Delta}(m_\pi^2, \Lambda) + \Sigma_{\pi N}(m_\pi^2, \Lambda) + \Sigma_{t\Delta}(m_\pi^2, \Lambda).$$ \hspace{1cm} (1) The leading terms in $\{\ldots\}$ are referred to as the residual series expansion and it plays a central role in the process of renormalisation. This is indicated by the appearance of the regulator parameter, $\Lambda$, as a superscript on the coefficients of the expansion. The quantities $\Sigma(m_\pi^2, \Lambda)$ contain pion loop integrals for the $\Delta$ resonance with intermediate states as described by the subscripts, where a subscript $t$ denotes a tadpole term. The loop integrals are regulated by the parameter $\Lambda$, which can appear in a dipole or exponential regulator or as a momentum cutoff in a theta function, etc. These loop integrals generate the leading and next-to-leading non-analytic quark-mass terms for the $\Delta$ self energy; they have model-independent coefficients with known values. The full FRR expansion of Eq. (1) includes an ultra-violet (UV) completion of the chiral expansion which ensures the loop integrals tend to zero for large pion masses. The UV summation depends on both the form of the regularisation function and the regularisation parameter, $\Lambda$. As such, FRR provides a model for higher order terms of the chiral expansion, beyond the leading nonanalytic terms. The integrals can be evaluated analytically. For example, explicit forms for a sharp cutoff regulator are reported in Ref. [26]. To proceed with the process of renormalisation, one then expands the integral results about the chiral limit [27]. One works within the PCR where the leading terms dominate and higher-order terms are suppressed by powers of $m_\pi/\Lambda$. Working in the heavy-baryon limit for simplicity of presentation, one observes a polynomial analytic in $m_\pi^2$ and nonanalytic terms $$\Sigma_{\pi\Delta} = b_0^\Delta \Lambda^3 + b_2^\Delta \Lambda m_\pi^2 + \chi_{\pi\Delta} m_\pi^3 + b_3^\Delta \frac{m_\pi^4}{\Lambda} + \cdots,$$ \hspace{1cm} (2) $$\Sigma_{\pi N} = b_0^N \Lambda^3 + b_2^N \Lambda m_\pi^2 + \chi_{\pi N} \frac{m_\pi^4}{\delta M} \log m_\pi + b_4^N \frac{m_\pi^4}{\Lambda}$$ $$+ \cdots,$$ \hspace{1cm} (3) $$\Sigma_{t\Delta} = b_2^t \Lambda^2 m_\pi^2 + c_2 \chi_{t\Delta} m_\pi^3 \log m_\pi + b_4^t m_\pi^4 + \cdots.$$ \hspace{1cm} (4) Here $\delta M$ is the $\Delta-N$ mass splitting in the chiral limit, $\chi_{\pi\Delta}, \chi_{\pi N},$ and $\chi_{t\Delta}$ denote the model independent chiral coefficients of the terms that are nonanalytic in the quark mass, and $c_2$ is a renormalised low-energy coefficient, discussed in the following. The regulator dependence of the terms polynomial in $m_\pi^2$ is explicit. The process of renormalisation in FRR $\chi$EFT proceeds by combining the renormalisation-scheme dependent coefficients to provide the physical low energy coefficients, denoted as $c_i$. The $\Delta$ energy expansion has the form [27] $$M_\Delta = c_0 + c_2 m_\pi^2 + \chi_{\pi\Delta} m_\pi^3 + c_4 m_\pi^4$$ $$+ \left(\frac{\chi_{\pi N}}{\delta M} + c_2 \chi_{t\Delta}\right) m_\pi^3 \log m_\pi + \cdots,$$ \hspace{1cm} (5) with the coefficients, $c_i$, given by $$c_0 = a_0^\Delta + b_0^\Delta \Lambda^3 + b_0^N \Lambda^3,$$ \hspace{1cm} (6a) $$c_2 = a_2^\Delta + b_2^\Delta \Lambda + b_2^N \Lambda + b_2^t \Lambda^2,$$ \hspace{1cm} (6b) $$c_4 = a_4^\Delta + \frac{b_4^\Delta}{\Lambda} + \frac{b_4^N}{\Lambda} + b_4^t,$$ \hspace{1cm} (6c) Strategies for implementing these formal relations in practice are presented in Ref. [27]. In this way, the FRR expansion reproduces chiral perturbation theory in the PCR. Any dependence on the regulator is absorbed by the residual-series coefficients, $a_i^\Delta$. In this way, the coefficients $c_i$ are scheme-independent quantities. Of course the advantage of the FRR approach becomes apparent as one approaches the extent of the PCR. FRR provides a model for the small contributions from higher-order terms that are otherwise absent in common massless renormalisation schemes. The value of $c_0$ describes the $\Delta$ resonance in the chiral limit, and $c_2$ is related to the sigma term of explicit chiral symmetry breaking. The nonanalytic terms $m_\pi^2$ and $m_\pi^4 \log m_\pi$ have known, model-independent coefficients denoted by $\chi_{\pi N}$, $\chi_{\pi \Delta}$ and $\chi_{\Delta \Delta}$. In practice, the coefficients, $a_i^\Lambda$, are determined by fitting to lattice QCD results. We note that the leading nonanalytic tadpole contribution, $c_2 \chi_{\Delta \Delta} m_\pi^4 \log m_\pi$, contains the renormalised coefficient $c_2$. This reflects the origin of the tadpole contribution in a term of the chiral Lagrangian proportional to the quark mass. As $c_2 m_\pi^2$ governs the leading quark-mass dependence of the chiral expansion, $c_2 m_\pi^4$ appears as a coefficient of the tadpole term, with the remaining factor of $m_\pi^2 \log m_\pi$ arising in the loop integral. The value of $\Lambda$ determines the origin of the physics contributing to the renormalised coefficients, $c_i$. For small $\Lambda \sim 1$ GeV, the regulated loop integrals do not contain significant short-distance physics and can be associated with pion-cloud contributions. By preventing large momenta from flowing through the effective-field propagators, one avoids large errors that need to be rectified in the residual series. The residual series coefficients are short-distance-related quantities directly tied to the cutoff as illustrated in Eqs. (6). The contributions are associated with a bare–baryon core contribution. A phenomenologically-motivated value for $\Lambda$ will leave only small corrections to be contained within the residual series expansion. Studies of renormalisation in FRR chiral effective field theory have shown the functional form of the cutoff to be unimportant [22–24]. By observing the flow of low-energy coefficients as functions of the regulator parameter, $\Lambda$, [27–30], the scale of the dipole-regulator parameter was determined, $\Lambda \sim 1$ GeV. The phenomenologically motivated value of 0.8 GeV is associated with the induced pseudoscalar form factor of the nucleon [31], the source of the pion cloud. Values varying by $\pm 0.2$ GeV are typically considered to explore alternative resummations of the expansion and inform estimates of the systematic error. The key advantage of FRR for the extrapolation of lattice QCD results is that it provides a mechanism to exactly preserve the leading nonanalytic terms of chiral perturbation theory, including the values of the model-independent coefficients of the leading nonanalytic terms, while addressing quark masses beyond the PCR. This contrasts other popular approaches that draw on the nonanalytic terms of the expansion, but relegate the model-independent coefficients of these terms to fit parameters. In the absence of FRR, the fit parameters of the nonanalytic terms may differ significantly from the known results of chiral perturbation theory and the extrapolation does not correctly incorporate the known leading nonanalytic behaviour. In contrast, while FRR develops some degree of model dependence in how the loop-integral contributions to the chiral expansion sum to zero as $m_\pi \to \infty$ it does preserve the correct leading and next-to-leading nonanalytic behaviour of QCD. In returning our attention to HEFT, it is important to consider where the physics lies in the calculation. If one makes a poor choice for the regulator, short distance physics will not be correctly suppressed in the loop integrals, and the coefficients, $a_i^\Lambda$, will need to be large in magnitude to correct and ensure the renormalised coefficients take their scheme-independent physical values. In this case one would need to acknowledge that there is a significant role for the bare–baryon core contribution. Moreover, one might be concerned that the Hamiltonian theory is missing important physics that is put in by hand via the residual-series coefficients. In this case, intuition obtained from the Hamiltonian theory may have relatively poor value. On the other hand, a good choice for the regulator can allow the residual series coefficients to become small at higher orders, presenting the possibility that the first two or three terms of the residual series are sufficient to describe the results from lattice QCD. Moreover, the Hamiltonian itself contains the correct physics such that insight into the structure of the states obtained from the energy eigenvectors of the theory is more robust. As one moves from a perturbative EFT to a nonperturbative extension of EFT incorporating the Lüscher formalism, the Hamiltonian will take on a model dependence as it is constrained to fit experimental data. As the regularisation is changed, the coupling parameters are renormalised and optimised to describe the scattering data. Model independence will not be through the consideration of a PCR, but rather through the Lüscher formalism linking scattering data to finite-volume energy levels. Here the Hamiltonian serves to mediate between the infinite and finite-volume worlds. The eigenvectors of the Hamiltonian are model dependent and will evolve with the regularisation parameter. It will be interesting to learn the way in which the composition of the finite-volume energy eigenstates evolves. Finally, the Lüscher formalism only provides model independence at the physical point. As HEFT provides a formalism to link different quark masses, it will be paramount to learn the extent of model dependence in the quark-mass evolution of the finite-volume energy levels. Finally, we note that when working at a fixed pion mass such as the physical pion mass, the residual series of Eq. (1) sums to a single coefficient. We will refer to this as the bare-baryon mass, $m^{(0)}_\Delta$, and associate it with the bare-baryon basis state. ### III. HAMILTONIAN FRAMEWORK #### A. Hamiltonian Model In the rest frame, the Hamiltonian for an interacting system can be represented by the form $$H = H_0 + H_I,$$ where $H_0$ is the free, non-interacting Hamiltonian, and $H_I$ is the interaction Hamiltonian. In the HEFT formalism we allow for a single-particle bare-baryon basis state $\|B_0\rangle$, which may be thought of as a quark model state (a state in the $P$-space in the notation of Ref. [32]). With coupled two-particle channels $\|\alpha\rangle$, such as $\pi N$ and $\pi \Delta$, $H_0$ can be expressed as $$H_0 = \|B_0\rangle m_{B_0} \langle B_0\| + \sum_\alpha \int d^3k$$ $$\|\alpha(k)\rangle \left[ \sqrt{m_{\alpha_B}^2 + k^2} + \sqrt{m_{\alpha_M}^2 + k^2} \right] \langle \alpha(k)\|,$$ (8) where $m_{\alpha_B}$ and $m_{\alpha_M}$ are the baryon and meson masses respectively in channel $\alpha$, and $m_{B_0}$ is the mass of the bare basis state. In general, $H_I$ is governed by two types of interactions, examples of which are given in Fig. 1. The first, which is denoted by $g$, represents the vertex interaction between the bare state $B_0$, and the two-particle basis states $\alpha$, $$g = \sum_\alpha \int d^3k \left\{ \|B_0\rangle G^{B_0}_\alpha(k) \langle \alpha(k)\| \right.$$ $$+ \|\alpha(k)\rangle G^{B_0}_\alpha^\dagger(k) \langle B_0\| \right\},$$ (9) where $G^{B_0}_\alpha$ is the momentum-dependent strength of the interaction between the bare state and each two-particle state. The momentum-dependence of these couplings is selected to reproduce the established results of chiral perturbation theory ($\chi$PT). The second type of interaction represents the coupling between two different two-particle basis states $\alpha$ and $\beta$ with momentum-dependent interaction strength $V_{\alpha\beta}$, and is given by $$v = \sum_{\alpha \beta} \int d^3k \int d^3k' \|\alpha(k)\rangle V_{\alpha\beta}(k,k') \langle \beta(k')\|.$$ (10) The interaction Hamiltonian is therefore given by $$H_I = g + v.$$ (11) ### B. Finite-Range Regularisation In order to work within a finite Hilbert space, we require a renormalisation scheme. One such renormalisation scheme is FRR, which has been shown to reproduce other schemes, such as dimensional regularisation, while in the PCR of $\chi$PT ($m_\pi \sim m_{\text{phys}}$) [22]. Finite-range regularisation introduces a regulator, $u(k,\Lambda)$, a function which cuts off the UV contributions at a rate governed by the regulator parameter $\Lambda$. While in principle, regulators such as a sharp cutoff can be used, it is desirable to have a smooth regulator which phenomenologically respects the shape of the source. For this study, both a dipole regulator of the form $$u(k,\Lambda) = \left( 1 + \frac{k^2}{\Lambda^2} \right)^{-2},$$ (12) and a Gaussian regulator of the form $$u(k,\Lambda) = \exp \left( -\frac{k^2}{\Lambda^2} \right),$$ (13) are considered. As illustrated in Sec. II, the choice of functional form between these or a sharp cutoff is irrelevant in the power counting regime of $\chi$PT. The FRR expansion contains a resummation of higher-order terms that come into play as one works beyond the PCR, extending the range of utility [22–24]. The resummation ensures the FRR loop-integral contributions are smooth and approach zero for large pion masses, providing a natural explanation for the slow variation with increasing quark mass observed in lattice QCD results. FRR provides a mechanism to exactly preserve the leading nonanalytic terms of chiral perturbation theory, including the values of the model-independent coefficients of the nonanalytic terms, even when working beyond the PCR. As one addresses larger quark masses, $\Lambda$ can take on a physical role modelling the physical size of the particles [23]. ### C. Renormalisation of the Coupling Following the approach outlined in Ref. [33], for a system with a single bare state such as that described in this paper, the full propagator $A(E)$ takes the form $$A(E) = \frac{1}{E - m_{B_0} - \Sigma(E)},$$ (14) where $\Sigma(E)$ is the compilation of all self-energy diagrams. In particular $\Sigma(E)$ is taken such that $A(E)$ should contain a pole at the physical mass of the desired resonance. As we are only interested in diagrams which yield dominant contributions near the pole position, we need only consider the region about the resonance, where $m = m_{B_0} + \Sigma(m)$. Therefore $A(E)$ can be rewritten as $$A(E)^{-1} = E - m - (\Sigma(E) - \Sigma(m)),$$ $$= (E - m) \left( 1 - \frac{\Sigma(E) - \Sigma(m)}{E - m} \right).