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NEW GENERATION ARTISTS Thursday 19 September 2024 6–7.05pm Jerwood Hall, LSO St Luke's Sergei Prokofiev Selections from Ten Pieces for Piano Op 12 César Franck Piano Quintet Quatuor Arod Elisabeth Brauß piano Recorded for future broadcast on BBC Radio 3 CHAMBER STILL TO COME Sep to Oct JAZZ INFLECTIONS BASICALLY BEETHOVEN JAZZ INFLECTIONS NEW GENERATION ARTISTS September to October January MUSIC Sep to Oct Oozing style and personality, jazzflecked programmes reveal exciting melodies and harmonies in the hands of soloists, duos and ensembles. An undisputed icon. Delve into the music of a master composer, paired with pieces that bear his influence. Oozing style and personality, jazzflecked programmes reveal exciting melodies and harmonies in the hands of soloists, duos and ensembles. Celebrated alumni of BBC Radio 3's New Generation Artists Scheme explore a great variety of music, all taking place on an intimate scale. BASICALLY BEETHOVEN January Intricate textures and ornamentation. BASICALLY BEETHOVEN January BEETHOVEN DEDICATIONS September to November MEDITERRANEAN BAROQUE April An undisputed icon. Delve into the Discover the idiosyncracies of Baroque An undisputed icon. Delve into the An undisputed icon. Delve into the music of a master composer, paired with pieces that bear his influence. music from southern Europe and further afield. music of a master composer, paired with pieces that bear his influence. An undisputed icon: delve into the music of a master composer. MEDITERRANEAN BAROQUE TETZLAFF & FRIENDS MEDITERRANEAN BAROQUE ORNAMENTS OF THE BAROQUE October to November April May April Intricate textures and ornamentation. An electrifying violinist curates a Intricate textures and ornamentation. Discover the idiosyncracies of Baroque music from southern Europe and chamber series with a cast of his closest musical friends. Discover the idiosyncracies of Baroque music from southern Europe and Full of fantasy and charm, discover the beauty of Baroque music. further afield. further afield. TETZLAFF & FRIENDS TETZLAFF & FRIENDS An electrifying violinist curates a An electrifying violinist curates a chamber series with a cast of his chamber series with a cast of his closest musical friends. closest musical friends. SAVE WITH MULTIBUY DISCOUNTS £12 tickets when you book 3+ concerts Save with our multibuy discount Save with our multibuy discount four concerts or more £10 tickets when you book for lso.co.uk/bbcradio3 four concerts or more four concerts or more Find out more and book tickets online Find out more and book tickets online lso.co.uk/bbcradio3 lso.co.uk/bbcradio3 May May SHARE YOUR THOUGHTS We always hope you have a great experience. Visit lso.co.uk/survey to complete a short survey about today's concert. THE CRYPT BAR The Crypt Bar is open from one hour before concerts and during the interval (where applicable). Please note, card payments only. Only cold drinks are permitted inside the Jerwood Hall. PROGRAMME NOTE WRITER Kate Hopkins is English-language editor (concerts) for Salzburg Festival. She has written articles for organisations including the London Symphony Orchestra, the Philharmonia, the Salzburg Festival and the Royal Opera House, Covent Garden, and book reviews for NB Magazine and The Wagner Journal. In accordance with the requirements of Islington Council, persons shall not be permitted to stand or sit in any gangway. The taking of photographs and the use of recording equipment are strictly forbidden without formal consent from LSO St Luke's. Please make sure that digital watch alarms and mobile phones are switched off during the performance. Selections from Ten Piano Pieces Op 12 Sergei Prokofiev 1906 to 1913 1 March 3 Rigaudon 2 Gavotte 6 Legenda 8 Allemande 7 Prelude 9 Scherzo humoresque 10 Scherzo Sergei Prokofiev wrote his Ten Piano Pieces Op 12 between 1906 and 1913. Some began life as student exercises. The collection is less avant-garde than his Second Piano Sonata (1912) and Second Piano Concerto (1912–13) and anticipates the neoclassicism of works such as the 'Classical' Symphony (1916–17). Prokofiev scholar David Nice suggests that the Ten Pieces each offer a portrait of one of the composer's friends, somewhat in the manner of Edward Elgar's 'Enigma' Variations. Prokofiev himself gave the premiere performance of the work in Moscow in 1914. The Ten Pieces open with a cheeky March that makes witty use of the piano's contrasting low and high registers. The demure Gavotte and cheerful Rigaudon – with its distinctive 'skipping' rhythms – both draw on Baroque dance forms. David Nice observes that the pensive Legenda contains more emotional depth than anything Prokofiev had yet written. The central 'Andante religioso' with its bell-like effects is especially beautiful. The Legenda is followed by a delicate Prelude whose rippling figuration suggests a harp – and indeed, the composer noted the piece could also be performed by this instrument. Next are two humorous movements: an Allemande (another Baroque dance) dominated by stomping rhythms; and a Scherzo humoresque that makes comic use of the piano's lower register (Prokofiev later arranged this number for four bassoons). The work concludes with a moto perpetuo Scherzo: a dizzying display of virtuosity from its hushed beginnings to its closing fortissimo chord. Piano Quintet César Franck 1879 33 minutes 1 Molto moderato quasi lento – Allegro 2 Lento, con molto sentimento 3 Allegro non troppo ma con fuoco After years spent teaching and trying in vain to become a successful opera composer, César Franck experienced a remarkable late flowering. During the last eleven years of his life, he wrote most of the works for which he is remembered today. They include this Piano Quintet, composed in 1879. It received its premiere on 17 January 1880 at a concert organised by the Société Nationale de Musique, whose aim was to promote contemporary French composers. Franck's friend and fellow-composer Camille Saint-Saëns was the pianist, appearing alongside the Marsick Quartet. Legend has it that the Piano Quintet was inspired by Franck's romantic feelings towards one of his female composition students, Augusta Holmès. This would certainly explain its mood of uninhibited passion, which startled even Franz Liszt, and led the composer's wife to have 'a horror' of it. The work's adventurous harmonic language also attracted some unfavourable reactions – including from Saint-Saëns, who allegedly strode off the concert platform at the end of the performance leaving the score (dedicated to him) behind. Today, however, the work is widely regarded as one of the composer's masterpieces. The first movement's introduction begins with a dramatic, recitative-like passage for strings, answered by a tender piano melody. In the ensuing Allegro the two main themes are likewise assigned to strings and piano. The first is declamatory, while the second – which returns throughout the quintet as a 'motto' – is unashamedly romantic. The movement's later stages contain passages of nearoperatic intensity. While the second movement also features some impassioned outbursts, its opening and closing sections are exquisitely tender. Striking features include prominent solos for the first violin, and a reminiscence of the 'motto' theme introduced by the piano. Dramatic string tremolos open the finale, in which vigorous dance-like passages alternate with quieter episodes. Franck revisits music from across the work, culminating with a final, ardent variant on the 'motto' theme, before more tremolos sweep the Quintet to its decisive F major conclusion. Quatuor Arod Taking their name from J R R Tolkein's The Lord of the Rings, Quatuor Arod formed in 2013 at the Conservatoire de Paris, where all four members studied under Jean Sulem. One of the group's first outings was the FNAPEC competition, winning first prize in 2014. Since then, they have undertaken the Pro Quartet residency at the European Centre for Chamber Music. Pushed into the limelight by their successes at the Carl Nielsen International Chamber Music Competition and the ARD International Music Competition (Munich), Quatuor Arod was named as a BBC New Generation Artist from 2017–2019 and a ECHO Rising Star from 2018–2019. In the five years since their first rehearsal at the Conservatoire, the quartet have performed at some of the world's most prestigious concert halls: the Philharmonie de Paris, Wigmore Hall, the Berliner Philharmonie, Hamburg Elbphilharmonie, Amsterdam Concertgebouw, the Oji Hall (Tokyo) and Carnegie Hall. Critics have hailed the rare energy of the Quatuor Arod in concert as well as the quality of their recordings, the first of which was devoted to Felix Mendelssohn, ahead of dedications to Mathilde Zemlinsky, Franz Schubert, Claude Debussy, Maurice Ravel, and Benjamin Attahir. In 2023, Quatuor Arod starred in the documentary Ménage à Quatre directed by the iconic Burno Monsaingeon, which depicts a funny and intimate portrait of the group. The quartet also enjoys working with such artists as Elsa Dreisig, Adam Laloum, Antoine Tamestit, Alexandre Tharaud and Camille Thomas. More than just being performers, they are also invested in the music of tomorrow: in 2017, they premiered Al Asr, Attahir's first string quartet, commissioned by La Belle Saison and ProQuartet. Elisabeth Brauß piano Elisabeth Brauß has been praised by Gramophone Magazine for 'the maturity and sophistication of her thoughtful interpretations'. Born in Hannover in 1995, Brauß is quickly establishing herself as one of the most exciting and versatile musicians of her generation. As a former member of the BBC New Generation Artist Scheme, Brauß continues to appear regularly with solo, chamber and concerto engagements across the UK. In 2021 she made her debut at the BBC Proms, performing Wolfgang Amadeus Mozart's Piano Concerto No 23 with the BBC Philharmonic Orchestra. In a new partnership between this scheme and the Hallé Orchestra, she was awarded the Terence Judd-Hallé Award, given to a NGA graduate considered to be on the cusp of a major international career. Further recent highlights include the Finnish Radio Symphony, The Hallé, BBC Symphony, BBC Scottish Symphony and Ulster Orchestras. During the 2022/23 season, Brauß was Artist in Residence at Edesche Concertzaal, performing both solo and chamber concerts. Brauß also collaborates with the composer Max Richter, and has appeared in his Reflektor Festival at the Elbphilharmonie Hamburg. Since her debut CD in 2017, she has gone on to release three more albums, collaborating with Valentino Worlitzsch, Simon Höfele, and the Beethoven Orchester Bonn featuring compositions by Max Richter to commemorate Beethoven's 250th anniversary. Brauß's most recent recording of the Bacewicz Double Concerto with Finnish Radio Symphony, Nicholas Collon & Peter Jablonski was awarded five stars and Concerto of the Month by BBC Music Magazine. In addition to winning first prize at the International Steinway Competition in Hamburg, and the International Grotrian Steinweg Piano Competition in Braunschweig, Brauß was awarded the Prätorius Musikpreis Lower Saxony Prize in 2012. Further accolades include the main and audience awards at the TONALi Grand Prix in Hamburg (2013) and first prize at the Kissinger KlavierOlymp (October 2016). FUTURE CONCERTS Thursday 26 September 1pm LSO St Luke's Thursday 3 October 6pm LSO St Luke's BEETHOVEN DEDICATIONS Ludwig van Beethoven 12 Variations on 'Se vuol ballare' (from Mozart's 'The Marriage of Figaro') Violin Sonata No 9, 'Kreutzer' Chloë Hanslip violin Danny Driver piano Thursday 3 October 1pm LSO St Luke's ORNAMENTS OF THE BAROQUE A selection of Sonatas by Georg Philipp Telemann Forma Antiqva ORNAMENTS OF THE BAROQUE A selection of pieces by Francesco Geminiani, Johann Sebastian Bach, Alessandro Marcello, Francesco Geminiani, and Antonio Vivaldi Victor Julien-Laferrière cello Justin Taylor harpsichord Friday 18 October 1pm LSO St Luke's NEW GENERATION ARTISTS A selection of pieces by John Corigliano, Ludwig van Beethoven, Franz Liszt, and Frédéric Chopin Alexander Gadjiev piano lso.co.uk/radio3 Stay in Touch @lsostlukes LSO St Luke's / BBC Radio 3 @lsostlukes / @BBCRadio3 These concerts are recorded for future broadcast, and you can listen on BBC Radio 3 at a later date. For scheduling information, visit bbc.co.uk/radio3 SUBSCRIBE Get our latest updates delivered to your inbox. Visit lso.co.uk/elist WATCH Find performance clips, behindthe-scenes footage, interviews and family and learning resources at youtube.com/LSO Please recycle this programme after use.
Nosocomial diarrhea: Trauma center health professionals' knowledge and practice Kellen Benites Nemetz* Pauline Müller Pacheco Maria Rita Macedo Cuervo* Abstract The occurrence of diarrhea in critically ill patients is frequent, regardless of the cause of initial admission to the Intensive Care Unit (ICU). Nosocomial diarrhea may have important clinical and economic implications. It's proper handling depends on correct diagnosis and recording. The aim of the present study was to verify the knowledge concerning the concept of diarrhea of health professionals working in the ICUs of a Trauma Center. This is a cross-sectional study conducted in July 2016 with 89 professionals, those being 18 nurses, 41 nurse technicians and 30 nursing assistants working in ICUs. Workers on leave or vacation were excluded. Participants answered a self-administered questionnaire containing 12 objective questions. Descriptive statistical analyses of absolute and relative frequencies were performed using SPSS 21.0 software. Most of the employees were between 51 and 60 years old and worked mostly at night. Only 60% of health professionals correctly identified diarrhea and 31% of professionals do not consider the number of evacuations to classify diarrhea. A third reported completing the full medical record of bowel movements in the chart set in the patients' bed and (3%) received training on the subject within the institution. It was observed that the knowledge of these professionals was similar to those of the other studies, but still not satisfactory. The situation represents an important factor for the super- or under-diagnosis of this disease and consequent complications, arguing for the potential that continuing education has to contribute for clinical practice qualification. Keywords: Diarrhea. Knowledge. Intensive Care Units. Attitude of Health Personnel. Food Service, Hospital. INTRODUCTION Diarrhea is characterized by three or more semi-pasty or liquid bowel movements within 24 hours and progresses to dehydration and depletion of electrolytes, especially sodium and potassium 1 . The etiology of diarrhea in hospitalized patients is multifactorial, which contributes to the great difficulty of determining its cause. Bacterial contamination, medication, implications of the pathology itself, dysbiosis, system of administration of nasoenteral therapy and osmolarity of enteral formulas are cited as the main causes of diarrhea. However, the treatment of infections associated with antibiotics is the most common cause of nosocomial diarrhea 2,3 . Several risk factors increase the incidence of diarrhea in patients admitted to intensive care units (ICUs). Bleichner and colleagues in a multicenter prospective study in 11 ICUs identified the following risk factors for diarrhea through multivariate analysis: fever or hypothermia, malnutrition, hypoalbuminemia, and the presence of a site of infection. Similarly, the indiscriminate use of antimicrobials has been pointed out as an important predisposing factor for nosocomial diarrhea, particularly in facilitating colonization and intestinal infection by Clostridium difficile. This assumption applies mainly to ICUs, where multi-agent antibiotics are common for prolonged periods 4,5 . Multiprofissional Residency Program in Urgency and Emergency of the Hospital de Pronto Socorro de Porto Alegre - RS, Brazil Post-Graduate Program in Epidemiology of the Federal University of Rio Grande do Sul, Porto Alegre - RS, Brazil *Methodist University Center - IPA, Porto Alegre - RS, Brazil E-mail: email@example.com The incidence of risk factors for diarrhea in ICU patients is 29.5%, with an average duration of 5.4 days. A higher mortality observed in patients who presented diarrhea compared to those who did not present this complication 6 . Hospitalized patients are at increased risk of malnutrition and gastrointestinal intercurrences are one of the major causes of enteral diet interruption, hindering nutritional management in hypercatabolism 5 . A crosssectional study carried out in São Paulo with 300 hospitalized patients analyzed the risk factors for hospital malnutrition, with gastrointestinal intercurrences and diarrhea being identified as greater risks for malnutrition 7 . Understanding the knowledge of health professionals concerning the concept of diarrhea and its behaviors in the presence of this intercurrence is fundamental for planning continuing education activities and the construction of institutional protocols aimed at the adequate management of diarrhea in patients admitted to the ICU. In the hospital where this study was conducted, for example, there was no institutional protocol for such an issue. It is estimated that only 50% of health professionals know the correct diagnosis of diarrhea 8 even though they know that the prevalence of diarrhea in ICU patients is high9. Because of the importance of the enteral diet in the treatment and recovery of inpatients, the objective of this study was to verify the knowledge about the concept of diarrhea of nursing professionals working in three ICUs of a Trauma Center. METHODOLOGY This is a cross-sectional, analytic, observational study with primary data, conducted in July 2016 with nurses, nurse technicians, and nursing assistants working in 3 adult ICUs at a Trauma Center in Porto Alegre. Participants answered a questionnaire that had already been used in another study, but not validated 8 . It is a self-applicable questionnaire that has been adapted to the reality of the place where the research was carried out. The same has 12 multiple choice questions and only one question where marking more than one option was allowed. Questions included diarrhea (consistency/ frequency/volume of feces), probable causes of diarrhea triggering (temperature/volume/rate of administration and enteral diet composition), the way of recording patient evacuations, procedure followed when identifying that the patient had diarrhea, frequency of training offered by the institution to characterize patients' bowel movements, and nutritional supplements that they considered important to be added to the diet to improve the gastrointestinal tract. Information on gender, age and occupation was added to the questionnaire. The questionnaire was answered at the worksites of these professionals, at a time agreed upon with the responsible nurse. The sample was calculated considering a confidence interval of 95% and power of 80% from a total of 123 employees. The sample had 89 professionals, those being 18 nurses, 41 technicians and 30 nursing assistants, calculated considering the outcome: knowledge about diarrhea, defined from the correctness of question 3 of the questionnaire. The percentage of correctness according to the level of education was expected: 60% for nurses, 30% for nurse technicians and 20% for nursing assistants. The calculation was performed using Epiinfo 7 Statcalc software. Nurses, nurse technicians and nursing assistants working in the ICU, in the morning, afternoon and evening shifts were included in the study. Workers who were on health leave, special leave or on vacation were excluded. In this study, there were no losses due to refusal, thus, reaching the previously stipulated sample. The data were entered into the EpiData 3.1 program in duplicate and then exported to the SPSS statistical analysis program version 21.0. Descriptive statistical analyses of absolute and relative frequencies were performed. The project was forwarded to the Research Ethics Committee of the Porto Alegre City Hall, and was approved by resolution no. 1.714.227. In order to avoid the risk of data exposure, the confidentiality of the questionnaires was guaranteed. All the participants signed the Term of Free and Informed Consent (ICF). RESULTS A total of 89 professionals answered the questionnaire: 18 nurses, 41 nurse technicians and 30 nursing assistants. Most employees were between the ages of 51 and 60 and worked at night (Table 1). Graph 1 shows the percentage of correct answers according to the profession of the respondents. According to table 2, it can be observed that 60% of health professionals consider that 3 or more liquid bowel movements in 24 hours is considered diarrhea and 31% of professionals do not consider the number of bowel movements to classify diarrhea. The vast majority did not consider the volume of the stool, but answered the question about the consistency of the feces in the classification of diarrhea correctly. About half (52%) pointed out that it is correct that the enteral diet should be administered at room temperature. On the other hand, almost all the others registered that the temperature of the diet is not related to the diarrhea. One-third (33%) reported completely filling out the record of bowel movements in patients' charts, and the minority (3%) received training on the subject within the institution. The majority (77.0%) of the professionals correctly answered the question about enteral diet with soluble fibers and probiotics assisting in the control of diarrhea. Table 1 – Socio-demographic characteristics of workers in the intensive care units of a emergency room in Porto Alegre - RS. 2016. Table 2 – Stool characteristics for the classification of diarrhea, administration of enteral diets, recording and training on diarrhea according to the workers of intensive care units of a Trauma Center in Porto Alegre, RS. 2016. Stool quantity to characterize diarrhea Small amount Average amount Large amount Does not consider amount to characterize diarrhea 2 3 13 71 2.25 3.37 14.61 79.78 to be continued... DISCUSSION It was observed that 60% of nursing assistants and 64% of nurses and nurse technicians respectively knew the classification of diarrhea. The result for the number of correct answers was low, since a third of the professionals do not consider the number of evacuations to classify the diarrhea, which can lead to informational errors during the changing of the shifts and in the records of the patients, potentially limiting the interventions for the treatment of diarrhea. Professionals do not consider the amount of feces to characterize diarrhea, and most consider diarrheal stools only when it occurs in a liquid consistency. It is important to note that 17% considered pasty stools to be diarrheal. We know that inadequate evaluation of diarrhea can negatively influence the treatment of patients 10 . A result in the same direction was presented in the study by Lordani et al. 8 , which evaluated the knowledge of nursing professionals regarding the classification of diarrhea. It was identified that 50% of the professionals considered diarrhea as "liquid and/or pasty" regardless of frequency, while the other 50% characterized the increase in the number of daily episodes of bowel movements, regardless of consistency. Potentially, about half of the cases of diarrhea can be erroneously classified, causing possible misuse of medication and interruption of the diet contributing to the worsening of the ill patient's nutritional risk. Concerning the temperature of enteral diet administration, about half of the sample in this study did indeed know the correct temperature of administration and the other half did not correlate the temperature with the occurrence of diarrhea. In the study by Lordani 8 , the results were similar: only 41.3% of nurse technicians and 50% of nurses answered the question that dietary temperature could cause diarrhea. The lack of knowledge about the impact of enteral diet temperature can lead to inadequate administration, decreasing dietary tolerance and contributing to the occurrence of diarrhea. Regarding the records reported by the professionals, about two-thirds did not do a complete record it in the medical records (frequency, consistency, volume) or only communicated verbally in the shift change to the professional who will be responsible for the patient. The findings agree with a study conducted in a university hospital in the South of Brazil, from January to March 2013, where 87.5% of the records were found in medical records without specifying the quantity, volume and appearance of the feces. The recording was performed only with the marking of an X. It was also observed in this study that there was underreporting in relation to the description of the occurrence or not of feces 11 . The study by Matsuda et al. 12 analyzed 71 ICU patient records and found that the number of annotations does not correspond to that established in the institution. A retrospective study 13 evaluated the quality of nursing notes in a semi-intensive therapy unit, through 16 patient records for an average period of 8 days. The low rates of completely filling out the medical record revealed a serious failure to record the care given 13 . Linch, Müller-Staub and Rejane Rabelo 14 show the importance of nursing records, as they represent continuity and quality of care, communication among professionals, and legal ethical aspects to which the patient is entitled. These medical records may also be used for other purposes, such as surveys, audits, legal processes and planning. Incomplete records may be justified by the lack of human resources, excess of patients under the responsibility of the same technical or nursing assistant, fatigue due to the increased workload in the care of patients with diarrhea, and by the deficiency of institutional protocols and trainings that explain to professionals the correct way to perform the recording 14,15 . One possible explanation for the lack of knowledge about diarrhea is the almost absent training on this intercurrence, recognized by nurses as the most frequent complication in intensive care 5 . Only 3% of the employees reported having had training in diarrhea at the institution, and the vast majority of them had only some guidance about diarrhea in the course of technical or higher education. A survey conducted in 2011 aimed to identify the training index of nursing professionals in a university hospital. The results, presented in the Hospital Quality Control Program (CQH) for the first quarter of 2011 of 42 general hospitals, presented a training index ranging from 0.04 to 22.34 hours of global training for each hospital evaluated, and 60.48% were allocated to nursing professionals 16 . These results are much lower than expected, considering that it is a company with a level of excellence in training, which achieves an average of 100 hours of training per worker 17 . An investigation conducted at a university hospital in the state of Paraná, published in 2014 also aimed to determine the training index of nursing professionals 18 . The percentage found was 16.20% for professional nurses and 3.98% for nurse technicians and nursing assistants. These results were interpreted as favorable to nursing professionals and unfavorable to mid-level nursing professionals 18 . A specific study with ICU professionals showed that only 37.2% had previously performed some training related to diarrhea 8 . In addition, an interventional study 19 demonstrated positive results from the implementation of a protocol CONCLUSION The main limitation of this study was the use of an unvalidated tool to evaluate professionals' knowledge about diarrhea, given the lack of a validated instrument available in the literature, linked to a significant shortage of publications with the approach of evaluating the professionals inserted in their work context. This refers to the main benefit of this study, which is to contribute to the knowledge about the subject by stimulating the production of other studies incorporated into the routines of health professionals, which has the potential to directly impact institutional routines and protocols. In the case of the present study, this represented the diagnostic basis for the proposition of a diagnostic protocol and conduct for diarrhea, for the implantation of a Standard Operating Procedure (SOP) for records of evacuations in charts fixed to the edge of the bed and for the accomplishment of training the team concerning the subject. The data presented demonstrate that a significant number of professionals do not know how to correctly identify and record when the patient is suffering from diarrhea, which is a frequent complaint in critically ill patients and a determinant of nutritional status and clinical outcome. The knowledge about to increase knowledge and behavior in relation to practices in intensive care units, including the management of diarrhea 19 . the triggering of diarrhea and its respective treatment is important and relevant for the construction of adequate clinical behaviors. This has repercussions both on the health outcome of the assisted individual and on the achievement of the institution's standards of excellence in general. The knowledge of the professionals evaluated was similar to that found in other studies, although not satisfactory. Important gaps have been observed both in the identification of diarrhea and its possible causes, demonstrating an important potential of continuing education activities. In the same way, this study showed the relevance of monitoring practices and conducting research inserted in the work context to identify situations where there is opportunity to improve procedures. Considering the results obtained in this study and its consistency with others, it is suggested that other institutions investigate the level of knowledge of the professionals responsible for the treatment of patients with a high probability of diarrhea occurring. It is recommended that other studies be carried out to improve the theoretical basis on the evaluation of knowledge and clinical practices inserted in the daily routine of ICU workers and patients. REFERENCES 1. Guia de medicina ambulatorial: Nutrição Clínica do Adulto. – 2° Ed. Rev. e ampl. – Barueri, SP:Manole, 2005.p.221-242. 