$$ (15) Expanding about the resonance position gives an expression of the form \[ A(E)^{-1} = (E - m) \left( 1 - \Sigma'(m) - \frac{\Sigma^R(E)}{E - m} \right), \] \[= (E - m) \left( 1 - \Sigma'(m) \right) - \Sigma^R(E), \tag{16} \] where $ \Sigma'(m) $ is the first derivative of $ \Sigma(E) $ evaluated at the physical-mass expansion point $ m $, and $ \Sigma^R(E) $ is defined to contain all higher-order terms in the self-energy. Finally, defining the renormalised self-energy $ \tilde{\Sigma}(E) = \{1 - \Sigma'(m)\}^{-1} \Sigma^R(E) $, the propagator may be expressed as \[ A(E) = \frac{\{1 - \Sigma'(m)\}^{-1}}{E - m - \tilde{\Sigma}(E)}. \tag{17} \] This form naturally reveals that the overall propagator has been renormalised by a factor of $ \{1 - \Sigma'(m)\}^{-1} $, and within the new self-energy the couplings will also be renormalised by the same factor. In a nonperturbative extension of EFT, this renormalisation of the coupling can become significant. ### D. Infinite-Volume Scattering In order to constrain bare state masses and potential coupling strengths, we can fit the scattering phase shifts and inelasticities calculated via the $ T $-matrix. This can be obtained by solving the coupled-channel integral equations, \[ T_{\alpha\beta}(k, k'; E) = \tilde{V}_{\alpha\beta}(k, k', E) + \sum_\gamma \int dq \, q^2 \frac{\tilde{V}_{\alpha\gamma}(k, q, E) \, T_{\gamma\beta}(q, k'; E)}{E - \omega_\gamma(q) + i\epsilon}, \tag{18} \] where $ \omega_\gamma(q) = \sqrt{q^2 + m_{\gamma M}^2} + \sqrt{q^2 + m_{\gamma N}^2} $. We have also defined the coupled-channel potential $ \tilde{V}_{\alpha\beta} $ for some bare state $ B_0 $ as \[ \tilde{V}_{\alpha\beta}(k, k', E) = \frac{G_{\alpha B_0}^{B_0}(k) \, G_{\beta B_0}^{B_0}(k')}{E - m_{B_0}} + V_{\alpha\beta}(k, k'). \tag{19} \] The phase shifts and inelasticity however are extracted from the unitary $ S $-matrix, which is related to the $ T $-matrix by \[ S_{\alpha\beta}(E) = \delta_{\alpha\beta} - 2i\pi \sqrt{\rho_\alpha \rho_\beta} \, T_{\alpha\beta}(k_{\text{on},\alpha}, k_{\text{on},\beta}; E), \tag{20} \] where $ k_{\text{on},\alpha} $ is the on-shell momentum in channel $ \alpha $, and $ \rho_\alpha $ is defined as \[ \rho_\alpha = \frac{\sqrt{k_{\text{on},\alpha}^2 + m_{\alpha M}^2} \, \sqrt{k_{\text{on},\alpha}^2 + m_{\alpha N}^2}}{E} \, k_{\text{on},\alpha}. \tag{21} \] The inelasticity, $ \eta_\alpha $, and phase shift, $ \delta_\alpha $, are then calculated from \[ S_{\alpha\alpha}(E) = \eta_\alpha \exp(2i\delta_\alpha). \tag{22} \] Using this formalism, the position of any poles in the $ S $-matrix can be found by solving for the complex energy $ E $ which satisfies $ T(k, k'; E)^{-1} = 0 $. ### E. Finite-Volume Matrix Method On a three-dimensional, cubic lattice of volume $ L^3 $, the allowed momentum is discretised to \[ k_n = \frac{2\pi}{L} n, \quad n = (n_x, n_y, n_z), \tag{23} \] where $ n_x, n_y, $ and $ n_z $ can take any integer values. As a result of this, the integrals over momentum in Eq. (8) to Eq. (10) undergo discretisation of the form \[ \int d^3 k \rightarrow \sum_{n \in \mathbb{Z}^3} \left( \frac{2\pi}{L} \right)^3. \tag{24} \] For $ P $-wave scattering however, at a sufficiently large $ L $ we can approximate spherical symmetry and consider only the degenerate momentum states. For a discussion on the effects of this approximation and partial wave mixing, see Ref. [34]. These degenerate momentum states are labelled $ k_n $, where we have defined the integer $ n = n_x^2 + n_y^2 + n_z^2 $. We can represent the degeneracy of each $ k_n $ by defining a function $ C_3(n) $, which counts the number of ways the squared integers $ n_x^2, n_y^2, $ and $ n_z^2 $ can sum to each $ n $. Some example values of this function are $ C_3(2) = 12 $, and $ C_3(7) = 0 $, as there are no combinations of square integers that sum to 7. Using this definition, the three-dimensional finite sums undergo the transformation \[ \sum_{n \in \mathbb{Z}^3} \rightarrow \sum_{n \in \mathbb{Z}} C_3(n). \tag{25} \] As our regulator parameter $ \Lambda $ provides a momentum cutoff, the Hamiltonian matrix can have a finite size. We define $ k_{\text{max}} $ as the maximum momentum to be considered in the calculation. We seek a value sufficiently high compared to the regulator mass such that variation of $ k_{\text{max}} $ does not change the Hamiltonian solution. In doing this, we refer to the magnitude of the regulator at $ k_{\text{max}} $ as $ u_{\text{min}} $. The value of $ u_{\text{min}} $ is chosen to minimise the size of the matrix to reduce computational requirements while ensuring convergence in the evaluation of the contributions from all significant basis states. A value of $ u_{\text{min}} = 10^{-2} $ is selected to balance these two requirements. Reducing the minimum value of the regulator any further significantly increases the size of the Hamiltonian and therefore the computational requirements without providing a notable change to the finite-volume eigenvalues. The effect of varying $ u_{\text{min}} $ on low-lying energy eigenvalues for a one-channel analysis (described in Sec. IV) is shown in Fig. 2. Inserting $ u_{\text{min}} $ into equation Eq. (12) and solving for the resulting $ k_{\text{max}} $ gives a maximum momentum of \[ k_{\text{max}} = \Lambda \sqrt{\frac{1}{u_{\text{min}}} - 1}. \tag{26} \] This can then be used to solve for the size of the Hamiltonian matrix from Eq. (23), \[ n_{\text{max}} = \left( \frac{k_{\text{max}} L}{2\pi} \right)^2. \tag{27} \] The same process can be repeated to calculate the size of the Hamiltonian using the Gaussian regulator defined in Eq. (13). Finally, due to the discretisation process, the potentials in Eq. (9) and Eq. (10) undergo a scaling due to finite volume factors. These finite-volume potentials are labelled as $\bar{G}^{B_0}_\alpha(k)$ and $\bar{V}_{\alpha\beta}(k,k')$, and the relationship between the finite and infinite volume potentials will be outlined in the next section. ### F. Finite-Volume Factors In order to calculate the scaling factors due to the finite volume, we consider the relationship between poles in the $S$-matrix, and solutions to the eigenvalue equation of the Hamiltonian. Considering a simple toy system, with a single bare state, and a single two-particle scattering state which only couples to the bare state with strength $\bar{G}(k)$. This scenario is one typically considered in leading one-loop $\chi$PT calculations. Using the notation defined in Sec. III.E, in finite-volume this interaction strength can be written as $\bar{G}(k)$. The Hamiltonian for such a system therefore takes the form $$H = \begin{pmatrix} m_{B_0} & \bar{G}(k_1) & \bar{G}(k_2) & \cdots \\ \bar{G}(k_1) & \omega_\alpha(k_1) & 0 & \cdots \\ \bar{G}(k_2) & 0 & \omega_\alpha(k_2) & \ddots \\ \vdots & \vdots & \ddots & \ddots \end{pmatrix}. \tag{28}$$ Due to the sparse nature of this matrix, an exact expression can be written for solutions of the eigenvalue equation $\|H - E\| = 0$, giving $$E = m_{B_0} - \sum_n \frac{\bar{G}^2(k_n)}{\omega(k_n) - E}. \tag{29}$$ It is worth noting that upon replacing $E$ on the RHS with the renormalised mass $m_{B_0}$, one can make contact with finite-volume $\chi$PT, thus defining the relationship between $\bar{G}(k)$ and $\bar{G}(k)$. To define this relationship, we return to infinite-volume. For the simple system defined in this section, the absence of any interactions between different two-particle states means that Eq. (19) reduces to $$\bar{V}(k,k';E) = \frac{\bar{G}(k)\bar{G}(k')}{E - m_{B_0}}. \tag{30}$$ For a separable potential such as this, the associated $T$-matrix is also separable, and is able to be written as $$T(k,k';E) = G(k)t(E)G(k'), \tag{31}$$ Substituting this into Eq. (18) therefore gives an expression for $t(E)$ in the form $$t(E) = \left[m_{B_0} - E - \int_0^\infty dq\,q^2 \frac{G^2(q)}{E - \omega(q) + i\epsilon}\right]^{-1}. \tag{32}$$ As the $S$-matrix is proportional to $t(E)$, poles in the $S$-matrix can be found by solving for $t^{-1}(E) = 0$, giving $$E = m_{B_0} - \int_0^\infty dq\,q^2 \frac{G^2(q)}{E - \omega(q) + i\epsilon}. \tag{33}$$ Using the fact that for a spherically symmetric momentum space, $$\int dq\,q^2 = \int dq\,q^2 \int \frac{d\Omega}{4\pi} = \int \frac{d^3q}{4\pi}, \tag{34}$$ we can make use of Eq. (24) and Eq. (25) to obtain an expression for the finite-volume energies in terms of the infinite-volume potentials, $$E = m_{B_0} - \sum_n \frac{C_3(n)}{4\pi} \left(\frac{2\pi}{L}\right)^3 \frac{G^2(k_n)}{\omega(k_n) - E}. \tag{35}$$ By comparing this expression to Eq. (29), it can be seen that the finite and infinite-volume potentials are related according to $$\bar{G}^2(k_n) = \frac{C_3(n)}{4\pi} \left(\frac{2\pi}{L}\right)^3 G^2(k_n). \tag{36}$$ Having found this relation, we can therefore return to the general notation for interaction strengths defined in Sec. III.A, giving the finite-volume potentials $$\bar{G}^{B_0}_\alpha(k_n) = \sqrt{\frac{C_3(n)}{4\pi}} \left(\frac{2\pi}{L}\right)^{\frac{3}{2}} G^{B_0}_\alpha(k_n), \tag{37}$$ $$\bar{V}_{\alpha\beta}(k_n,k_m) = \sqrt{\frac{C_3(n)}{4\pi}} \sqrt{\frac{C_3(m)}{4\pi}} \left(\frac{2\pi}{L}\right)^3 V^{B_0}_{\beta}(k_n,k_m). \tag{38}$$ IV. SINGLE CHANNEL ANALYSIS A. Fitting Experimental Data In order to generate a finite-volume energy spectrum, we can obtain values for the bare mass and potential coupling strengths by fitting experimental phase shifts. In the simplest case, we can consider the $\pi N$ system to be described by a single bare state, and with only the $\pi N$ scattering channel contributing. In this case, we fit to experimental data below the $\pi \Delta$ threshold at approximately 1350 MeV. For the interaction between the bare $\Delta$ and the $\pi N$ scattering state, the coupling from Eq. (9) is taken from Ref. [20], and has the form $$G^{\Delta}_{\pi N}(k) = \frac{g^{\Delta}_{\pi N}}{m^{\text{phys}}_{\pi}} \frac{k}{\sqrt{\omega_{\pi}(k)}} u(k, \Lambda),$$ \hspace{1cm} (39) where $\omega_{\pi}(k) = \sqrt{k^2 + m^2_{\pi}}$, $u(k, \Lambda)$ is the regulator defined in Eq. (12), and the inclusion of $m^{\text{phys}}_{\pi}$ allows the coupling $g^{\Delta}_{\pi N}$ to be dimensionless. For the $\pi N - \pi N$ interaction of Eq. (10), the separable potential from Ref. [35] is used, which takes the form $$V_{\pi N, \pi N}(k, k') = \frac{v_{\pi N, \pi N}}{(m^{\text{phys}}_{\pi})^2} \frac{k}{\omega_{\pi}(k)} \frac{k'}{\omega_{\pi}(k')} u(k, \Lambda) u(k', \Lambda).$$ \hspace{1cm} (40) While in principle the regulator parameter in $G^{\Delta}_{\pi N}(k)$ and in $V_{\pi N, \pi N}(k, k')$ can take different values, in this study they will be fixed to the same value to simplify the analysis. Inserting these into the relativised Lippmann-Schwinger equation from Eq. (18), we can extract the $\pi N$ phase shift $\delta_{\pi N}$. Using these phase shifts, and choosing $\Lambda = 0.8$ GeV for now, we can fit $\pi N$ scattering data, such as that from Ref. [36, 37]. The parameter set for this fit can be seen in Table I where a bare state is included, and the phase shifts corresponding to this fit are illustrated in Fig. 3. Visually, this produces a good fit, and as such it may be surprising that the $\chi^2$ per degree of freedom (DOF) is 18.22. The origin of the large $\chi^2$/DOF value is in the extraordinary statistical precision of the $\pi N$ scattering data, obtained in a fixed-energy analysis. However, there is additional systematic uncertainty that is not reflected in the statistical error bars. The fixed-energy analysis encounters systematics which give rise to significant fluctuations in the data as a function of energy on the scale of the statistical errors themselves such that the data are incompatible with a smooth curve. While many authors do not report a $\chi^2$, we note Meissner et al. [39] assigned a relative error of 3% to the scattering data and quote $\chi^2$/DOF values exceeding 0.77 for fits to 1.2 GeV. Similarly in Ref. [40], a 5% error is assigned and $\chi^2$/DOF values exceeding 0.78 for fits to 1.3 GeV are reported. If we take a similar approach, the introduction of 3% uncertainties provides a $\chi^2$/DOF of 0.07 for fits to 1.35 GeV with 23 DOF. Similarly 5% uncertainties provide a $\chi^2$/DOF of 0.02. In this light, our fits are excellent. Indeed the introduction of 1% uncertainties is sufficient to reduce our $\chi^2$/DOF $\lesssim 1$. Empirically, our fits also compare well with the $P_{33}$ results of both Ref. [41] and Ref. [42]. In addition, other quantities such as the pole position can be considered for comparison. As can be seen in Table I, using the 0.8 GeV fit (Fit I) we calculate a pole position of 1.211 ± 0.049i GeV. This is in excellent agreement with the pole position of the $\Delta$ as quoted by the Particle Data Group (PDG)[43], which takes the value of approximately $1.210 - 0.05i$ GeV. B. Finite-Volume Dependence Using the parameters found by fitting the scattering data, the matrix Hamiltonian can be constructed. For the single-channel system, the free Hamiltonian from Eq. (8) can be written as $$H_0 = \text{diag} \left( m^{(0)}_{\Delta}, \omega_{\pi N}(k_1), \omega_{\pi N}(k_2), \ldots \right),$$ \hspace{1cm} (41) where $\omega_{\pi N}(k_i) = \sqrt{k^2 + m^2_{\pi}} + \sqrt{k^2 + m^2_N}$. The interaction Hamiltonian from Eq. (11) can be written in matrix form as $$H_I = \begin{pmatrix} 0 & G^{\Delta}_{\pi N}(k_1) & G^{\Delta}_{\pi N}(k_2) & \cdots \\ G^{\Delta}_{\pi N}(k_1) & V_{\pi N, \pi N}(k_1, k_1) & V_{\pi N, \pi N}(k_1, k_2) & \cdots \\ G^{\Delta}_{\pi N}(k_2) & V_{\pi N, \pi N}(k_2, k_1) & V_{\pi N, \pi N}(k_2, k_2) & \cdots \\ \vdots & \vdots & \vdots & \ddots \end{pmatrix},$$ \hspace{1cm} (42) and so the full Hamiltonian can be constructed as $H = H_0 + H_I$. In the simplest possible case where $v_{\pi N, \pi N} = 0$, and therefore the only interaction present is the $\Delta_0 \rightarrow \pi N$ vertex, the eigenvalues of the matrix Hamiltonian can be solved exactly[20]. Solving the eigenvalue equation $\|H - E\| = 0$, TABLE I. Single-channel fit parameters constrained to the WI08 solution of the $P_{33}$ $\pi N$ scattering data [37, 38]. Fits I-III contain a single-particle basis state $\|\Delta_0\rangle$, while Fit IV does not. \| Parameter \| With $\|\Delta_0\rangle$ \| No $\|\Delta_0\rangle$ \| \|-----------\|------------------------\|---------------------\| \| \| Fit I \| Fit II \| Fit III \| Fit IV \| \| $m_\Delta^{(0)}$/ GeV \| 1.3589 \| 1.4965 \| 1.4700 \| - \| \| $g_{\pi N}^2$ \| 0.1762 \| 0.0818 \| 0.0101 \| - \| \| $v_{\pi N,\pi N}$ \| -0.0286 \| -0.0238 \| -0.0090 \| -0.0029\| \| $\Lambda$/ GeV \| 0.8000 \| 1.6000 \| 4.0000 \| 8.0000 \| \| DOF \| 13 \| 13 \| 