2. Martins JR, Shiroma GM, Horie LM, Logullo L, Silva MDE l, Waitzberg DL, Factores leading to discrepancies between prescription and intake of enteral nutrition therapy in hospitalized patients. Nutrition. 2012;28(9):864-7 3.Chang SJ, Huang HH. Diarrhea ementerally fed patients:blametthedieet? Curr Opin Clin Nutr Metab Care. 2013;16(5):588-94 4. Bleichner G, Blehaut H, Mentec H, Moyse D. Saccharomyces boulardiiprevents diarrhea in critically ill tube-fed patients. A multicenter, randomized, double-blind placebo-controlled trial. Intensive Care Med. 1997;23:517-523. 5. Kalaldeh MA, Watson R, Hayter M. Jordanian nurses' knowledge and responsibility for enteral nutrition in the critically ill. British Association of Critical Care Nurses.2013;p1-13. 6. Borges SL, Pinheiro BV, Pace FHL, Chebli JMF. Diarreia nasocomial em unidade de terapia intensiva: incidência e fatores de risco. Arq. Gastroenterol. 2008;45(2):117-23. 7. Diener JRC; Silva DM, Tomelin P; Silveira LMP. Manual de terapia de nutrição parenteral e enteral. Universidade Federal de Santa Catarina. 2001.p.1-27. 8. Lordani CRF; Eckert RG; Lordani TVA; Duarte PAD. Conhecimento de profissionais de terapia intensiva sobre diarreia. Rev. Bras. Ter. Intensiva. 2014;26(3):299-304. 9. Izaguirre G L; Truchuelo A. Prevalência de diarreia em unidades de pacientes críticos na Espanha: um estudo multicêntrico. Enferm Intensiva. 2011;22(2):65-73. 10. Peart J, Richardson A. Developing a critical care bowel management assessment tool to manage faecal incontinence. British Association of Critical Care Nurses. 2014;20(1):34-40. 11. Marques NS; Victória ZTP; Guerreiro LF; Gomes GC; Vaghetti HH. Análise dos registros referentes ao balanço hídrico em unidade de terapia intensiva. Revista de Enfermagem. 2015;9(1):448-56. 12. Matsuda LM; Carvalho ARS; Evora YDM. Anotações/Registros de enfermagem em um hospital- escola. Cienc Cuid Saúde. 2007;6(2):337-46. 13. Silva JÁ; Grossi ACM; Haddad MCL; Marcon SS. Avaliação da qualidade das anotações de enfermagem em unidade semiintensiva. Esc Anna Nery.2012;16(3):576-81. 14. Linch GFC; Staub MM; Rabelo ER. Quality of nursing records and standardized language: literature review. Online BrazilianJournal of Nursing, 2010;9(2).ISSN 1676-4285.Available from:http://www.objnursing.uff.br/index.php/nursing/article/ view/j.16764285.2010.3088/703 15. Heidegger CP, Graf S, Perneger T, Genton L, Oshima T,Pichard C.The burden of diarrhea in the intensive care unit (ICU-BD). A survey and observational study of the caregivers' opinions and workload. International Journal of Nursing Studies.2016;59:163-168. 16.Oliveira JLC; Nicola AL. Avaliação de um dos indicadores de qualidade de enfermagem: O índice de treinamento de enfermagem de um hospital universitário. Anais de 5° seminário nacional estado e políticas sociais. Outubro/2011. 17. Guimarães S. Indicador: horas de treinamento. Disponível em: www.tgtreinamento.com.br. Acesso em: 29 de outubro de 2016. 18. Compromisso com a Qualidade Hospitalar (CQH) Manual de indicadores de enfermagem NAGEH/Compromisso com a Qualidade Hospitalar (CQH)-2.ed. São Paulo: APM/CREMESP, 2012. 60 19. Knowles S, Lam LT, McInnes E, Elliott D, Hardy J and Middleton S. Knowledge, attitudes, beliefs and behaviour intentions for three bowel management practices in intensive care: effects of a targeted protocol implementation for nursing and medical staff. BMC Nursing 2015;14:6 Diarreia nosocomial: conhecimentos e práticas de profissionais de um Hospital de Pronto Socorro Kellen Benites Nemetz Pauline Müller Pacheco Maria Rita Macedo Cuervo* Resumo A ocorrência de diarreia em pacientes criticamente enfermos é frequente, independente da causa de admissão inicial à Unidade de Tratamento Intensivo (UTI) e pode ter importantes implicações clínicas e econômicas. O seu manejo adequado depende de correto diagnóstico e registro. O objetivo do presente estudo foi verificar o conhecimento sobre o conceito de diarreia dos profissionais de enfermagem que trabalham em UTIs de um Hospital de Pronto Socorro. Trata-se de um estudo transversal realizado em julho de 2016 com 89 profissionais, sendo 18 enfermeiros, 41 técnicos e 30 auxiliares de enfermagem que trabalham UTIs. Foram excluídos trabalhadores em licença ou férias. Os participantes responderam um questionário auto-aplicável contendo 12 questões objetivas. Foram realizadas análises estatísticas descritivas de frequências absolutas e relativas, utilizando o software SPSS 21.0. A maioria dos funcionários tinha idade entre 51 e 60 anos e trabalhava à noite. Apenas 60% dos profissionais de saúde identificaram corretamente diarreia e 31% dos profissionais não consideram o número de evacuações para a sua classificação. Um terço referiu preencher de forma completa o registro das evacuações no prontuário fixado no leito dos pacientes, e a minoria (3%) recebeu treinamento sobre o tema no âmbito da instituição. Observou-se que o conhecimento destes profissionais foi semelhante aos dos outros estudos, porém ainda pouco satisfatório. A situação representa um fator importante para o super, ou sub diagnóstico deste agravo e consequentes complicações, demonstrando o potencial que a educação permanente tem para contribuir na qualificação da pratica clínica. Palavras-chave: Diarreia. Conhecimento. Unidades de Terapia Intensiva. Atitude do Pessoal de Saúde. Serviço Hospitalar de Nutrição. INTRODUÇÃO Diarreia é caracterizada por três ou mais evacuações semi-pastosas ou líquidas em 24 horas e evolui para desidratação e depleção de eletrólitos, especialmente sódio e potássio. 1 A etiologia de diarreia em pacientes hospitalizados é multifatorial, o que contribui para a grande dificuldade de determinar a sua causa. Contaminação bacteriana, medicamentos, implicações da própria patologia, disbiose, sistema de administração da terapia nasoenteral e osmolaridade das fórmulas enterais são citadas como as principais causas de diarreia. No entanto, destaca-se o tratamento de infecções associada a antibióticos como a causa mais comum de diarreia nosocomial. 2,3 Diversos fatores de risco aumentam a incidência de diarreia em pacientes internados em unidades de terapia intensiva (UTI). Bleichner e colaboradores em um estudo prospectivo multicêntrico realizado em 11 UTIs identificou os seguintes fatores de risco de diarreia através da análise multivariada: febre ou hipotermia, desnutrição, hipoalbuminemia e presença de um local de infecção. Similarmente, o uso indiscriminado dos antimicrobianos tem sido apontado como importante fator predisponente de diarreia nosocomial, particularmente ao facilitar a colonização e infecção intestinal pelo Clostridium difficile . Tal suposição se aplica principalmente às UTI, onde é comum a antibioticoterapia com múltiplos agentes por períodos prolongados. 4,5 A incidência de fatores de risco de diarreia em * Programa de Residência Multiprofissional em Urgência e Emergência do Hospital de Pronto Socorro de Porto Alegre - RS, Brasil Programa de Pós-Graduação em Epidemiologia da Universidade Federal do Rio Grande do Sul, Porto Alegre - RS, Brasil * Centro Universitário Metodista - IPA, Porto Alegre - RS, Brasil pacientes internados em UTI é de 29,5%, com duração média de 5,4 dias. Observa-se maior mortalidade em pacientes que apresentaram diarreia comparado aos que não apresentaram esta intercorrência. 6 Pacientes hospitalizados têm maior risco de desnutrição e as intercorrências gastrointestinais são umas das grandes causas da interrupção da dieta enteral dificultando o manejo nutricional no hipercatabolismo 5 . Um estudo transversal realizado em São Paulo com 300 pacientes internados analisou os fatores de risco para desnutrição hospitalar, sendo apontadas as intercorrências gastrointestinais e a diarreia como maior risco de desnutrição. 7 Entender qual o conhecimento dos profissionais de saúde sobre o conceito de diarreia e quais as suas condutas na presença desta intercorrência é fundamental para o planejamento de ações de educação permanente e a construção de protocolos institucionais visando o manejo adequado da diarreia em pacientes internados em UTI. No hospital em que foi realizado este estudo, por exemplo, não havia um protocolo institucional para tal questão. Estima-se que apenas 50% dos profissionais de saúde conheçam o diagnóstico correto da diarreia 8 mesmo sabendo que a prevalência de diarreia em pacientes internados em UTI é alta 9 . Por saber da importância da dieta enteral no tratamento e recuperação dos pacientes internados, o objetivo deste estudo foi verificar o conhecimento sobre o conceito de diarreia dos profissionais de enfermagem que trabalham em três UTIs de um Hospital de Pronto Socorro. METODOLOGIA Trata-se de um estudo observacional analítico transversal com dados primários, realizado no mês de julho de 2016 com os enfermeiros, técnicos de enfermagem e auxiliares de enfermagem que trabalham em 3 UTIs de adultos de um Hospital de Pronto Socorro de Porto Alegre. Os participantes responderam um questionário que já foi utilizado em outro estudo, porém não validado 8 . Trata-se de um questionário auto-aplicável que foi adaptado à realidade do local onde foi realizada a pesquisa. O mesmo possui 12 questões de múltipla escolha e apenas uma questão onde era permitido marcar mais de uma opção. As questões incluíam classificação de diarreia (consistência/frequência/volume das fezes), prováveis causas do desencadeamento da diarreia (temperatura/volume/velocidade de administração e composição da dieta enteral), forma de registro das evacuações dos pacientes, condutas tomadas quando identificado que o paciente estava com diarreia, frequência de treinamentos ofertados pela instituição para caracterização das evacuações dos pacientes e suplementos nutricionais que consideravam importantes para ser adicionados na dieta para melhora do trato gastrointestinal. As informações de gênero, idade e profissão foram acrescentadas ao questionário. O questionário foi respondido nas unidades de trabalho destes servidores, em horário combinado com a enfermeira responsável. A amostra foi calculada considerando um intervalo de confiança de 95% e poder de 80% a partir do total de 123 funcionários. A amostra foi de 89 profissionais, sendo 18 enfermeiros, 41 técnicos e 30 auxiliares de enfermagem, calculada considerando o desfecho: conhecimento sobre diarreia, definido a partir do acerto da questão 3 do questionário. Esperou-se o percentual de acerto de acordo com o grau de escolaridade: 60% para enfermeiros, 30% para técnicos de enfermagem e 20% para auxiliares de enfermagem. O cálculo foi realizado através do software Epiinfo 7 Statcalc. Foram incluídos na pesquisa enfermeiros, técnicos de enfermagem e auxiliares de enfermagem que trabalham em UTI, nos turnos da manhã, tarde e noite. Foram excluídos os trabalhadores que se encontravam em licença saúde, licença prêmio ou em férias. Neste estudo não houve perdas por recusa, alcançando a amostra previamente estipulada. Os dados foram digitados no programa EpiData 3.1 em duplicata e então exportados para o programa de análise estatística SPSS versão 21.0. Foram realizadas análises estatísticas descritivas de frequências absolutas e relativas. O projeto foi encaminhado ao Comitê de Ética em Pesquisa da Prefeitura Municipal de Porto Alegre, sendo aprovado pelo parecer n°1.714.227. RESULTADOS Ao todo responderam o questionário 89 profissionais: 18 enfermeiros, 41 técnicos de enfermagem e 30 auxiliares de enfermagem. A maioria dos funcionários tinha idades entre 51 e 60 anos e trabalhava à noite (Tabela 1). No Gráfico 1 pode-se observar o percentual de acertos de acordo com a profissão dos respondentes. Conforme a tabela 2, pode-se observar que 60% dos profissionais de saúde consideram que 3 ou mais evacuações líquidas em 24h é considerado diarreia e 31% dos profissionais não consideram o número de evacuações para classificação da diarreia. A grande maioria não considerou o volume das fezes, mas acertou Para evitar o risco de exposição de dados, foi garantida a confidencialidade dos questionários. Todos os participantes assinaram o Termo de Conhecimento Livre e Esclarecido TCLE. a questão sobre a consistência das fezes na classificação de diarreia. Cerca de metade (52%) apontou que o correto é que a dieta enteral deve ser administrada em temperatura ambiente. Em contrapartida, quase a totalidade dos demais registraram que a temperatura da dieta não tem relação com a diarreia. Um terço (33%) referiu preencher de forma completa o registro das evacuações no prontuário fixado no leito dos pacientes e a minoria (3%) recebeu treinamento sobre o tema no âmbito da instituição. A maioria (77,0%) dos profissionais responderam corretamente à questão sobre dieta enteral com fibras solúveis e probióticos auxiliando no controle da diarreia. Tabela 1 – Características sociodemográficas de trabalhadores das unidades de terapia intensiva de um hospital de Pronto Socorro de Porto Alegre – RS. 2016. Tabela 2 – Características das fezes para a classificação de diarreia, da administração de dietas enterais, de registro e de formação sobre diarreia conforme trabalhadores de unidades de terapia intensiva de um hospital de Pronto Socorro de Porto Alegre – RS. 2016. \| Número de evacuações para caracterizar diarreia \| \|---\| \| 1 ou + 3 3,37 2 ou + 5 5,62 3 ou + 53 59,55 Não considera frequência para caracterizar 28 31,46 diarreia \| \| Quantidade das fezes para caracterizar diarreia \| \| Consistência das fezes para caracterizar diarreia \| \|---\| \| Líquida 62 69,66 Semi-líquida 11 12,36 Pastosa 15 16,85 Líquida, semi-líquida ou pastosa 1 1,12 \| \| Temperatura de administração da dieta enteral \| \| Ambiente 46 51,69 Levemente aquecida 1 1,12 ...Quente 2 2,25 ...Temperatura não tem relação com a diarreia 40 44,94 \| \| Registro das evacuações \| \| Comunica verbalmente 5 5,62 Marca um X 4 4,49 Frequência 10 11,24 Frequência + consistência 24 26,97 Frequência + consistência + volume 17 19,10 Marca X +Frequência+ consistência + volume 29 32,58 \| \| Treinamento sobre classificação da diarreia \| DISCUSSÃO Observa-se que 60% dos auxiliares de enfermagem e 64% dos enfermeiros e técnicos de enfermagem respectivamente sabem a classificação de diarreia. O resultado para o número de acertos foi baixo, visto que um terço dos profissionais não considera o número de evacuações para classificação da diarreia, o que pode levar ao erro de informações na passagem de plantão e nos registros dos pacientes, limitando, potencialmente, as intervenções para o tratamento da diarreia. Os profissionais não consideram a quantidade de fezes para caracterizar diarreia. E sua maioria considera fezes diarreicas somente quando ocorre na consistência líquida. É importante destacar que 17% consideraram fezes pastosas como sendo diarreicas. Sabemos que a avaliação inadequada da diarreia pode influenciar negativamente no tratamento dos pacientes 10 . Um resultado na mesma direção foi apresentado no estudo de Lordani e colaboradores 8 , o qual avaliou o conhecimento dos profissionais de enfermagem em relação à classificação da diarreia. Foi identificado que 50% dos profissionais consideraram diarreia como "evacuações líquidas e/ou pastosas", independentemente da frequência, enquanto os outros 50% caracterizaram pelo aumento do número de episódios diários de evacuações, sem considerar a consistência. Potencialmente, cerca de metade dos casos de diarreia podem estar erroneamente classificados, provocando possível uso incorreto de medicações e interrupção da dieta contribuindo para o agravamento do isco nutricional do paciente enfermo. No que se refere à temperatura de administração de dietas enterais, cerca de metade da amostra deste estudo conhecia de fato a temperatura de administração correta e a outra metade não relacionava à temperatura a ocorrência de diarreia. No estudo de Lordani 8 , os resultados também foram similares: somente 41,3% dos técnicos de enfermagem e 50% dos enfermeiros acertaram a questão que afirmava que temperatura da dieta pode causar diarreia. A falta de conhecimento sobre o impacto da temperatura da dieta enteral pode levar a ocorrência da administração inadequada, diminuindo a tolerância a dieta e contribuindo para a ocorrência de diarreia. Em relação aos registros realizados pelos profissionais, cerca de dois terços não fazem o registro completo no prontuário (frequência, consistência, volume) ou somente comunicam verbalmente na troca de plantão ao profissional que ficará responsável pelo paciente. Os achados concordam com o estudo realizado em um hospital universitário do Sul do Brasil, de janeiro a março de 2013, onde foram encontrados 87,5% dos registros em prontuários sem especificação da quantidade, volume e aspecto das fezes. O registro era realizado somente com a marcação de um X. Observou-se também neste estudo que houve subnotificação em relação à descrição de ocorrência ou não de fezes 11 . O estudo de Matsuda e colaboradores 12 analisou 71 folhas de prontuários de UTI e constatou que o número de anotações não corresponde ao estabelecido na instituição. Um estudo 13 retrospectivo avaliou a qualidade das anotações de enfermagem em unidade de terapia semi-intensiva, através de 16 registros de pacientes por um período médio de 8 dias. Os baixos índices de preenchimento completo do prontuário revelam uma falha grave no registro da assistência prestada 13 . Linch, Müller-Staub e Rejane Rabelo 14 mostram a importância dos registros de enfermagem, à medida que representam a continuidade e a qualidade da assistência, a comunicação entre os profissionais e os aspectos éticos legais a que o paciente tem direito. Estes registros em prontuários também podem destinar-se a outros fins, tais como pesquisas, auditorias, processos jurídicos e planejamento. Os registros em prontuários incompletos podem ser justificados pela carência de recursos humanos, excesso de pacientes sob a responsabilidade do mesmo profissional técnico ou auxiliar de enfermagem, fadiga pelo aumento da carga de trabalho nos cuidados de pacientes com diarreia e pela deficiência dos protocolos institucionais e de treinamentos que expliquem aos profissionais a maneira correta de realizar os registros 14,15 . Uma possível explicação para a carência de conhecimento sobre diarreia é a quase ausência de treinamento sobre esta intercorrência, reconhecida por enfermeiros como a complicação mais frequente no cuidado intensivo 5 . Apenas 3% dos funcionários relataram ter realizado algum treinamento sobre diarreia na instituição, sendo que a grande maioria deles só teve alguma orientação sobre diarreia no curso de formação técnica ou de ensino superior. Uma pesquisa realizada em 2011 teve como objetivo identificar o índice de treinamento dos profissionais de enfermagem de um hospital universitário. Os resultados, presentes no Relatório de Indicadores do Programa de Controle de Qualidade Hospitalar (CQH) do primeiro trimestre de 2011 de 42 hospitais gerais, apresentaram um índice de treinamento que varia entre 0,04 a 22,34 horas de treinamento global de cada hospital avaliado, sendo que 60,48% foram destinadas para os profissionais de enfermagem 16 . Estes resultados estão muito abaixo do esperado, pois considera-se uma empresa em nível de excelência em treinamento, aquela que atinge a média de 100 horas de treinamento por trabalhador 17 . Uma investigação conduzida em um hospital escola no estado do Paraná, publicada em 2014 também teve como objetivo determinar o índice de treinamento de profissionais de enfermagem 18 . O percentual encontrado foi de 16,20% para os profissionais enfermeiros e de 3,98% para técnicos e auxiliares de enfermagem. Estes resultados foram interpretados como favoráveis aos profissionais enfermeiros e desfavoráveis aos profissionais de enfermagem CONCLUSÃO A principal limitação deste estudo foi a utilização de instrumento não validado para a avaliação do conhecimento dos profissionais sobre diarreia, dada a carência de instrumento validado disponível na literatura, vinculado a uma escassez importante de publicações com a abordagem da avaliação dos profissionais inseridos no contexto de trabalho. Isto remete ao principal benefício deste estudo que é contribuir para o conhecimento sobre o tema estimulando a produção de outras pesquisas incorporadas às rotinas dos profissionais de saúde, que tem potencial de impactar diretamente nas rotinas e protocolos institucionais. Os dados apresentados demonstram que uma parcela importante dos profissionais não sabe identificar e registrar corretamente quando o paciente está com diarreia, um agravo frequente em pacientes críticos e determinante para o estado nutricional e desfecho clínico. O conhecimento sobre o desencadeamento No caso do presente estudo, ele representou a base diagnóstica para a proposição de um protocolo de diagnóstico e condutas para diarreia, para a implantação de um Procedimento Operacional Padrão (POP) para registros de evacuações em prontuários fixados a beira do leito e para realização de treinamento da equipe sobre o assunto. de nível médio 18 . Em estudo específico com profissionais atuantes em UTI mostrou que apenas 37,2% tinham realizado previamente algum treinamento relacionado a diarreia 8 . Adicionalmente, estudo de intervenção 19 demonstrou resultados positivos a partir da implantação de protocolo para o aumento no conhecimento e no comportamento em relação a práticas em unidades de cuidado intensivo, inclusive no manejo da diarreia 19 . da diarreia e o seu respectivo tratamento é importante e relevante para a construção de condutas clínicas adequadas. O que repercute tanto no desfecho de saúde do indivíduo assistido quando no alcance de padrões de excelência da instituição de maneira geral. Tendo em vista os resultados obtidos neste estudo e a sua coerência com os demais, sugere-se que outras instituições investiguem o nível de conhecimento dos profissionais responsáveis pelo tratamento de pacientes com alta probabilidade de ocorrência de diarreia. Recomenda-se que outros estudos sejam realizados para aprimorar a base teórica sobre avaliação de conhecimentos e práticas clínicas inseridas no dia a dia dos trabalhadores e pacientes de UTIs. REFERÊNCIAS 1. Guia de medicina ambulatorial: Nutrição Clínica do Adulto. – 2° Ed. Rev. e ampl. – Barueri, SP:Manole, 2005.p.221-242. 2. Martins JR, Shiroma GM, Horie LM, Logullo L, Silva MDE l, Waitzberg DL, Factores leading to discrepancies between prescription and intake of enteral nutrition therapy in hospitalized patients. Nutrition. 2012;28(9):864-7 3.Chang SJ, Huang HH. Diarrhea ementerally fed patients:blametthedieet? Curr Opin Clin Nutr Metab Care. 2013;16(5):588-94 4. Bleichner G, Blehaut H, Mentec H, Moyse D. Saccharomyces boulardiiprevents diarrhea in critically ill tube-fed patients. A multicenter, randomized, double-blind placebo-controlled trial. Intensive Care Med. 1997;23:517-523. O conhecimento dos profissionais avaliados foi semelhante ao encontrado em outros estudos, ainda que pouco satisfatório. Foram observadas lacunas importantes tanto na identificação de diarreia, quanto suas possíveis causas, demonstrando um potencial importante das ações de educação permanente. Da mesma maneira, evidenciou a relevância da monitorização de práticas e da pesquisa inserida no contexto de trabalho para a identificação de situações onde há oportunidade de aperfeiçoamento de processos. 5. Kalaldeh MA, Watson R, Hayter M. Jordanian nurses' knowledge and responsibility for enteral nutrition in the critically ill. British Association of Critical Care Nurses.2013;p1-13. 6. Borges SL, Pinheiro BV, Pace FHL, Chebli JMF. Diarreia nasocomial em unidade de terapia intensiva: incidência e fatores de risco. Arq. Gastroenterol. 2008;45(2):117-23. 7. Diener JRC; Silva DM, Tomelin P; Silveira LMP. Manual de terapia de nutrição parenteral e enteral. Universidade Federal de Santa Catarina. 2001.p.1-27. 8. Lordani CRF; Eckert RG; Lordani TVA; Duarte PAD. Conhecimento de profissionais de terapia intensiva sobre diarreia. Rev. Bras. Ter. Intensiva. 2014;26(3):299-304. 9. Izaguirre G L; Truchuelo A. Prevalência de diarreia em unidades de pacientes críticos na Espanha: um estudo multicêntrico. Enferm Intensiva. 2011;22(2):65-73. 10. Peart J, Richardson A. Developing a critical care bowel management assessment tool to manage faecal incontinence. British Association of Critical Care Nurses. 2014;20(1):34-40. 11. Marques NS; Victória ZTP; Guerreiro LF; Gomes GC; Vaghetti HH. Análise dos registros referentes ao balanço hídrico em unidade de terapia intensiva. Revista de Enfermagem. 2015;9(1):448-56. 12. Matsuda LM; Carvalho ARS; Evora YDM. Anotações/Registros de enfermagem em um hospital- escola. Cienc Cuid Saúde. 2007;6(2):337-46. 13. Silva JÁ; Grossi ACM; Haddad MCL; Marcon SS. Avaliação da qualidade das anotações de enfermagem em unidade semiintensiva. Esc Anna Nery.2012;16(3):576-81. 14. Linch GFC; Staub MM; Rabelo ER. Quality of nursing records and standardized language: literature review. Online BrazilianJournal of Nursing, 2010;9(2).ISSN 1676-4285.Available from:http://www.objnursing.uff.br/index.php/nursing/article/ view/j.16764285.2010.3088/703 15. Heidegger CP, Graf S, Perneger T, Genton L, Oshima T,Pichard C.The burden of diarrhea in the intensive care unit (ICU-BD). A survey and observational study of the caregivers' opinions and workload. International Journal of Nursing Studies.2016;59:163-168. 16.Oliveira JLC; Nicola AL. Avaliação de um dos indicadores de qualidade de enfermagem: O índice de treinamento de enfermagem de um hospital universitário. Anais de 5° seminário nacional estado e políticas sociais. Outubro/2011. 17. Guimarães S. Indicador: horas de treinamento. Disponível em: www.tgtreinamento.com.br. Acesso em: 29 de outubro de 2016. 18. Compromisso com a Qualidade Hospitalar (CQH) Manual de indicadores de enfermagem NAGEH/Compromisso com a Qualidade Hospitalar (CQH)-2.ed. São Paulo: APM/CREMESP, 2012. 60 19. Knowles S, Lam LT, McInnes E, Elliott D, Hardy J and Middleton S. Knowledge, attitudes, beliefs and behaviour intentions for three bowel management practices in intensive care: effects of a targeted protocol implementation for nursing and medical staff. BMC Nursing 2015;14:6
. ALAMEDA COUNTY WORKFORCE DEVELOPMENT BOARD (WDB) EXECUTIVE COMMITTEE MEETING NOTICE Wednesday, August 23, 2017 9:30 – 12:00 Noon California Poppy Room nd 24100 Amador Street, 2 Floor, Hayward AGENDA THIS IS AN OPEN MEETING. ALL WDB MEMBERS ARE ENCOURAGED TO ATTEND This WIOA Title I financially assisted program or activity is an "Equal Opportunity Employer Program." Auxiliary aids and services are available upon request to individuals with disabilities. If you require specific accommodation due to a disability, please call Flo Fox at (510) 259-3842 at least 72 hours in advance. NEXT EXECUTIVE COMMITTEE MEETING DATE IS NOVEMBER 29, 2017 ITEM V.A. – ACTION / PUBLIC HEARING EXECUTIVE COMMITTEE MEETING CALENDAR FOR 2018 RECOMMENDATION: That the Alameda County Workforce Development Board's (ACWDB) Executive Committee consider and approve the meeting dates, times and places listed below for the 2018 calendar year. BACKGROUND: The Bylaws state under Section 4.4.2 Regular Meetings of Standing Committees that: "Each committee shall set the date, time, and place of regular meetings by resolution and shall state the date, time, and place of each meeting in the agenda to be posted for that meeting". In order to secure adequate meeting space, notice the public, and to allow ACWDB staff an opportunity to plan in advance with the Chair, staff recommends that the Executive Committee consider the following meeting dates and times as listed below. As the meeting dates approach, if there are no items for the Committee, staff will confer with the Chair, then provide adequate notification of cancellation. All meetings are located at the Eden Area Multi Service Center, (24100 Amador Street, 2 nd Floor, California Poppy Conference Room, A&B, Hayward, CA), and are scheduled for the first Wednesday of the month. For further information, contact Patti Castro, Director at (510) 259-3843 or by email at email@example.com. ITEM V.B. – ACTION / PUBLIC HEARING APPROVAL of ALAMEDA COUNTY WORKFORCE DEVELOPMENT BOARD ANNUAL BUDGET – PY 2017/2018 RECOMMENDATION: That the Alameda County Workforce Development Board (ACWDB) Executive Committee approve an Annual Budget, as presented in Attachments V.B.1-3, for Program Year (PY) 2017/2018 for Workforce Innovation and Opportunity Act (WIOA) activities and services funded by the WIOA Formula Allocations and Discretionary Grants. BACKGROUND: Each year the ACWDB approves an annual budget for the activities and services implemented in the Local Workforce Area (Local Area). At a minimum, the annual budget includes WIOA Adult, Dislocated Worker, Rapid Response, and Youth Formula Funding allocated to the Local Area. Where applicable, the annual budget shall include other revenues under the direction of ACWDB. The budget addresses grant-source revenues and the projected ACWDB Department and WIOA Program expenditures for the full program year of July 1, 2017 through June 30, 2018, as presented in the attachments to this Item. It is stated in the ACWDB Bylaws that the Executive Committee will review the annual budget and present recommendations to the full Board. The ACWDB approved a preliminary annual budget for PY 2017/2018 at its May 11, 2017 meeting, pending final WIOA Formula Funding allocations from the California Employment Development Department (EDD). BUDGET CONSIDERATIONS AND DISCUSSION: Revenue for PY 2017/2018 – WIOA Formula Grants (State Allocations) ACWDB received the final PY 2017/2018 WIOA Adult, Dislocated Worker, and Youth Formula allocations from EDD on June 27, 2017; the WIOA Rapid Response and Layoff Aversion allocations were received from EDD on August 1, 2017. The total WIOA funding allocation for PY 2017/2018 is $5,379,944, a reduction of $1,006,095 (16%) from PY 2016/2017. This is more than twice the reduction anticipated in the preliminary annual budget for PY 2017/2018 approved by the ACWDB on May 11, 2017. See Attachment V.B.1. Most urban areas in CA received far less funding in all three streams - Adult, Dislocated Worker, and Youth - than was initially anticipated when EDD issued WIOA planning estimates for PY 2017/2018 on February 8, 2017. State planning estimates were updated after March 2017 so new statistical data was significantly different. Local Area or "sub-state" grants are derived from a mix of factors, most significantly unemployment data and excess unemployment data within the economic areas. The decrease in unemployment Statewide was under the federal threshold of "substantial unemployment" in California. This particular factor caused the significant shifts in the Adult and Youth calculations. Without a statewide designation, calculations were based on contiguous census tracts. The economic conditions of our metro economic region are strong, so the "substantial unemployment" statewide factor could not be a part of our local area calculations. After a request for recalculations by our office and the California Workforce Association (CWA), on behalf many workforce boards, the State stands firm on its calculations of the final WIOA Formula allocations for PY 2017/2018. PY 2017/2018 budget allocations for WDB systems and planning costs, and service provider contract award levels have been adjusted according to the percentage allocation methodology approved by the ACWDB on March 9, 2017. See Attachment V.B.2. Training Set-Aside For PY 2017/2018, WIOA requires that each Local Area spend an amount that is at least 30% of the total WIOA Adult plus total Dislocated Worker Formula Funds allocated to the Local Area for each Program Year on training. Of the 30% amount, 20% must be from the WIOA Adult and/or Dislocated Workers Formula Funds, and up to 10% of the 30% amount may be other funds, including WIOA Discretionary funds and non-WIOA funds spent on actual training of participants. The 20% is a minimum requirement and is therefore taken off the top of each allocation for Adults and Dislocated Workers in our local budget. Discretionary Grants ACWDB staff have been proactive in applying for and winning several discretionary grant awards over the past several years. Funds from discretionary grants can be used to support current WIOA Formula-funded programs, but typically allow for an expanded range of services and strategies for a variety of target groups, or are industry-focused. Discretionary funds supplement the WIOA Formula allocation and enhance services as well as offset administrative costs for special projects. Funding Awards to Providers As noted above, contract award levels for ACWDB service providers have been adjusted in accordance with the percentage allocation methodology approved by the ACWDB on March 9, 2017 and the contract renewal recommendations approved by the ACWDB on May 11, 2017. The percentage allocation methodology is designed to maintain program consistency despite funding variations on a year-to-year basis for the primary program strategies that are designed to meet the employment and training needs of program participants in Alameda County. Attachment V.B.4. details the final PY 2017/2018 WIOA funding awards to ACWDB service providers. This information is provided for information only, and is not part of the Annual Budget approval. For further information, please contact Jennifer Mitchell, Program-Financial Specialist, at (510) 259-3829 / email at: firstname.lastname@example.org. ATTACHMENTS: V.B.1. WIOA Formula and Discretionary Grant Revenues – July 1, 2017 through June 30, 2018 V.B.2. Planned Expenditures of ACWDB Revenues – July 1, 2017 through June 30, 2018 V.B.3. WIOA Formula Allocations – July 1, 2017 through June 30, 2018 V.B.4. PY 2017/2018 WIOA Funding Awards to Providers – July 1, 2017 through June 30, 2018 16. ALAMEDA COUNTY WORKFORCE DEVELOPMENT BOARD ANNUAL BUDGET - PY 2017/2018 Workforce Innovation and Opportunity Act (WIOA) Programs FORMULA and DISCRETIONARY REVENUES Approved \| \| REVISED PY 2017/2018 \| Preliminary PY 2017/2018 \| \|---\|---\|---\| \| WIOA ADULT PROGRAMS \| $1,484,750 \| $1,665,995 \| \| WIOA DISLOCATED WORKERS \| $2,017,597 \| $2,139,270 \| \| WIOA YOUTH PROGRAMS \| $1,578,957 \| $1,770,533 \| \| WIOA RAPID RESPONSE \| $255,202 \| $338,747 \| \| WIOA RAPID RESPONSE / LayOff Aversion \| $43,438 \| $95,522 \| \| TOTAL WIOA FORMULA ALLOCATIONS \| $5,379,944 \| $6,010,067 \| \| Discretionary Funds \| \| \| \| H1B - Ready-to-Work \| $137,000 \| $50,000 \| \| East Bay Slingshot Initiative \| \| \| \| Workforce Accelerator - Measuring Customer Service \| $130,000 \| $100,000 \| \| Career Pathways Trust I (Peralta CCD) \| $42,000 \| $42,000 \| \| Career Pathways Trust II (ACOE) \| $105,000 \| $104,000 \| \| Beyond the Gates (2) \| $333,000 \| $200,000 \| \| Career Pathways Trust II (San Jose Evergreen) \| $155,000 \| $155,000 \| \| Storm 2017 - Nat'l Dislocated Worker Grant Project (3) \| $566,667 \| $857,000 \| \| TOTAL DISCRETIONARY FUNDING \| $1,468,667 \| $1,508,000 \| \| TOTAL AVAILABILITY for PROGRAM YEAR \| $6,848,611 \| $7,518,067 \| NOTES: (1) Adults, Dislocated Workers, Rapid Response, and Youth Formula Allocations are Final Allocations for PY 2017/2018 per EDD. This is a 16% net reduction in WIOA Fornula Funds from PY 2016/2017. (2) No-cost extension thourgh 12/31/17 approved by US Department of Labor. (3) Preliminary budget included total 18-month project award level. Revised budget includes only projected PY 2017/2018 expenditures. \| \| \| WIOA Formula Funds \| Discretionary Funds \| REVISED PY 2017/2018 BUDGET \| Preliminary PY 2017/2018 BUDGET \| \|---\|---\|---\|---\|---\|---\| \| \| \| $570,626 \| $155,111 \| $725,737 \| $ 819,022 \| \| \| \| $347,197 \| $98,097 \| $445,294 \| $ 483,568 \| \| \| \| $192,708 \| $84,622 \| $277,330 \| $ 323,643 \| \| \| \| $146,357 \| $76,298 \| $222,655 \| $ 166,156 \| \| \| \| $700,469 (20%) \| $350,235 (10%) \| $1,050,704 (30%) \| $ 1,441,580 \| \| \| \| $1,896,803 \| \| $1,896,804 \| $ 2,093,797 \| \| \| \| $294,197 \| \| $294,197 \| $ 319,642 \| \| \| \| $1,231,586 \| \| $1,231,586 \| $ 1,381,016 \| \| \| \| \| $704,304 \| $704,304 \| $ 489,643 \| \| \| \| $5,379,944 \| $1,468,667 \| $6,848,611 \| $ 7,518,067 \| \| \| ttachment A \| $5,379,944 \| $1,468,667 \| $6,848,611 \| \| \| Total under / (ove \| r) allocation \| 0 \| 0 \| (0) \| \| \| % ADULT \| DISLOCATED WORKERS \| RAPID % RESPONSE \| % YOUTH \| PY 2017/2018 TOTALS \| \|---\|---\|---\|---\|---\| \| 100% $1,484,750 \| $2,017,597 \| 100% $298,640 \| 100% $1,578,957 \| $5,379,944 \| \| 20% $296,950 80% $1,187,800 \| $403,519 $1,614,078 \| 100% $298,640 \| \| $700,469 \| \| \| \| \| 100% $1,578,957 \| $4,679,475 \| \| Allocation of 80% for Implementation \| \| Allocation for Implementation \| Allocation for Implementation \| \| \| 11% $130,658 \| $177,549 \| 35% $104,524 \| 10% $157,896 \| $570,626 \| \| 7% $83,146 \| $112,985 \| 3% $8,959 \| 9% $142,106 \| $347,197 \| \| 4% $47,512 \| $64,563 \| 27% $80,633 \| \| $192,708 \| \| 3% $35,634 \| $48,422 $403,519 \| 5% $14,932 \| 3% $47,369 \| $146,357 \| \| 25% $296,950 \| \| 70% $209,048 \| 22% $347,371 \| $1,256,888 \| \| 75% $890,850 \| $1,210,558 $1,614,078 \| 30% $89,592 \| 78% $1,231,586 \| $3,422,587 \| \| 100% $1,187,800 \| \| 100% $298,640 \| 100% $1,578,957 \| $4,679,475 \| ATTACHMENT V.B.3. \| \| Funding Source \| \| \| REVISED PY 2017/2018 \| Preliminary PY 2017/2018 \| \|---\|---\|---\|---\|---\|---\| \| \| Youth \| Adults \| DWs / RR \| \| \| \| YOUTH PROVIDERS \| \| \| \| \| \| \| EAST BAY COMMUNITY SERVICES \| $533,277 \| \| \| $533,277 \| $597,980 \| \| BERKELEY YOUTH ALTERNATIVES \| $332,528 \| \| \| $332,528 \| $372,874 \| \| HAYWARD USD \| $365,781 \| \| \| $365,781 \| $410,162 \| \| Sub-total Youth Providers \| $1,231,586 \| \| \| $1,231,586 \| $1,381,016 \| \| CAREER CENTERS \| \| \| \| \| \| \| PERALTA Community College \| \| $175,546 \| $260,098 \| $435,643 \| $505,141 \| \| RUBICON Programs \| \| $248,970 \| $228,702 \| $477,671 \| $550,298 \| \| OHLONE Community College \| \| $202,807 \| $316,892 \| $519,699 \| $625,374 \| \| CHABOT-LAS POSITAS \| \| $183,271 \| $190,926 \| $374,197 \| $412,984 \| \| Sub-total Career Centers \| \| $810,593 \| $996,618 \| $1,807,211 \| $2,093,797 \| \| EMPLOYER SERVICES \| \| \| \| \| \| \| KRA / Business Development Group \| \| $80,257 \| $200,747 \| $281,004 \| $319,642 \| \| Sub-total Employer Services \| \| $80,257 \| $213,940 \| $294,197 \| $319,642 \| \| Total Formula Funds Awarded \| $1,231,586 \| $890,850 \| $1,210,558 \| $3,332,995 \| $3,794,455 \| ATTACHMENT V.B.4. ITEM VI.A. – DISCUSSION LEGISLATIVE UPDATE BACKGROUND: Alameda County Workforce Development Board (ACWDB) staff is tracking workforce-related bills in California's 2017-2018 legislative session, in alignment with California Workforce Association's (CWA's) legislative priorities. CWA's sponsored and signature bill this year is Assembly Bill (AB) 1111, or the Breaking Barriers to Employment Act. AB 1111 is a reboot of AB 2642 that died in California's 2016 legislative session that is now showing marked improvement in this year. While the unemployment rate for Alameda County in June of 2017 was 4%, segments of people are still being left behind, making the passage of AB 1111 of utmost importance for job seekers. In Alameda County, the unemployment rate still remains high for youth, people with disabilities and several ethnic groups. 1 This is also the case for people without postsecondary education too, where the estimated rate is 10.9% for people with less than a high school education and 9.7% for people with only a high school education. 2 Assembly Bill 1111 AB 1111 would establish a competitive grant program for activities that address the needs of individuals with multiple barriers to employment to prepare for training, apprenticeship or employment opportunities, leading to economic stability. The initiative would target: veterans, disconnected youth, women seeking training or education in non-traditional fields of employment, displaced workers, the long-term unemployed, unskilled or under-skilled workers, low-earning workers, English Language Learners, the economically disadvantaged, CalWORKs participants, formerly incarcerated individuals, Native Americans, migrant or seasonal farmworkers, and people with developmental or other disabilities. Assembly Bill 1149 CWA is also a sponsor of AB 1149. AB 1149 is a workforce development board funding bill that would provide greater flexibility to 30% training requirement under Title I of the Workforce Innovation and Opportunity Act (WIOA), for Adult and Dislocated Worker programs. WIOA currently allows 10% of the 30% WIOA training requirement to be met by other sources (Pell grants, Trade Adjustment Assistance, National Emergency Grants, employers and industry associations, joint labor-management trusts and the Employment Training Panel). AB 1149 would expand the list of leveraged partners to include TANF/CalWORKs. AB 1149 also allows supportive services to be leveraged and applied toward the 10% leverage requirement. If passed, 1 According to the American Community Survey's 5 year estimates, the unemployment rate for youth ages 16‐19 years old is 28.5% and 13.6% for youth ages 20‐24. For people with disabilities the estimated unemployment rate is 16.3%, 16.5% for African Americans, 13.9% for Pacific Islanders, 12.3% for American Indians and for 8.9% for Hispanics. 2 Ibid. AB 1149 has the potential to support more vulnerable workers and encourages partnership across the workforce system. Senate Bill 1 Senate Bill (SB) 1 or the "infrastructure bill" received a lot of buzz early on and was quickly approved by the Governor. SB 1 establishes the Road Maintenance and Rehabilitation Program to address deferred maintenance on the state highway system and the local street and road systems. While the funding would be generated by a vehicle gas tax, the program would require that $5 million over the course of five years would be used to promote and implement preapprenticeship programs. SB 1 would also authorize $2 million to be allocated to the University of California and the California State University, respectively, for the purpose of conducting transportation research and transportation-related workforce education, training, and development. SB 1 can potentially put the much needed resources behind implementing and scaling effective pre-apprenticeship programs. BILL STATUS UPDATES AB1111 has made more progress in 2017, successfully making it out of the Assembly's Jobs, Economic Development, and the Economy (JEDE) Committee and referred to the Senate's Labor and Industrial Relations Committee as of July 12, 2017. It has been read twice and rereferred to the Committee on Appropriations, where will be heard on August 21, 2017. If passed, AB 1111 could serve as an offset to WIOA funding, especially in light of Federal budget cuts. The passage of AB 1111 is promising and will open opportunities to serve people who have more challenges in securing employment. AB 1149 is steadily making progress and made its way from the Assembly's JEDE Committee to the Senate's Labor and Industrial Relations Committee on May 24, 2017, where it was ordered for a third reading on June 27, 2017. The bill is also slated to be sent back to the Assembly for concurrence, as amendments have been made by the Senate. If the Governor signs AB 1149, a stronger partnership with CalWORKs and agencies providing supportive services, may follow. SB 1 was both signed by the Governor and chaptered on April 28, 2017. Since its passage, which will take effect in January 2018, CWA has hosted a webinar in May for workforce development boards across the state to discuss preliminary workforce development strategies for construction and the trades as related to SB 1 as well as partnership strategies with stakeholders in the infrastructure space. During the webinar, CWA urged workforce development boards to engage with said partners early on in their process to encourage and set project labor agreements (PLAs), on the behalf of job seekers. Workforce development board representatives from across the state chimed in about current efforts in developing PLAs and special projects related to the trades. For more information, please contact Latoya Reed, Management Analyst at (510) 259-3833 or by email at email@example.com. ATTACHMENT: VI.A.1. – Breaking Barriers to Employment Fact Sheet Assemblymember Eduardo Garcia, 56 th Assembly District AB 1111 – Breaking Barriers to Employment Updated: 2/21/17 Jointly Authored by: E. Garcia, J. Arambula, S. Eggman, B. Maienschein, S. Quirk-Silva, M. Santiago and M. Steinorth BACKGROUD FUNDING ___________________________ The Workforce Innovation and Opportunity Act of 2014 (WIOA) represents the single most significant change in federal workforce policy in over 15 years. Among other requirements, the WIOA mandates that state develop a plan for making workforce investments, set goals, and the report on their progress in meeting milestones to those goals. Future federal funding will be dependent on the state meeting established milestones leading to the goal. CALIFORNIA'S PLAN California's Unified Strategic Workforce Development Plan (State Plan) outlines a comprehensive four-year strategy for investing federal workforce training and employment service dollars in a manner that aligns and coordinates six core WIOA funded programs. The state goal (2017 through 2027) is to produce one million "middle-skill" industry valued and recognized postsecondary credentials. In meeting this goal, the State Plan anticipates doubling the number of people enrolled in apprenticeship programs. NEED TARGETED APPROACH Key challenges to meeting this important goal are the significant number of workers who are not currently ready to take on middle skill training. In 2012, there were 1.9 million unfilled middle skill jobs. This number is expected to grow as one-third of middle skill workers retire over the next ten years. California needs a targeted program to help unskilled and under-skilled workers improve their skills and be prepared to meet business and industries need for 4.4 million middle-skilled jobs. In meeting this need, a worker and his or her family has the ability to increase their lifetime earnings by $425,000. AB 1111 builds upon key objectives in the State Plan by assisting individuals obtain the fundamental skills necessary to prepare for work in high priority industries, leverage multiple services to meet a worker's individual needs, and target people who face systemic barriers to employment. Funding for AB 1111 will be provided by an appropriation through the budget. It is anticipated that funding will be provided through a range of state and federal revenues, including, but not limited to cap-and-trade auction revenues, federal Workforce and Innovation Act Funds, other Special Funds, and General Funds. BILL SUMMARY AB 1111 establishes a competitive grant program for activities that address the needs of individuals who face multiple barriers to prepare for training, apprenticeship, or employment opportunities, which will lead to selfsufficiency and economic stability. The program's targeted populations include, but are not limited to, veterans, unskilled and low-skilled workers, out-of-school youth, foster youth, long-term unemployed, individuals with developmental and other disabilities, Native Americans, formerly incarcerated individuals, farmworkers, and other economically disadvantaged individuals. Grant proposals are required to be submitted as a partnership between local workforce development boards and community-based nonprofit service providers with experience serving the targeted population. Proposals are required to also include specific measurement of success that illustrates how the assistance increased the individual's skill-level and prepares them to take-on higher levels of training or obtain jobs. SUPPORT (Anticipated) * California Workforce Association (sponsor) * National Association of Social Workers * California Association of Local Conservation Corps * San Bernardino County * SIATech California * Association of Regional Center Agencies FOR MORE INFORMATION Carlos Gonzalez, Legislative Director State Capitol, Room 4140 firstname.lastname@example.org (916) 319-2056 ITEM VI.B. – DISCUSSION COMMUNICATION EFFORTS AND STRATEGIES BACKGROUND: The Alameda County Workforce Development Board's (ACWDB) Management Analyst coordinates and leads an internal Media Team (MT), responsible for ensuring that communication and media efforts are aligned with the Board's vision, mission and priorities. The MT highlights events and success stories, and supports partners' social media campaign efforts On-going, the MT promotes workforce events and news, job fairs, employer resources, social media campaigns and workforce-related articles on social media (Facebook and Twitter). The MT also addresses national and statewide campaigns, keeping workforce development and efforts by the Workforce Development Boards in the media. In addition to current efforts, bringing awareness to client success and the effectiveness of job seeker and employer programs under WIOA has become more prevalent in the MT's work. In an attempt to systemize the promotion of client success stories, service providers are now responsible for submitting at least three success stories per quarter. A soft ask was made for the last quarter in PY 16/17, but the success story submission is now a requirement for all service providers in PY 17/18 (see attachment VI.B.1). Providers are also required to participate when possible, in other communication efforts. Service providers have generally participated in some form of the MT's communication efforts over the years, often sharing event fliers and success stories of clients and partnerships. On-going and new efforts to lift up client success can align well with ACWDB's current Human-Centered Design Grant Pilot under the Accelerator 4.0 grant, providing opportunities to create synergy, partnership and specific resource development for this type of work. COMMUNICATION AND MEDIA UPDATE The California Workforce Association (CWA) and the Employment Development Department (EDD) have recently requested the participation of workforce development boards in its social media campaign efforts. In June and July 2017, the MT supported CWA's social media campaign efforts and took to Facebook and Twitter to post information or bring awareness to certain programs or client demographics. In August 2017, the MT supported EDD's gear-up for the Annual Labor Day Campaign. CWA Social Media Campaigns On June 12, 2017, the Media Team launched a social media campaign on Facebook and Twitter to heighten awareness of summer youth employment and internship programs in Alameda County, which ran through June 16, 2017. ACWDB's Summer Youth Social Media Campaign brought 892 viewers to Facebook and left 1,724 impressions (the number of times a user is served a Tweet) on Twitter. The Summer Youth Social Media Campaign highlighted several programs from ACWDB's current service providers as well as other programs like, Cypress Mandela Training Center, Social Services Summer and After School Youth Programs, Hayward Police Department's Youth Academy and many more. On July 3, 2017, the Media Team also supported CWA's Veterans Week to heighten awareness of Veteran programs and Veteran success stories as a result of participation in WIOA programs. Veterans Week ran through July 7, 2017 and highlighted Veteran programs in the county and success stories, including the impressive work being done at the Tri-Cities One Stop to support Veterans and at the Veterans-to-Technology Program, where a program participant was just recently named Veteran of the Year by Assembly Member Katherine Baker. Veterans Week brought 461 viewers to its Facebook page and left 1,050 impressions on Twitter. EDD Media Campaign In late July, EDD's Public Affairs Branch Communications office called on local workforce development boards to submit story leads for their 2017 Labor Day Campaign. Specifically, this year's Labor Day Campaign will highlight job seeker employment outcomes and employment retention. ACWDB staff leveraged the success stories already submitted by some of its service providers and sent them to EDD as leads. The Labor Day Campaign is scheduled to launch August 30, 2017 and run through September. These stories will be featured on EDD's website (www.edd.ca.gov), EDD's social media (Facebook and Twitter), and used for media coverage. The MT will also share and post these stories, particularly if success stories are selected from ACWDB's local area and as a result of the MT's participation. The Media Team will continue to support social media campaign efforts, share engaging resources for job seekers and employers and will work on developing engaging content to share with the public. For more information, please contact Latoya Reed, Management Analyst at (510) 259-3833 or by email at email@example.com. ATTACHMENT: VI.B. 1 - Communication Strategies Flyer Communication Strategies July 13, 2017 In an effort to successfully market and illustrate the system's effectiveness, we'll be requiring that all contractors provide success stories from Adult, Dislocated Workers, Youth and Employer clients. This will be an opportunity to highlight your services, your efforts and your clients! Quarterly Success Stories- Three success stories are required per quarter (end of quarter), from employers, youth, adults and dislocated workers. The next wave of success stories are due on September 29, 2017, December 29, 2017, March 30, 2018 and June 29, 2018. This requirement will also be embedded in your contracts for PY 17/18. Your success stories can be of individuals and/or of partnerships that work on the behalf of clients. Consent/release forms are required. The success form template and consent form were previously distributed and is available upon request. Social Media Campaigns- Current social media campaigns have been centered around specific populations and initiated primarily by the California Workforce Association (CWA) and Employment Development Department (EDD). ACWDB staff will continue to work closely with service providers to collect stories related to these specific populations, calling for specific stories, articles, or partnerships. All providers are required to respond to social media requests. This requirement will also be embedded in your contracts for PY 17/18. Mark your calendars for upcoming CWA campaigns (details will follow but subject to change): Earn and Learn in August Business Success in September Other Communication Efforts- From time-to-time, you may be called upon to submit a story, article or other media information, outside of the quarterly success stories and social media campaigns efforts. Your response to these requests will be expected. It is ideal that you assign a main staff to coordinate all communications with Latoya Reed, who can be reached at (510) 259-3833 or firstname.lastname@example.org. July 13, 2017 ITEM VI.C. - DISCUSSION SET CONSENT AND REGULAR CALENDAR The purpose of this item is for the Executive Committee to discuss the Alameda County Workforce Development Board's (WDB) Committee Actions for the May 11, 2017 quarterly meeting: Consent Calendar - None Regular Calendar - Workforce Development Board Actions/Committee Recommendations: Youth Committee - None Organizational Effectiveness (OE) Committee - PY 2017/2018 Contract Performance Measures and Goals for Adults, Dislocated Workers, and Youth - PY 2017/2018 Contract Performance Goals for Business Services Systems & Strategies (S&S) Committee - 10% Residency Exception Cap Executive Committee - Approval of Alameda County Workforce Development Board Annual Budget – PY 2017/2018 ITEM VI.D. - DISCUSSION OCTOBER 2017 BOARD RETREAT BACKGROUND: At the May 11, 2017 meeting, the Chair announced that the Alameda County Workforce Development Board will be holding a retreat on October 27, 2017. Time on the retreat agenda might include progress to-date on the implementation of the Local Plan, and how the Board's priorities will be met moving forward into the next program planning cycle. During the local planning process, the board identified three priority areas for integration into its programs and services delivery strategies. These priorities are: 1. Board Engagement 2. Use of technology 3. Services to Adults with Disabilities The Chair would like to have a discussion with the Executive Committee for input into the retreat agenda and share info about the plans and speakers arranged thus far. The retreat will be held at the Castro Valley Adult & Career Education Center. For more information, please contact Patti Castro, Director at 259-3843, or by email at email@example.com. ITEM VII.A. – INFORMATION STATUS OF BOARD AND COMMITTEE MEMBERSHIP BACKGROUND: The purpose of this item is to update the Executive Committee on any membership changes and/or updates to the Board and its Committees. Workforce Development Board (WDB) New Member Pending: - Education – Dr. Jannett Jackson, Chabot-Las Positas Community College District (effective 9/12/17) Resignations: - Labor – Dan Kennerk, SEIU Local 1000 - Labor – Sherry Chapin, Operating Engineers Local 3 End-of-Terms: - Private Sector – Christine Friday, Friday & Associates - Private Sector - Len Turner, Turner Construction Group - Private Sector – Ashton Simmons, Rouse Properties (Southland Mall) - Economic Development – Debbie Potter, City of Alameda - Education – Gari Browning, Ohlone Community College District Vacancies: - Private Sector – Four - Economic Development – One - Community-Based Organization – One - Labor - Two Status Pending: - Labor – Wellington Jackson Youth Committee – End-of-term (6/30/17) for Len Turner, Turner Construction Group Systems and Strategies Committee – End-of-term (6/30/17) for Debbie Potter, City of Alameda; New Member – Chris Rose Organizational Effectiveness Committee - No changes For further information, please contact Patti Castro, Director at (510) 259-3843 or email firstname.lastname@example.org or Flo Fox, Board Secretary at (510) 259-3842 or email@example.com.