13 \| 15 \| \| $\chi^2$ \| 236.81 \| 230.85 \| 194.68 \| 24373.42\| \| $\chi^2$/DOF \| 18.22 \| 17.76 \| 14.98 \| 1624.90\| \| $\alpha_2$/ GeV$^{-1}$ \| 1.092 \| 0.655 \| 0.370 \| - \| \| $\alpha_4$/ GeV$^{-3}$ \| -0.832 \| -0.231 \| 0.375 \| - \| \| Pole / GeV \| 1.211 − 0.049i \| 1.210 − 0.049i \| 1.209 − 0.049i \| 1.205 − 0.045i\| the eigenvalues are found as solutions of $$E = m_\Delta^{(0)} - \sum_{n=1}^{n_{\text{max}}} \frac{G^\Delta_{\pi N}(k_n)^2}{\omega_{\pi N}(k_n) - E}. \quad (43)$$ We note that by taking the limit for this equation where $L, n_{\text{max}} \to \infty$, and associating the energy $E$ on the right-hand side with the renormalised $\Delta$ mass $m_\Delta$, this expression for the eigenvalues is restored to the one-loop correction to the $\Delta$ mass, $$m_\Delta = m_\Delta^{(0)} - \left(\frac{g_{\pi N}^2}{m_\pi^{\text{phys}}}\right)^2 \int_0^\infty \frac{k'^4 u(k',\Lambda)^2 dk'}{\omega_\pi(k') \left[m_\Delta - \omega_{\pi N}(k') + i\epsilon\right]}. \quad (44)$$ We use a numerical routine to solve for the eigenmodes of $H$. Varying the lattice volume $L$, we can generate the finite-volume energy spectrum for this system, as seen in Fig. 4. In order to observe the contributions from the single-particle basis state, $\|\Delta_0\rangle$, to the energy eigenvalues, it is convenient to highlight the states which have the largest contribution from $\|\Delta_0\rangle$. This can be seen in Fig. 5, where the three different highlighting methods show the states with the first, second and third highest probabilities for the single-particle $\|\Delta_0\rangle$ basis-state contribution. In Sec. IV D, these states will be identified as eigenstates having the largest overlap with lattice QCD eigenstates excited by three-quark interpolating fields, and therefore can be considered the states which are first, second and third most likely to be observed in a lattice QCD calculation with three-quark operators. C. Dipole Regulator Dependence The incorporation of the Lüscher formalism within HEFT ensures the eigenvalues of the Hamiltonian in HEFT will be $\Lambda$ independent provided the experimental data is described accurately by the Hamiltonian model. To test this we fit the scattering data for values of $\Lambda$ varying from 0.6 GeV to 8.0 GeV for a dipole form factor. The upper limit selected here is interesting as one can describe the experimental data reasonably well in the vicinity of the resonance region without a single-particle basis state as illustrated in Fig. 6. Using each fit to the experimental data for $E \lesssim 1350$ MeV, we can then solve for the eigenvalues of the finite-volume Hamiltonian and plot the lowest lying states to check for any $\Lambda$-dependence of these states. Indeed, as we see in Fig. 7, the lowest lying states on both FIG. 5. Lattice volume dependence of the energy eigenvalues of the Hamiltonian from Fit I of Table I. The solid (red), short-dashed (blue) and long-dashed (green) highlights on the eigenvalues correspond to the states with the largest, second-largest and third-largest contribution from the bare basis state $\|\Delta_0\rangle$ respectively. FIG. 6. $P$-wave $\pi N$ phase shifts for a system with no single-particle state, where the solid points are experimental data obtained from Ref. [37, 38], the solid line is the fit using HEFT to the data, and the dashed line represents a phase shift of 90 degrees. The parameter set producing this curve is given by Fit IV of Table I. lattice volumes are $\Lambda$-independent provided that these eigenstates lie within $E \lesssim 1350$ MeV, where the theory is constrained to fit the phase shift data. While there is no observable $\Lambda$-dependence for the eigenvalues in the energy region where the HEFT has been constrained by data, we are also interested in how the regulator parameter could affect the physical interpretation of the lattice QCD results. In particular, it is of interest to see how the location of the state dominated by the single-particle basis state, $\|\Delta_0\rangle$, is affected by $\Lambda$. This can be investigated by illustrating the values of the eigenvectors from the Hamiltonian matrix. As the eigenvectors represent the contribution of each basis state to the final eigenstate, we can plot these as a function of $\Lambda$ to observe how the $\|\Delta_0\rangle$ contribution to each eigenstate depends on the regulator parameter. In Fig. 8 and Fig. 9, we show the $\Lambda$-dependence of the two lowest lying eigenstates for two different lattice volumes. It is clear that unlike the eigenvalues, the eigenvectors have a strong $\Lambda$-dependence and, in fact, the position of the state which is dominated by the bare $\Delta$ is not always $\Lambda$-independent. This is particularly clear at smaller lattice volumes, where the bare contribution to the ground state decreases as $\Lambda$ increases. For the larger volume at $L = 5.0$ fm, the first excited state varies between being associated with the the single-particle contribution and the bare state contribution, and is more stable to $\Lambda$ variation. Probing the $\Lambda$ dependence of these eigenvectors also shows how, as $\Lambda$ increases, the contribution from the bare $\Delta$ becomes distributed throughout the higher eigenstates, rather than being concentrated in the ground state. As can be seen in Table I, the strength of the coupling $g_{\pi N}^2$ required to describe the scattering data at large values of $\Lambda$ significantly decreases, and indeed it seems as though a bare $\Delta$ may not be required at all. In fact, with a very large regulator parameter, the scattering data can be fit just as well with and without a bare state [44, 45]. It was found that $\Lambda = 8.0 \text{ GeV}$ is the smallest value of $\Lambda$ which gives a good description of the data. This fit is labelled Fit IV in Table I, and is illustrated in Fig. 6. Here we only have $v_{\pi N/\pi N}$ as a free parameter, the value of which can be found in Table I. Comparing Fig. 3 and Fig. 6, both fits give a good description of the data near the resonance position, though the inclusion of a single-particle basis state improves the description of the data at higher energies. While these two scenarios can reproduce scattering data at the physical pion mass, an important strength of HEFT lies in its capacity to address and interpret lattice QCD results in the region beyond the physical pion mass. By observing the pion mass dependence of these states in lattice QCD versus the predictions of HEFT for different choices of interactions, one can obtain some insight into which system of interactions, and hence which physical picture, best describes the $\Delta$. ### D. Comparison with lattice QCD To generalise these finite-volume energies to larger-than-physical pion masses, we take the pion mass dependence of the bare state to vary in the standard manner including terms to order $m_\pi^4$, taking the form $$m_\Delta^{(i)} = m_\Delta^{(0)} \big\|_{\text{phys}} + \alpha_2 \left( m_\pi^2 - m_{\pi \text{phys}}^2 \right) + \alpha_4 \left( m_\pi^4 - m_{\pi \text{phys}}^4 \right). \quad (45)$$ The values for the $\alpha_2$ and $\alpha_4$ are found by performing a two-parameter fit to lattice QCD results for the ground state $\Delta$ at a lattice size of $L = 2.99 \text{ fm}$, as given by the PACS-CS Collaboration [14]. At this volume the ground state is dominated by the three-quark-like bare state, as can be seen in Fig. 5. In considering pion masses away from the chiral limit, we adopt the approach of $\chi$PT where couplings are fixed and variation with pion mass is contained within the higher-order terms of the expansion [46]. Chiral limit couplings are approximated by our analysis of scattering data necessarily at the physical point. FIG. 10. Pion mass dependence of the finite-volume HEFT eigenvalues at $L = 2.99$ fm for increasing values of the regulator parameter $\Lambda$. No bare basis state is present for $\Lambda = 8.0$ GeV. The parameters for these fits are given by their corresponding entries in Table I. The solid black curves illustrate the finite-volume energy levels predicted by HEFT from fits to experimental phase shifts. These lines are dressed by solid (red), short-dashed (blue) and long-dashed (green) highlights indicating states with the largest, second-largest and third-largest contribution from the bare basis state ($\Delta_0$), respectively. Lattice QCD results for lowest-lying $\Delta$ masses, denoted by the (black) points, are from the PACS-CS collaboration [45]. The quoted $\chi^2$/DOF for each plot are for the lowest-lying energy eigenvalue with respect to the PACS-CS data points. As these lattice results follow from local three-quark operators, they are expected to lie on a solid (red) energy eigenstate in the first case and perhaps on a short-dashed (blue) energy eigenstate when it is the lowest lying state of the spectrum. The vertical dashed (black) line illustrates the physical pion mass. We begin by considering $\Lambda = 0.8$ GeV and constraining $\alpha_2$ and $\alpha_4$ by a fit to the lattice QCD results. The fit value is reported in Table I and the fit is illustrated in the upper-left panel of Fig. 10. This process is repeated for $\Lambda = 1.6$ and $\Lambda = 4.0$. With the simple residual series of Eq. (45), the lattice QCD data is described almost equally well with any of the three regulator parameters selected. In the bottom-right panel of Fig. 10, the $\Lambda = 8.0$ GeV case is demonstrated. As shown in Fig. 6, at 8 GeV a bare state is no longer required to describe the experimental scattering data. As a result, there is no opportunity for residual-series contributions, and the pion-mass extrapolation is performed without a bare mass. As demonstrated here, without a bare state the correct energy eigenvalue is only obtained at the physical point, and a system without a bare state is completely unsuitable for any extrapolations from the physical point. This is in agreement with conclusions from other analyses such as Ref. [47], where as shown in Fig. 2, the $P_{33}$ scattering data is unable to be reproduced without the introduction of an explicit degree of freedom for the $\Delta(1232)$. To further illustrate the robust nature of the pion-mass extrapolations away from the physical point, we superpose results for four different values of the regulator parameter in Fig. 11. While $\Lambda = 4.0$ GeV is not physically motivated, the variation in the curves remains small. In summary, a wide range of values for the regulator parameter $\Lambda$ are able to give the correct pion-mass extrapolation in accordance with the lattice QCD data from PACS-CS. As there is no preference between these different values to be found in comparison with lattice QCD, there is a freedom to choose a value for $\Lambda$ which suits other requirements. A value of $\Lambda = 0.8$ GeV is both in accord with findings from other models, such as the cloudy bag model [32, 45], and is small enough such that computational requirements are minimised. ### E. Gaussian Regulator Dependence As a simple test of the model-dependence of HEFT, the analysis using a dipole regulator can be repeated in part using a Gaussian regulator, as defined in Eq. (13). Beginning with $\Lambda = 0.8$ GeV, a similar quality description of the experimental scattering data can be obtained, as seen in Fig. 12, with a $\chi^2$/DOF of 18.8. Again, we note that if we follow Refs. [39] and [40] and assign a 3% or 5% uncertainty to the experimental scattering data, our fit is shown to provide a superior description of the experimental scattering data. Whereas Refs. [39] and [40] report $\chi^2$/DOF values exceeding 0.77, our fit provides smaller values. The introduction of 3% uncertainties provides a $\chi^2$/DOF of 0.08 for fits to 1.35 GeV with 23 DOF. Similarly 5% uncertainties provide a $\chi^2$/DOF of 0.03. Again, the introduction of 1% uncertainties is sufficient to reduce our $\chi^2$/DOF $\lesssim 1$. As shown in Fig. 13, varying $\Lambda$ over a modest range of 0.8 GeV to 2.4 GeV, the ground-state energy is similarly invariant as demanded by the Lüscher formalism contained within HEFT. By comparing with Fig. 7 it is clear that within the fitting region of $E \leq 1350$ MeV, both Gaussian and dipole functional forms are equivalent. Finally, by extending to unphysical pion masses and comparing with the PACS-CS data at $L = 2.99$ fm, it can be seen in Fig. 14 that a Gaussian form factor is able to obtain a similarly good description of the lattice QCD data, with $\chi^2$/DOFs ranging from 0.2 - 0.4. In light of the model-independence demonstrated, this study will only utilise a dipole regulator for the forthcoming analysis. FIG. 14. Pion mass dependence of the lowest-lying finite-volume HEFT eigenvalue at $L = 2.99$ fm using a Gaussian regulator, where the data points are the PACS-CS data. Four parameter sets corresponding to each value of $\Lambda$ are overlapped, each with a corresponding bare mass expansion fit to the PACS-CS data. V. TWO-CHANNEL ANALYSIS A. Fitting Experimental Data The power of the constraints provided by experimental scattering data on the predictions of HEFT via the Lüscher formalism is manifest in Fig. 7. And while this model independence applies only at the physical point, Figs. 11 and 14 illustrate only a subtle model dependence in describing the quark-mass dependence of the finite-volume energies. Thus, it is desirable to extend the energy range considered beyond the $\pi\Delta$ threshold, in an effort to describe excitations of the $\Delta$, in addition to the lowest lying resonance. To proceed, we will conduct a similar analysis including higher energies by introducing a second scattering channel, a $\pi\Delta$ channel. Previously we were able to describe the scattering data to 1350 MeV with a $\pi N$ scattering channel. To describe the data up to 1650 MeV, we require the next $\pi\Delta$ scattering channel to account for inelasticity beyond the $\pi\Delta$ threshold. To describe the interactions in the $\pi\Delta$ channel, we use the same functional form as Eq. (39) to describe the $\Delta^{(0)} \rightarrow \pi\Delta$ interaction, and the same potential as Eq. (40) to describe the $\pi\Delta \rightarrow \pi\Delta$ and $\pi\Delta \rightarrow \pi N$ interactions. This introduces three new fit parameters for the system: $g_{\pi\Delta}^{\Delta}$, $v_{\pi N, \pi\Delta}$, and $v_{\pi\Delta \pi N}$. In fitting the experimental data, we must reproduce both the $\pi N$ phase shift $\delta_{\pi N}$ and the inelasticity $\eta$. Unlike the single-channel case, the increased number of parameters and the inclusion of the inelasticity make it difficult to fit the data for larger values of $\Lambda$. Further difficulty is introduced by the absence of phase shift data in the $\pi\Delta$ channel. Variation in the parameters is more unstable, and good fits to the scattering data above approximately $\Lambda = 1.2$ GeV are elusive. For the SAID data up to 1650 MeV, we are able to obtain fits between $\Lambda = 0.8$ GeV and $\Lambda = 1.2$ GeV with a significantly reduced $\chi^2$ compared to the single-channel case. The fit parameters at these two limits for $\Lambda$ are presented in Table II. Again, our fits provide an excellent description of the experimental scattering data. Following Refs. [39] and [40] and assigning a 3% or 5% uncertainty to the scattering data, we find the introduction of 3% uncertainties provides a $\chi^2$/DOF of 0.26 for fits to 1.65 GeV with 50 DOF. Similarly 5% uncertainties provide a $\chi^2$/DOF of 0.10. This contrasts Refs. [39] and [40] where they report $\chi^2$/DOF values exceeding 0.77 for fits constrained within 1.3 GeV. While both fits generate a pole at approximately the PDG pole position of $1.210 - 0.050i$ GeV, they are not able to describe the scattering data equally well. It is also worth noting that a second pole was found for each of the two sets of fit parameters, though with significantly different values for the imaginary components of each pole. These values are somewhat comparable to the PDG pole position for the $\Delta(1600)$ at $(1.510 \pm 0.050) - (0.135 \pm 0.035)i$ GeV [43], though the imaginary component of the second pole for Fit VI is considerably smaller. As illustrated in Fig. 15, both fits are able to describe the scattering phase shifts up to 1650 MeV; however, only the smaller value of $\Lambda = 0.8$ GeV is able to give a good description of the inelasticity. In order to observe the effect these differing fits have on the corresponding lattice energy levels, we explore the lattice volume and $\Lambda$ dependence of the finite-volume eigenmodes in the next two sections. \| Parameter \| Fit V \| Fit VI \| \|-----------\|-------\|--------\| \| $m_\Delta^{(0)} / \text{GeV}$ \| 1.3837 \| 1.4405 \| \| $g_{\pi N}^{\Delta}$ \| 0.1286 \| 0.1041 \| \| $g_{\pi\Delta}^{\Delta}$ \| 0.1324 \| 0.0171 \| \| $v_{\pi N, \pi N}$ \| -0.0103 \| -0.0233 \| \| $v_{\pi N, \pi\Delta}$ \| -0.0811 \| -0.0220 \| \| $v_{\pi\Delta, \pi\Delta}$ \| -0.0015 \| -0.0645 \| \| $\Lambda / \text{GeV}$ \| 0.8000 \| 1.2000 \| \| DOF \| 27 \| 27 \| \| $\chi^2$ \| 304.29 \| 377.67 \| \| $\chi^2$/DOF \| 11.27 \| 13.99 \| \| $a_{ij}/\text{GeV}^{-1}$ \| 0.893 \| 0.636 \| \| $a_{ij}/\text{GeV}^{-3}$ \| -0.481 \| -0.089 \| \| Pole 1 / GeV \| $1.210 - 0.049i$ \| $1.211 - 0.049i$ \| \| Pole 2 / GeV \| $1.434 - 0.207i$ \| $1.449 - 0.053i$ \| FIG. 15. $P$-wave $\pi N$ phase shifts and inelasticities. The solid points are experimental data obtained from Ref. [37, 38]. The solid (red) curve is the fit of HEFT to the scattering data. The horizontal dashed line highlights a phase shift of 90 degrees, while the vertical dashed line illustrates the position of the $\pi \Delta$ threshold. The upper plots illustrate the best fit when the regulator parameter $\Lambda = 0.8$ GeV (Fit V), while the lower plots illustrate the best fit when the regulator parameter $\Lambda = 1.2$ GeV (Fit VI). Only phenomenologically motivated values associated with the induced pseudoscalar form factor of a baryon are able to give a good description of the inelasticity. B. Finite-Volume Dependence Adding an additional channel to the Hamiltonian matrix only requires an additional row/column for each channel at each momentum $k_n$. Therefore the free Hamiltonian takes the form $$H_0 = \text{diag} \left( m^{(0)}_\Delta, \omega_{\pi N}(k_1), \omega_{\pi \Delta}(k_1), \omega_{\pi N}(k_2), \omega_{\pi \Delta}(k_2), \ldots \right)$$ Similarly, we can write the interaction Hamiltonian as $$H_I = \begin{pmatrix} 0 & G^{\Delta}_{\pi N}(k_1) & G^{\Delta}_{\pi \Delta}(k_1) & \cdots \\ G^{\Delta}_{\pi N}(k_1) & V_{\pi N,\pi N}(k_1,k_1) & V_{\pi N,\pi \Delta}(k_1,k_1) & \cdots \\ G^{\Delta}_{\pi \Delta}(k_1) & V_{\pi \Delta,\pi N}(k_1,k_1) & V_{\pi \Delta,\pi \Delta}(k_1,k_1) & \cdots \\ \vdots & \vdots & \ddots & \vdots \end{pmatrix}.$$ Taking the Hamiltonian and solving the eigenvalue equation for varying lattice lengths, $L$, we can generate the finite-volume spectra seen in Fig. 16 and Fig. 17 for $\Lambda = 0.8$ GeV. Below the $\pi \Delta$ threshold of approximately 1350 MeV, the two-channel finite-volume spectrum has the same form as the single-channel spectrum, which is to be expected as both the single-channel fit and the two-channel fit perform equally well below the $\pi \Delta$ threshold. Above this threshold, however, mixing between $\pi N$ and $\pi \Delta$ basis states results in avoided level crossings. These are apparent in the energy eigenvalues above the $\pi \Delta$ threshold of 1350 MeV. For the smaller volumes where the states are forced to interact in the finite volume, the energy gaps are significant, and can be used to infer scattering observables from the finite-volume spectrum. FIG. 16. Two-channel lattice volume dependence of the energy eigenvalues of the Hamiltonian for the fit to experimental data with $\Lambda = 0.8$ GeV. The solid lines represent the energy eigenvalues. The horizontal dot-dashed line is the bare mass and the curved dashed lines are the $\pi N$ and $\pi \Delta$ scattering states at $k = (\pi_2^2 + \pi_3^2 + \pi_5^2)^{1/2} / 2\pi / L$. FIG. 17. Two-channel lattice volume dependence of the energy eigenvalues of the Hamiltonian for the fit to experimental data with $\Lambda = 0.8$ GeV. The solid (red), short-dashed (blue) and long-dashed (green) highlights on the energy eigenvalues correspond to the states with the largest, second-largest and third-largest contribution from the bare $\Delta$ basis state respectively. C. Regulator Parameter Dependence As in the single-channel analysis reported in Sec. IV C, we proceed to understand how this finite-volume spectrum depends on the choice of the regulator parameter $\Lambda$, albeit over a smaller range of $\Lambda$. The range of $\Lambda$ considered isn’t a problem however, as using our single-channel results to guide us, we expect that optimal results will be obtained in the physically-motivated region around $\Lambda = 0.8$ GeV for a dipole form factor. The results obtained by solving for the eigenvalues of the Hamiltonian with $\Lambda$ varying from 0.8 GeV to 1.2 GeV are presented in Fig. 18. Here, for both $L = 2.99$ fm and $L = 5.0$ fm, we see that, unlike the single-channel case, we observe a $\Lambda$ dependence of the energy eigenvalues within the range of energies considered in fitting the scattering data, this time to 1650 MeV. On the 3 fm lattice, the third state drops below 1650 MeV for large $\Lambda$. On the 5 fm lattice, both the fifth and seventh states display a strong $\Lambda$ dependence. Thus, high quality lattice QCD simulations covering several low-lying states hold the potential to constrain $\Lambda$ and its associated parameter set. Thus it is possible in principle to predict the inelasticity from lattice QCD simulations. Indeed, it is the lack of a complete experimental data set that prevents HEFT from maintaining model independence via the Lüscher formalism. The presence of multiple open, coupled channels constrained by data from only one scattering channel leaves the Hamiltonian model unconstrained. This time, variation in $\Lambda$ leads to different roles for the scattering channels in describing the $\pi N$ scattering data. As we will see, lattice QCD can provide the additional information required to constrain the Hamiltonian. As in the single-channel case, it is of interest to analyse how the eigenvectors describing the composition of the energy eigenstates vary with $\Lambda$. Although we have an additional channel, the overall behaviour of the eigenvectors is similar to that observed in the single channel case. Fig. 19 illustrates the $\Lambda$ dependence of the composition. As $\Lambda$ increases, enhanced short-distance mixing between the basis states replaces contributions from the bare state. However, given that the experimental inelasticities can only be described with $\Lambda \sim 0.8$ GeV—in accord with phenomenologically motivated values associated with the induced pseudoscalar form factor of a baryon—we turn our attention to variation of the composition over the range $0.6 \leq \Lambda \leq 1.0$ GeV. Over this range, the composition of the energy eigenstates shows very little dependence on the regulator parameter. Thus, physical insight into the meson-baryon rescattering contributions to the energy eigenstates can be extracted. ### D. Pion Mass Dependence of the Finite-Volume Spectrum In the single-channel system, we were able to demonstrate that for $\Lambda \lesssim 4$ GeV where a bare basis state is included, the reproduction of the lattice QCD results was largely independent of choice of $\Lambda$. In the two-channel case, we have already found that increasing $\Lambda$ to only 1.2 GeV results in a poorer description of the experimental inelasticity. Still, it is desirable to explore how variation of the regulator parameter and the ability to reproduce the inelasticity manifests in the pion mass dependence of the spectrum. Results for two values of $\Lambda$ are presented in Fig. 20. As in the single-channel system, both values of $\Lambda$ are able to produce the correct pion-mass extrapolation for the lowest-lying state, despite the difficulties in fitting the inelasticity. Thus to resolve a dependence relevant to the inelasticity, one must look to higher states in the spectrum, more sensitive to the opening of $\pi\Delta$ channel. The second excited state shows a large degree of variance with respect to the parameter set used. As the scattering phase shifts are well-reproduced for $E \leq 1650$ MeV, this parameter dependence is associated with the varying success in describing the inelasticity as presented in Fig. 15. As such, the consideration of the first three energy levels in lattice QCD for a lattice size of $\sim 3$ fm and a pion mass near the physical regime should be sufficient to constrain the parameters to predict both the $\pi N$ phase shift and the inelasticity. On larger volumes $\sim 5$ fm, it was the fifth and seventh states that showed a sensitivity to the inelasticity. Figure 21 serves to demonstrate more generally the spectral-dependence arising from the choice of $\Lambda$, and its associated parameter set for a 3 fm lattice. With sufficient high-quality lattice QCD results, the $\Lambda$ variation will be constrained such that there is a unique Hamiltonian and a unique set of Hamiltonian eigenvectors describing the eigenstate composition. ### E. Comparison with Contemporary lattice QCD Results In recent years, advances in lattice QCD have allowed for several new studies of the $\Delta$ [132]. Modern analyses include two-particle momentum-projected interpolating fields designed to more directly access the two-particle scattering states. Utilising our two-channel fit with $\Lambda = 0.8$ GeV (Fit V of Table II), comparison can be made between the finite-volume energy eigenvalues calculated in HEFT and contemporary lattice QCD results. Figure 22 provides a comparison of the HEFT predictions developed herein with lattice QCD results from the CLS consortium [15, 16]. From the ensemble labelled D200, with $m_\pi = 0.2$ GeV and $L = 4.16$ fm, points corresponding with the three lowest-lying states are provided. HEFT is able to predict them within one standard deviation. Moreover, HEFT correctly predicts the large increase in the scattering state energy relative to the non-interacting state for the first excitation. Considering the eigenvectors, the lowest-lying state is dominated by the bare basis state, while the second state is dominated by the $\pi N(k = 1)$ basis state with smaller mixing of other nearby basis states. This composition agrees with the lattice QCD results where the first excitation couples strongly to momentum projected two-particle $\pi N$ interpolators. We also note that only one of the two states reported in Hg for the second excitation is associated with $J = 3/2$ [48]. The lowest-lying state from HEFT also agrees with the one state available from the N401 ensemble with $m_\pi = 0.28$ GeV and $L = 3.7$ fm. ### VI. CONCLUSION We have examined the process of renormalisation in nonperturbative Hamiltonian Effective Field Theory (HEFT). As a nonperturbative extension of effective field theory incorporating the Lüscher formalism, HEFT provides a bridge between the infinite-volume scattering data of experiment and the finite-volume spectrum of energy eigenstates in lattice QCD. HEFT brings the insight of experimental data to the finite-volume of the lattice through the parametrisation of a Hamiltonian built on a basis of non-interacting multiparticle states. Through a process of constraining Hamiltonian parameters to scattering data, and then solving for the eigenmodes of a finite-volume matrix Hamiltonian, one obtains finite-volume energy eigenvalues and eigenvectors describing the composition of the finite volume states. A key question is to ascertain the regularisation-scheme dependence of these eigenvectors. Using the FRR scheme, an expression for the $S$-matrix was obtained by solving the coupled-channel, Bethe-Salpeter equations, and the phase shifts and inelasticities for the system were then extracted. These quantities were fit to the SAID Partial-Wave Analysis Facility experimental scattering FIG. 19. Regulator parameter, $\Lambda$, dependence of the eigenvectors describing the composition of the two lowest lying energy eigenstates in the two-channel case with $\pi N$ and $\pi \Delta$ scattering channels. The top two plots present results for a lattice volume of 2.99 fm, whereas the bottom two panels are for $L = 5.0$ fm. The left plot shows the eigenvectors for the lowest-lying state, while the right plot shows the next energy eigenstate. The bare basis states contribute most strongly to the lowest energy eigenstate at 2.99 fm. At 5 fm, the lowest state is only just dominated by the bare basis state, with a strong contribution from many scattering states, while the first excited eigenstate is an approximately equal mixing of the bare state and the $\pi N(k = 1)$ scattering state. data [37, 38] by adjusting the parameters of the Hamiltonian. These optimised parameters then serve as inputs for a Hamiltonian matrix model. By solving the eigenvalue equation for this Hamiltonian the finite-volume energy eigenvalues and eigenvectors describing the composition of the finite volume states were resolved. We considered the $P$-wave, $I(J^P) = \frac{3}{2}(\frac{3}{2}^-)$ $\Delta$ resonance channel. A simple description of the $\Delta$ is to consider only the mixing of a bare $\Delta$ with a two-particle $\pi N$ state. Considering a basic system such as this allowed for the development of intuition into the results of HEFT. By using a dipole regulator and considering values for the regulator parameter ranging from $\Lambda = 0.8$ GeV to $\Lambda = 8.0$ GeV, we were able to fit the scattering data with varying degrees of success. These fits produced a pole in agreement with the value listed by the Particle Data Group. By solving the Hamiltonian matrix for this system at varying lattice sizes $L$, a finite-volume energy spectrum was found. We recall that the Lüscher method of relating phase shifts to eigenvalues measured in lattice QCD is model independent. Furthermore, it has been proven that the relationship between phase shifts and energy levels produced by HEFT and the Lüscher method are identical up to corrections of order $\exp(-m_\pi L)$. Thus the energy levels produced by the HEFT method are model independent within the energy range over which the experimental phase shifts are reproduced. This has been demonstrated in the single-channel analysis of Sec. IV. While the eigenvalues of single-channel matrix Hamiltonian constrained to experimental scattering data do not depend on the regulator parameter $\Lambda$, the eigenvectors of the Hamiltonian do show a significant dependence on $\Lambda$. As $\Lambda$ increases and short-distance interactions are allowed between the effective fields, the bare basis state contribution to low-lying finite-volume states decreases, implying that a bare basis state may not be necessary for a description of the $\Delta$ resonance. To resolve the validity of this conjecture, the pion mass dependence of the HEFT was examined. Extending HEFT beyond the physical pion mass allows for a direct comparison to lattice QCD calculations available at many pion masses. In performing this comparison, it was revealed that by utilising a quadratic form for the bare mass extrapolation, any value of $\Lambda \lesssim 4$ GeV is able to reproduce the lattice QCD data well. In addition, independence on the choice between Gaussian and dipole regulator is observed. However, without a bare state, although the scattering data was able to be reproduced in the resonance region, the lattice QCD data was not reproduced away from the physical point. Having gained intuition into the structure of the $\Delta$ in the simple single-channel case, the more complicated two-channel system was considered, allowing the scattering data... to be described at higher energies and introducing an inelasticity for consideration. While the scattering phase shifts could be described for various values of $\Lambda$, an accurate description of the inelasticity required a value of $\Lambda$ consistent with phenomenologically motivated values associated with the induced pseudoscalar form factor of a baryon. Thus consideration of the two-channel case has made it clear that nonperturbative HEFT does not enjoy the same freedom in selecting a regulator as in $\chi$PT. Whereas any value of $\Lambda$ is admissible in the power counting regime of $\chi$PT (which is usually regarded to include the physical pion mass), in the two-channel HEFT case the regulator and its associated parameter set contains the physics necessary to describe the inelasticity. $\Lambda$ must take physically motivated values to enable a description of the inelasticity. By considering the pion mass dependence of the spectra generated by different regulator parameters, and comparing them to lattice QCD results, it becomes clear that future high-precision lattice QCD results for excited states near the opening of the $\pi\Delta$ channel will be able to constrain the Hamiltonian and make predictions for both the $\pi N$ phase shift and the inelasticity. Finally, comparison was made with contemporary lattice QCD results from the CLS consortium for the $\Delta$ spectrum. Agreement was observed for all the eigenstates available. Future work should consider the effects of moving frames on the $\Delta$ system in HEFT [49] in order to compare with a larger range of recent lattice QCD results [15, 16]. Additionally, the understanding of the roles of the bare mass and regulator parameters will prove useful for the study of new areas of interest such as the odd-parity nucleon resonances, where recent research [50] has indicated that two bare states may be required to adequately describe the system. ACKNOWLEDGEMENTS D.B.L. thanks Albert Kong for discussions in the early phase of this research and the organisers of the July 2019 CERN Workshop “Advances in Lattice Gauge Theory” where many of the questions addressed herein were first posed. The authors would also like to thank Colin Morningstar for helpful discussions on the nature of the states observed in lattice QCD. This research was supported by the Australian Government Research Training Program Scholarship, and with supercomputing resources provided by the Phoenix HPC service at the University of Adelaide. This research was undertaken with the assistance of resources from the National Computational Infrastructure (NCI), provided through the National Computational Merit Allocation Scheme, and supported by the Australian Government through Grant No. LE190100021 and the University of Adelaide Partner Share. This research was supported by the Australian Research Council through ARC Discovery Project Grants Nos. DP180100497 (A.W.T.) and DP190102215 and DP210103706 (D.B.L.). J.-J. Wu was supported by the Fundamental Research Funds for the Central Universities; by the National Key R&D Program of China under Contract No. 2020YFA0406400, and by the Key Research Program of the Chinese Academy of Sciences, Grant NO. XDPB15. [1] M. Lüscher. Volume dependence of the energy spectrum in massive quantum field theories I. Stable particle states. Communications in Mathematical Physics, 104(2):177–206, June 1986. [2] M. Lüscher. Volume dependence of the energy spectrum in massive quantum field theories II. Scattering states. Communications in Mathematical Physics, 105(2):153–188, June 1986. [3] Martin Lüscher. Two-particle states on a torus and their relation to the scattering matrix. Nuclear Physics B, 354(2):531–578, May 1991. [4] Song He, Xu Feng, and Chuan Liu. Two particle states and the S-matrix elements in multi-channel scattering. JHEP, 07:011, 2005. [5] Michael Lange, Ulf-G. Meissner, and Akaki Rusetsky. A Method to measure the antikaon-nucleon scattering length in lattice QCD. Physics Letters, B681:439–443, 2009. [6] V. Bernard, M. Lage, U. G. Meissner, and A. Rusetsky. Scalar mesons in a finite volume. JHEP, 01:019, 2011. [7] Peng Guo, Jozef Dudek, Robert Edwards, and Adam P. Szczepaniak. Coupled-channel scattering on a torus. Physical Review, D88(1):014501, 2013. [8] B. Hu, R. Molina, M. Döring, and A. Alexandru. Two-flavor Simulations of the $S$($\rho$770) and the Role of the $S$K$^$ bar KS Channel. Physical Review Letters, 117(12):122001, September 2016. [9] Ning Li and Chuan Liu. Generalized Lüscher Formula in Multi-channel Baryon-Meson Scattering. Physical Review D, 87(1):014502, January 2013. [10] Maxwell T. Hansen and Stephen R. Sharpe. Multiple-channel generalization of Lellouch-Lüscher formula. PoS, LAT2012:127, 2012. [11] M. Döring, H.-W. Hammer, M. Mai, J.-Y. Pang, A. Rusetsky, and J. Wu. Three-body spectrum in a finite volume: The role of cubic symmetry. Physical Review D, 97(11):114508, June 2018. [12] Maxwell T. Hansen and Stephen R. Sharpe. Lattice QCD and Three-particle Decays of Resonances. Annual Review of Nuclear and Particle Science, 69(1):65–107, October 2019. [13] Tyler D. Blanton, Fernando Romero-López, and Stephen R. Sharpe. $\Sigma = 35$ three-pion scattering amplitude from lattice QCD. Physical Review Letters, 124(3):032001, January 2020. [14] S. Aoki et al. 2+1 Flavor Lattice QCD toward the Physical Point. Phys. Rev. D, 79:034503, 2009. [15] Christian Walther Andersen, John Bulava, Ben Hörz, and Colin Morningstar. Elastic $I = 3/2$ p-wave nucleon-pion scattering amplitude and the $\Delta(1232)$ resonance from $N_f=2+1$ lattice QCD. Phys. Rev., D97(1):014506, 2018. [16] Colin Morningstar, John Bulava, Andrew D. Hanlon, Ben Hörz, David Meltzer, John Negele, Sarah Skinner, and André Walker-Loud. Progress on Meson-Baryon Scattering. PoS, LATTICE2021:170, 2022. [17] Giorgio Silvi et al. P-wave nucleon-pion scattering amplitude in the $\Delta(1232)$ channel from lattice QCD. Phys. Rev. D, 103(9):094508, 2021. [18] Jia-jun Wu, Derek B. Leinweber, Zhan-wei Liu, and Anthony W. Thomas. Structure of the Roper Resonance from Lattice QCD Constraints. Phys. Rev. D, 97(9):094509, 2018. [19] Jonathan M. Hall, Waseem Kamleh, Derek B. Leinweber, Benjamin J. Menadue, Benjamin J. Owen, Anthony W. Thomas, and Ross D. Young. Lattice QCD Evidence that the $\Lambda(1405)$ Resonance is an Antikaon-Nucleon Molecule. Phys. Rev. Lett., 114(13):132002, 2015. [20] J. M. M. Hall, A. C. P. Hsu, D. B. Leinweber, A. W. Thomas, and R. D. Young. Finite-volume matrix Hamiltonian model for a $\Delta \to N \pi$ system. Phys. Rev. D, 87(9):094510, 2013. [21] Jia-Jun Wu, T.-S. H. Lee, A. W. Thomas, and R. D. Young. Finite-volume Hamiltonian method for coupled channel interactions in lattice QCD. Physical Review C, 90(5):055206, November 2014. [22] Ross Daniel Young, Derek Bruce Leinweber, and Anthony William Thomas. Convergence of chiral effective field theory. Phys. Rev. Nucl. Phys., 50:399–417, 2003. [23] Derek Bruce Leinweber, Anthony William Thomas, and Ross Daniel Young. Physical nucleon properties from lattice QCD. Phys. Rev. Lett., 92:242002, 2004. [24] Derek Bruce Leinweber, Anthony William Thomas, and Ross Daniel Young. Power counting regime of chiral extrapolation and beyond. PoS, LAT2005:048, 2006. [25] Murray Gell-Mann, R. J. Oakes, and B. Renner. Behavior of current divergences under SU(3) x SU(3). Phys. Rev., 175:2192–2199, 1968. [26] Derek Bruce Leinweber, Anthony William Thomas, Kazuo Tsushima, and Stewart Victor Wright. Baryon masses from lattice QCD using the perturbative chiral regime. Phys. Rev. D, 61:074502, 2000. [27] J. M. M. Hall, D. B. Leinweber, and R. D. Young. Power Counting Regime of Chiral Effective Field Theory and Beyond. Phys. Rev. D, 82:034010, 2010. [28] J.M.M. Hall, F.X. Lee, D.B. Leinweber, K.F. Liu, N. Mathur, R.D. Young, and J.B. Zhang. Chiral extrapolation beyond the power-counting regime. Phys. Rev. D, 84:114011, 2011. [29] J.M.M. Hall, D.B. Leinweber, and R.D. Young. Chiral extrapolations for nucleon magnetic moments. Phys. Rev. D, 85:094502, 2012. [30] J.M.M. Hall, D.B. Leinweber, and R.D. Young. Chiral extrapolations for nucleon electric charge radii. Phys. Rev. D, 88(1):014501, 2013. [31] Pierre A. M. Guichon, Gerald A. Miller, and Anthony William Thomas. The Axial Form-factor of the Nucleon and the Pion - Nucleon Vertex Function. Phys. Lett. B, 124:109–112, 1983. [32] Anthony William Thomas. Chiral Symmetry and the Bag Model: A New Starting Point for Nuclear Physics. Adv. Nucl. Phys., 13:1–137, 1984. [33] Gerald A. Miller, Anthony William Thomas, and S. Theberge. Pionic Corrections in the MIT Bag Model. Comments Nucl. Part. Phys., 10(3):101–108, 1981. [34] Yan Li, Jia-Jun Wu, Curtis D. Abel, Derek B. Leinweber, and Anthony W. Thomas. Partial Wave Mixing in Hamiltonian Effective Field Theory. Phys. Rev. D, 101(11):114501, 2020. [35] Jia-Jun Wu, Lei Wang, Anthony W. Derek B. Leinweber, Finn M. Stokes, Anthony W. Thomas, and Jia-Jun Wu. Hamiltonian effective field theory study of the $S$ matrix of $N^(1535)\bar{S}$ resonance in lattice QCD. Physical Review Letters, 116(8):082004, February 2016. [36] Richard A. Arndt, John M. Ford, and L. David Roper. PION - NUCLEON PARTIAL WAVE ANALYSIS TO 1100-MEV. Phys. Rev. D, 32:1085, 1985. [37] R. L. Workman, R. A. Arndt, W. J. Briscoe, M. W. Paris, and I. I. Strakovsky. Parameterization dependence of T matrix poles and eigenphases from a fit to $\pi N$ elastic scattering data. Phys. Rev. C, 86:035202, 2012. [38] INS Data Analysis Center: http://gwdac.phys.gwu.edu/. Online Solution W108. [39] Nadia Fettes, Ulf-G. Meissner, and Sven Steininger. Pion – nucleon scattering in chiral perturbation theory. I. Isospin symmetric case. Nucl. Phys. A, 640:199–234, 1998. [40] Ulf-G. Meissner and J. A. Oller. Chiral unitary meson baryon dynamics in the presence of resonances: Elastic pion nucleon scattering. Nucl. Phys. A, 673:311–334, 2000. [41] B. Juliá-Díaz, T.-S. H. Lee, A. Matsuyama, and T. Sato. Dynamical coupled-channel model of $\pi n$ scattering in the $w \leq 2$ gev nucleon resonance region. Physical Review C, 76(6), dec 2007. [42] T. Sato and T. S. H. Lee. Dynamical Models of the Excitations of Nucleon Resonances. J. Phys. G, 36:073001, 2009. [43] Particle Data Group. Review of Particle Physics. Progress of Theoretical and Experimental Physics, 2020(8), 08 2020, 083C01. [44] Gerald A. Miller, Anthony William Thomas, and S. Theberge. Pion – Nucleon Scattering in the Cloudy Bag Model. Phys. Lett. B, 91:192–195, 1980. [45] S. Theberge, Anthony William Thomas, and Gerald A. Miller. The Cloudy Bag Model. I. The (3,3) Resonance. Phys. Rev. D, 22:2838, 1980. [Erratum: Phys.Rev.D 23, 2106 (1981)]. [46] Judith A. McGovern and Michael C. Birse. On the absence of fifth order contributions to the nucleon mass in heavy baryon chiral perturbation theory. Phys. Lett. B, 446:300–305, 1999. [47] X.-L. Ren, E. Epelbaum, J. Gegelia, and Ulf-G. Meiñner. Meson-baryon scattering in resummed baryon chiral perturbation theory using time-ordered perturbation theory. The European Physical Journal C, 80(5), may 2020. [48] C. Morningstar. private communication, June 2022. [49] Yan Li, Jia-jun Wu, Derek B. Leinweber, and Anthony W. Thomas. Nucleon form factors in field theory in elongated or moving finite volumes. Phys. Rev. D, 103(9):094518, 2021. [50] Finn M. Stokes, Waseem Kamleh, and Derek B. Leinweber. Elastic Form Factors of Nucleon Excitations in Lattice QCD. Phys. Rev. D, 102(1):014507, 2020.