A Study on Evolving a Framework on Bhagavad Gita as a Scientific Metaphysical Resource on Transformation in the post COVID-19 Era By Bhagyesh Jha International Hindu University, FL, USA Harshal A. Sanghvi Florida Atlantic University, FL, USA Abhijit S. Pandya Florida Atlantic University, FL, USA Abstract Corona Virus created an unprecedented existential crisis. It has impacted every sphere of Human activities. Humanity is compelled to relook at many concepts of life, happiness, and salvation. Subtle transformations are germinated because of the predicament. This paper reviews the work of various thought leaders who started looking at scriptures to find answers to modern-day problems. A novel approach based on the Bhagavad Gita, which is a strong handbook for day-to-day problems with newer and pragmatic views has been presented. This research looks at transformations in life through altering three important aspects of life, namely, Knowledge, Action and Devotion (attitude). Looking at the current post-Pandemic scenario, this formula tries to make the philosophical discourse a day-to-day Guide. Keywords: Bhagavad Gita, Transformations, Theory of Action (KarmaYog), Devotion (BhaktiYog), Knowledge (GyanYog or GnanYog), Post-covid-19 era. Introduction David Brooks, a political and cultural commentator, wrote an Op-ed piece 2 , 'The American renaissance has begun,' which has aptly described our post-Pandemic journey. He states, What David Brooks describes as a voyage is, in fact, a turning point for humanity as it has raised some fundamental questions. Changes at the Macro level alter the news headlines and geopolitical equations, but important changes happen at the Individual level. Those traumatic events and the loss of loved ones change the worldview of how one perceives life, its pursuit of victory and defeat, and the light and sound of happiness and unhappiness. That's why this research tries to address these fundamental issues. Indeed, coronavirus has changed the world. The way we used to look at ourselves and the Universe is altered by the invisible virus. The world experienced unprecedented agony and helplessness. Humanity, due to helplessness experienced by mighty powers, looked for a solution to the crisis, which started as a public health catastrophe. Still, its cascading waves created an impact on every shed of human existence. We have not seen this kind of disaster where the entire health infrastructure of mighty superpowers also collapsed. More than anything else individually, human beings felt unprecedented loneliness. Individuals infected by Corona virus were advised to be in isolation. This newest isolation, at micro and macro levels, was scary and soul-signalling. This solitude, either at home or at the hospital, taught many lessons. The relationship within human society, under the shadows of the Pandemic, Published/ publié in Res Militaris (resmilitaris.net), vol.12, n°6, Winter 2022 underwent big changes as the inner beings encountered death in various degrees. Some Individuals and groups experienced those spiritual practices and meditation played a big role in fighting the disease. Unknowingly, the transformation of an Individual experience is not properly understood or studied. Subtle changes in response to unknown situations have built up positivity and spirituality brick by brick. This research addresses these 'inner changes and strengthening and stimulating shift of paradigms' with the help of some lessons and maxims taught by the Bhagavad Gita (divine song), which is part of the Indian Epic, Mahabharat. Recently, the transformations that we tried to capture are reflected in the World's Development 3 . Evidence from COVID-19 shows that preparing for and recovering quickly from big shocks is going to be a central issue in development research and practice in the years to come. After COVID-19, development must be based on knowledge and politics that are radically egalitarian and inclusive, whereas traditional approaches have been top-down, rigid, and oriented towards narrowly defined economic goals. The referred paper discussed the macro issues in part 2 while deliberating on 'postpandemic transformations', while this paper will be more focused on individual-level transformation. Thomas Berry 4 (1998), a cultural historian, famously observed once that the story on which humanity has long relied is failing or collapsing. In his celebrated book, 'New Story', Thomas wants a new story to emerge. Any recovery of the natural world will necessitate a conversion experience deep within the human psychic structure. Berry's observation gets echoed and partially answered in a modern interpretation of the Bhagavad Gita, which scientifically and psychologically defines the path of transformation. This paper unfolds the process of transformation as enshrined in Bhagavad Gita. Methodology Transformation Learning from the Predicaments Let us consider the Pandemic as a unique and unprecedented predicament which has impacted human life and raised some basic and fundamental questions. Thus, like every predicament, this should also herald change. The spiritual question is whether this change will bring transformation for a better life. Thus, examining the predicament and its relationship with transformation is critical. No progress or development can take place without a predicament. The Oxford dictionary defines a predicament as a difficult, unpleasant, or embarrassing situation. The celebrated Author and Israeli Historian Yuval Noah Harari in an interview for 'UNESCO Courier' stated, "Every crisis is an opportunity" 5 every society or nation has a recovery plan from envisioned Pandemic. Collectively, communities will strive to rebuild and reimagine their future paths. However, what is the plan for an individual recovery? How individuals will cope with challenges posed by the post-Pandemic world. This requires a fresh look at some of the scriptures 6 . This research looks at Bhagavad Gita, the discourse which has successfully worked upon the depressed prince on the battlefield. Gita evidently shows that the predicament puts the warrior prince in precarious mental status. The dialogue in Bhagavad Gita instils a deeper urge in him to transform, which ultimately translates into a big victory. Bhagavad Gita as a meta-physical resource. Bhagavad Gita is called a Metaphysical resource as it proclaims the philosophy which deals with the nature of reality ' as it exists. Dean Zimmerman 7 clarified in Britannica encyclopedia 8 what are the qualifying ingredients of a work/the doctrine of philosophy which deals with defining the 'existence'. Research done by Janardan Ghimire 9 has established the importance of the Bhagavad Gita. Bhagavad Gita is famously known as 'The divine song of Life' for the following reasons. (1) It is the song of life, for it's about a crisis. (2) It's about the dilemma when one gets confused about selecting the course of action. (3) It is a song of life, for it is about happiness and unhappiness, victory and defeat. (4) It is about work and attachments, and frustration. (5) It is about how to see the world with blissful eyes. (6) It sharpens your view of life from the micro to the macro level. (7) It is about devotion and surrender. (8) It is about identity and salvation. Quantum physics and the essence of Gita Since this paper addresses the process of transformation at the individual level, a look at the fundamentals of quantum physics would be useful. The transformation which Krishna talks about is very deep, and at the nucleus of existence, the subatomic understanding of the Universe can be heard in the voice of German Physicist Hans Peter Durr 10 when he said, "Whenever I give a lecture on Quantum Physics, I feel I am talking about Vedanta." The breakthrough in science came when science started talking about consciousness. The series of experiments revealed something different from classical science, leading to questions on reality, illusion, power of mind, time & space and so on. Bhagavad Gita deals with a few basic questions pertaining to life and existence – 1. Who am I, really? 2. Why am I here? 3. Why do I suffer in life? 4. How can I be happy? 5. Who is GOD? 6. How do I reach GOD? What should I do? 7. Where can I find GOD? Each question has an answer in the Bhagavad Gita with its practical application. However, the explanation is more in the form of a spiritual vision. At times, it is difficult for a layman to understand and practice. However, all the answers have their roots in body, mind, and soul, as well as all-pervading intelligent and material causes of the Universe. However, such answers are difficult to accept for a logical mind which is a limited mind which has limitations. Spiritualism or spirituality is the doctrine that the spirit co-exists as distinct from matter or that spirit is the only reality which prevails. Thus, spiritualism is a metaphysical belief that the world is made up of at least two radical and rudimentary substances: matter and spirit. Quantum Physics defines that each and everything coexisting is created due to the summation of subatomic-sized bits, but the question is what the underlying fundamental force is holding the quanta particles, atoms and molecules, space and all the other things together is Electromagnetism. Electromagnetism is in the form of photons, that is, light. Now what light does is it keeps electrons fastened to the nuclei of an atom, which are further bonded together with two fundamental forces, viz. Strong Force and Electromagnetic force forge further into forming of molecules, thus objects. Thus, all forms of matter are made up of this radiating spectrum of electromagnetism, which is light. [Sarkar Soumyadeep, Quantum Physics and Spirituality, International Journal of Science and Research (IJSR) ISSN (Online): 2319-7064]. "Albert Einstein has said, "When I read the Bhagavad-Gita and reflect about how God created this universe, everything else seems so superfluous." (Source: https://blog.sivanaspirit.com/unlikely-people-praise-the-bhagavad-gita/)" Neuroplasticity in the modern age The question before us is how transformative learning in humans' works and how the Bhagavad Gita helps us understand and subsequently unleash the transformation. As argued by Celeste Campbell 11 , Neuroplasticity is the basic capacity physiologically adapt to unforeseen circumstances. It refers to the physiological changes in the brain that happen as the result of our interactions with our environment. From the time the brain begins to develop in the uterus until the day we die, the connections among the cells in our brains reorganise in response to our changing needs. This dynamic process allows us to learn from and adapt to different experiences 12 . Very significant work in this field by Duo Sigrid and Magelssen Scheide, University of Oslo, brought out a very lucid definition of neuroplasticity and how it works in their seminal work in 'Meditation and Neuroplasticity' 13 . Neuro plasticity means the possession of a structure weak enough to yield to an influence but strong enough not to yield all at once. Each relatively stable phase of equilibrium in such a structure is marked by what we may call a new set of habits. Organic matter, especially nervous tissue, seems endowed with a very extraordinary degree of plasticity of this sort, so that we may without hesitation lay down as our first proposition the following that the phenomena of habit in living beings are due to the plasticity of the organic materials of which their bodies are composed. This paper intends to read Bhagavad Gita considering some fundamentals of Neuroplasticity as the warrior Prince Arjun who was deeply depressed, was transformed in such a fashion that he sprung back into war with a winning vigour. This transformation requires close examination. Thus, this paper will address the principles and processes for such great changes in Arjuna. Transformative learning As this paper focuses on transformations, it is pertinent to look at the issue of transformation learning. As in the case of Arjuna's transformation, Krishna undertakes a much deeper and philosophical route to spell out doubts. Mezirow (2003) 14 has done some pioneering work in dissecting the process of Transformative learning. However, instrumental learning and communicative learning [Habermas (1984) 15 ] have a fundamental difference from Transformative learning. Mezirow identified ten stages, and the last two stages are significantly relevant to the current paper. Let us look at the last two stages 16 of Transformative learning, and they are like this. * Building competence and self-confidence in new roles and relationships * A reintegration into one's life based on conditions dictated by one's perspective. In the subsequent paras of this paper, it has been restated and established that the confidence in self and fog attached to a relationship can be cleared only by the clarity of existential understanding. Secondly, Mezirow's focus has become wider as Krishna argued for 'not only learning' but 360* transformation. The Post-Pandemic world and Backdrop of the Mahabharat War The Mahabharat War was a once-in-centuries conflict in the ruling family of Kauravas and Pandavas. It was a game changer as it radically redefined many aspects of Governance and Religion. The Great warrior Arjuna and his charioteer-cum-adviser Krishna discussed some of the fundamental issues of Human understanding and life. The learning of the Bhagavad Gita emanates from the depression of Arjuna. His fears and perception of work-emotion-knowledge trios were altered by Krishna through transformation narratives about life. His fears were removed, his grief uprooted, his apprehensions about death and ego-centric mist of victory cleared, and the relation between mind-body-spirit clearly narrated. Thus, a total transformation can be inferred and understood considering post-Pandemic complications. While delivering a lecture, famous Jerusalem Historian Yuval Noah Harari stated that every crisis is an opportunity. The fear of death and infection, the social stigmas, helplessness, and anxiety has driven human minds into an unprecedented crisis. Loneliness and suffering, the pain of disease and loss, has created a big uncertainty and pessimistic view of life. That's why this paper interprets the basic teachings of the Bhagavad Gita to understand the process of transformation. Framework The Theory of 'DrAG and ASK'© Transformations through Bhagavad Gita Bhagavad Gita, a 'divine song or song of God as known in religious and spiritual circles, is fundamentally a song for transforming a man. It's the science of inner engineering and a blissful experience of self-realisation. The ultimate dialogue is intended to steer the seeker towards the process of overcoming fragmentation within our inner Universe and its interface with the outer Universe. This will pave the way to achieving the wholeness of being an essential prerequisite for establishing a Regime of harmony and happiness, which is the pointer to ultimate bliss.' 17 . Gita, having 700 verses, has a whole ocean of theories, but this paper is designed to present a unique combination of transformation through a Yantra 18 . This Yantra has two triangles, one going upwards [ASK] and the other downwards [DrAG]. That's why this theory is named 'DrAG and ASK'. Figure 1: Transformation Yantra The DrAG (having red borders) triangle suggests a cleansing process, the unlearning and a phase where one would like to observe himself. The DrAG triangle has roots in one of the important shlokas [verses] of the Bhagavad Gita. It declares. त्रित्रिधं नरकस्येदं द्वारं नाशनात्मन: । काम: क्र ्र ोधस्त था लोभस्त्तस्म ्माद े त्त् ्त्रय ं त्य जेत । ॥16.21॥ These three are the Gates of hell, Destructive of the self, Desire, anger and greed. Therefore, one should abandon these three. [ Chinmayananda; 2005]. [https://www.psychologytoday.com/intl/blog/am-i-right/201203/greed-ignorance-andanger-the-three-poisons] The Cleansing Process As mentioned in the earlier part in [2.1], the trio must be removed from day-to-day activities. Krishna, as a great teacher, was aware of the planned transformation in Arjuna. Before he gave this clear-cut directive to 'abandon' these three (Desires, Anger and Greed) while discussing the characteristics of Persons with steady wisdom 19 . Arjuna asked this question about the characteristics of a person with Steady wisdom; Krishna gave a very scientific sequence of falls or failures by which an individual can be destroyed. ध्यायतो त्रिष्ांप ंस: संगस्तेषूपजायते । संगातसंजायते काम: कामात्क्रोधो$त्रभजायते । ॥ 2.62॥ क्रोधात्त्भित्रत सम्मोह: संम्मोहात्स्मृत्रतत्रिभ्रम: । स्मृत्रतभ्रंशाद ब क्तधधनाशो ब क्तधधनाशाद ् रणश्यत्रत । ॥ 2.63॥ When a man thinks of objects, 'attachment' For them arises, from attachment Desire is born, From Desire arises 'anger'.. [2.62] From anger comes delusion, from delusion the loss of memory, from loss of memory the 'destruction of discrimination, from the destruction of discrimination, he perishes. [2.63] 20 The ASK Theory The recent discussion was sparked by Prof Yuval Novah Harari, A Jerusalem University historian, when he proved in his book Sapiens that humans have now completely mastered the planet earth. In his book collapse 21 , academic and popular science author Jared Diamond considered five contributors to the collapse of humanity, climate change, hostile neighbours, and the collapse of trading partners, environmental problems and society's response to the forgoing four problems. If the responses are studied and understood, then one can realise that it's unlimited desires, greed and Ego-induced anger that have brought humanity to the fringe of collapse. This research tries to re-read Bhagavad Gita to bring to the table some of the formulas that Krishna preached on the battlefield to transform the broken-down Warrior, Arjuna. This formula is complete 360* view of how an individual can be transformed for a better life which includes better performance. Let us understand this abbreviation first. A = Attitude, S = Skill and K= knowledge. Bhagavad Gita is a grand expansion of these three big areas that can transform the depressed or stressed human mind. This research has focused on a few selected important verses which will unfold the magical impact on human responses in stressful situations. Attitude is Bhakti, Devotion Attitude is the master key in the process of transformation. संत ष्ट: सततं योगी यतात्मा द्रढत्रनश्चय: । मय्यत्रपमतमनोब क्तधधयो मद्भि:स मे त्ररय: ॥ 12.14 ॥ यस्मान्नोत्रद्वजते लोको लोकान्नोत्रद्वजते च य: । हषाममषमभयोद ्वेगैम मिो य: स च मे त्ररय: ॥ 12.15॥ Ever content, steady in meditation, self-controlled, possessed of firm conviction, with mind and intellect dedicated to me, he, my devotee, is dear to me. ॥ 12.14 ॥ He by whom the world is not agitated (affected) and who can't be agitated by the world, who is freed from joy, envy, fear and anxiety- he is dear to me. Skill of 'unattached action' that drives Karma, Action The big transformation during and after the Pandemic has and will happen in the relationship between man and his work. 'Work from Home' has placed work into a new ecosystem and changed the landscape of thought about work. Bhagavad Gita preaches a radical idea about work and its influence on your mindset and psychic being. It is the theory of action, best known as 'karma yoga', is unique and challenges the current thought process about work culture. Since this shifting of paradigm will not only initiate a big transformation, but it has the potential to completely change the precepts of work. Let's look at some important maxims pronounced in Bhagavad Gita. कममण्येिात्रधकारस्ते मा फलेष कदाचन । मा कम फलह त भ मा त सङ ोऽस कम त ण ॥ 2.47 ॥ े म ्ग म How right it is to work only, but never to its fruit, let not the fruit of action be thy motive, nor let thy attachment Be to inaction. 22 Knowledge is Gyanam, awareness. The knowledge is not organised information or what people understand as knowledge, but Gyanam knows the real self. 1. Developing correct awareness of the mind, the body and the Atman or Self. 2. Stabilising the mind in the self through self-discipline and self-absorption (atmasamyama yoga) 3. Acquiring true awareness of the world around and the SUPREME-Self beyond (knowledge of Sat (Truth) and Asat (Falsehood) through discernment (buddhi yoga). 4. Practising various disciplines and other techniques to self-purification, the predominance of sattva and suppression of rajas and tamas. बहूनां जन्मनामन्ते ज्ञानिान्मां रपध्यते । िासद ेि: सिमत्रमत्रत स महात्मा स द लमभ: ॥ 7.19 ॥ At the end of many births, the wise man comes to me, realising that all this is Vasudev (the innermost self); such a great soul (Mahatma) is very hard to find. ॥ 7.19 ॥ 23 े े ं यद्यत्रद्वभूत्रतमत्सत्त्वं श्रीमदूत्रजमतमेि । तत द िािगच त ्वं मम त जोशसम ि ॥ 10.41 ॥ Whatever it is that is glorious, prosperous, or powerful in any being, that is to be a manifestation of a part of My Splendour. ॥ 10.41 ॥ 24 It is important to understand how divine knowledge can expedite transformation. In this research, our emphasis is on deeper purity and clarity. This can't be achieved without pure awareness of consciousness. The divine knowledge waters the deepest roots with the fact that 'the human being' is a manifestation of that 'Supreme reality' or 'pure consciousness. This awareness will easily purify action by detaching from results and expectations; similarly, devotion will have unalterable focused surrender to attain ultimate freedom. Conclusion This paper is an attempt to draw the path of transformation through the Bhagavad Gita. The process is divided into two parts; cleansing and upgrading. Cleansing is to clean the human mind by driving out Desires (with resultant vices), Anger and Greed. At the same time, upgrading is to improve your level of understanding of A (attitude =Bhakti), S (skill= action without action), and K (knowledge= awareness about all-pervading Brahman). This paper tries to interpret and simplify basic concepts of Gyan (knowledge), Bhakti (devotion) and Karma (Karma) to modern Men. The Covid-19 crisis left humanity with a new hunger for transformation. This paper restates many truths and life-changing maxims which can herald a transformation in Human life. References Cotkin, G. (1994). William James, public philosopher. 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Theory of near-field matter-wave interference beyond the eikonal approximation Stefan Nimmrichter\textsuperscript{1,2} and Klaus Hornberger\textsuperscript{1,} \textsuperscript{1}Arnold Sommerfeld Center for Theoretical Physics, Ludwig-Maximilians-Universität München, Theresienstrasse 37, 80333 Munich, Germany \textsuperscript{2}Faculty of Physics, University of Vienna, Boltzmanngasse 5, 1090 Vienna, Austria (Received 21 April 2008; published 6 August 2008) A generalized description of Talbot-Lau interference with matter waves is presented, which accounts for arbitrary grating interactions and realistic beam characteristics. The dispersion interaction between the beam particles and the optical elements strongly influences the interference pattern in this near-field effect, and it is known to dominate the fringe visibility if increasingly massive and complex particles are used. We provide a general description of the grating interaction process by combining semiclassical scattering theory with a phase space formulation. It serves to systematically improve the eikonal approximation used so far, and to assess its regime of validity. DOI: 10.1103/PhysRevA.78.023612 PACS number(s): 03.75.Dg, 34.35.+a I. INTRODUCTION The ability of material particles to show wavelike interference is one of the central predictions of quantum mechanics. While the early experimental tests worked with elementary particles \cite{1,2}, interferometry of atoms is by now a matured field of physics \cite{3–5}. It is in particular the ability to cool and to control atoms using laser techniques that has propelled atom interferometry into a versatile tool for precision measurements, e.g., \cite{6–9}. As far as more complex and more massive objects are concerned, we are currently witnessing this transition from the proof-of-principle demonstration of their wave nature to the use of interferometry for quantitative measurements. Specifically, the static \cite{10} and the dynamic \cite{11} bulk polarizability of fullerene molecules was measured recently with a molecule interferometer. Also the controlled observation of decoherence, due to collisions with gas particles \cite{12} or due to the emission of thermal radiation \cite{13}, has been used to characterize the interaction strength (or cross section) of fullerenes with external degrees of freedom. Another motivation for studying interference with large molecules is to test quantum mechanics in unprecedented regimes by establishing the wave nature of ever more massive objects \cite{14}. The above-mentioned interference experiments with large molecules are based on the near-field Talbot-Lau effect, where three gratings are used which serve, in turn, to produce coherence in the beam, to bring it to interference, and to resolve the fringe pattern. This is an established technique in atom and electron interferometry \cite{15–19}, and it is the method of choice for massive and bulky molecules (such as fullerenes \cite{20}, mesotetraphenylporphyrins \cite{21}, or functionalized azobenzenes \cite{22}). The main reason is that a Talbot-Lau interferometer (TLI) tolerates beams which are relatively weakly collimated, thus alleviating the increasing difficulty in producing brilliant beams if the particles get more complex. Another important advantage compared to far-field setups, which is essential if one wants to increase the particle mass by several orders of magnitude, is the favorable scaling behavior of Talbot-Lau interferometers with respect to the de Broglie wavelength \cite{3}. As a specific feature of Talbot-Lau interferometers, the forces between the particles in the beam and the diffraction grating influence the interference pattern much stronger than in a far field setup. This is due to the fact that the different diffraction orders do not get spatially separated in a TLI. Rather, all the orders interfere among each other, producing a resonant recurrence of the pattern whenever the so-called Talbot condition is met. As a consequence, even tiny distortions of the matter wave may lead to significant changes of the fringe visibility—requiring, for example, the modification of the van der Waals force due to retardation effects \cite{23} to be taken into account when describing the diffraction of fullerenes at gold gratings. This effect of the dispersion force between the particle and the grating wall gets more important as the mass and structure of the molecule grows. In particular, it sets increasingly strict requirements on the monochromaticity, i.e., the velocity spread permissible in the molecular beam. A very recent development, undertaken to reduce this influence, is the Kapitza-Dirac Talbot-Lau interferometer (KDTLI), where the second material grating is replaced by the pure phase grating produced by a standing light field \cite{22}. The available theoretical descriptions of molecular Talbot-Lau interference account for the grating forces in terms of a simple eikonal phase shift \cite{24–26} (an expression originally derived by nuclear physicists as an asymptotic high-energy approximation to the Lippmann-Schwinger equation in scattering theory \cite{27,28}). This approximation ceases to be valid with a growing influence of the particle-grating interaction, and, due to its nonperturbative nature, its range of validity is not easy to assess. Therefore, given the quest for testing quantum mechanics with ever larger particles and given the increased precision required in metrological applications, there is a clear need to extend the theoretical description of near-field matter-wave interference beyond the eikonal approximation. The main purpose of this paper is therefore to develop a generalized formulation of the coherent Talbot-Lau effect. By combining a scattering theory formulation with semiclasphysical approximations we incorporate the effect of the grating interaction systematically beyond the eikonal approximation. As a prerequisite for its implementation, the established theory of near-field interference first needs to be extended to account for the effects of finite angular dispersion in the molecular beam. We show how this can be done transparently by using the phase space formulation of quantum mechanics. As a by-product, this formulation permits us to quantify the adjustment precision required in realistic experiments. The structure of this paper is as follows. In Sec. II we develop a generalized theory of Talbot-Lau interference, which is formulated independently of the particular choice of how to incorporate the grating interaction. We also establish the relation to the previous treatments by applying the eikonal approximation. In Sec. III, we review relevant realistic descriptions of the grating interaction, and numerically illustrate their effect in the eikonal approximation. Section IV is devoted to the development of a semiclassical formalism to go beyond the elementary eikonal approximation. Its predictions are numerically evaluated and compared in Sec. V, using the experimental parameters of the molecular interference experiments carried out in Vienna [20, 22]. Finally, we present our conclusions in Sec. VI. II. PHASE SPACE DESCRIPTION OF THE TALBOT-LAU EFFECT The effect of Talbot-Lau interference can be described in a particularly transparent and accessible fashion by using the phase space representation of quantum mechanics [29–32]. This is demonstrated in [26], where both the coherent effect and the consequences of environmental interactions are formulated in terms of the Wigner function of the matter-wave beam. As also shown there, the analogy of the Wigner function with the classical phase space distribution allows one to evaluate the predictions of classical and quantum mechanics in the same framework, a necessary step if one wants to distinguish unambiguously quantum interference from a possible classical shadow effect. However, the treatment in [26] is based on a number of idealizations, which must be reconsidered in view of a more refined description of the particle-grating interaction. The least problematic approximation is to disregard the motion in the direction parallel to the grating slits, which is permissible due to the translational symmetry of the setup in this direction. It follows that a two-dimensional description involving the longitudinal motion (denoted by $z$) and the transverse motion (denoted by $x$) of the beam is required in principle. In front of the interferometer these two degrees of freedom are well approximated by a separable state involving transverse momenta $\|p\| \ll p_z$. If the grating interaction is treated in eikonal approximation, as done in [26], this implies that the transverse and the longitudinal motion remain separable throughout. One can then resort to an effectively one-dimensional description, characterized by a fixed longitudinal momentum $p_z = h/\lambda$. The $z$ coordinate then represents a time $t = mz/p_z$, and the longitudinal propagation of the beam along $z$ effectively evolves the one-dimensional transverse beam state during the time $t$. The finite distribution $\mu(p_z)$ of the longitudinal momenta is then accounted for only in the end by averaging the results obtained with sharp values of $p_z$. A priori, such a treatment is no longer valid for a general grating interaction where different longitudinal momentum components of the beam get correlated. We will accordingly use a two-dimensional scattering formulation to describe the grating interaction in Sec. IV. However, we will see that for the parameters of typical experiments the main effect of taking the grating interaction beyond the eikonal approximation is on the transverse degrees of freedom. Since the effect on the longitudinal motion is much weaker we will retain the effectively one-dimensional description outlined above, postponing the physical discussion why this is permissible to Sec. IV. Another idealization found in the basic treatments of the Talbot-Lau effect is to assume the transverse motion in front of the interferometer to be in a completely incoherent state. This would correspond to a constant distribution of the transverse momenta $p$, and for general grating transformations, which depend on $p$, it is no longer a valid approximation. We will therefore present a formulation that takes into account a realistic beam profile and that allows for a general state transformation at the diffraction grating. Going beyond the idealization of a perfectly incoherent state will also permit us to assess the adjustment precisions required in an experimental implementation. A. Wigner function and its transformations We start by briefly outlining how to describe matter-wave interference by means of the phase space representation of quantum mechanics [26, 33]. As discussed above, one may restrict the dynamics to the transverse beam state, which is most generally specified by its density matrix $\rho$. This state is equivalently described by the Wigner function $$w(x, p) = \frac{1}{2\pi\hbar} \int dx'e^{ipx/\hbar} \langle x - (s/2)\|\rho\|x + (s/2)\rangle,$$ which is a function of the transverse phase space coordinates $(x, p)$. Like $\rho$ it depends parametrically on the longitudinal momentum $p_z$. Since we assume the beam to be collimated $w(x, p)$ is nonzero only for $\|p\| \ll p_z$. The great advantage of the phase space formulation is that it permits a straightforward, yet realistic, description of the beam and its propagation through the interferometer. Most importantly, the free time evolution of a state during the time $t$ is given by the same shearing transformation as in the case of the classical phase space density, $$w_t(x, p) = w_0\left(x - \frac{t}{m}p, p\right),$$ with $m$ the particle mass. On the other hand, a quantum state transformation of the form $\rho' = U\rho U^\dagger$, such as the effect of passing a grating, reads in phase space as $$w'(x, p) = \int \int dx_0 dp_0 K(x, p; x_0, p_0)w(x_0, p_0).