apm.activecommunities.com/pvkansas VISIT US ONLINE! & PARKS, RECREATION Community Programs (Note: Private tennis, swim, dive and skateboarding lessons only available at City Hall) * Register for Summer Recreation Activities * Purchase Prairie Village Pool Memberships (Note: 10 Swim Cards and SuperPasses only available at City Hall) * Reserve a Park Pavilion or the Community Center The website also allows the viewing of fees, dates, time, locations, age requirements, the number of openings remaining and other activity information for recreation programs and memberships. To get started visit apm.activecommunities.com/pvkansas - select (Sign In or Create Account) SUPERPASS - BACK BY POPULAR DEMAND Once again the City is partnering with our neighboring cities to offer the SuperPass. With the SuperPass your annual Prairie Village pool membership will allow you unlimited access to all of the partnering cities' pools. In addition to access to the Prairie Village Pool, you will gain admittance to: FAIRWAY SWIMMING POOL 6136 Mission Road, Fairway, KS 66205 (913) 722-3161 LEAWOOD AQUATIC CENTER 10601 Lee Boulevard, Leawood, KS 66206 (913) 327-3977 MERRIAM AQUATIC CENTER 6040 Slater, Merriam, KS 66202 (913) 322-5550 MISSION MUNICIPAL POOL 6090 Woodson Road, Mission, KS 66202 (913) 722-8200 ROELAND PARK AQUATIC CENTER 4843 Rosewood Drive, Roeland Park, KS 66205 (913) 432-1377 To qualify for the SuperPass as a non-resident you City of Prairie Village for the previous two years. must have had a non-resident membership with the The SuperPass is an additional charge to the price of a membership and cannot be purchased independent of a membership. The SuperPass is non-refundable & non-transferable. EARLY BIRD DISCOUNT receive a discount! See page 3 Purchase your membership early & CALENDAR OF EVENTS MUNICIPAL SWIMMING POOL The Prairie Village Pool opens Saturday, May 24, at 11:00 a.m. and closes for the season on Monday, September 1, at 6:00 p.m. The pool may be closed or hours shortened due to weather conditions, the availability of lifeguards, scheduled competitive swim and dive meets, maintenance, safety, or other City sponsored events. REGULAR HOURS: For more information, call the Prairie Village Pool at 913-385-4650 after May 24 or the Municipal Offices at 913-381-6464 at anytime. Check the information board at the pool's front desk for notices of additional special activities and events. Joel Rios will return as Prairie Village Pool Manager for his 9th year in 2014. A concession stand is provided at the pool for your convenience, but may be closed periodically due to low attendance or inclement weather. SWIM AND DIVE MEET CLOSINGS Prairie Village is also partnering with the cities of Fairway, Leawood, Merriam, Mission and Roeland Park to allow pass holder's all-day access to their pools on days the Prairie Village Pool is closed for meets. This service is free and included in the price of both resident and non-resident pool membership. SWIMMING POOL MEMBERSHIP Annual pool memberships go on sale April 1 at the City Clerk's Office in City Hall. Normal office hours are Monday through Friday from 8:00 a.m. to 5:00 p.m. Purchase your membership between April 1 and April 30 and receive $10 off your total purchase! SWIMMING POOL FEES FOR THE 2014 SEASON RESIDENT: NON-RESIDENT: All Prairie Village residents and business owners with an administrative/retail license in Prairie Village may purchase memberships at resident rates. Proof of residence and a valid driver's license is required. All household members over 18 will be required to show identification and/or a utility or credit card bill to verify proof of residency. Children under one year of age do not require an ID card and will be admitted free to the pool. Pool memberships are non-refundable/non-transferable. Daily Admission fees and 10-Swim cards will not be refunded or applied to a membership purchase. 10-Swim cards are only valid for the season in which they are purchased. The City reserves the right to revoke membership privileges to anyone attempting to manipulate the number of people included on a household membership. If you have questions regarding specific fees, ID cards, etc., contact the City Clerk's Office at 913-381-6464, TDD 800-766-3777, or e-mail email@example.com. ID CARDS Prairie Village residents may rent the Leisure Pool, Slide Pool, and Diving Well as a package any available evening between June 4 and August 10 after the pool closes to the public. Parties may be held from 8:30 p.m. until 10:00 p.m. The rental fee is $308. All food must be kept within the concessions area, and will not be permitted in the pool complex until 8:30 p.m., nor will any nonpaying or non-member guest. In addition, all pool rules apply during pool rentals. Note: The Pool Manager on duty may close the entire pool complex, or any portions of the pool complex, for any weather, safety or maintenance reason. For more information, please ask a Pool Manager on duty about date availability or contact the City Clerk's Office at 913-381-6464. All new pool members are required to obtain a photo ID in the City Clerk's office. Existing members can use their previous card or obtain a new one. ID cards must be presented upon entering the pool complex only by the person to whom the ID card is issued. Any violations or "pass backs" of ID cards may result in forfeiture of your membership privileges for the remainder of the season. Visit us Online at www.pvkansas.com/parksandrecreation POOL RENTALS 3 AQUATICS SWIMMING POOL FEES FOR THE 2014 SEASON AQUATIC TEAM REGISTRATION FEES: IMPORTANT NOTE: Residents of Fairway, Lenexa, Overland Park, Shawnee, Merriam, Roeland Park or Olathe --- Prairie Village is a member of the Johnson County Swim and Dive League (JCSDL). The JCSDL bylaws state that individuals must compete in the city they reside, if that city has a JCSDL member team. Exceptions are; (1) the participant must live closer to the Prairie Village pool than the pool in the city they reside, or (2) the individual must have competed on the Prairie Village team for the last two consecutive years. SWIM TEAM: SWIM AND DIVE TEAM LESSONS Offered in both Competitive and Pre-Competitive formats www.freewebs.com/pvswimteam Open to youth aged 6 to 18 An evaluation to determine placement on the competitive or precompetitive team for new team members is on Friday, May 31, from 4:00 p.m. to 5:30 p.m. at the Prairie Village Pool (please bring a swimsuit). Practice time is daily Monday – Thursday from: 9:00 a.m. to 10:15 a.m. for Competitive swimmers age 6 to 11 * 7:45 a.m. to 9:00 a.m. for Competitive swimmers age 12 to 18 * 8:00 a.m. to 9:00 a.m. or 9:00 a.m. to 10:00 a.m. for Pre-Competitive practice sessions are capped at 30 participants each. These sessions fill up quickly. Pre-Competitive swimmers DIVE TEAM: Open to youth aged 6 to 18 www.freewebs.com/pvswimteam Practice time is daily, Monday–Thursday at the following times: * 9:00 a.m. to 10:15 a.m. for Competitive swimmers age 12 to 18 * 7:45 a.m. to 9:00 a.m. for Competitive swimmers age 6 to 11 SYNCHRONIZED SWIM TEAM: (The Sychronized Swim Team will be cancelled if a qualified coach is not found and/or 25 participants have not signed up by May 16.) Open to youth aged 7 to 18 Practice is from 10:15 a.m. - 11:45 a.m., on either Monday & Wednesday or Tuesday & Thursday depending on skill level. There may be additional practices on Fridays and Saturdays in July, if necessary. The season culminates with the 54th Annual Water Show on Sunday, July 27 at 8:30 p.m. Open to any youth participating on the 2014 Prairie Village Swim or Dive Team. Lessons are taught in a semi-private format, and are intended to aid in skill and technique development. Lessons are purchased in packages of (5) 30 minute lessons for $36 Lessons are held Monday – Friday between the following times: * 10:30 a.m. to 12:00 p.m. for Swim and Dive Teams IMPORTANT: The day and time your lessons are scheduled must be pre-arranged between you and your team coach. Coaches will have lesson forms. Please have them sign the lesson form before bringing it to the City Clerk's office for payment. AQUATIC TEAM ORIENTATION Please plan to attend a pre-season Aquatic Team Orientation. This event will allow swimmers and their parents to meet the coaches, ask questions, and gather important information about the teams. Orientations are held in the Prairie Village City Council Chambers in City Hall on the following days: * Wednesday, May 21, 6:30 p.m. to 7:30 p.m. * Wednesday, May 28, 6:30 p.m. to 7:30 p.m. or AQUATIC PROGRAM REFUNDS Team fees, including fees for lessons not taken, are refundable up to one week after team practice begins minus a $5 administrative fee. The deadline for all aquatics registrations is Friday, May 16 5 TENNIS IN PRAIRIE VILLAGE Tennis courts are available in Harmon, McCrum, and Windsor parks to all Prairie Village residents on a first come, first served basis, free of charge, when courts are not reserved for tournaments or City-sponsored lessons. Rebecca Snodgrass, USPTA Certified, will be returning to the Prairie Village Tennis Program this year as the Youth and Adult Tennis Instructor. Tracy Cooper, USPTA Certified, will also be returning as coach of the Kansas City Junior Tennis League Team and the Adult Group Lessons instructor. Both Rebecca and Tracy will offer Private, Semi-private, and Three and a Pro tennis lessons. (See Private Lessons section below.) 2014 TENNIS CALENDAR March 3 . . . . Registration begins for spring Private Tennis Lesson & Warm-Up for Summer Tennis April 1 . . . . . KCJTL and Tennis Lesson registration begins June 2 . . . . KCJTL League practice and play begins April 1 . . . . Warm-up fo Summer Tennis classes begin May 17 . . . . KCJTL Kickoff Camp at Harmon Park Tennis Courts, 8 a.m. - 3 p.m. May 27 . . . . First session of youth tennis lessons begin June 3 . . . . First session of adult tennis lessons begin June 9 . . . . Second session of youth tennis lessons begins June 23 . . . Third session of youth tennis lessons begins June 24 . . . Second session of adult tennis lessons begins July 7 . . . . Fourth session of youth tennis lessons begins YOUTH GROUP LESSONS (Up to age 15) ADULT GROUP LESSONS (16 yrs. & older) Sessions run two weeks and will be held as follows: Session 2 . . . . June 9 - June 19 Session 4 . . . . July 7 - July 17 Session 1 . . . . May 27 - June 5* Session 3 . . . . June 23 - July 3 * The first week of Session 1 will meet on T, W, Th due to Memorial Day Pee Wee Clinic (Ages 4 to 6) – Meets T, TH mornings at 8:30 a.m. for 30 minutes. Cost is $45 per participant. There is a minimum enrollment of 4 and a maximum enrollment of 6. This clinic follows the USTA Quick Start Program by using foam/low compression balls (provided) and playing on smaller 36' x 18' courts. Mighty Mites Clinic (Ages 7 to 10) – Meets M, T, TH at 9:00 a.m. for 50 minutes. Session 1 has an additional session offered at 11:00 a.m. Cost is $59 per participant. There is a minimum enrollment of 4 and maximum enrollment of 10. Future Stars Clinic (Ages 11 to 15) –Meets M, T, TH at 10:00 a.m. for 50 minutes. Cost is $59 per participant. There is a minimum enrollment of 4 and maximum enrollment of 10. Prairie Village is a member of the Kansas City Junior Tennis League (KCJTL). In this program, youth ages 8 to 18 develop, improve, and refine their tennis skills. The League consists of weekly clinics, Challenge Days, weekly team matches, and an end-of-year tournament. Cost is $100 per participant ($95 for each additional family member on team). No refunds will be allowed for the Kansas City Junior Tennis League team. Interested players must register by May 15 to be eligible for the first week of league play. League play runs June 2nd through July 11. KANSAS CITY JUNIOR TENNIS LEAGUE (KCJTL) The Coach will hold a KCJTL Kick-Off Camp, which includes an initial clinic and challenge match to help determine the first week's ladder, on Saturday, May 17, from 8:00 am – 3:00 pm. The camp cost is included in JTL registration. Sessions will be established for four or more players (maximum enrollment of 8). Each session includes six 50-minute lessons. The lessons are twice a week on Tuesday and Thursday at 6:00 p.m. for three weeks. The cost is $69. Sessions will be held as follows: Session 1 . . . . . June 3– 19 Session 2 . . . . June 24 – July 10 Private Lessons allow instructors the opportunity to work with players on individual needs. The fee is $25 for 30 min. lesson. Three and a Pro is a program for youth and adults. You bring two friends and play with the pro. This is good practice for doubles play and stroke instruction is given. The cost is $18 for 60 min. per player. Semi-Private Lessons for two persons are structured to meet individual needs. The fee is $16 per person for 30 min. lesson. GROUP TENNIS CLASSES Warm-Up for Summer Tennis (All Ages) – Tuesdays and Thursdays, April 1 – May 1, Windsor Park. Beginner Level at 4:00 pm, Intermediate Level at 5:00 pm. Get your game back in shape for the summer. This is a five week program that includes ten 50-minute sessions which will cover skills building and mechanics while focusing on fun and fitness. $52 per participant. Register Now! Women's Beginners Series (Adults) – Tuesdays and Thursdays, April 1 – May 1, 10:00 am, Windsor Park. Kick off the New Year with a new you! This is a five week program that includes ten 50-minute sessions which cover basic fundamentals for new or nearly new players. $52 per participant. Register Now! Cardio Tennis (All ages) – Tuesdays and Thursdays, 7:00 pm, Windsor Park. Session 1: June 3 –19, Session 2: June 24 – July 10. Visit apm.activecommunities.com/pvkansas or the league website at www.kcjtl.org for more information. Cardio Tennis is a new, fun group activity featuring drills to give players of all abilities an ultimate, high energy workout for 50 minutes. Taught by a teaching professional, Cardio Tennis includes warm-up, cardio workout, and cool down phases. If you are looking for a great way to get in shape and to burn calories, you must try Cardio Tennis. $69 per participant. PARKS, FACILITES & RESERVATIONS Pavilions in City parks may be reserved throughout the year for use between 7:00 a.m. and 11:00 p.m. Pavilions are available in Franklin, Harmon, Taliaferro, Porter, Weltner, Windsor, and Bennett Parks, as well as the Santa Fe Pavilion in Harmon Park. The fee for pavilion reservation is $8.00 per hour for Prairie Village residents and $15.00 per hour for non-residents. Large groups may reserve both sections of the Franklin or Harmon Park Pavilions. The fee for these reservations is $12.00 per hour for Prairie Village residents and $22.50 per hour for non-residents. PARK FACILITY RESERVATIONS apm.activecommunities.com/pvkansas 1. Check pavilion availability and reserve online at: 2. Reservations can also be made at City Hall. Download a Facility Reservation Form at www.pvkansas.com. 4. Clean up of the premises shall be done by the group using the facility. The sponsor is responsible for actions of the group. The City is not responsible for lost or stolen articles, or accidents. The City will clean the facility the day of the event if it is a regular scheduled work day. On a non-scheduled workday, the facility will be cleaned on the previous work day. 3. The City will recognize reservations by issuing a Facility Reservation Permit. Permits may be obtained by the requesting person from the City Clerk's office. 