$$ Here the integral kernel is given by the propagator Specifically, an ideal grating is characterized by a grating transmission function $ t(x) $, with $ \|t(x)\| \ll 1 $, describing the multiplicative modification of an incoming plane wave. [The factor $ t(x) $ is nonzero only within the slit openings of the grating and it may there imprint a complex phase to account for the interaction potential between the grating walls and the beam particle, see Sec. III.] For such gratings the transformation reads $ \langle x \| U \| x_0 \rangle = t(x) \delta(x - x_0) $, so that the grating propagator reduces to a convolution kernel \[ K(x,p;x_0,p_0) = \delta(x-x_0) \frac{1}{2\pi\hbar} \int ds e^{i(p-p_0)s/\hbar} t\left( x - \frac{s}{2} \right) t^\left( x + \frac{s}{2} \right). \] which is local in position [26]. This choice of $ K $ will be required below to reduce the generalized formulation of Talbot-Lau interference to the eikonal approximation. The convolution kernel provides a descriptive picture of the diffraction process. Suppose the incoming beam is perfectly coherent, i.e., a plane wave characterized by the longitudinal momentum $ p_z $ and transverse momentum $ p_0 $, corresponding to the (unnormalized) transverse Wigner function $ w_0(x,p) = \delta(p-p_0) $. The diffracted transverse state is then given by \[ w_1(x,p) = \frac{1}{2\pi\hbar} \int ds e^{i(p-p_0)s/\hbar} t\left( x - \frac{s}{2} \right) t^\left( x + \frac{s}{2} \right). \] In case of a periodic grating with period $ d $, the transmission function can be decomposed into a Fourier series, \[ t(x) = \sum_{j=-\infty}^{\infty} b_j \exp\left( 2\pi ij \frac{x}{d} \right), \] so that, after a free propagation over the longitudinal distance $ L $, the transverse spatial density of the beam state is given by the marginal distribution \[ w_2(x) = \int dp \, w_1\left( x - \frac{p}{p_z} L, p \right) = \sum_{m=-\infty}^{\infty} B_m \left( m \frac{L}{L_T} \right) \exp\left( 2\pi im \frac{x}{d} \right). \] Here, we introduced the basic Talbot-Lau coefficients, \[ B_m(\xi) = \sum_{j=-\infty}^{\infty} b_j b_{j-m}^ \exp[i\pi\xi(m-2j)], \] and the characteristic length scale $ L_T = d^2/\lambda $ is called the Talbot length. Compare (9) to the Fourier coefficients of the transmission probability $ \|t(x)\|^2 $, which are given by the convolution $ A_m = \sum_j b_j b_{j-m}^* $. Equation (8) thus implies that the density distribution takes the form of the grating transmission profile whenever the distance $ L $ is an integer multiple of the Talbot length, $ L = kL_T $. B. General Talbot-Lau effect The general setup of a Talbot-Lau interferometer is described in Fig. 1, along with the most relevant parameters. An incoherent particle beam represented by the shaded area passes a preliminary collimation slit on the left-hand side of the figure and enters the Talbot-Lau interferometer through the first grating. The angular distribution of those particles in the beam which are finally detected is characterized by the spread $ \alpha $, determined by the collimation slit and the finite area of the detector. ![Fig. 1](image) FIG. 1. Schematic of a Talbot-Lau interferometer with the relevant setup parameters for a material diffraction grating. The beam emanating from the left-hand side is constrained by collimation slits to an angular spread $ \alpha $ before it enters the interferometer. The first grating of period $ d_1 $ and size $ G \gg d_1 $ modulates the beam so that spatial coherence is created at the position of the second grating ($ z=0 $) where the diffraction takes place. This leads to an interference pattern in the transverse beam density, ideally located at the position of the third grating. The latter can be shifted in the transverse direction by a variable distance $ x_S $. It thus modulates the flux provided its longitudinal position $ \eta L $ and its period $ d_3 $ match the interference pattern. A detector of size $ W $ further downstream measures the total incoming beam intensity as a function of $ x_S $. The central grating may be replaced by the phase grating created by a standing light field. The first grating can be understood as an array of collimation slits of period $d_1$ preparing, after a distance $L$, the transverse coherence required for diffraction at the second grating. In this region, the distortion of a matter-wave front due to the grating interaction may significantly affect the interference pattern, so that the grating thickness $b$ enters the calculation. (It is replaced by the laser waist $w_z$ in case of a light grating.) The different diffraction orders still overlap further downstream if the distance is on the order of the Talbot length $L_T = d^2/\lambda$, and they may thus interfere among each other producing a near-field fringe pattern. This can be explained qualitatively from the elementary Talbot effect \cite{10} by considering each of the slits in the first grating as independent point sources. The Talbot patterns due to the individual slits will add up constructively for appropriate choices of the grating periods $d_1$, $d$ and of the distance factor $\eta$, so that a distinct density pattern is created. It is verified without the need for a spatially resolving detector by superposing a third grating whose period $d_3$ equals that of the density pattern, and by measuring the total flux through it as a function of its transverse position $x_S$. We will now present a quantitative formulation of the successive propagation of the beam through the interferometer. As discussed above, one can take the longitudinal motion of the beam particles to remain unaffected by the gratings. We may therefore assume the longitudinal momentum to have a definite value $p_z$ for the time being, so that the longitudinal position $z$ plays the role of a time coordinate $t = mz/p_z$ for the transverse motion. 1. Sequential calculation The transverse state of the beam entering the interferometer is far from pure. It is confined in position by the orifice of the first grating, whose size $G$ typically covers thousands of grating slits. The momenta $p$ are characterized by the angular distribution $D(p/p_z)$ whose characteristic spread is denoted as $\alpha$. In a typical experimental situation, $\alpha$ rarely exceeds 1 mrad corresponding to a fairly well-collimated beam. However, this still covers a range of transverse momenta that is by orders of magnitude larger than the grating momentum $h/d_1$ which separates the different diffraction orders. This explains why diffraction does not need to be taken into account at the first grating. The transverse Wigner function merely gets modulated by the grating profile, so that behind the first grating it reads $$w_1(x,p) = \frac{1}{Gp_z} \|t_1(x)\|^2 D\left(\frac{p}{p_z}\right). \quad (11)$$ Here $t_1(x)$ is the transmission function which is confined to the grating orifice, in principle. However, since the size $G$ is typically larger than the sensitive region $W$ of the final detector one may equally take it to be an unconstricted periodic function. The free propagation of the beam over the longitudinal distance $L$ yields $w_2(x,p) = w_1(x - Lp/p_z, p)$. The effect of passing the second grating is in general described by an operator $U$ to be specified below. The corresponding phase space transformation is given by (4) so that, after a second free propagation over the distance $\eta L$, the transverse beam state in front of the third grating reads $$w_3(x,p) = \frac{1}{Gp_z} \int \int dx_0 dp_0 D\left(\frac{p_0}{p_z}\right) \|t_1(x_0)\|^2 \times K\left(x - \frac{p}{p_z} \eta L, p; x_0 + \frac{p_0}{p_z} L, p_0\right). \quad (12)$$ The corresponding spatial density distribution, given by $w_3(x) = \int dp w_3(x,p)$, is now modulated by the third grating as a function of the grating shift $x_S$. The detection signal is thus obtained as $$S(x_S) = \int_{-W/2}^{W/2} dx w_3(x) \|t_3(x - x_S)\|^2 = \sum_{n=-\infty}^{\infty} S_n \exp\left(2\pi i n \frac{x_S}{d_3}\right), \quad (13)$$ where $\|t_3(x)\|^2$ is the spatial transmission probability of the grating and $W$ is the size of the detector. The latter typically covers hundreds of grating periods so that one may disregard the finiteness of $W$ when evaluating the basic interference effect. However, as shown below, it does play a role when the experimental adjustment precision needs to be evaluated. The resulting interference pattern is most easily characterized by the contrast of the modulation signal, conventionally defined as the ratio between the amplitude of the signal variation and its mean value. However, since the experimental signal is usually very close to a sinusoidal curve, it is in practice more convenient and more robust to use the sinusoidal visibility defined in terms of the first to the zeroth Fourier expansion coefficient of the $d_3$-periodic signal \cite{25}, $$V = \left\|\frac{2S_1}{S_0}\right\|. \quad (14)$$ It can be easily obtained from noisy experimental data by fitting a sine curve and it coincides with the conventional definition in case of a sinusoidal signal. 2. Decomposing the grating propagator We proceed to evaluate the interference pattern (12) by noting a general property of the grating transformation $U$. The periodicity of the grating implies that the position representation $\langle x \| U \| x_0 \rangle$ is $d$ periodic with respect to the center position $(x + x_0)/2$. This admits the series expansion $$\langle x \| U \| x_0 \rangle = \sum_{n=-\infty}^{\infty} \exp\left(i\pi n \frac{x + x_0}{d}\right) U_n (x - x_0), \quad (15)$$ where the transformation within a single slit is now characterized by the corresponding Fourier coefficients $$U_n(\bar{x}) = \frac{1}{d} \int_{-\bar{d}/2}^{\bar{d}/2} d\bar{x} \exp\left(-2\pi i n \frac{\bar{x}}{d}\right) \langle \bar{x} + (\bar{x}/2) \| U \| \bar{x} - (\bar{x}/2) \rangle. \quad (16)$$ It is now convenient to specify these transformation functions in terms of their shifted Fourier transformation, which serves to generalize the grating coefficients introduced for the eikonal case in (7), \[ b_n(p) = \int dx \exp \left[ -\frac{i}{\hbar} \left( p + \frac{\pi \hbar}{d} n \right) x \right] U_n(x). \] Indeed, for position-diagonal operators $U$, these functions drop their momentum dependence and reduce to the coefficients in (7). The generalized grating coefficients (17) can now be used to construct the generalized Talbot-Lau coefficients, which are the central quantities for describing the interference effect, \[ B_m(\xi; p, \nu) = \sum_{j=-\infty}^{\infty} b_j \left( p + \nu \frac{\pi \hbar}{d} \right) b_{j-m}^* \left( p - \nu \frac{\pi \hbar}{d} \right) \exp[i \pi \xi(m-2j)], \] We note that at integer values of the argument $\xi$ the phase factor in (18) reduces to a constant sign, while $p$ has the meaning of an incident momentum and $\nu$ has that of a scale factor, as will be seen below. By using the generalized Talbot-Lau coefficients the density distribution at the third grating takes the explicit form \[ w_3(x) = \frac{1}{G} \sum_{m,n=-\infty}^{\infty} A_n \exp \left[ 2 \pi i \left( m + n \frac{d}{d_1} \right) \frac{x}{d} \right] \int \frac{dp}{p_z} \exp \left[ -2 \pi i \frac{pL}{p_z d} \left( \eta m + (\eta+1)n \frac{d}{d_1} \right) \right] D \left( \frac{p}{p_z} \right) B_m \left( \eta \left( m + n \frac{d}{d_1} \right) \frac{L}{L_T}; p, n \frac{d}{d_1} \right). \] This expression for the interference pattern is now further simplified by identifying the Talbot-Lau resonance condition. ### 3. Resonance condition Only a part of the double summation in (19) contributes appreciably to the interference pattern. This follows from the fact that the ratio $L/d$ of grating distance to grating period is a large number, typically on the order of $10^5$. As a result, the momentum dependence of the phase factor in (19) occurs on a very different scale compared to the variation of the momentum distribution $D(p/p_z)$ and of the Talbot-Lau coefficients $B_m(\xi; p, \nu)$. In fact, in the idealized case of both a completely incoherent illumination and an eikonal interaction the latter two functions are independent of $p$, so that the momentum integral is finite only if the phase vanishes identically, i.e., for \[ \eta m + (\eta+1) \frac{d}{d_1} n = 0. \] It would imply that an interference pattern is observed only if $(\eta+1)d/(\eta d_1)$ is a rational number. This strong resonance condition gets relaxed if we account for the weak momentum dependence of the remaining integrand in (19). We assume that those index pairs $(m,n)$ of the double sum contribute appreciably where the phase variation in the momentum integration does not exceed about $\pi$. Since the value of $\|p\|/p_z$ is bounded by the angular spread $\alpha$ this leads to the relaxed condition \[ \left\| \frac{\eta+1}{\eta} \frac{d}{d_1} - \frac{r}{s} \right\| \leq \frac{1}{2\alpha} \frac{d}{L}, \] Here $r$ and $s$ are natural numbers without common divisor. They indicate the type of resonance and specify the set of index pairs $(m,n) \in \{(r\ell, s\ell): \ell \in \mathbb{Z}\}$ contributing to the sum. If $\alpha$ is about 1 mrad and $L/d=10^5$ the right-hand side of (21) is on the order of $10^{-2}$, and in practice only a single resonance dominates for each set of parameters $d, d_1, \eta$. The expression for the interference pattern thus simplifies to \[ w_3(x) = \frac{1}{G} \sum_{\ell=-\infty}^{\infty} A_{s\ell}^* \exp \left( 2 \pi i \frac{\ell x}{d_3} \right) \int \frac{dp}{p_z} D \left( \frac{p}{p_z} \right) \times B_{r\ell} \left( s\ell \frac{d}{d_1 L_T}; p, -s\ell \frac{d}{d_1} \right). \] Here, the period of the interference pattern is given by \[ d_3 = \left( \frac{r}{d} - \frac{s}{d_1} \right)^{-1}. \] Note that a large interference contrast is obtained for the low-order resonances (with small values of the integers $r$ and $s$) because the Fourier and Talbot-Lau coefficients $A_m, B_m$ generically decrease with their order $m$. The standard choice in experiments is to take equal gratings, $d=d_1$, in an equidistant configuration, $\eta=1$. This corresponds to the $r:s=2:1$ resonance. One may obtain even larger contrasts with $\eta=1$ by using the basic $r:s=1:1$ resonance, at the expense of dealing with different gratings, $d_1=2d$. Also magnifying or demagnifying interferometers can be realized [25]. Consider, for example, the case where the first two gratings are equal, $ d = d_1 $. The period of the interference signal is then given by $ d_3 = d/(r-s) $ and cannot thus be greater than $ d $. The condition $ r/s = (\eta + 1)/\eta $ with $ \eta > 0 $ implies that $ r $ must be strictly greater than $ s $. If one wishes to decrease $ d_3 $, one must choose $ r - s \geq 2 $ which requires $ \eta < 1 $, i.e., a compressed setup. However, the values of $ r $ and $ s $ grow with decreasing $ d_3 $ so that the visibility of the resulting interference pattern decreases significantly. A magnifying interferometer, on the other hand, can only be realized with different gratings $ d \neq d_1 $. If the aim is to create a high contrast interference pattern with a specific period $ d_3 $ a low-order resonance should be taken, such as $ r:s = 2:1 $ or $ r:s = 1:1 $. The experimental setup parameters $ (\eta, d, d_1) $ must then satisfy the equations \[ (\eta + 1)d = rd_3, \] \[ \eta d_1 = sd_3 \] with desired resonance parameters $ (r, s, d_3) $. The solution is not unique, in general, so that one has a certain freedom to account for experimental limitations. C. Talbot-Lau effect in eikonal approximation The expression for the interference pattern can be further simplified if the grating interaction is treated in eikonal approximation. The grating coefficients (17) turn then into the momentum-independent Fourier coefficients $ b_j $ of the transmission function (7). Similarly, the generalized Talbot-Lau coefficients (18) then reduce to the basic coefficients given in Eq. (9) so that the prediction for the density pattern (19) simplifies to the series \[ w_3(x) = \frac{1}{G} \sum_{\ell,m=-\infty}^{\infty} A_\ell B_m \left( \eta \left( m + \ell \frac{d}{d_1} \right) \frac{L}{L_T} \right) \times \tilde{D} \left( 2\pi L \left( \frac{\eta m + (\eta + 1)\ell}{d_1} \right) \right) \times \exp \left[ 2\pi i \left( m + \ell \frac{d}{d_1} \right) \frac{x}{d} \right]. \] It involves the Fourier transformation of the angular distribution, \[ \tilde{D}(\omega) = \int \frac{dp}{p_z} D \left( \frac{p}{p_z} \right) e^{-i\omega p/p_z}. \] In the case of a very broad momentum distribution this characteristic function $ \tilde{D} $ can be replaced by a Kronecker-$ \delta $ function, which yields the basic result [25,26] \[ w_3(x) = \frac{1}{G} \sum_{\ell=-\infty}^{\infty} A_s^* B_r \ell \left( s \ell \frac{d}{d_1} \frac{L}{L_T} \right) \exp \left( 2\pi i \ell \frac{x}{d_3} \right). \] The comparison with Eq. (8) shows clearly that Talbot-Lau interference is based on the Talbot effect, both described by the Talbot-Lau coefficients defined in (9). It should be emphasized, though, that in order to establish that an observed fringe pattern is really due to a quantum effect one must compare the quantum prediction with the result of the corresponding classical calculation. This is necessary since a classical moiré-type shadow pattern might give rise to a similar observation, even tough the classical contrast is typically much smaller. It is shown in the Appendix how the classical treatment can be formulated in the same framework as the quantum case using a phase-space description. Finally, since Eq. (28) assumes the resonance condition to be exactly met, it cannot be used to assess the adjustment precision required in the experiment. As shown in the next section, one can evaluate the necessary precision in the eikonal approximation by explicitly taking into account the finite transverse momentum spread and the finite size of the signal detector. D. Adjustment requirements In order to allow for deviations from the exact resonance condition we use Eq. (26) when evaluating the expression for the detection signal. According to Eq. (13) the detection signal $ S(x_c) $ is then characterized by the Fourier coefficients \[ S_n = \frac{W}{G} A'_n \sum_{\ell,m=-\infty}^{\infty} A_\ell B_m \left( \eta \left( m + \ell \frac{d}{d_1} \right) \frac{L}{L_T} \right) \times \tilde{D} \left( 2\pi L \left( \frac{\eta m + (\eta + 1)\ell}{d_1} \right) \right) \times \text{sinc} \left[ \pi W \left( \frac{m}{d} + \frac{\ell}{d_1} - \frac{n}{d_3} \right) \right]. \] Here, the $ A'_n $ are the Fourier expansion coefficients of the third grating profile $ \|t_3(x)\|^2 $ with the period $ d_3 $. Consider now small deviations $ (\delta \ell, \delta \eta, \delta d_1, \delta d, \delta d_3) $ from the setup parameters $ (L, \eta, d_1, d, d_3) $ satisfying a particular Talbot-Lau resonance condition $ r:s $. The distances $ L_1 = L $ and $ L_2 = \eta L $ can thus vary independently. Instead of approximating the characteristic function $ \tilde{D} $ by a Kronecker-$ \delta $, we account for the small deviations by the refined approximation $ \tilde{D}(\omega + \varepsilon) \approx \delta_{\omega,0} \tilde{D}(\varepsilon) $. It holds as long as the main argument $ \omega $ is either zero or much greater in modulus than the width $ 1/\alpha $, and as long as $ \varepsilon < 1/\alpha $. One can thus split the argument of $ \tilde{D} $ in (29) into the ideal resonance part $ \omega $ and in the part $ \varepsilon $ containing the parameter deviations. The same procedure may be done with the sinc term, which is sharply peaked if the detector size $ W $ exceeds the period $ d $ by orders of magnitude. If the small parameter deviations are taken into account to first order one obtains the same resonance relation for the summation indices in (29) as in the ideal case, while the $ n $th Fourier expansion coefficient of the signal (with respect to the period $ d_3 $) is multiplied by the reduction factor The absolute value of this factor is less than 1 for $ n \neq 0 $ so that the contrast of the detection signal is effectively reduced by the deviations. In particular, the sinusoidal visibility (14) of the signal is reduced by the factor $ R_1 $. Typical experiments [20–22,25] are characterized by $ W/d \approx 10^2 $, $ L/d \approx 10^5 $, and $ \alpha \approx 10^{-3} $ so that already relative parameter deviations on the order of 0.1% strongly affect the interference contrast. To obtain a simple and conservative estimate we treat all imprecisions as independent, specializing to the standard case $ r:s=2:1 $, where the grating distances and grating periods are equal. Bounds for the adjustment precisions are then obtained from Eq. (30) by requiring the arguments to be smaller than the widths of the momentum distribution and of the sinc function, respectively, \[ \frac{\delta L}{L} + 2 \frac{\delta d}{d} < \frac{d}{4\pi\alpha L} \] (31) and \[ \frac{\delta d}{d} < \frac{d}{4W}. \] (32) This quantifies to what degree a better collimation of the beam and a smaller detector size relax the required adjustment precision, albeit at the expense of a loss of signal. III. EFFECT OF THE INTERACTION POTENTIAL The preceding section showed how the general coherent state transformation effected by a diffraction grating enters the Talbot-Lau calculation via the generalized grating coefficients (17). In general, this transformation is determined by the potential $ V(x,z) $ due to the long-range dispersion forces acting on the beam particles while they pass the grating structure. Before we present a general way to account for the presence of this potential in Sec. IV it is helpful to discuss the most important grating-particle interactions in a simpler form, by using the eikonal approximation. It treats the grating as the combination of an absorption mask and a phase modification, and it can be characterized by a grating transmission function \[ t(x) = \|t(x)\| \exp \left( -\frac{im}{\hbar p_z} \int dz V(x,z) \right), \] (33) whose amplitude $ \|t(\ldots)\| \rightarrow \{0,1\} $ describes the grating structure. Interaction-free gratings are modeled by a grating transmission function without phase, $ t(x) = \|t(x)\| $, while pure phase gratings, such as the standing laser field, wave are characterized by $ \|t(x)\| = 1 $. The corresponding eikonal interference pattern is then obtained immediately as described in Sec. II C. We proceed with a short overview of the typical grating potentials, discussing how they affect the interference contrast in the eikonal approximation. By convention, the diffraction grating is located at the longitudinal position $ z=0 $, as indicated in Fig. 1. A. Material gratings A neutral particle located within the slit of a material grating experiences a potential determined mainly by the attractive dispersion forces due to the grating walls. Other forces, such as the exchange interaction or the electrostatic attraction due to a permanent dipole, are much less important for interferometry because they either occur only at very close distances or because they are diminished by rotational averaging. In any case, for all positions within a slit the walls are well approximated by an infinite surface in the $ yz $ plane [35,36]. The grating potential is thus set to be solely $ x $ dependent and acting only within the time of passage $ t = mb/p_z $ throughout the grating of thickness $ b $, while it is set to be zero outside. In general, the dispersion force between a polarizable particle and a material plane is described by the expression of Casimir and Polder [23] and its generalizations, e.g., [37,38]. In the close distance limit it reduces to the van der Waals potential $ V(x) = -C_3/x^3 $, with $ x $ the distance to the surface, and at large distances, where retardation plays a role, one has the asymptotic form $ V(x) = -C_4/x^4 $. The interaction constants $ C_3, C_4 > 0 $ are determined by the frequency dependent polarizability of the particle (as well as the dielectric function of the grating material), and the regime of validity of the limiting forms is delimited by the wavelengths corresponding to the strong electronic transitions [36,39,40]. In any case, the dispersion force diverges on the grating walls, rendering the eikonal approximation invalid in close vicinity to the walls. Since the contributions of these regions do not alter the interference contrast appreciably, but lead to numerical noise, we will discuss a reasonable criterion to blind out the beam close to the grating walls in Sec. IV. Figure 2 shows the interference visibility (14) for a typical Talbot-Lau experiment with C$_{70}$ fullerene molecules of mass $ m = 840 $ amu [20], plotted versus their de Broglie wavelength. All gratings are assumed to be separated by the distance $ L = 22 $ cm and to be made of gold with a period of $ d = 991 $ nm, a slit width of 476 nm, and a thickness of $ b = 500 $ nm. One can see two peaks corresponding to the first and second Talbot order, at $ \lambda = 4.5 $ pm and at $ \lambda = 9.0 $ pm, respectively. The solid line represents the eikonal approximation with a retarded asymptotic potential ($ C_4 = 3hc\alpha_0/8\pi $ with the static polarizability $ \alpha_0 = 96.7 $ Å$^3$ obtained via the Clausius-Mossotti relation [41]), while the dashed and the dotted lines correspond to the van der Waals potential ($ C_3 = 10 $ meV nm$^3$) and to the absence of an intraslit potential, respectively. One observes that the presence of the dispersion forces changes the interference characteristics significantly. The asymmetry in the double-peak structure compared to the interaction-free case is due to the fact that the particles with a larger velocity, i.e., with a smaller wavelength $ \lambda $, receive a smaller eikonal phase than the slower particles. Moreover, note that the effect of retardation has a small but visible influence on the fringe contrast. The dashed-dotted line in Fig. 2 represents the moiré-type effect as expected from classical mechanics. It was calculated in a phase space formulation as described in the Appendix, using the classical correspondence of the eikonal approximation with the $C_4$-potential. As one expects, the dependence of the classical result on the fictitious “wavelength” $\lambda = \hbar / (m v_z)$, which is due to the velocity dependence of the classical deflection, differs strongly from the quantum results. We emphasize that all numerical results presented in this paper are obtained for a fixed longitudinal velocity $v_z = \hbar / (\lambda m)$ of the particles. A comparison with the experiment still requires the results to be averaged with respect to the velocity distribution in the beam. This may pose a severe restriction when using particles with larger polarizability because the increased dispersive interaction decreases the width of the double-peaks seen in Fig. 2 significantly [22]. One way to avoid this is to replace the material diffraction grating by a standing laser wave. ### B. Laser gratings Recently, a Kapitza-Dirac-Talbot-Lau interferometer (KDTLI) was demonstrated, where the central grating is formed by a standing light wave [22]. In the eikonal approximation the phase of an incoming plane wave is modulated according to the potential created by the off-resonant interaction with the standing laser beam. It is determined by the energy of the induced electric dipole in the oscillating field, and is therefore proportional to the laser power $P_L$ and to the dynamic polarizability $\alpha_\omega$ of the beam particles at the laser frequency, $$V(x,z) = -\frac{4P_L \alpha_\omega}{\pi \varepsilon_0 c w_y w_z} \sin^2 \left( \frac{\pi x}{d} \right) e^{-2z^2/w_z^2}. \quad (34)$$ Here, $w_y$ and $w_z$ are the waists of the Gaussian mode, and $w_y$ is chosen large compared to the detector size in order to guarantee a regular grating structure. We therefore disregard the $y$ dependence by setting $y=0$. Moreover, for sufficiently small $w_z$, an effective one-dimensional treatment of the potential is permissible, where one replaces the $z$ dependence by a parametric time dependence $z = p_z t / m$, as discussed below in Sec. IV C. The $z$ integration in (33) renders the eikonal phase independent of $w_z$, which already indicates that the elementary eikonal approximation will cease to be valid if the laser waist is increased. Nonetheless, it yields an interference contrast that fits well to the measured data of the recent fullerene experiments [22]. Moreover, it admits a simple, closed expression for the Talbot-Lau coefficients (9), $$B_m(\xi) = J_m \left( -\frac{4M P_L \alpha_\omega}{\sqrt{2\pi \hbar c \varepsilon_0 w_y p_z}} \sin \pi \xi \right), \quad (35)$$ where $M$ is the mass of the beam particles and $J_m$ stands for the $m$th-order Bessel function of the first kind [42]. The solid line in Fig. 3 shows the visibility (14) for the Viennese KDTLI with fullerenes [22] as obtained from (35). In contrast to Fig. 2, the visibility drops to zero whenever the wavelength corresponds to an integer multiple of the Talbot condition. This is explained by the fact that in the elementary Talbot effect (10) a pure phase grating with no absorptive walls leads to a constant density at multiples of the Talbot length. At the same time, there are broad regions of high contrast. They render the KDTLI setup superior to a material grating interferometer for particles with a high polarizability and a substantial velocity spread. Moreover, the interaction strength and the grating period can be tuned in a KDTLI rendering the laser grating the preferable choice to explore the validity regime of the eikonal approximation, as done in Sec V. The dashed line in Fig. 3 represents the classical version of the eikonal calculation as described in the Appendix. Note that it differs significantly from the quantum result in the experimentally relevant wavelength regime, while the curves become indistinguishable for $\lambda \to 0$. Finally, it should be emphasized that a realistic description of the laser grating must also account for the possibility of photon absorption. The effect of the resulting transverse momentum kicks can be incorporated into the eikonal approximation by replacing the grating transformation kernel by a probabilistic sum of such kernels [22]. FIG. 3. Fringe visibilities (14) for a Kapitza-Dirac-Talbot-Lau interferometer [22] in the eikonal approximation. The solid line gives the quantum result for $C_{70}$ fullerenes, while the dashed line represents the corresponding classical calculation (neglecting photon absorption). Here we assume a laser power of $P_L = 6$ W, a vertical waist of $w_y = 900 \mu m$, a grating distance of $L = 105$ mm, a grating period of $d = 266$ nm, and a dynamic polarizability $\alpha_{\omega} = 118 \text{ Å}^3$ corresponding to a laser wavelength of 532 nm. IV. SEMICLASSICAL APPROACH TO THE GRATING INTERACTION The de Broglie wavelength is by far the smallest length scale in the matter-wave interference experiments considered in this paper. It seems therefore natural to use a semiclassical approach for calculating the grating transformation used in (16). We will show how the elementary eikonal approximation (33) can be derived from the appropriate semiclassical formulation if a high-energy limit is taken. Moreover, one can obtain a refined eikonal approximation, where an incoming plane wave is still merely multiplied by a factor. Since this factor depends on the transverse momentum of the incoming wave it renders the numerical implementation more elaborate. However, the main result of this section is the expressions (66)–(68) for the scattering factor which approximates the scattering transformation of a transverse plane wave in the semiclassical high-energy regime. As such it permits us to evaluate the generalized grating coefficients (17) straightforwardly, see Eq. (39). As shown in Sec. V, this result outperforms the eikonal approximation and it may serve to characterize its regime of validity. The derivation is based on the semiclassical approximation of the two-dimensional time evolution operator $U_t$ determined by the grating interaction potential $V(r) = V(x, z)$. A. Scattering factor We proceed to incorporate the grating interaction by means of the formalism of scattering theory [43]. Its basic tool is the scattering operator defined as $$S = \lim_{t \to -\infty} U^{(0)}_t U_2 U^{(0)}_{-t},$$ with $U^{(0)}_t = \exp(-i p^2 t / 2m \hbar)$ the free time evolution operator for the motion in the $xz$ plane and $U_t$ the complete time evolution operator, which includes the grating potential $V(r)$. It is pertinent to use $S$ instead of $U_t$ since the scattering operator transforms the state instantaneously leaving the asymptotic dynamics to be described by the free time evolution. Since the latter is easily incorporated using Wigner functions this fits to the phase space description of Sec. II B, where the initial beam state entering a Talbot-Lau interferometer is propagated freely to the second grating before the scattering transformation is applied. In the expression (4) for the grating propagator, which serves to calculate the interference pattern (22), one may thus use the $S$-matrix (36) in place of the general unitary operator $U$. In the basis of the improper plane wave states $\langle r \| p \rangle = (2 \pi \hbar)^{-1} \exp(i r \cdot p / \hbar)$ the scattering operator (36) is conveniently described by the scattering factor $$\Phi(r, p) = \frac{\langle r \| S \| p \rangle}{\langle r \| p \rangle}.$$ Notice that $S$ acts in the Hilbert space defined on the two-dimensional plane $r = (x, z)$. However, as will be justified below, the longitudinal motion may be separated and treated classically so that the transformation is confined to the transverse dimension, while the $z$ coordinate turns into an effective time coordinate for a given longitudinal momentum $p_z$. This brings about the reduced scattering factor $$\phi(x, p) = \Phi(x e_x, p e_x + p_z e_z),$$ which depends parametrically on $p_z$ and which is evaluated at the position $z = 0$ of the center of the diffraction grating. The reduced scattering factor $\phi(x, p)$ describes the phase and amplitude modification of a transverse plane wave with momentum $p$ due to the grating interaction. It enters the Talbot-Lau calculation via the Fourier coefficients (16) after an expansion in the plane wave basis. It follows that the generalized grating coefficients (17) are directly related to $\phi(x, p)$ by a Fourier transformation, $$b_n(p) = \frac{1}{d} \int_{-d/2}^{d/2} dx e^{-2\pi i n x / d} \phi(x, p).$$ The calculation of the Talbot-Lau interference thus reduces to evaluating the scattering factor (38). B. Semiclassical calculation We proceed to calculate the scattering factor (38) by means of the semiclassical asymptotic approximation. It assumes the action of those trajectories through the interaction region, which contribute to the path integral for its position representation, to be much larger than $\hbar$, and the particle wavelength to be much smaller than the scale where the interaction potential changes appreciably, $\|\lambda \nabla V\| \ll V$. These conditions are well satisfied in the typical experimental situation if we disregard the regions very close to the gratings where the potential exceeds the kinetic energy. We may thus approximate the time evolution operator in the position representation by the semiclassical van Vleck–Gutzwiller propagator [44], \[ \langle \mathbf{r} \| U_t \| \mathbf{r}_0 \rangle = \frac{1}{2\pi i \hbar} \sqrt{\left\| \det \left( \frac{\partial^2 S_t(\mathbf{r}, \mathbf{r}_0)}{\partial \mathbf{r} \partial \mathbf{r}_0} \right) \right\|} \exp \left( \frac{i}{\hbar} S_t(\mathbf{r}, \mathbf{r}_0) \right). \] Here, $S_t$ is the action of the classical trajectory traveling during time $t$ from the position $\mathbf{r}_0$ to $\mathbf{r}$. In general, there might be more than one such trajectory, which would require taking special care of almost coalescing trajectories and of the associated Morse index. However, in the interferometric setup we are in the high-energy regime, where the interaction potential is much weaker than the energy of the incoming particles, $\|V\| \ll E$. All relevant contributions are therefore characterized by a single, slightly deflected classical trajectory passing the interaction region. It is now convenient to specify this trajectory in terms of the deviation from the undeflected straight line, as specified by the initial position $\mathbf{r}_0$ and momentum $\mathbf{p}_0$. The momentum change after time $t$ is given by \[ \Delta \mathbf{p}_t(\mathbf{r}_0, \mathbf{p}_0) = - \int_0^t d\tau \nabla V(\mathbf{r}_\tau(\mathbf{r}_0, \mathbf{p}_0)), \] so that the deflected trajectory reads as \[ \mathbf{r}_t(\mathbf{r}_0, \mathbf{p}_0) = \mathbf{r}_0 + \frac{t}{m} \mathbf{p}_0 + \int_0^t \frac{d\tau}{m} \Delta \mathbf{p}_\tau(\mathbf{r}_0, \mathbf{p}_0), \] \[ \mathbf{p}_t(\mathbf{r}_0, \mathbf{p}_0) = \mathbf{p}_0 + \Delta \mathbf{p}_t(\mathbf{r}_0, \mathbf{p}_0). \] In the van Vleck–Gutzwiller propagator (40) the contributing trajectory is specified by the boundary values $\mathbf{r}_0$ and $\mathbf{r}$. For the following calculation it is important to rewrite it as an initial value problem, specified by the initial phase space point $(\mathbf{r}_0, \mathbf{p}_0)$ of the trajectory [45]: \[ \langle \mathbf{r} \| U_t \| \mathbf{r}_0 \rangle = \frac{1}{2\pi i \hbar} \int d^2 p_0 \sqrt{\left\| \det \left( \frac{\partial \mathbf{r}_t(\mathbf{r}_0, \mathbf{p}_0)}{\partial \mathbf{p}_0} \right) \right\|} \delta(\mathbf{r} - \mathbf{r}_t(\mathbf{r}_0, \mathbf{p}_0)) \exp \left( \frac{i}{\hbar} S_t(\mathbf{r}_0, \mathbf{p}_0) \right). \] Plugging this into the expression (36) for the two-dimensional scattering operator yields a semiclassical approximation for the scattering factor (37), \[ \Phi(\mathbf{r}, \mathbf{p}) = \lim_{T \to \infty} \frac{m}{T} \int \int \frac{d^2 r_0 d^2 p_0}{(2\pi \hbar)^2} \sqrt{\left\| \det \left( \frac{\partial \mathbf{r}_{2T}(\mathbf{r}_0, \mathbf{p}_0)}{\partial \mathbf{p}_0} \right) \right\|} \exp \left( \frac{i}{\hbar} \Theta_{2T}(\mathbf{r}_0, \mathbf{p}_0) \right). \] The phase of the integrand is given by the action-valued function \[ \Theta_{2T}(\mathbf{r}_0, \mathbf{p}_0) = S_{2T}(\mathbf{r}_0, \mathbf{p}_0) - \frac{m}{2T} (\mathbf{r} - \mathbf{r}_{2T}(\mathbf{r}_0, \mathbf{p}_0))^2 - \mathbf{p} \cdot \left( \mathbf{r} - \mathbf{r}_0 - \frac{\mathbf{p}}{2m} T \right), \] while the amplitude is determined by the stability determinant of the associated trajectory. The semiclassical van Vleck–Gutzwiller propagator (40) used here is a stationary phase approximation of the time evolution operator in the path integral formulation [44]. To remain at a consistent level of approximation it is therefore necessary to evaluate the phase space integral in (45) in the stationary phase approximation as well [46]. The stationary point of the phase $\Theta_{2T}$ is determined by the condition \[ \left( \begin{array}{c} \frac{\partial \Theta_{2T}}{\partial \mathbf{r}_0} \\ \frac{\partial \Theta_{2T}}{\partial \mathbf{p}_0} \end{array} \right)_{\mathbf{p}_0} = 0. \] Noting the initial value derivatives of the classical action \[ \left( \begin{array}{c} \frac{\partial S_t}{\partial \mathbf{r}_0} \\ \frac{\partial S_t}{\partial \mathbf{p}_0} \end{array} \right)_{\mathbf{p}_0}^T = -\mathbf{p}_0 + \left( \begin{array}{c} \frac{\partial \mathbf{r}_t}{\partial \mathbf{r}_0} \\ \frac{\partial \mathbf{r}_t}{\partial \mathbf{p}_0} \end{array} \right)_{\mathbf{p}_0}^T \mathbf{p}_t, \] and using the fact that the matrix $\frac{\partial \mathbf{r}_{2T}}{\partial \mathbf{p}_0}$ is invertible for our trajectories, the stationary phase condition leads to the equations \[ \mathbf{r} = \mathbf{r}_{2T}(\mathbf{r}_0, \mathbf{p}_0) - \frac{T}{m} \mathbf{p}_{2T}(\mathbf{r}_0, \mathbf{p}_0), \] \[ \mathbf{p} = \mathbf{p}_0. \] They serve to determine the initial position $\mathbf{r}_0(\mathbf{r}, \mathbf{p})$ of the trajectory implicitly. Using the general formula for a four-dimensional integral, e.g., [Eq. (A.30) in [47]], the two-dimensional scattering factor (45) then takes the form The amplitude modification \[ A_{2T}(r_0, p_0) = \left\| \det \left( \frac{\partial r_{2T}(r_0, p_0)}{\partial r_0} - \frac{m}{T} \frac{\partial p_{2T}(r_0, p_0)}{\partial r_0} \right) \right\|^{-1/2} \] is obtained, in a tedious but straightforward calculation, by using the Poisson relation between the conjugate variables $r_t$ and $p_t$ of the trajectory [48] when evaluating the product of two determinants. The matrix of derivatives in (53) can be computed by taking the initial value derivative of the equation of motion for the trajectory and solving the resulting ordinary differential equation. Figure 4 shows how the stationary point can be understood from the point of view of a classical scattering trajectory. Given the phase space coordinates $r, p$ determining the matrix element of the scattered plane wave, the momentum $p$ fixes the initial momentum of the classical trajectory passing through the interaction region. The position $r$ determines the final position $r_{2T}$ of the deflected trajectory, which is obtained after a free motion during time $T$ in a direction given by the final momentum $p_{2T}$ of the trajectory. This free evolution ensures that the associated action (46) and stability amplitude (53) is independent of $T$ in the limit $T \to \infty$. Note that Fig. 4 overemphasizes the effect of the potential, since in all interferometrically relevant situations the deflection of the classical trajectories will be only a small correction to the free rectilinear path. The limit in the semiclassical result (52) is obtained already at a finite time $T$ if the interaction potential may be considered to have a finite range. The relevant scale is the grating passage time, given by $t = mb/p_z$ for material gratings and $t = mw_z/p_z$ for laser gratings, respectively. This follows from the fact that outside of the grating potential the classical trajectories remain rectilinear, so that neither the stationary phase condition (50) nor the stationary phase $\Theta_{2T}$ and amplitude $A_{2T}$ are affected by a further increase in $T$. C. Iterative solution in the momentum deflection We will now give explicit approximate solutions for the semiclassical scattering factor (52) which are valid in the high-energy limit, i.e., whenever the longitudinal kinetic energy $p_z^2/2m$ of the incoming particles is large compared to the interaction potential $\|V(r)\|$. In general, one must solve Eq. (50) for the initial value $r_0$. Rewriting it in terms of the expressions (42) and (43) for the positions and momenta of the trajectory, one obtains an implicit equation for $r_0(r, p)$ which may be solved iteratively, \[ r_0(r, p) = r - \frac{T}{m} p + \frac{T}{m} \Delta p_{2T}(r_0(r, p), p) \] \[ - \int_0^{2T} \frac{dt}{m} \Delta p_t(r_0(r, p), p). \] 1. Glauber eikonal approximation In the semiclassical short interaction time and high-energy limit, which applies to typical interference experiments, the transverse momentum deflection $\Delta p_{2T}$ is so weak that its contribution can be neglected. This corresponds to the zeroth-order solution of Eq. (54), \[ r_0^{(0)}(r, p) = r - \frac{T}{m} p. \] In order to keep the approximation consistent one must neglect the deflection in the expressions for the phase modification (46) and for the amplitude modification (53) as well, by setting the classical trajectory to be the free rectilinear path. Consequently, there is no amplitude modification and the scattering factor (52) reads as \[ \Phi(r, p) = \exp \left[ -\frac{i}{\hbar} \int_{-\infty}^{\infty} dt V \left( r + \frac{p}{m} t \right) \right]. \] This is the Glauber eikonal approximation obtained by Glauber from the Lippmann-Schwinger equation in a quite different argument [28]. The reduced scattering factor (38) for the transverse dimension then reads as \[ \phi(x, p) = \exp \left[ -\frac{im}{\hbar p_z} \int_{-\infty}^{\infty} dz V \left( x + \frac{p}{p_z} z, z \right) \right]. \] The elementary eikonal approximation (33) follows from this expression in the limit of vanishing transverse momentum, $p \to 0$. It applies in the case of a well-collimated beam and a small grating thickness $b$, i.e., $\|pb/p_z\| \ll d$. 2. Deflection approximation The Glauber eikonal approximation ceases to be valid as the interaction strength or interaction time increases, and one must go to the first order in the momentum deflection $\Delta p$, when evaluating the stationary initial value (54), $$r_0^{(1)}(r,p) = r - \frac{T}{m}p + \frac{T}{m}\Delta p_{2T}\left(r - \frac{T}{m}p, p\right) - \int_0^{2T} \frac{dt}{m}\Delta p_t\left(r - \frac{T}{m}p, p\right). \quad (58)$$ The higher-order terms, which are neglected here, involve derivatives of the momentum deflection $\Delta p_{2T}$. The time-evolved trajectory starting from this initial value is approximated, again to first order in $\Delta p_t$, by $$r_t(r_0^{(1)}(r,p), p) \approx r_t\left(r - \frac{T}{m}p, p\right) + \frac{T}{m}\Delta p_{2T}\left(r - \frac{T}{m}p, p\right) - \int_0^{2T} \frac{d\tau}{m}\Delta p_\tau\left(r - \frac{T}{m}p, p\right). \quad (59)$$ This trajectory must be used when calculating the action (46) in order to ensure that all expressions are evaluated to the same order in the deflection $\Delta p_t$. Since this holds also for the time integral $\int dt V(r_t(r_0, p))$, a first-order Taylor expansion of the potential is required. In total this yields $$\Theta_{2T}(r, p) \approx - \int_0^{2T} dt V\left(r_t\left(r - \frac{T}{m}p, p\right)\right) + \frac{1}{2m} \int_0^{2T} dt \Delta p_t^2\left(r - \frac{T}{m}p, p\right) - \Delta p_{2T}\left(r - \frac{T}{m}p, p\right) \int_0^{2T} \frac{dt}{m}\Delta p_t\left(r - \frac{T}{m}p, p\right)$$ $$+ \frac{T}{2m}\Delta p_{2T}^2\left(r - \frac{T}{m}p, p\right). \quad (60)$$ On the other hand, when evaluating the amplitude (53) the zeroth-order solution of the initial value (55) must be used instead of (58) because the classical equation of motion for the matrix of initial value derivatives $(\partial r_t / \partial r_0, \partial p_t / \partial r_0)$ is governed by the derivative of the interaction force rather than by the force itself. Accounting for the modification (58) in calculating the stability determinant would therefore amount to a higher-order correction in the momentum deflection. It follows that the amplitude factor is consistently approximated by $$A_{2T}(r, p) \approx \left\| \det\left(\frac{\partial r_{2T}(r - pT/m, p)}{\partial r_0} - \frac{T}{m} \frac{\partial p_{2T}(r - pT/m, p)}{\partial r_0}\right) \right\|^{-1/2}. \quad (61)$$ --- ### 3. Separation of the longitudinal motion Based on the deflection approximation of the stationary scattering factor we may now derive a reduced scattering factor (38) that can be incorporated into the one-dimensional Talbot-Lau calculation and that significantly extends the validity regime of the eikonal approximation. It is necessary for this purpose that the longitudinal motion remains unaltered. To a very good approximation this is indeed the case for the small trajectory deflections required above in the deflection approximation. This is due to the energy conservation during the scattering process, ensuring $(p + \Delta p_{2T})^2 = p^2$ where $p = (p_x, p_z)$ is the incoming momentum and $\Delta p_{2T}$ is the total deflection (41). It follows that a small transverse deflection $\Delta p_{2T} \ll p_z$ yields in a well-collimated beam, $\|p\| \ll p_z$, a total longitudinal deflection $\Delta p_{z,2T} = p / p_z \Delta p_{2T}$ which is much smaller than $\Delta p_{2T}$. The longitudinal part of the classical trajectory (59) may thus be treated as a free motion with constant momentum $p_z$, $$z_t(r_0^{(1)}(r,p), p) = z + \frac{p_z}{m}(t - T) + O\left(\Delta p_{2T} \frac{p}{p_z}\right). \quad (62)$$ This reduces all of the vectorial quantities in the semiclassical phase and amplitude modification to the transverse scalar quantities. In addition, one can now remove the longitudinal motion altogether from the scattering description by switching into a comoving frame with velocity $v_z = p_z / m$. It is convenient to redefine the transverse components of the classical transverse trajectory so that they start at $-T$, $$\Delta \bar{p}_t(x, p) = - \int_{-T}^t d\tau \partial_x V\left(\bar{x}_t(x, p), \frac{p_z}{m} \tau\right), \quad (63)$$ $$\bar{x}_t(x, p) = x + \frac{p}{m}t - \int_{-T}^t \frac{d\tau}{m} \Delta \bar{p}_\tau(x, p), \quad (64)$$ $$\bar{p}_t(x, p) = p + \Delta \bar{p}_t(x, p). \quad (65)$$ These are the scalar analogues of (41)–(43) but for the shift in the time coordinate by $-T$, which accounts for the asymptotic initial condition of the free longitudinal trajectory (62). We can now state the result for the reduced scattering factor $\phi(x, p) = \Phi(xe_x, pe_x + p_z e_z)$ to first order in the momentum deflection, $$\phi(x, p) = a(x, p) \exp\left(\frac{i}{\hbar} \theta(x, p)\right). \quad (66)$$ The amplitude is given by \[ a(x,p) = \lim_{T \to \infty} \left\| \partial_x \bar{x}_T(x,p) - \frac{T}{m} \partial_p \bar{p}_T(x,p) \right\|^{-1/2}, \tag{67} \] while the phase can be simplified as \[ \theta(x,p) = -\lim_{T \to \infty} \int_{-T}^{T} dt \left[ V\left( \bar{x}_t(x,p), \frac{p_z}{m} t \right) \right. \\ - \frac{t}{m} \partial_x V\left( \bar{x}_t(x,p), \frac{p_z}{m} t \right) \int_t^T d\tau \partial_x V\left( \bar{x}_\tau(x,p), \frac{p_z}{m} \tau \right) \left]. \tag{68} \] Here $ \bar{x}_t(x,p) $ is the classical one-dimensional trajectory of a particle starting, at $ t=-T $, with momentum $ p $ at the position $ x-pT/m $. It evolves in the effectively time-dependent potential $ U_t(x)=V(x,tp_z/m) $. The associated momentum is $ \bar{p}_t(x,p) $. It is easy to see that the limits in (67) and (68) exist for sufficiently short-ranged potentials. In particular, if the scattering potential has a finite extension the limit is reached already at finite times $ T $, once the longitudinal distance $ 2Tv_z $ is larger than the size of the interaction region. The reduced scattering factor (66) constitutes a significant improvement over the eikonal approximation used so far, as will be demonstrated in the next section. Compared to the elementary eikonal approximation (33) and to the Glauber eikonal result (57), this expression not only provides the consistent incorporation of the deflection into the phase, but it also introduces an amplitude modification of the scattered wave. ### V. NUMERICAL ANALYSIS We proceed to analyze the numerical performance of the semiclassical scattering factor (66) as compared to the Glauber eikonal approximation (57) and to the elementary eikonal approximation used so far in evaluations of the Talbot-Lau effect. We will see that the elementary eikonal approximation was appropriate in the molecular matter-wave experiments performed to date [20,22]. At the same time, both the Glauber and the semiclassical approximation significantly improve the treatment of laser gratings if the particles have larger polarizabilities or smaller velocities (as required if their mass is increased). According to the general theory from Sec. II B the interference pattern (22) is determined by the generalized, momentum-dependent grating coefficients (39) via the scattering factor (38). In order to assess the validity of the different approximations it is therefore pertinent to evaluate the scattering factors directly and compare them to a numerical implementation of the exact propagation of a plane wave through the grating interaction region. #### A. Scattering factor The exact transverse scattering factor (38) for the grating can be obtained by a numerical evaluation of the limit \[ \phi(x,p) = \lim_{T \to \infty} \frac{\langle x \| U_T^{(0)} U_{2T} U_T^{(0)} \| p \rangle}{\langle x \| p \rangle}. \tag{69} \] In practice, this is done by computing the propagator matrix elements by means of a split operator technique [49,50], making sure that the propagation time $ T $ is sufficiently large (much larger than the grating passage time) so that the result is converged. In the following examples we use periodic boundary conditions for the position coordinate $ x $ and a fixed transverse momentum $ p $ not larger than the typical beam spread $ 10^{-3}p_z $. #### 1. Material grating We first take the grating to be of material type with a retarded Casimir-Polder interaction potential. Figure 5 shows the phase differences between the approximate scattering factors and the exact scattering factor as a function of the distance to the wall. The calculations were done for a de Broglie wavelength of $ \lambda=4 \text{ pm} $. Moreover, we choose an orthogonally incident plane wave, $ p=0 $, so that the elementary and the Glauber eikonal approximations coincide. They are given by the dotted line, while the solid curve corresponds to the semiclassical approximation (66). As one observes in Fig. 5, the divergence of the wall potentials invalidates the approximations for the scattering factor close to the walls. However, the contributions from this small vicinity of the slit walls do not affect the interference visibility appreciably, since it corresponds only to a small fraction of the semiclassical trajectories. This suggests that a reasonable cutoff criterion is given by the critical distance $ x_c $ to the wall, where a classical beam particle would hit the wall within the grating passage time $ t=b/v_z $. Disregarding the initial transverse momentum $ p $ and the potential of the opposite wall, the time for a particle starting at the distance $ x_0 $ to hit the wall is given by \[ T = \sqrt{\frac{m}{2}} \int_0^{x_0} dx \frac{1}{\sqrt{-V(x)}}. \tag{70} \] For a wall potential $ V(x)=-C_+x^{-4} $ this leads to the critical distance \[ x_c = \left( \frac{18mC_4b^2}{p_z^2} \right)^{1/6}. \] (71) The parameters used for Fig. 5 yield $ x_c = 21 $ nm, and this value indeed corresponds to the position where the semiclassical and the exact phase deviate by about $ 2\pi $. The fact that the eikonal approximation is virtually identical to the exact phase factor for most of the slit width explains why the eikonal approximation is well justified with thin material gratings. In fact, our numerical results indicate that in this case the eikonal approximation remains valid even for particles with a stronger particle-wall interaction, breaking down only in a regime where the interference visibility is already strongly diminished by the interaction effect. We therefore focus on the KDTLI setup in the following. As a final point, we note that the opening width of the slits is effectively reduced by 2 times the critical distance $ x_c $. For large and slow particles it may be necessary to take this into account even at the first and at the third grating, since the fringe visibility depends quite sensitively on the corresponding effective open fractions. ### 2. Laser grating Replacing the diffraction grating by a standing laser wave leads to the smooth and bounded interaction potential (34). For the numerical evaluation of the scattering factor, shown in Fig. 6, we choose the same parameters as for Fig. 3 (motivated by the experiment [22]) and choose $ \lambda = 3 $ pm. The longitudinal laser waist $ w_z = 20 $ $ \mu $m is much larger than the grating period $ d = 266 $ nm. It follows that nonzero transverse momenta $ p \neq 0 $ now must be considered separately since the free transverse motion over the distance $ w_z p / p_z $ must not be neglected. Figure 6 shows how the phases of the approximate scattering factors deviate from the exact phase. Panel (a) corresponds to a perpendicular incidence of the incoming plane wave, $ p = 0 $, while (b) is evaluated for $ p = 10^{-3} p_z $, as found in a beam spread of 1 mrad. The Glauber and the elementary eikonal approximation coincide in the case (a) of perpendicular incidence, and they deviate from the exact phase by about 1 mrad. The error of the semiclassical phase is smaller by three orders of magnitude, and it is not resolved in the plot. On the other hand, in the case (b) of a nonzero transverse momentum the elementary eikonal approximation deviates substantially from the exact result, while the error for the Glauber approximation remains on the order of $ 10^{-3} $ and the semiclassical one on the order of $ 10^{-6} $ (not resolved in the plot). As for the corresponding amplitude of the incident plane waves, the exact calculation yields deviations from the incident amplitude 1 on the order of $ 10^{-6} $ in case (a) and deviations on the order of $ 10^{-4} $ in case (b), respectively (not shown). While the eikonal approximations cannot account for this effect, the semiclassical amplitude (67) reproduces the exact result with an error of less than $ 10^{-8} $ and $ 10^{-6} $, respectively. The semiclassical expression of the scattering factor is thus demonstrated to be superior by orders of magnitude compared to the eikonal approximations. While the Glauber eikonal approximation already improves the elementary eikonal approximation significantly, it still does not take the amplitude modification into account. However, the overall corrections to the eikonal approximations are so small in the present parameter regime that the Talbot-Lau interference contrast is hardly affected, as demonstrated below. The elementary eikonal approximation thus remains valid for the considered experiment [22]. The situation changes distinctively if the de Broglie wavelength is increased by a factor of 10, to $ \lambda = 30 $ pm. The resulting phase difference and amplitude plots are shown in Fig. 7 for the case of a transverse momentum $ p = 10^{-3} p_z $. Now both the Glauber and the elementary eikonal phase strongly differ from the exact result, as demonstrated by the dashed and the dotted curves in Fig. 7(a). At the same time, the semiclassical result (solid line) deviates by less than 100 mrad from the exact phase, and also the corresponding amplitude, seen in Fig. 7(b), faithfully approximates the exact one. The semiclassical expression (66) starts to fail only if we decrease the beam velocity to such an extent that the trajectories get strongly deflected during the increased passage time. This is expected since the derivation assumes the corFIG. 