5. If you wish to use amplified sound equipment, you must obtain a permit from the City Clerk's office when you make your shelter reservations. BALL FIELD RESERVATIONS Written requests to schedule ball fields must be filed with the City Clerk's office prior to the date of use. Applications are available at the Municipal Building, 7700 Mission Road. The City Clerk takes team applications for the spring and summer in January and for the fall season in August. TENNIS COURT RESERVATIONS Tennis courts are first come, first serve for the public, but are able to be rented for tournaments. If you would like to hold a tournament for your friends, family, church, organization, or business, call the City Clerk's office at 913-381-6464, or stop by the Prairie Village Municipal Offices at 7700 Mission Road. PARK LOCATIONS (Hours 7:00 a.m. – 11:00 p.m.) Brenizer Park – Tomahawk & Prairie Lane Bennett Park – 77th Street and Rosewood Franklin Park – Somerset & Roe McCrum Park – 69th Terrace & Roe Harmon Park – 77th Place & Delmar Porter Park – Tomahawk & Roe Santa Fe Trail Park – 7727 Delmar Prairie Park – 6938 Mission Road Schliffke Park – 6845 Mission Road Weltner Park – 78th Street & State Line Road Taliaferro Park – 2900 W 79th St Windsor Park – 71st Terrace & Windsor JOHNSON COUNTY PROGRAMS OFFERED IN PRAIRIE VILLAGE SWIM LESSONS & PROGRAMS Registration for lessons & programs will be taken through Johnson County Park and Recreation District (JCPRD) 6501 Antioch – Merriam, Monday – Friday 8:30 a.m. to 4:30 p.m. You may also register by phone at 913-831-3359 between 8:30 a.m. – 4:00 p.m. For more information about JCPRD programs, visit their website at www.jcprd.com. You do not need to be a member of the Prairie Village Pool to take swimming lessons through Johnson County Parks and Recreation. Classes will be held at various times between 9:00 a.m. – 6:45 p.m. Johnson County Parks and Recreation offers a variety of classes from 6 months to adult. Please contact JCPRD for specific class offerings, times and prerequisites if any. The JCPRD Swim Program will conduct out of water safety and deck training for days of inclement weather or insufficient staff. MORNING & EVENING SWIM LESSON SESSIONS Session 1 . . . . . . . June 2 – 5 Session 2 . . . . . . . June 9 – 12 Session 3 . . . . . . . June 16 – 24 Session 4 . . . . . . . June 30 – July 3 Session 5 . . . . . . . . . July 7 – July 17 Session 6 . . . . July 21 - July 31 Session 7 . . August 4 - August 7 *Session 4&7 will only offer morning classes. Lessons are offered Monday through Thursday, with Fridays held for make-up and training days as needed. COURSE FEES FOR LEARN TO SWIM LESSONS (per session) Johnson County Residents 4 lessons . . . $39 6 lessons . . . $55 8 lessons . . . $71 Non-Johnson County Residents 4 lessons . . . $43 6 lessons . . . $60 8 lessons . . . $78 *No child will go without lessons if he or she is unable to pay. Contact the Johnson County Park & Recreation District at 913-831-3355 ext. 227 for scholarship information. K.C. BLAZERS MASTER'S SWIMMING JOHNSON COUNTY SUMMER DAY CAMP (AGES 5-10) This is an adult fitness swimming group. Swimmers are grouped according to ability to train in competitive swimming for fun and fitness. Registration includes up to four 90-minute workouts per week. Workouts are held Monday through Thursday from 6:30 p.m. to 8:00 p.m. Sessions begin May 27 and run through September 2. Summer Day Camp will be held at the Harmon Park Pavilion, Monday through Friday, 7:00 a.m. to 5:30 p.m., beginning June 2 and running through August 2. The day camp is fully licensed by the Kansas Department of Health and Environment. Camp registrations accepted by web at www.jcprd.com, mail, fax or in person only. NO PHONE IN REGISTRATION. Visit us Online at www.pvkansas.com/parksandrecreation 7 OTHER SPORTS PROGRAMS BRITISH SOCCER JUNE 16-20 Camp for ages 5 to 12 runs from 9:00 a.m. to noon - $137 tactical practices, small-sided games, coached scrimmages, and a daily tournament. Equally important, the Challenger coaching staff provides your child with lessons in respect, responsibility, integrity, sportsmanship and leadership. Camp programs include a free ball and shirt and a free British Soccer jersey for online registrations at least 45 days prior to camp! NEW IN 2014! SKATEBOARDING 101 British Soccer is hosting a Soccer Skills camp led by professional coaches from Great Britain on June 16 – 20 at Taliaferro Park. British Soccer Camps provide players of all ages and abilities with the rare opportunity to receive highlevel soccer coaching from a team of international experts. Each day includes individual foot skills, technical drills, Register online at www.challengersports.com For further information call Mike Parry 913-599-4884 ext. 227 PRAIRIE VILLAGE RECREATION PROGRAM FEE ASSISTANCE Scholarships are available to qualified Prairie Village residents for pool memberships and team fees. Scholarships are available to adults and all children living in the household below the age of 18. All scholarship applicants will be required to provide the City with their previous years' federal tax return as part of the application. For more information, contact the Danielle Dulin at 913-385-4635 or firstname.lastname@example.org. Skateboarding 101 (ages 3 - 12) - $50 Dan Mapes with Dan's Sk8 School will teach participants skate park etiquette, balance, basic skills and simple tricks perfect for beginners. Class will meet a total of four Saturdays. Parents must be present for the duration of each session. Helmets and a skateboard are required; knee and elbow pads are highly recommended. Registration begins March 3 and is limited to 10 participants per session. Class will meet at the Prairie Village Skate Park from 10:00 – 11:30 am on the following dates: Session 1: March 29, April 12, April 26, May 10 Session 3: September 13, September 27, October 11, October 25 Session 2: July 19, August 2, August 16, August 30 Dan will host an Open House on Saturday, March 22, from 1:00 – 3:00 p.m. and can be reached for questions at facebook.com/ dansk8school or email@example.com. CONTACT US MUNICIPAL OFFICES 7700 Mission Road Prairie Village, KS 66208 913-381-6464 SWIMMING POOL COMPLEX 7711 Delmar Prairie Village, KS 66208 913-385-4650 COMMUNITY CENTER 7720 Mission Road Prairie Village, KS 66208 913-381-6464 HOURS: Monday – Friday – 8:00 a.m. – 5:00 p.m. firstname.lastname@example.org • www.pvkansas.com
Facebook (https://www.facebook.com/oaklandu/) Twitter (https://twitter.com/oaklandu) Instagram (https://www.instagram.com/oaklandu/) YouTube (https://www.youtube.com/user/oaklanduniv) Snapchat (/social/snapchat/index) Research (/research) Library (https://library.oakland.edu/) eBill (https://secure.touchnet.com/C21178_tsa/web/login.jsp) Map (/map) Moodle (/moodle) MySAIL (https://mysail.oakland.edu) Webmail (https://webmail.oakland.edu) Report Behavior (/behaviorconcern/) Search (/) Dean of Students (/deanofstudents/index) / Student Code of Conduct (/deanofstudents/student-code-of-conduct/index) / Core Standards and Behavioral Expectations Student Code of Conduct (/deanofstudents/student-code-of-conduct/index) Core Standards and Behavioral Expectations (/deanofstudents/student-code-of-conduct/core-standards-and-behavioralexpectations/index) Due Process (/deanofstudents/student-code-of-conduct/due-process/index) Reporting Alleged Violations (/deanofstudents/student-code-of-conduct/reporting-alleged-violations/index) SCC Hearing Process (/deanofstudents/student-code-of-conduct/scc-hearing-process/index) Sanctions and Remedies (/deanofstudents/student-code-of-conduct/sanctions-and-remedies/index) Appeal Procedures (/deanofstudents/student-code-of-conduct/appeal-procedures/index) Disciplinary Records (/deanofstudents/student-code-of-conduct/disciplinary-records/index) Academic Misconduct (/deanofstudents/academic-misconduct/index) Policies (/deanofstudents/policies/index) Student Privacy Rights - FERPA (/deanofstudents/student-privacy-rights-ferpa/index) Student Health & Safety Resources (/deanofstudents/student-health-safety-resources/index) Faculty & Staff Resources (/deanofstudents/faculty-staff-resources/index) Sexual Misconduct / Sexual Assault and Violence Initiative (/deanofstudents/sexual-assault-and-violence-initiative/index) Skip to conten Skip to contentt (/) Office of the Dean of Students Oakland Center, Suite 150 312 Meadow Brook Road Rochester, MI 48309-4454 (location map) (/map) (248) 370-3352 CORE STANDARDS AND BEHAVIORAL EXPECTATIONS Core Standards for Student Conduct at OU Integrity: Students should exemplify honesty, honor and a respect for the truth in all of their activities. Community: Students should build and enhance their community. Respect: Students should show positive regard for each other, for property and for the community. Responsibility: Students should be given and accept a high level of responsibility to self, to others and to the community. Violations of the Core Standards of Conduct The following sections generally describe the types of behavior that violate OU's core standards of conduct. Students and student organizations who attempt to violate, conspire to violate and/or violate any of these standards, any OU Policies and/or any Applicable Law are subject to sanctions as described in this SCC. The SCC will not be applied or construed to prohibit or restrict conduct or activities to the extent that they are protected by the United States Constitution, the State of Michigan Constitution or Applicable Law. Integrity 1. Integrity: Students and student organizations should exemplify honesty, honor and a respect for the truth in all of their activities. Conduct that violates this standard includes, but is not limited to: a. Falsiﬁcation. Knowingly creating, furnishing, possessing or otherwise using any false, falsiﬁed or forged materials, documents, accounts, records, identiﬁcation or ﬁnancial instruments; or, misrepresentation of documents submitted to any oﬃce, OU oﬃcial, or any individual acting on behalf of OU. b. Academic Dishonesty. Acts of academic dishonesty as outlined in OU's Code of Academic Integrity. c. Unauthorized Access. Unauthorized access to any OU building, OU property, or property belonging to others; or, unauthorized possession, duplication or use of means of access to any OU building (i.e. keys, cards, etc.); or, failing to timely report a lost OU identiﬁcation card or key; or, use of any OU facility, real or personal property, or equipment for anything other than its intended or authorized purpose. d. Collusion or Conspiracy. Action or inaction taken together with one (1) or more other persons to commit, or attempt to commit, a violation of the SCC or any other OU Policies and/or any Applicable Laws. e. Stolen Property. Intentional and unauthorized taking of OU property or the personal property of another, including without limitation goods and other valuables; or, knowingly taking or maintaining possession of stolen property. Community 2. Community Responsibility: Students and student organizations should build and enhance their community. Conduct that violates this standard includes, but is not limited to: a. Disruptive Behavior. Conduct that has the purpose or eﬀect of disrupting, or interfering with the requirements or operations of any OU academic or non-academic activities or operations, including without limitation teaching, learning, research and/or administration. Disruptive behavior also includes causing, inciting or participating in any disturbance that endangers the health or safety of any person, Skip to conten Skip to contentt (/) Skip to conten Skip to contentt Refusing to vacate an OU building, property, sidewalk, street, or other facility or area when directed to do so by an b. Failure to Vacate. authorized OU oﬃcial. c. Trademark. Unauthorized use (including misuse) of OU or organizational names, logos, trademarks, copyrights and/or images. d. Damage and Destruction. Intentional, reckless and/or unauthorized damage to or destruction of OU real or personal property and/or the personal property of another. e. IT and Acceptable Use. Any violation ofOU's University Acceptable Use and Computing Policy (/policies/informationtechnology/890/index). f. Gambling. Gambling as prohibited by the laws of the State of Michigan, including without limitation unlicensed or illegal raﬄes, lotteries, games of chance, sports pools and online betting activities. g. Weapons. The possession, use, or distribution of explosives (including ﬁreworks and ammunition), guns (including air, BB, paintball, facsimile weapons and pellet guns), or other weapons or dangerous objects, including the storage of any item that falls within the category of a weapon in a vehicle parked on University property, in violation of OU Policies and/or Applicable Law. No person shall possess a toy weapon on the campus with the intention or eﬀect of using such a toy weapon to threaten, assault, intimidate or otherwise injure any other person. h. Fire Safety. Violation of OU Policies and/or Applicable Law regarding ﬁres or ﬁre safety including, but not limited to: i. Intentionally or recklessly causing a ﬁre; ii. Failing to evacuate OU buildings or facilities during a ﬁre alarm or evacuation drill; iii. Improper use of ﬁre safety equipment; and/or iv. Tampering with or improperly engaging a ﬁre alarm or ﬁre detection/control equipment while on OU property (such action may result in a local ﬁne in addition to OU sanctions). i. Animals. Bringing an animal on campus except as expressly permitted by University Policies or Applicable Law. j. Wheeled Devices. Using skateboards, roller blades, roller skates, bicycles or similar wheeled devices in violation of OU Policies and/or Applicable Law, inside University buildings and/or residence halls, on tennis courts, and/or on railings, curbs, benches, or any other ﬁxtures or areas that may be damaged by these activities (individuals may be liable for damage to OU property caused by these activities). There are exceptions to this policy for students utilizing mobility devices due to a disability, further information can be found on theDisability Support Services website (/dss/policies/index). Respect 3. Respect: Students and student organizations should show positive regard for each other and for the community. Conduct that violates this standard includes, but is not limited to: a. Harm to Persons. Intentionally, recklessly or negligently injuring, causing the death of and/or endangering the health or safety of any person. : b. Threatening, Discriminatory and Harassing Behaviors i. Threat. Written or verbal conduct that causes a reasonable expectation of injury to the health or safety of any person or damage to any property. ii. Intimidation.Implied threats or acts that cause, or are intended to cause, a reasonable fear of harm in another. iii. Discrimination and/or Harassment. Actions, statements or other conduct that has the purpose or eﬀect of unlawfully discriminating against or harassing an individual or creating an intimidating or hostile educational or work environment, or that is suﬃciently severe, pervasive or persistent as to unreasonably interfere with or aﬀect a person's ability to participate in or beneﬁt from the educational, research, employment or other services, activities or opportunities oﬀered by the University. c. Hazing.Any act that endangers the mental or physical health or safety of a person, or that destroys or removes public or private property, for the