7. (a) Phase differences with respect to the exact calculation as in Fig. 6, but for an increased de Broglie wavelength $\lambda = 30$ pm and $p = 10^{-3} p_z$. The elementary eikonal approximation (dotted line) and the Glauber eikonal approximation (dashed line) now differ markedly from the exact phase result, while the semiclassical approximation (solid line) deviates by less than 100 mrad. (b) Corresponding amplitude modification as obtained from the semiclassical approximation (solid line) and the exact calculation (dashed line). rections due to deflection to be small. Equation (66) thus extends the eikonal approximation to the smaller beam velocities required for more massive particles, but it does not cover the whole semiclassical wavelength regime. B. Talbot-Lau visibility We can now discuss how the improved treatment of the grating interaction effect affects the Talbot-Lau interference visibility. We focus again on the laser grating setup demonstrated in [22]. In Figs. 8–10 the eikonal results are obtained by calculating the visibility (14) by means of the Talbot-Lau coefficients (35). The semiclassical calculation implements the generalized formula for the interference pattern (22), where the semiclassical scattering factor (66) enters by means of the generalized grating coefficients (39). Note that, unlike in the elementary eikonal approximation, it is now essential to incorporate the angular distribution $D(p/p_z)$ into the calculation. It is set here to be a Gaussian $D(p/p_z) \propto \exp[-(p/p_z)^2/2\alpha^2]$ with a realistic width of $\alpha = 1$ mrad. One immediate consequence of the dependence of the semiclassical and the Glauber approximations on the transverse momentum is demonstrated in Fig. 8, where the interference visibility is plotted versus the longitudinal laser waist $w_z$, starting from the experimental value $w_z = 20 \mu$m. The elementary eikonal approximation (dotted line) is independent of $w_z$ due to the longitudinal integration in (33). The semiclassical result (solid line), which takes into account the transverse motion through the laser field, decreases with growing $w_z$. While the difference between the approximations is negligible at the experimental value, it becomes significant for a larger laser focus. The Glauber approximation reproduces the semiclassical result up to a precision of $10^{-4}$ and is therefore indistinguishable from the solid line Fig. 8. This implies that the visibility loss with growing waist is due to the free transverse motion through the laser grating, rather than due to a considerable deflection of the trajectories. A similar result is presented in Fig. 9, where we increase the laser power starting from the experimental value $P_L = 6$ W. This is equivalent to increasing the polarizability of the particles, see (34). One observes that the semiclassical result (solid curve) decreases more rapidly than the eikonal visibility (dotted curve) as the strength of the phase grating is increased. The Glauber approximation again matches the semiclassical curve. FIG. 8. Interference visibility as a function of the longitudinal waist $w_z$ of the laser grating (for $\lambda = 3$ pm, starting from the experimental value $w_z = 20 \mu$m [22]). The dotted line gives the result of the elementary eikonal approximation (33), while the solid curve represents the semiclassical result (66). FIG. 9. Fringe visibility as a function of the laser power $P_L$, starting from the experimental value $P_L = 6$ W [22]. For considerably larger powers, or, equivalently, for larger polarizabilities of the particles, the elementary eikonal approximation (dotted line) deviates markedly from the semiclassical result (66). FIG. 10. Talbot-Lau interference visibilities for the laser grating setup [22] with C\textsubscript{70} fullerenes. We use increased de Broglie wavelengths corresponding to velocities around $v_z = 16$ m/s [51]. The semiclassical approximation (solid line) yields values which are clearly distinguishable from the Glauber eikonal approximation (dotted line). The elementary eikonal approximation differs more strongly. Finally, in Fig. 10 we present the interference visibility as a function of the de Broglie wavelength $\lambda$ around 30 pm, corresponding to a tenfold smaller beam velocity than in the experiment. In this case one observes at some wavelengths a considerable difference between the Glauber eikonal approximation (dotted line) and the semiclassical approximation (solid line). Note that the sharp dips, where the visibility drops to zero in Fig. 10 and Fig. 9, indicate a shift of the interference pattern by one-half of its period. One must take this into account when averaging the visibility over the velocity distribution of the particle beam. For example, if this distribution was so broad that it amounts to averaging over two subsequent peaks in Fig. 10 it would lead to almost zero visibility. We have seen that in general the validity of the eikonal approximation depends on the grating interaction strength, the passage time, the longitudinal velocity, and the distribution of the transverse momenta in the particle beam. For the specific experiment [22] the elementary eikonal approximation breaks down by either decreasing the longitudinal velocity by a factor of 10, or similarly by increasing the laser power $P_L$, the longitudinal waist $w_{z0}$, or the particle polarizability by an order of magnitude. The latter are effects mainly due to the transverse motion of the beam particles, which is not taken into account by the elementary eikonal approximation. Here the Glauber eikonal approximation (57), i.e., the semiclassical scattering factor without deflection, would be already sufficient, at least in the experimentally accessible regime. This is no longer the case if one increases the wavelength, since the deflection effect is more sensitive to the wavelength than to the grating parameters, limiting the validity of both the elementary and the Glauber eikonal approximation. VI. CONCLUSIONS We presented a general theory of the coherent Talbot-Lau interference effect. It allows us to incorporate the interaction between particle and grating structure—a dominant effect in near-field interference—at various degrees of approximation. Our treatment shows that it is necessary to account for detailed beam characteristics, such as the angular distribution, whenever one is required to go beyond the elementary eikonal approximation, or if one wants to quantify the experimental adjustment requirements. Using the phase space formulation of quantum mechanics, we identify the appropriate generalization of the Talbot-Lau coefficients. They serve to incorporate the most general coherent grating transformation and to describe the various near-field interference effects in a transparent fashion. The general effect of the passage through a grating can thus be formulated in terms of scattering theory, providing a starting point for the numerically exact evaluation of the interference pattern. Moreover, the semiclassical approximation of the S-matrix yields a systematic and nonperturbative improvement over the elementary eikonal approximation. An additional high-energy approximation of the semiclassical trajectories then yields the Glauber eikonal approximation and the semiclassical deflection approximation as systematic corrections to the standard treatment. A comparison with the numerically exact calculation verifies the high quality of the semiclassical deflection approximation. It suggests that a Kapitza-Dirac Talbot-Lau interferometer, where the center grating is replaced by a standing light wave, will be able to demonstrate the wave nature even of particles which are so large that the eikonal approximation is no longer valid. ACKNOWLEDGMENTS We thank M. Arndt and H. Ulbricht for helpful discussions. This work was supported by the FWF program “Complex Quantum Systems” (W1210) and by the DFG Emmy Noether program. APPENDIX: CLASSICAL DESCRIPTION If the Talbot-Lau experiment is to prove the quantum nature of particles one clearly needs to be able to distinguish between the quantum interference effect and the moiré-type shadow effect that may occur with classical particles. A formulation is therefore required that yields the classical shadow contrast by using the same assumptions and approximations as in the quantum case. We present this classical theory in the following by assuming a material grating of thickness $b$ with a transverse interaction potential $V(x)$ of the grating slit walls. The case of an explicitly $z$-dependent interaction potential $V(x,z)$, such as a laser grating [22], can be treated in the one-dimensional model by an effectively time-dependent potential $\tilde{V}(x,t) = V(x,p_z t/m)$, where the longitudinal motion provides the time coordinate for a given momentum $p_z$. The classical formulation is based on the phase space density rather than the Wigner function. The corresponding classical propagator through a diffraction grating is given by the expression \[ K_{cl}(x, p; x_0, p_0) = \|t(x_0)\|^2 \delta\left( x_0 - x_0^{cl}\left( x, p, \frac{mb}{p_z} \right) \right) \delta\left( p_0 - p_0^{cl}\left( x, p, \frac{mb}{p_z} \right) \right), \tag{A1} \] where the hard grating wall cutoff of the particle beam is taken into account at the entrance into the grating. The phase space coordinates $ x_0^{cl}, p_0^{cl} $ are the starting point of the classical trajectory evolving to $ x, p $ under the influence of the interaction potential $ V(x) $ within the grating passage time $ t = mb/p_z $. Since the free evolution of the phase space density is given by the same transformation (2) as in the case of the Wigner function, one ends up with the general classical shadow pattern, denoted by $ f_3 $ instead of $ w_3 $, after substituting the classical propagator (A1) into the general Talbot-Lau calculation from Sec. II B. \[ f_3(x) = \frac{1}{G} \int \frac{dp}{p_z} D\left( \frac{p_0^{cl}\left( x - \frac{p}{p_z} \eta L, p, \frac{mb}{p_z} \right)}{p_z} \right) \left\| t\left( x_0^{cl}\left( x - \frac{p}{p_z} \eta L, p, \frac{mb}{p_z} \right) \right) \right\|^2 \\ \times \left\| t_1\left( x_0^{cl}\left( x - \frac{p}{p_z} \eta L, p, \frac{mb}{p_z} \right) - \frac{p_0^{cl}\left( x - \frac{p}{p_z} \eta L, p, \frac{mb}{p_z} \right)}{p_z} L \right) \right\|^2. \tag{A2} \] One can numerically implement this formula directly, rather than performing a Fourier decomposition with respect to the argument $ x - p \eta L/p_z $ of the trajectory terms. The ideal moiré shadow pattern is obtained if one disregards both the interaction potential and the grating thickness by setting $ x_0^{cl}(x, p, t) = x $ and $ p_0^{cl}(x, p, t) = p $. If a particle-wall interaction is present, the classical analogue to the eikonal approximation (33) is to approximate the deflection of the trajectory due to the grating by an instantaneous momentum kick [26], \[ x_0^{cl}\left( x, p, \frac{mb}{p_z} \right) = x, \] \[ p_0^{cl}\left( x, p, \frac{mb}{p_z} \right) = p + \frac{mb}{p_z} V'(x). \tag{A3} \] Setting this into the classical formula (A2), performing all of the Fourier decompositions, and focusing on a particular $ r : s $ Talbot-Lau resonance, as done in the eikonal quantum case (28), one obtains the classical shadow pattern in eikonal approximation, \[ f_3(x) = \frac{1}{G} \sum_{\ell=-\infty}^{\infty} A_{s\ell}^* \exp\left( 2\pi i \ell \frac{x}{d_3} \right) \\ \times \sum_{k=-\infty}^{\infty} B_{r\ell-k}(0) c_k\left( s\ell \frac{d}{d_1} \frac{L}{L_T} \right). \tag{A4} \] The classical momentum kick coefficients read as \[ c_n(\xi) = \frac{1}{d} \int_{-d/2}^{d/2} dx e^{-2\pi i n x/d} \exp\left( i\xi \frac{mbV'(x)/p_z}{\hbar/d} \right). \tag{A5} \] If the second grating is implemented by a standing laser beam the classical calculation yields an analytical expression for the Talbot-Lau coefficients $ B_m^{cl}(\xi) = \sum_k B_{m-k}(0) c_k(\xi) $. 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Star Star Star Star Independent Development Committee™ Independent Development Committee™ Legacy of the Force: Mandalorians SARD [Select Annotated Rulings/Errata/FAQ Document] Updated Updated 00006666////01 01 01/2011 /2011 /2011 Version 1.4 Contents Watch List 27 the IDC is now the sole caretaker of the Star Wars™ Trading Card Game. Wizards of the Coast opted not to continue the Star Wars license and as a result have removed all links to their Star Wars websites for the trading card game and the roleplaying game from access on their web site. This leaves the IDC as the only means of adjudication for the game. As such, we will now be deciding all rules on the cards, past and present, whether from WOTC or the IDC. We will judge cards based upon how they help or hinder the SWTCG playing experience, and no longer on whether they are WOTC cards or IDC cards. What's New? Throughout this document, new entries appear in yellow.. Following summarizes the changes made to this edition of the SARD: * New Frequently Asked Questions for Once Per Turn Activation and Duplicate Effects and Bonuses for Effects. * New errata for Getaway Speeder, Mandalorian Special Training, Modified Starship, Necessary Deception and Slave I (F). Mandalorian Expansion images updated for: Boba Fett (K), Canderous Ordo (A), Concord Dawn, Mandalore, Mandalorian Special Training, and Thermal Scanner. * New clarifications for Chewbacca (O), Getaway Speeder and Necessary Deception. Using the SARD A player may think they know what the SARD is for, but may not actually realize the benefit it can be to them. It's not just for tournament rules judges or for finding out which cards have errata. A SARD not only provides rulings, it also helps you to understand the cards and how to use them. By reading the SARD, you can improve your deck-building and playing skills and make sure your opponent isn't cheating you, or that you aren't inadvertently cheating your opponent or yourself. Many clarifications and tips are provided to help you play better and understand the cards better. Errata and rulings tell you things about changes to the card's text and procedures that the printed card can't tell you. Find out about the latest rules changes and what they mean with the frequently asked question in the next section. You may not even know that there have been changes to the Rulebook regarding those issues. You certainly wouldn't know the thinking * R2-D2 (J) and Weapon Turret are now banned in IDC sanctioned tournaments. Luke's X-wing was erroneously removed in the previous version of this edition and has been restored to the banned list in this edition. * Blockaded Naboo and Price of Serenity are now restricted in IDC sanctioned tournaments. * Added a Watch List. behind those changes beyond your own speculations. So read the SARD and find out what you didn't know about that ruling or card you're interested in. Even some older cards received updates since the days of WOTC. Frequently Asked Questions for New Rulings There is one new editions to the SWTCG as of Legacy of the Force: Mandalorians involving making your opponent pay a cost to activate your own ability. The Resource card type, Equipment with the Skill subtype, and the change to Hidden Cost have been retained to help old players returning to the game to get used to them. Following are questions and answers regarding those cards and effects: Equipment Cards Skill Subtype The Skill subtype has been introduced to Equipment. (p.6) Q: Does Q: Does Equipment with the Skill subtype Equipment with the Skill subtype Equipment with the Skill subtype have any special rules? have any special rules? have any special rules? A: A:A: A: No. Individual subtypes have no special rules. Only the text written on the cards themselves provide special rules. Q: Q: Does "Discard this Equipment when the unit is discarded" include Droids? Does "Discard this Equipment when the unit is discarded" include Droids? Does "Discard this Equipment when the unit is discarded" include Droids? A: A:A: A: Yes, the Equipment with the Skill subtype that includes this text is discarded along with the unit, Droid or Not. Q: Why are Equipment cards with the Skill subtype colored gold? Q: Why are Equipment cards with the Skill subtype colored gold? A: A:A: A: Gold traditionally represents life, the living. This helps distinguish the personal nature of Equipment with the Skill subtype from the hard silver of traditional Equipment representing non-living hardware. Stacking Unique Equipment Unique Equipment's equip cost rules for stacking to the top of the Equipment stack has been changed. (Making a Stack, p.48.) Q: Is it cheaper or more expensive to stack unique Equipment now Q: Is it cheaper or more expensive to stack unique Equipment now???? A: A:A: A: It's cheaper. Now, not only do you simply pay the difference in build cost, each of its Equip cost values are reduced by 1 (such as 1 build point less, 1 Force less, 1 discard less, etc.). If the Equip cost has no numerical value, then you pay the cost as printed. Q: Does the unit get speed, power, or health bonuses from unique Equipment in the stack? Q: Does the unit get speed, power, or health bonuses from unique Equipment in the stack? A: A:A: A: No. Equipment still does not add to the unit's stack. Q: If the new bonus reduces the build, Force, or discard cost below 0, do I gain build, Force, Q: If the new bonus reduces the build, Force, or discard cost below 0, do I gain build, Force, or draw a card? or draw a card? or draw a card? A: A:A: A: No. If the cost is reduced below 0, you do not get anything. Treat that cost as 0 build, 0 Force, and/or 0 discard. Resource Cards A new card type has been introduced, called Resource Cards. These have an orange border. (Resource Cards, pp.8, 59.) Q: Do you have to have a Resource card in your deck? Q: Do you have to have a Resource card in your deck? A: A:A: A: No. Resource cards are optional. Q: When can you play Resource cards? Q: When can you play Resource cards? A: A:A: A: You may put them in the new Resource zone (on the Dark Side player's left next to each player's build zone) after completing them during setup or during your build step. These are the only non-unit cards that you can play during setup. Q: Do Resource card effects work during setup? Q: Do Resource card effects work during setup? A: A:A: A: No. Not unless an effect on the card says it does. Future Resource cards will be made that work during setup. Q: How often can you use the activated effects on Resource cards? Q: How often can you use the activated effects on Resource cards? A: A:A: A: Only one effect on the card per turn and only once per turn. Some Resource effects will allow you to use them more frequently. Q: Do resource counters cost Q: Do resource counters cost build points? build points? build points? A: A:A: A: No. Resource counters are the cost. Resource counters are like corruption counters or credit counters. They have no significance without the rules on the card. Q: Why do Resource cards not have Force, build point, tap, or discard costs fo Q: Why do Resource cards not have Force, build point, tap, or discard costs for activating r activating r activating all the all the all the effects? effects? effects? The effects are The effects are essentially free. essentially free. A: A:A: A: You pay a one-time build cost for deploying the card that pays for the long-term use of the card, similar to Locations. But instead of one effect that works from round to round, the adding and removing of resource counters to and from the card trickles different effects from round to round that can apply to any part of the game. Each of the effects that require you to add a point aren't near worth the cost you pay for the card and only let you use one such effect each round (unless an effect says otherwise). After you acquire a certain number of resource counters, you can then spend them all for a big effect that will help you for that one round, after which you will have to build up resource counters again and won't be able to use the big effect again for several rounds. By the time you are able to use that big effect, the card has paid for itself, so the big effect is essentially free. However, because it takes so long before you can get that effect, and takes vigilant attention to make sure it happens when it does, it might never happen because the game ends sooner. Also, some effects with "Add 0 counters" don't allow you to put any resource counters on the card, which means they cost you another turn before being able to use the big effect down the line instead of helping you do it sooner. Adding more resource counters, however, causes you to be able to use the big effect sooner. Q: What is the Purpose of Resource Cards? Q: What is the Purpose of Resource Cards? A: A:A: A: Resource cards were designed as a way to enhance game play, making it more intense and upping the ante. Q: Are there effects that use or modify the number of resource counters on a Resource card? Q: Are there effects that use or modify the number of resource counters on a Resource card? A: A:A: A: In the future, there may be effects that will help you add resource counters for a cost or cause resource counters to be removed to prevent you from benefiting from the last ability. Effects might also allow you to spend resource counters to fulfill other effects, such as Missions, Battle cards, and activated abilities, essentially sacrificing a turn or two to play the final effect for the benefit of the other effect for which you're using the resource counters. Also, a card could say that for each effect in which counters are added (even "0" counter additions), add 1 more or for every counter added (only "1" counter additions), add 1 more, which would allow you to play the end effect sooner. There are many possibilities for Resource cards. Effects Once Per Turn Activation The rule on limiting one ability activation per turn has been transferred to all activated effects. Duplicate Effects and Bonuses A rule has been revised that changes how multiple Hidden Cost keywords interact. Hidden Cost is no longer considered cumulative, but "selective". (Hidden Cost, p.31.) Other rules now defined include "isolated" and "layered" (Previously "stacked effects"). Q: Q: How were the new definitions developed How were the new definitions developed How were the new definitions developed???? A: A:A: A: In the Legacy of the Force: Bounty Hunters Edition of the Star Wars TCG Rulebook, Under Cumulative Abilities and Bonuses (p.23), the cumulative rule was refined to strictly identify the ability as equal to its printed value because it was determined that Hidden Cost did not make sense as cumulative and the reason was identified as Hidden Cost not being equal to the accompanying number. That number is not a value, but an integer to be calculated to achieve a sum value. Closer examination revealed that Hidden Cost produced a situation in which you must choose one copy of Hidden Cost and disregard the other, but this was not yet given a distinctive identification. However, efforts to clearly define how duplicate effects and bonuses were treated with different keyword effects revealed that two other effects (Equip and Enhance) also have you choose one over the other if ever they could have two copies on the same card. Thus, the "selective" ruling was defined. Previously, "stacking" was an unofficial term for two copies of the same effect that work separately, but simultaneously. Since "stacking" is already an established mechanic within the game, the term was officiated as "layering". Finally, "isolated" effects (such as Armor) have always been related, but never named until now. Q: Why formally recognize the distinctions? Q: Why formally recognize the distinctions? A: A:A: A: Providing distinct definitions for the different types of duplicate interactions helps reduce text in the Rulebook by means of keying to definition names, as previously the whole description appeared in each keyword to which it applied. It also helps players understand how various effects interact, gives less to remember, makes it easier to find and helps rules people to be more effective. Q: How Do the New Definitions Affect the Game? Q: How Do the New Definitions Affect the Game? A: A:A: A: Other than the minor change to Hidden Cost, they don't. The definitions just group the rules together. Hidden Cost No Longer Requires That You Choose the Lower Value Q: Why Q: Why do you now have a choice of which Hidden Cost you use, instead of always taking the lower one do you now have a choice of which Hidden Cost you use, instead of always taking the lower one do you now have a choice of which Hidden Cost you use, instead of always taking the lower one???? A: A:A: A: In carefully defining the way various effects worked, it was discovered that Hidden Cost fell into the "selective" category. (p.) So as not to create a whole new category, and because it naturally fits into the selective category to begin with, the ruling requiring choosing the lower value was withdrawn. Q: Why can't you make the difference cumulative cumulative in Hidden Cost in Hidden Cost in Hidden Cost???? A: A:A: A: The developers would have to worry about unforeseen reductions in Hidden Cost that could make units abusive. That is, letting just any unit go to Hidden Cost 0 would be too powerful and tie the hands of the developers in creating any effects that grant Hidden Cost, if they should choose. Q: Why does Hidden Cost need its own value ruling? That is, why isn't the cumulative ruling good enough? Q: Why does Hidden Cost need its own value ruling? That is, why isn't the cumulative ruling good enough? A: A:A: A: In the past, hypothetically, if an effect were to be developed that granted Hidden Cost to a unit card that already had Hidden Cost, the values would be added together, rather than deducted. If you had a 5-build unit card with Hidden Cost 4 and then gave it hidden Cost 3 as well, its new value would be Hidden Cost 7, which is 2 build points above its actual build cost, making the build cost of using the Hidden Cost prohibitive. The purpose to the cumulative ruling is to improve the value to make it more powerful, not worse, but this is reversed in the case with Hidden Cost due to its unique operation. It is due to that unique operation that it falls into a different class of ability from cumulative values. It is selective. (p.) Lucky Q: Why was lucky changed back to its original wording and made static again? Q: Why was lucky changed back to its original wording and made static again? A: A:A: A: Though not exactly like the original wording, research revealed that WOTC chose to force Lucky to be a static ability, though it essentially works like a triggered ability so that Lucky would be used after all other triggered reroll effects resolve. Thus they used the static "each" instead of "when", "whenever", "if" or "at", because triggered effects supersede all other effects, forcing Lucky to resolve after triggered reroll effects. However, the problem of the effect triggering during any attack remained with "each attack", so this was updated to read, "Each time this unit attacks or is attacked". Card Rulings, Errata and Clarifications Individual Star Wars:TCG (SWTCG) cards from the Wizards of the Coast™ (WOTC) and Star Wars TCG Independent Development Committee™ (SWTCG:IDC™) collections are addressed in the following table where they are not addressed by the current SWTCG:IDC™ Rulebook. All following entries are official for SWTCG:IDC™ cards. Meaning of Terms Erratum: Erratum: This is a change to the card's printed text using traditional and precedent-setting game text. Errata is the preferred means of handling most errors, rules changes, and card usage judgments in this document. Changes listed in the Erratum are the card's revised printed text. Errata always comes before all other card concerns in the card list. Cards with errata are highlighted in gray. Ruling: Ruling: This is a special judgment made to handle a situation not covered by the rules due to uniqueness of situation and complexity of the ruling and can't be handled with an erratum. Rules always come after the erratum and before clarifications, tips and banned/restricted announcements. Clarification: Clarification: These are the answers to frequently asked questions. When a card is commonly misunderstood, but no rule or errata is needed, a clarification is provided to help players understand how the card is played or interacts with certain units. Clarifications always come after the erratum and rulings and comes before tips and banned/restricted announcements. Tip: Tip: A tip is simply a piece of advice on how to use a card, especially where there have been questions about the card not directly related to how its text works. Tips come after the erratum, rulings, and clarifications and comes before banned/restricted announcements RESTRICTED RESTRICTED:::: A card can be either banned, restricted, or have no judgments. A restriction announcement means that you may have only one copy of the card in a deck used for IDC sanctioned tournaments. Having 4 copies of the card is damaging to the playing environment, providing an unfair advantage in some deck constructions. As additional cards are released, the status of the ruling on the card may change. Banned/restricted announcements come at the end of a card's REF's. Restricted cards are highlighted in light blue. BANNED BANNED:::: A card can be either banned, restricted, or have no judgments. A ban announcement means the card cannot be included in the construction of a deck used for IDC sanctioned tournaments. Having any number of the card is damaging to the playing environment, providing an unfair advantage in some deck constructions. As additional cards are released, the status of the ruling on the card may change. Banned/restricted announcements come at the end of a card's REF's. Banned cards are highlighted in black with white text. Note that these terms only apply to IDC sanctioned tournaments. They do not apply to private games. However, players may (and are strongly recommended to) agree to adhere to the IDC's rulings on banned and restricted cards. General Errata Wherever non-unique units refer to themselves by name, they should say "this unit" instead. Wherever unique units refer to themselves as "this unit", it should use the unit's name. Ignore text on Locations that says: "You may deploy this Location to any arena." Locations aren't deployed and Locations with multiple arenas listed can be played to those arenas without the need of game text permitting it. Wherever an effect says "when your draw step starts", it should say "when your build step starts" using the necessary pronouns. General Clarifications Equipment that says "This Equipment can't be detached from a non-Droid unit. If the unit is discarded, discard this Equipment." means that you may only detach the Equipment from a Droid. However, whether Droid or non-Droid, you still discard the Equipment when the unit is discarded. A unit that taps to apply a bonus to another unit's attack can only apply its effect to a unit with equal or faster speed unless it untaps during the attack POP of another unit's attack. Effects that say to discard 2 cards unless you discard one that is a particular kind, you can still discard the 2 cards if one or both of them is the kind mentioned. You simply choose whether to discard 1 or 2 in that case. The Cards Card Name Card Name Card Name Card Name Set Set Set Set REF Type REF Type REF Type REF Type Ruling Ruling Ruling Ruling Set Set Set Set 17. Blockade {TPM} Blockade {TPM} Blockade {TPM} Blockade {TPM} TPM REF Type REF Type REF Type REF Type Clarification Ruling Ruling Ruling Ruling Units can't be deployed directly to an arena or moved from the build Set Set Set Set REF Type REF Type REF Type REF Type Ruling Ruling Ruling Ruling 31. Chewb Chewbacca (M) ROTS Erratum Chewbacca's first ability should read: "When you deploy Chewbacca, Set Set Set Set REF Type REF Type REF Type REF Type Ruling Ruling Ruling Ruling 58. Deflectors Activated Deflectors Activated Deflectors Activated Deflectors Activated RAS Clarification If a Battle card (such as Unfriendly Fire) or ability (such as the one on Set Set Set Set REF Type REF Type REF Type REF Type Ruling Ruling Ruling Ruling Tip If measurement in live play is a concern to you or your opponent and you do not have a measuring stick to measure the distance of the 92. Card Name Card Name Card Name Card Name