purpose of initiation, admission into, aﬃliation with, or as a condition for continued membership in a group or organization. Participation or cooperation by the person(s) being hazed does not excuse the violation. Failing to intervene to prevent and/or failing to discourage and/or failing to report those acts may also violate this standard. Skip to conten Skip to contentt d. Retaliation.Actions, statements or other conduct that intimidates, threatens or coerces a person in any way because he/she has reported misconduct or participates in an investigation or adjudication of misconduct. (/) e. Sexual Misconduct. SeeStudent Sexual Misconduct Policy (/policies/health-and-safety/625/index). All complaints of sexual misconduct are investigated and adjudicated in accordance with the hearing process outlined in this SCC. f. Public Exposure. Includes without limitation deliberately and publicly exposing one's intimate body parts, public urination, defecation and public sex acts. Responsibility 4. Responsibility: Students and student organizations are given and accept a high level of responsibility to self, to others and to the community. Conduct that violates this standard includes, but is not limited to: a. Alcohol. Use, possession, or distribution of alcoholic beverages or paraphernalia except as expressly permitted by Applicable Law and OU Policies. To better ensure that minors at medical risk as a result of alcohol intoxication will receive prompt and appropriate medical attention, OU follows themedical amnesty statute (/deanofstudents/student-code-of-conduct/medical-amnesty-provision) adopted by the State of Michigan. b. Drugs. Use, possession or distribution of illegal drugs and other controlled substances or drug paraphernalia except as expressly permitted by Applicable Law and OU Policies. c. Prescription Medications. Possession, use, abuse, misuse, sale, or distribution of prescription or over-the-counter medications except as expressly permitted by Applicable Law and OU Policies. d. Failure to Comply. Failure to comply with the reasonable directives of OU oﬃcials or law enforcement oﬃcers during the performance of their duties and/or failure to identify oneself to these persons when requested to do so. e. Other OU Policies. Violating other OU Policies, including without limitation all OU Housing policies. f.. Violations of Applicable Law. Violations of Law ACADEMICS (/CAREERS/) Arts and Sciences (/cas) Business Administration (/business) Education and Human Services (/sehs) Engineering and Computer Science (/secs) Health Sciences(/shs) Nursing (/nursing) OUWB School of Medicine(/medicine) Graduate Education(/grad) Honors College (/hc) Integrative Studies (/bis) INFO FOR Future Undergraduate Students (/futurestudents) Future Graduate Students(/grad) Current Students (/students) Alumni (http://www.oualumni.com/s/1001/1001-alumni/start.aspx?gid=1001&pgid=1117) Faculty and Staff(/faculty-and-staff) Donors (/giving) Mission and Vision (/president/ou-mission-and-vision/) Strategic Plan (/president/strategic-planning/) QUICK LINKS About OU (/about) Important Dates(/registrar/important-dates/) Diversity, Equity and Inclusion(/diversity/) Directory(/directory) Jobs at OU (https://jobs.oakland.edu) University Offices(/universityoffices) Webmaster(mailto:email@example.com) OU INC (/ouinc) Macomb-OU Incubator(/macombouic) Macomb Programs(/macomb/) Eye Research Institute (/eri) Community Engagement (/community) LEGAL Privacy Statement(/policies-regulations/web-privacy/) GDPR Privacy Notice(/gdpr/) © 2017 Oakland University Policies and Regulations(/policies) Preparednes Emergency s(https://oupolice.com/em/) Notic DMCA e(/policies-regulations/dmca/) Reaffirmatio HLC n(/hlc-reaffirmation/) In
Storage conditions 1. Avoid continued exposure to the condensing moisture environment and keep the product away from rapid transitions in ambient temperature. 2. LEDs should be stored with temperature ≦ 30°C and relative humidity ＜ 60%. 3. Product in the original sealed package is recommended to be assembled within 72 hours of opening. Product in opened package for more than a week should be baked for 30 (+10/-0) hours at 85 ~ 100°C. 4. The LED leadframe surface is plated with silver. When the leadframe is stored under high-humidity environments, or exposed to certain chemical elements or gases, the surface may become discolored. Please maintain the cleanliness of the storage environment. 5. If the storage conditions do not meet specification standards, the component pins may become oxidized requiring re-plating and re-sorting before use. Suggest customers consume LEDs as soon as possible, and avoid long-term storage of large inventories. LED MOUNTING METHOD 1. The lead pitch of the LED must match the pitch of the mounting holes on the PCB during component placement. Lead-forming may be required to insure the lead pitch matches the hole pitch. Refer to the figure below for proper lead forming procedures.(Fig. 1) "○" Correct mounting method "X" Incorrect mounting method Page 1 www.kingbright.com Application Notes For Through-Hole LEDs 2. When soldering wires to the LED, each wire joint should be separately insulated with heat-shrink tube to prevent short-circuit contact. Do not bundle both wires in one heat shrink tube to avoid pinching the LED leads. Pinching stress on the LED leads may damage the internal structures and cause failure. (Fig. 2) 3. Use stand-offs (Fig. 3) or spacers (Fig. 4) to securely position the LED above the PCB. LEAD FORMING PROCEDURES 1. Maintain a minimum of 3mm clearance between the base of the LED lens and the first lead bend. (Fig. 5 and 6) 2. Lead forming or bending must be performed before soldering, never during or after Soldering. 3. Do not stress the LED lens during lead-forming in order to prevent fractures in the epoxy lens and damage the internal structures. 4. During lead forming, use tools or jigs to hold the leads securely so that the bending force will not be transmitted to the LED lens and its internal structures. Do not perform lead forming once the component has been mounted onto the PCB. (Fig. 7) 5. Do not bend the leads more than twice. (Fig. 8) Page 2 www.kingbright.com 6. After sold outside f questions dering or oth force (Fig. 9 s please con her high-tem 9). In genera nsult with Kin perature ass al, avoid pla gbright repre sembly, allow acing excess esentative fo w the LED to s force on t or proper han o cool down he LED to a ndling proced to 50°C bef avoid dama dures. fore applying ge. For any g y 7. When be epoxy len ending the le ns during lea eads, the LED ad-forming be D lamp shou ending the le uld be secure ead. ed by the up pper part of t the lead. Do not grip the e 8. During so on the LE oldering, com ED during so mponent cov oldering. ers and hold ders should le eave clearan nce to avoid placing dam maging stress s /2015 Page 3 3 www.king gbright.com m Soldering General Notes 1. We recommend manual soldering operations only for repair and rework purposes. The soldering iron should not exceed 30W in power. The maximum soldering temperature is 300°C for Pb-Sn solder and 350°C for lead-free solder for normal lamps and displays. For blue (typical λd 465 nm), blue-green (typical λd 525 nm), and all white LEDs, the maximum soldering iron temperature is 280°C. Do not place the soldering iron on the component for more than 3 seconds. 2. The tip of the soldering iron should never touch the lens epoxy. 3. Do not apply stress to the leads when the component is heated above 85°C, otherwise internal wire bonds may be damaged. 4. After soldering, allow at least three minutes for the component to cool down to room temperature before further operations. 5. Through-hole LEDs are incompatible with reflow soldering. 6. If the LED will undergo multiple soldering passes or face other processes where the part may be subjected to intense heat, please check with Kingbright for compatibility. 7. In case of misalignment and re-position is required, do not force the LED while applying a soldering iron. The part should be first de-soldered, and then the LED may be re-soldered with the aid of a holder to place it correctly (as shown below). Recommended Soldering Profile for Kingbright Through-Hole Products 1. Iron Soldering(with 1.5mm Iron tip ) \| Temperature of soldering iron \| Maximum soldering time \| Distance from solder joint to package \| \|---\|---\|---\| \| ≦350℃ \| 3s \| >2mm \| 2. Dip Soldering / Wave Soldering \| Temperature of the soldering bath \| Maximum soldering time \| \|---\|---\| \| ≦260℃ \| 3s \| \| ≦260℃ \| 5s \| 3. Lead-Free Wave Soldering Profile - Recommend pre-heat temperature of 105° C or less (as measured with a thermocouple attached to the LED pins) prior to immersion in the solder wave with a maximum solder bath temperature of 260° C. - Peak wave soldering temperature between 245° C ~ 255°C for 3 sec (5 sec max). - Do not apply stress to the epoxy resin while the temperature is above 85°C. - Fixtures should not incur stress on the component when mounting and during soldering process. - SAC 305 solder alloy is recommended. - No more than one wave soldering pass. 4. Wave Soldering Profile With Pb-Sn Solder Recommended Reflow Soldering Profiles For SMD Housing LEDs Lead-Free Reflow Soldering Profile Design Precautions Products using InGaN/GaN components must incorporate protection circuitry to prevent ESD and voltage spikes from reaching the vulnerable component. Static Electricity and Voltage Spikes in InGaN/GaN Products InGaN/GaN products are sensitive to electrostatic discharge (ESD) and other transient voltage spikes. ESD and voltage spikes can affect the component's reliability, increase reverse current, and decrease forward voltage. This may result in reduced light intensity or cause component failure. Kingbright InGaN/GaN products are stored in anti-static packaging for protection during transport and storage. Please note the anti-static measures below when handling Kingbright InGaN/GaN products. ESD Protection During Production Static discharge can result when static–sensitive products come in contact with the operator or other conductors. The following procedures may decrease the possibility of ESD damage: 1. Minimize friction between the product and surroundings to avoid static buildup. 2. All production machinery and test instruments must be electrically grounded. 3. Operators must wear anti-static bracelets. 4. Wear anti-static suit when entering work areas with conductive machinery. 5. Set up ESD protection areas using grounded metal plating for component handling. 6. All workstations that handle IC and ESD-sensitive components must maintain an electrostatic potential of 150V or less. 7. Maintain a humidity level of 50% or higher in production areas. 8. Use anti-static packaging for transport and storage. Page 6 www.kingbright.com Application Notes For Through-Hole LEDs 9. All anti-static equipment and procedures should be periodically inspected and evaluated for proper functionality. Cleaning 1. Do not use harsh organic solvents for cleaning because they may cloud or damage the LED lens. 2. Isopropyl alcohol or deionized water are recommended solvents for cleaning. 3. Special attention should be taken if other chemicals are used for cleaning because other solvents may damage the epoxy in the lens or housing. 4. Any cleaning should take place at room temperature and the devices should be washed for one minute or less. 5. When water is used for cleaning, immediately use forced-air drying to removed excess moisture from the LED. Circuit Design Notes 1. Protective current-limiting resistors may be necessary to operate the LEDs within the specified range. 2. LEDs mounted in parallel should each be placed in series with its own current-limiting resistor. 3. The driving circuit should be designed to avoid reverse voltages and transient voltage spikes when the circuit is powered up or shut down. 4. The operating current shall not exceed the rated maximum current for the environmental temperature. Please refer to the Current vs. Temperature graph on the datasheet for the current limit at each temperature. 5. Please contact Kingbright representative first if LEDs are to be driven by AC current. Restrictions on Product Use 1. The information contained within this document is subject to change without notice. Before referencing this document, please confirm that it is the most current version available. 2. Not all devices and product families are available in every country. 3. The light output from UV, blue, white, and other high-power LEDs may cause injury to the human eye when viewed directly. 4. LED devices may contain gallium arsenide (GaAs) material. GaAs is harmful if ingested. GaAs dust and fumes are toxic. Do not break, cut, or pulverize LED devices. Do not dissolve LEDs in chemical solvents. 5. Semiconductor devices can fail or malfunction due to their sensitivity to electrical fluctuation and physical stress. It is the responsibility of the user to observe all safety standards when using Kingbright products, in www.kingbright.com Application Notes For Through-Hole LEDs order to avoid situations in which the malfunction or failure of a Kingbright product could cause injury, property damage, or the loss of human life. In developing designs, please insure that Kingbright products are used within specified operating conditions as set forth in the most recent product specification datasheet. 6. The LEDs should not be exposed to an environment where high level of moisture or corrosive gases are present. 7. Prolonged reverse bias should be avoided, as it could cause metal migration, leading to an increase in leakage current or causing a short circuit. 8. Excess driving current and/or operating temperature higher than recommended conditions may result in severe light degradation or premature failure. 9. It is not recommended to assemble LEDs of different color or intensity bins together, as there may be perceivable color or intensity variation. Each bag contains parts from the same bin code. The bin code is printed on the bag's label as below. Kingbright Terms and conditions for the usage of this document 1. The information included in this document reflects representative usage scenarios and is intended for technical reference only. 2. The part number, type, and specifications mentioned in this document are subject to future change and improvement without notice. Before production usage customer should refer to the latest datasheet for the updated specifications. 3. When using the products referenced in this document, please make sure the product is being operated within the environmental and electrical limits specified in the datasheet. If customer usage exceeds the specified limits, Kingbright will not be responsible for any subsequent issues. 4. The information in this document applies to typical usage in consumer electronics applications. If customer's application has special reliability requirements or have life-threatening liabilities, such as automotive or medical usage, please consult with Kingbright representative for further assistance. 5. The contents and information of this document may not be reproduced or re-transmitted without permission by Kingbright. 6. All design applications should refer to Kingbright application notes available at http://www.kingbright.com/application_notes

Subsets and Splits

No community queries yet

The top public SQL queries from the community will appear here once available.