In Disguise In Disguise In Disguise In Disguise Set Set Set Set PM REF Type REF Type REF Type REF Type Clarification Ruling Ruling Ruling Ruling If the new unit you bring back is the same as a unit already in play, Set Set Set Set REF Type REF Type REF Type REF Type Ruling Ruling Ruling Ruling Clarification You can't play Lando's influence for the first battle step because \| 120. MMMMiiiilllllllleeeennnnnnnniiiiuuuummmm FFFFaaaallllccccoooonnnn ((((BBBB)))) BOY \| Clarification \| \| If you have 2 Pilots on the Millennium Falcon, you still remove only 1 \| \|---\|---\|---\|---\| \| \| \| \| damage counter from it per turn. \| \| 121. MMMMiiiilllllllleeeennnnnnnniiiiuuuummmm FFFFaaaallllccccoooonnnn ((((CCCC)))) BOY \| Erratum \| \| The type line should read: “Space - Independent Transport.” (It was \| \| \| \| \| printed incorrectly as “Space - Independent Cruiser.”) \| \| 122. MMMMiiiisssstttt HHHHuuuunnnntttteeeerrrr ((((AAAA)))) RAS \| Clarification \| \| Mist Hunter can be piloted by either a Droid or a Bounty Hunter. It \| \| \| \| \| doesn’t have to be piloted by both. \| \| 123. MMMMooooddddaaaallll NNNNooooddddeeeessss ((((AAAA)))) RAS \| Erratum \| \| Modal Nodes’s subtype should be “Tatooine Musician”. \| \| 124. MMMMiiiilllllllleeeennnnnnnniiiiuuuummmm FFFFaaaallllccccoooonnnn ((((FFFF)))) ESB \| Clarification \| \| If your Characters can’t retreat, the Falcon will not stay tapped. \| \| \| \| \| You can use the Millennium Falcon (F)'s ability whenever one of your \| \| \| \| \| Characters would be damaged and discarded. While the "does not \| \| \| \| \| untap" clauses do stack up, one turn of not untapping satisfies them \| \| \| \| \| all. \| \| \| \| \| Attack dice rolled secretly can still be prevented by the Millennium \| \| \| \| \| Falcon (F)'s static damage prevention ability, due to the time when its \| \| \| \| \| effect is allowed to occur. (You simply don't know the result until the \| \| \| \| \| dice roll is revealed.) Declare your intention to use it during the \| \| \| \| \| damage prevention POP, and then retreat the Character if you find \| \| \| \| \| out after the dice are revealed if it would be discarded. \| \| \| \| \| You can’t use the Falcon’s ability when Painful Reckoning is in play if \| \| \| \| \| the damage done before Painful Reckoning is applied would not \| \| \| \| \| cause the unit to be discarded. The Falcon (F)'s ability is a static \| \| \| \| \| replacement effect. It happens at the end of the Play or Pass damage \| \| \| \| \| prevention step (i.e., everyone is done playing damage prevention \| \| \| \| \| effects). It will only kick in if the incoming damage is greater than the \| \| \| \| \| unit’s remaining health. So in this case, with only 3 incoming \| \| \| \| \| damage, the Falcon's effect cannot be invoked. Painful Reckoning is \| \| \| \| \| also a replacement effect. However, it replaces the actual placement \| \| \| \| \| of damage counters—in this case, replacing the placement of 3 \| \| \| \| \| damage counters with the placement of the original 3, plus 3 extra \| \| \| \| \| counters, or 6 counters total. \| \| 125. MMMMooooddddiiiiffffiiiieeeedddd SSSSttttaaaarrrrsssshhhhiiiipppp BH \| \| Erratum \| Modified Starship should read: \| \| \| \| \| You may stack this unit under one of your unique Bounty Hunter or \| \| \| \| \| Smuggler Space units. (Normal stacking rules apply.) \| \| \| \| \| When this card is stacked under a unique Bounty Hunter or Smuggler \| \| \| \| \| Space unit, that unit gets +1 power, +1 health, 'Bounty: Take a card \| \| \| \| \| from any discard pile and put it face-down underneath this unit. This \| \| \| \| \| unit gets +10 speed, +1 power, and +1 health for each facedown card \| \| \| \| \| under it in this way.' \| \| 126. MMMMoooossss EEEEiiiisssslllleeeeyyyy RAS \| Ruling \| \| All card types are searchable with Mos Eisley, including Equipment \| \| \| \| \| cards and Resource cards. \| \| 127. MMMMyyyynnnnoooocccckkkk {{{{EEEESSSSBBBB}}}} ESB \| Clarification \| \| The second ability only counts whether this unit is tapped at the start \| \| \| \| \| of the Space battle step. It doesn't matter if it becomes untapped \| \| \| \| \| later or if it was untapped at the beginning of the turn. \| \| 128. NNNNeeeecccceeeessssssssaaaarrrryyyy DDDDeeeecccceeeeppppttttiiiioooonnnn ION \| \| Erratum \| Necessary Deception should also say: \| \| \| \| \| If you have another copy or version of the unit card in play while the \| \| \| \| \| chosen unit card is on top of its stack, you may retreat the contested \| \| \| \| \| unit instead of discarding it. \| Set Set Set Set REF Type REF Type REF Type REF Type Clarification Ruling Ruling Ruling Ruling Deployment effects won't trigger when putting the unique unit card \| \| \| under the stack. \| \|---\|---\|---\| \| \| \| You can’t add the unique unit card to a stack that already has 4 cards \| \| \| \| in it, unless another effect negates the rule. \| \| \| \| The stack gets the normal +1 bonus to build cost, speed, power and \| \| \| \| health for the new card in the stack. \| \| \| \| Treat the new unique unit card as if it is another version of the unit. \| \| \| \| You may bring the new unique unit card to the top of the stack \| \| \| \| during your build step as normal, paying the difference in build cost. \| \| \| \| The stack's name changes along with everything else while the new \| \| \| \| card is on top of the stack. \| \| \| \| You can't remove the unit card from the stack. It is considered part of \| \| \| \| the unit. \| \| \| \| Effects that trigger at the end of the turn on the new unique unit card \| \| \| \| won’t be triggered. \| \| 129. NNNNeeeeggggoooottttiiiiaaaatttteeee tttthhhheeee PPPPeeeeaaaacccceeee TPM \| Erratum \| “Light unit” should be “Light Side unit”. \| \| \| Clarification \| “Total build cost” in the game text is the sum of all the total build \| \| \| \| costs of units (including stacked costs) that are returned to your hand. \| \| 130. NNNNeeeeiiiimmmmooooiiiiddddiiiiaaaannnn SSSShhhhuuuuttttttttlllleeee ((((AAAA)))) JG \| Clarification \| Neimoidian Shuttle can retreat itself. \| \| 131. NNNNiiiieeeennnn NNNNuuuunnnnbbbb ((((AAAA)))) ROTJ \| Erratum \| The ability should read: \| \| \| \| < Starfighter and Transport pilot. If there is more than one Pilot on \| \| \| \| the Starfighter or Transport, it gets: \| \| \| \| > +30 speed \| \| \| \| > +3 power \| \| \| \| > Accuracy 2 \| \| \| Clarification \| Nien Nunb can Pilot a Starfighter or Transport if he is the only Pilot, \| \| \| \| but he doesn’t grant any effects to it until a second Pilot is on that \| \| \| \| unit. \| \| \| \| Nien does not grant the ability for a second Pilot to pilot the unit he’s \| \| \| \| piloting. \| \| 132. NNNNeeeexxxxuuuu AOTC \| Clarification \| This unit increases the cost of all activated abilities. (Not just those \| \| \| \| with Force costs.) \| \| 133. NNNNoooossss MMMMoooonnnnsssstttteeeerrrr ROTS \| Erratum \| This unit’s subtype should be “Aquatic Utapau Creature”. \| \| 134. NNNNuuuutttteeee GGGGuuuunnnnrrrraaaayyyy ((((CCCC)))) TPM \| Clarification \| Both parts of the effect apply to all Trade Federation units no matter \| \| \| \| when they were deployed. \| \| 135. OOOObbbbiiii----WWWWaaaannnn KKKKeeeennnnoooobbbbiiii ((((AAAA)))) AOTC \| Clarification \| Obi-Wan can be discarded to prevent the damage to himself to gain \| \| \| \| an amount of Force equal to the damage done. \| \| 136. OOOObbbbiiii----WWWWaaaannnn KKKKeeeennnnoooobbbbiiii ((((HHHH)))) BOY \| Clarification \| Obi-Wan Kenobi’s ability should read: \| \| \| \| When Obi-Wan is discarded from the Character arena, if Luke is in the \| \| \| \| Character arena, you may search your deck. You may take a Luke \| \| \| \| Skywalker card from your deck and stack it under a Luke Skywalker in \| \| \| \| the Character arena. (Follow normal stacking rules.) Then shuffle your \| \| \| \| deck. \| \| 137. OOOObbbbiiii----WWWWaaaannnn KKKKeeeennnnoooobbbbiiii ((((LLLL)))) ROTS \| Erratum \| Obi-Wan should have a period instead of an arrow sign after \| \| \| \| “Starfighter Pilot”, and before “The Starfighter gets”. \| \| 138. OOOObbbbiiii----WWWWaaaannnn KKKKeeeennnnoooobbbbiiii ((((SSSS)))) ION \| Erratum \| Obi-Wan’s first ability should read: \| \| \| \| Pay 2 Force -> Attach a Character Equipment card in your build zone \| \| \| \| to Obi-Wan without paying the Equip cost. Obi-Wan gets all abilities \| \| \| \| granted by that Equipment card until end of turn. At the end of the \| \| \| \| turn, remove this card from Obi-Wan and return it to your build zone. \| Set Set Set Set REF Type REF Type REF Type REF Type Ruling Ruling Ruling Ruling Set Set Set Set REF Type REF Type REF Type REF Type Ruling Ruling Ruling Ruling 161. Rage of Victory 167. Rage of Victory Rage of Victory Rage of Victory Sabers Locked Sabers Locked Sabers Locked Sabers Locked Set Set Set Set ROTS BOY REF Type REF Type REF Type REF Type Clarification Clarification Ruling Ruling Ruling Ruling The effect applies to the arena, not to the units in the arena. If a unit You may choose Characters in any arena or build zone. \| 165. RRRReeeemmmmeeeemmmmbbbbeeeerrrr tttthhhheeee JG PPPPrrrroooopppphhhheeeeccccyyyy \| Clarification \| Remember the Prophecy targets any card type the player names, \| \|---\|---\|---\| \| \| \| including Locations, Equipment, and Resource cards. The parenthetical \| \| \| \| is just reminder text that doesn’t affect the operation of the card. \| \| 166. SSSSaaaabbbbéééé ((((AAAA)))) ION \| Erratum \| The effect should read: \| \| \| \| Treat Sabé as if her name is Queen Amidala. Sabé can be affected by \| \| \| \| all card effects on Queen Amidala that reference Amidala as if the \| \| \| \| ability text were on Sabé. \| \| \| Clarification \| Sabé does not stack with Queen Amidala (It is like having two cards \| \| \| \| named Space Slug. Same names, but two different units). \| \| \| \| Sabé can't grant additional bonuses, because the ability is not actually \| \| \| \| printed on her. \| \| \| \| All card effects that reference Queen Amidala also reference Sabé. \| \| \| \| Only effects that refer to Queen Amidala (Not Padmé Amidala) by \| \| \| \| name can affect Sabé. This includes text that says Amidala on a card \| \| \| \| with the name Queen Amidala. \| \| \| \| Queen Amidala must be in the arena (not the build zone) for Sabé's \| \| \| \| first ability to have any meaning regarding Queen Amidala's abilities. \| \| \| \| Queen Amidala's effects work on Sabé at the same time they work \| \| \| \| on Queen Amidala. If only one or the other is able to benefit from the \| \| \| \| effect, it may still be activated, but Queen Amidala's abilities are still \| \| \| \| limited to the rules for abilities as if played only on her. \| \| \| \| The first effect on Queen Amidala (J) gives Queen Amidala +1 power \| \| \| \| and +1 health. With Sabé in the arena, Sabé and Queen Amidala both \| \| \| \| get +1 power and +1 health. (It does NOT give either of them +2 \| \| \| \| power or health.) \| \| \| \| The second effect on Queen Amidala (K) can be used to tap Queen \| \| \| \| Amidala or Sabé and put a damage counter on either one and retreat \| \| \| \| either one in order to retreat your opponent's unit unless he or she \| \| \| \| pays 3 Force. Sabé's text allows you to put the damage counters on \| \| \| \| Sabé instead. You don't have to tap, retreat, or damage both, and \| \| \| \| you don't have to tap Queen Amidala herself. You also can't retreat \| \| \| \| two of your opponent's units. The effect still only works once. \| Set Set Set Set REF Type REF Type REF Type REF Type Ruling Ruling Ruling Ruling Clarification Spinning Slash does not cause the affected unit to tap or untap. Set Set Set Set REF Type REF Type REF Type REF Type Ruling Ruling Ruling Ruling 196. Twilight of the Republic Twilight of the Republic Twilight of the Republic Twilight of the Republic SR Erratum After you complete Twilight of the Republic, your build step stops and the Light Side build step starts. After the Light Side build step, your Set Set Set Set REF Type REF Type REF Type REF Type Ruling Ruling Ruling Ruling 208. Vader Vader Vader Vader’’’’s Vengeance s Vengeance s Vengeance s Vengeance ESB Clarification Pay X Force § One of your units in any arena gets +X power for this Rifle." List of Cards with Errata Accelerate Our Plans (ION) Admiral Firmus Piett (B) Anakin's Podracer (TPM) Anakin Skywalker (P) (FOTR) Anakin's Spirit (A) (ROTJ) ARC Fighter (FOTR) AT-AT (RAS) AT-RT (ROTS) Attack Pattern Delta (BOH) Aurra Sing (A) (SR) Aurra Sing (B) (TPM) Bargain with Jabba (ROTJ) Blaster Barrage (ANH) Boba Fett (K) (MAND) Bravo Five (A) (ION) C-3PO (G) (RAS) Canderous Ordo (A) (MAND) Careful Targeting (SR) Celebrate the Victory (BOY) Chewbacca (H) (RAS) Chewbacca (I) (RAS) Chewbacca (M) (ROTS) Chewbacca's Ewok Squad (A) (BOE) Clear the Skies (AOTC) Clone Captain (SR) Close Quarters (ROTJ) Commander Bly (A) (FOTR) Dark Dreams (JG) Darth Maul (F) (TPM) Darth Sidious (A) (AOTC) Darth Vader (O) (ROTJ) Darth Vader (S) (ROTS) Death Star Scanning Technician (ANH) Demonstration of Power (ANH) Droid Racks (ION) Emperor's Prize (ESB) List of Cards with Rulings Bright Hope (A) (ESB) Duel of the Fates (TPM) Emperor Palpatine (E) (ROTJ) Homing Missile (JG) Escape Pod (BOY) Frostbite (BOH) General Grievous (B) (FOTR) Getaway Speeder (BH) Gondola Speeder (JG) Greedo (B) (RAS) Gungan Scout (ION) Human Shield (RAS) Imperial Landing Craft (BOY) Jango Fett (E) (JG) Jedi Call for Help (AOTC) Jedi Robes (ION) Lando's Influence (RAS) Luke Skywalker (K) (ESB) Luke's Speeder Bike (A) (BOE) Luke's Vow (RAS) Mace Windu (F) (ROTS) Mandalorian Special Training (MAND) Millennium Falcon (C) (BOY) Modal Nodes (A) (RAS) Modified Starship (BH) Necessary Deception Negotiate the Peace (TPM) Nien Nunb (A) (ROTJ) Nos Monster (ROTS) Obi-Wan Kenobi (L) (ROTS) Obi-Wan Kenobi (S) (ION) Obi-Wan's Lightsaber (A) (FOTR) Orn Free Taa (A) (TPM) Padmé Amidala (E) (SR) P-Series Droideka (ION) Painful Reckoning (ESB) Podrace (TPM) Prince Xizor (A) (RAS) Probot (ESB) Q2 Hold-Out Blaster (BOE) Jabba the Hutt (B) (ROTJ) Mos Eisley (RAS) Necessary Deception Quest For Truth (ESB) Qui-Gon Jinn (E) (ION) Qui-Gon's Spirit (A) (FOTR) Quinlin Vos (A)PM R2-D2 (H) (RAS) R2-D2 (J) (ROTS) R5-D4 (A) (ANH) Sabé (A) (ION) Sarlacc (A) (ROTJ) Sebulba's Podracer (TPM) Self-Destruct (ESB) Sidious's Communicator (A) (FOTR) Sith Infiltraitor (TPM) Slave I (F) (RAS) Spinning Slash (ROTS) Stinger (A) (RAS) Stormtrooper Detachment (RAS) Tauntaun (ESB) Thermal Scanner (MAND) Tow Cable (BOH) Trade Federation Dropship (ION) Trained in the Arts (FOTR) Trash Compactor (RAS) Twilight of the Republic (SR) Tyranus's Geonosis Speeder (B) (JG) Unity of the Jedi (ROTS) Utapau Landing Platform (FOTR) Vader's Call (ESB) Vader's TIE Fighter (A) (ANH) War Will Follow (AOTC) Wedge's X-wing (A) (BOE) Wookiee Tactics (FOTR) Wristcuffs (BOE) Yoda (G) (ESB) Zam's Sniper Rifle (A) (SAV) Painful Reckoning (ESB) Second Wave (BOY) Zam Wesell (D) (JG) 0 List of Cards with Clarifications Anakin's N-1 Starfighter (A) (ION) Anakin Skywalker (N) (ROTS) Bail Organa (A) (AOTC) Blaster Barrage (ANH) Blockade (TPM) Blow This Thing (BOY) Captain Lorth Needa (A) Careful Targeting (SR) Clone Captain (SR) Combined Squadron Tactics (ROTS) Concentrated Fire (SR) Dantooine Sytem (RAS) Dark Dreams (JG) Dark Sacrifice (RAS) Dark Side's Command (AOTC) Dark Side's Compulsion (AOTC) Darth Sidious (D) PM Darth Sidious (F) (ROTS) Darth Sidious (G) (ROTS) Darth Vader (F) (BOY) Darth Vader (H) (ESB) Death Star (C) (BOY) Decoy tactics (ESB) Deflectors Activated (RAS) Don't Get All Mushy (ESB) Duel of the Fates (TPM) Emperor Palpatine (C) (ROTJ) Emperor Palpatine (E) (ROTJ) Emperor's Prize (ESB) Environmental Modifications (BOH) Escape Pod (BOY) Ewok Village (ROTJ) Executor (C) (BOE) Falcon's Needs (RAS) Forward Command Center (JG) Frostbite (BOH) General Grievous (B) (FOTR) General Grievous (D) (FOTR) Getaway Speeder (BH) Hero's Potential (BOY) Hound’s Tooth (A) (RAS) IG-88 (B) (BH) Imperial Landing Craft (BOY) Imperial Manipulation (ANH) Imperial Supremacy (BOH) In Disguise PM It Just Might Work (ROTS) It's Not Over Yet (ANH) Jabba the Hutt (B) (ROTJ) Jedi Council Quorum (JG) Jedi Extinction (ANH) Jedi Temple (TPM) Jedi Trap (ESB) Lama Su (A) (AOTC) Lando Calrissian (F) (RAS) Lando Calrissian (J) (SAV) Lando's Influence (RAS) Lars Homestead (RAS) Luke Skywalker (I) (ESB) Luke's Vow (RAS) Mace Windu (F) (ROTS) Mas Amedda (A) (ROTS) Millennium Falcon (B) (BOY) Millennium Falcon (F) (ESB) Mist Hunter (A) (RAS) Mynock {ESB} (ESB) Necessary Deception (ION) Negotiate the Peace (TPM) Neimoidian Shuttle (A) (JG) Nien Nunb (A) (ROTJ) Nexu (AOTC) Nute Gunray (C) (TPM) Obi-Wan Kenobi (A) (AOTC) Obi-Wan Kenobi (H) (BOY) Obi-Wan Kenobi (S) (ION) Painful Reckoning (ESB) Penetrate the Shields (ANH) Press the Advantage (ANH) Prince Xizor (A) (RAS) Princess Leia (M) (BOE) Qui-Gon Jinn (E) (ION) Rage of Victory (ROTS) Rally the Defenders (ESB) Rebel Marine Squad (ANH) Rebel Surrender (ANH) Remember the Prophecy (JG) Sabé (A) (ION) Sabers Locked (BOY) Sando Aqua Monster Sarlacc (A) (ROTJ) Self-Destruct (ESB) Sith Infiltrator (A) (SR) Sleight of Hand (A) (BH) Snowtrooper Elite Squad (ESB) Space Slug {RAS} (RAS) Spinning Slash (ROTS) Star Destroyer {RAS} (RAS) Stormtrooper Sentry (RAS) Streets of Cloud City (ESB) Stubborn Personality (ROTS) Surprise Reinforcements (ESB) Tame the Beast (JG) Trade Federation Battle Freighter (JG) Trade Federation Core Ship (JG) Tydirium (A) (BOE) Tyranus's Edict (AOTC) Ugnaught (RAS) Unity of the Jedi (ROTS) Untamed Ronto (BOY) Vader's Fury (BOY) Vader's TIE Fighter (A) (ANH) Vader's TIE Fighter (C) (BOE) Vader's Vengeance (ESB) Walking Droid Starfighter (TPM) Wampa (ESB) Wampa Cave Wookiee Hug (ROTJ) Yoda (G) (ESB) Yoda (H) (ESB) Yoda (K) (ROTS) List of Restricted Cards The following cards are currently restricted to one (1) card per deck in IDC sanctioned tournaments: Blockade* (TPM) Blockaded Naboo (ION) Chewbacca (G)* (RAS) Death Star II (D) (BOE) Falcon's Needs* (RAS) Free Tatooine* (ROTJ) Han's Promise* (ESB) Lost in the Asteroids* (JG) Lull in the Fighting* (JG) Occupied Tatooine* (ROTJ) Peace on Naboo* (JG) Price of Serenity (ION) * Cards with an asterisk were previously restricted in DCI sanctioned tournaments under WOTC. List of Banned Cards The following cards are currently banned in IDC sanctioned tournaments: Duel of the Fates* (TPM) Holoprojection Chamber* (RAS) Hotwire (BOE) Kessel System* (RAS) Luke's X-wing (E) (SAV) R2-D2 (J) (ROTS) Ugnaught* (ESB) Weapon Turret (ION) * Cards with an asterisk were previously banned in DCI sanctioned tournaments under WOTC. Watch List The following cards are being watched by the IDC for possible abuses. If you have any information showing the abuse of any card, please inform the IDC at firstname.lastname@example.org: Basilisk Defense Legion Orn Free Taa (A) (TPM) Price of Serenity (ION) Mandalorian Special Training Padmé Amidala (H) (ROTS)
INVESTOR FACTSHEET 2016 OVERVIEW The Quarto Group (LSE: QRT) is the leading global illustrated book publisher and distribution group. Its mission is to make and sell great books that entertain, educate and enrich the lives of adults and children around the world. Quarto sells books across 47 countries and in 39 languages through a variety of traditional and non-traditional channels, while constantly looking for new ways to create and deliver content that people need. Quarto employs over 400 talented people in the US, UK, Hong Kong, Australia and New Zealand. The Group was founded in London in 1976. It is domiciled in the US and listed on the London Stock Exchange. At the heart of the business is a belief in creative independence that enables Quarto to produce books of an enduring nature that stand the test of time. This results in more than 50% of the Group's annual turnover being derived from a backlist of over 9,000 titles; providing a high quality revenue stream enabling Quarto to constantly invest in the highest quality of new books. Quarto therefore invests in intellectual property in a manner that no other publisher does. STRATEGY Quarto's strategy is to grow revenue and margins by leveraging its scale and reach as the leading global illustrated book publisher and distribution group to build a business with sustainable growth in EPS and dividend while reducing its net debt. KPIs Revenue growth Focus is on organic growth for each imprint. Quarto also searches for earnings accretive lists, imprints or businesses that can enhance the marketing and sales efforts of existing businesses. 2015 Revenue +6% Group value add Each of Quarto's imprints and businesses is creatively independent while receiving support, scale and reach through the Group's global operations, sales & marketing platform. FOUR YEAR SNAPSHOT Revenue ($m) Operating margin Quarto leverages its illustrated publishing focus to buy print and freight effectively, as well as being relentless in identifying other supply chain efficiencies. 2015 Publishing Operating Margin 12.8% Distribution development Intellectual property Quarto is committed to investing in long-lasting IP. In pursuing the very best photography, artwork, design and writing, Quarto aims to safeguard the future revenue streams of the business. Debt reduction and dividend increases Quarto develops direct physical distribution relationships and partnerships and is committed to selling its books wherever, however and in multiple markets, languages and formats. Focus on reducing debt and increasing dividends to enhance shareholder value. Debt -27% since 2012. Dividend +6% in 2015. 14.1 Net Debt ($m) Publishing Adjusted Operating Profit* ($m) 6 Blundell St. London N7 9BH Contact: Dorothee de Montgolfier Group Director of Communications Tel: +44 (0)207 7700 6700 www.quartoknows.com INVESTMENT CASE * Resilient global book market, especially in illustrated books * Market, channel and customer diversity * Co-edition model is lower risk with higher revenue visibility * International publishing platform is both flexible and scalable * Substantial IP with a back catalogue of over 9,000 titles and an annual investment of $35m – in line with three-year amortisation policy * Not dependent on immediate best-sellers – more than 50% of annual sales p.a. from back catalogue * Increasing exposure to Children's books, one of the faster growing areas in publishing * Solid expertise and performance in foreign language rights * Organic growth supplemented by acquisitive growth * Management committed to steady reduction of debt and dividend growth, supported by strong cash flow STOCK DATA (AS OF 30.09.16) Market Capitalisation: £57.4m Shares Outstanding: 20.44m Symbol: QRT 2016 FINANCIAL CALENDAR SUBSTANTIAL SHAREHOLDINGS (AS OF 30.09.16) ADVISORS Corporate Stockbroker: Stockdale Securities Ltd Principal Bankers: Bank of America/ Fifth Third Bank/ SantanderUK/RBS Legal Advisors: Olswang LLP Auditors: Deloitte LLP ACQUISITION GROWTH Category Enhancing e.g. The Harvard Common Press; adds to the portfolio of cookery titles; expands parenting Step Changers Additions to the business; e.g. becker&mayer Additional Expertise e.g. small world creations; children's 0-3/formats, not an area we had coverage in Adjacencies Complementary to existing portfolio & sales channels; i.e. books plus & educational products Competition Ingestion e.g. Ivy Press and imprints; synergistic consolidation Distribution Enhancing A business that owns a specific channel to market SUMMARY OF KEY EVENTS FINANCIAL HIGHLIGHTS \| \| 2015 \| 2014* \| 2013* \| 2012* \| 2011* \| \|---\|---\|---\|---\|---\|---\| \| Results ($000) \| \| \| \| \| \| \| Revenue \| 182,165 \| 171,339 \| 175,481 \| 180,632 \| 185,937 \| \| Operating profit before amortisation of acquired intangibles and exceptional items \| 17,206 \| 15,919 \| 14,565 \| 14,986 \| 14,594 \| \| Operating profit \| 16,037 \| 15,982 \| 10,726 \| 12,962 \| 12,570 \| \| Profit before tax, amortisation of acquired intangible assets and exceptional items \| 14,108 \| 11,942 \| 9,294 \| 9,034 \| 10,844 \| \| Profit before tax \| 12,939 \| 12,005 \| 5,455 \| 7,010 \| 9,315 \| \| Profit after tax \| 9,254 \| 9,083 \| 3,761 \| 5,124 \| 7,681 \| \| Assets employed ($000) \| \| \| \| \| \| \| Non-current assets \| 104,433 \| 102,416 \| 102,364 \| 106,537 \| 105,452 \| \| Current assets \| 108,369 \| 99,701 \| 97,907 \| 106,157 \| 117,482 \| \| Current liabilities \| (70,635) \| (144,918) \| (70,485) \| (67,002) \| (137,898) \| \| Non-current liabilities \| (87,127) \| (6,464) \| (83,776) \| (98,019) \| (41,608) \| \| Net assets \| 55,040 \| 50,735 \| 46,010 \| 47,673 \| 43,428 \| \| Financed by ($000) \| \| \| \| \| \| \| Equity \| 49,881 \| 45,794 \| 41,201 \| 40,726 \| 36,741 \| \| Non-controlling interests \| 5,159 \| 4,941 \| 4,809 \| 6,947 \| 6,687 \| \| \| 55,040 \| 50,735 \| 46,010 \| 47,673 \| 43,428 \| \| Earnings Per Share (cents) \| \| \| \| \| \| \| Basic \| 45.0 \| 44.5 \| 17.0 \| 23.9 \| 36.8 \| \| Diluted \| 44.9 \| 44.5 \| 17.0 \| 23.9 \| 36.8 \| \| Adjusted basic \| 49.9 \| 44.1 \| 36.1 \| 41.6 \| 43.6 \| \| Adjusted diluted \| 49.8 \| 44.1 \| 36.1 \| 41.6 \| 43.6 \| \| Net Debt ($m) \| 50.7 \| 66.1 \| 70.2 \| 81.0 \| 81.4 \| \| Dividend Per Share** \| 14.5c \| 8.3p \| 7.9p \| 7.9p \| 7.9p \| \| Dividend Cover (x) \| 3.4 \| 3.6 \| 1.7 \| 2.2 \| 3.1 \| * Restated for prior year adjustments ** Dividend declared in pence per share up to 2014 and in cents per share from 2015 TREASURY AND ACCOUNTING POLICIES The Group's financial statements are presented in US Dollars. Exchange Rates: The Group is exposed to movements in foreign exchange rates (principally US$) against Sterling for transactions and the translation of net assets and income statements of overseas operations. The Group uses currency swaps to mitigate £/$ fluctuations. Borrowings: These are in £,$ and ¤ to hedge the movement in net assets in those countries. Taxation: Quarto is incorporated in Delaware (US) and is tax resident in the US. Accounting Policies: The Group's detailed accounting policies are set out on pages 75-82 of the 2015 Annual Report. KEY INITIATIVE Quarto's children's publishing revenues have grown by over 75% from 2012 and were 22% of publishing revenues at the end of 2015. It is a key area of organic growth and expansion. Children's Publishing Revenues ($m) 2015 32.4 2014 2013 23.0 19.6 2012 18.5 MANAGEMENT Peter Read is Chairman and is currently a non-executive director of EVR Holdings, Concha Plc, Quayle Munro Holdings, the Professional Cricketer's Association, and the Royal Automobile Club. He was formerly chairman of KPMG's Telecoms, Media and Technology practice and a partner for over 20 years. Marcus Leaver has been Chief Executive Officer since December 2012, having joined the board of Quarto as Chief Operating Officer in May 2012. Prior to Quarto, he worked in the USA from 2005, latterly as President of Sterling Publishing, a subsidiary of Barnes & Noble, the leading bricks-and-mortar bookseller in the US. Before that, he worked in London for Chrysalis Group PLC, a LSE-listed media company, latterly as CEO of Chrysalis Books Group, from 2002. Michael Connole joined Quarto as Chief Financial Officer on 1 September 2015. He has considerable experience in media, being CFO of Global Radio, the UK's largest commercial radio group from June 2008 to August 2015, and prior to that he was Group Finance Director at Chrysalis Group PLC, where we worked from 1997 to 2008. He qualified as a chartered accountant in 1988.
PREPARED BY ELLEN BAILEY, SENIOR ADVISOR FOR DIVERSITY, INCLUSION, AND BELONGING JANUARY 2021 Progress & Potential DIVERSITY, INCLUSION & BELONGING REPORT PROGRESS & POTENTIAL: DIVERSITY, INCLUSION & BELONGING REPORT "If you see something that is not right, not fair, not just, you have a moral obligation to do something about it." JOHN LEWIS At Harvard Business Publishing, we are committed to embracing—and promoting—diversity and inclusion. We pledge to address systemic racism within our own organization. Working to create a safe environment where we foster and leverage diversity is an imperative for our organization. Beyond business benefits, we are doing what is right and just for our people, our global community, and society. Why is this work important? One day two years ago, I experienced a series of microaggressions at work that were disappointing and to be honest, hurtful. For me this was one more indignity among many that I have experienced my entire life. But this moment set me off to do some soul searching. It was clear that making small corrections was not enough to create a true culture of inclusion at Harvard Business Publishing. I decided that night that I needed to speak up, no matter the cost. I accepted a "tour of duty" as senior advisor for diversity, inclusion, and belonging, reporting to the president. Now six months in, I am heartened by our progress. I am honored to guide our team on this journey as we do what is right. We may get in some "good trouble" along the way, but it's worth it to create a work community where everyone feels a sense of belonging and can thrive as their true selves. Once I raised these concerns to my unit leaders, there was some initial progress. My side hustle became helping Harvard Business Publishing be better at diversity and inclusion, calling out where there were systemic and cultural misses. My views weren't always popular, and I am sure I rubbed some people the wrong way. But I also started to hear from people across our company about their own struggles and concerns, increasing my resolve. The world seeing the death of George Floyd created an immediate sense of urgency. It is not enough to be more aware and incensed. It's time to take more serious action. Doing what's right is not easy, despite our good intentions. It means fighting the slide back to the easier path, to the way things have been done before. And now we are doing that work. With our influence and reach, we are in a powerful position to level the playing field and drive equity not only at Harvard Business Publishing, but also across our clients, the global business community, and society. I look forward to continuing this work. Ellen The Job to Be Done How will we create a culture where everyone thrives? INCLUSION DIAL Safe: Welcome: Employees feel physically and emotionally safe in the workplace, regardless of who they are. Employees feel welcome in the workplace, regardless of who they are; they can bring their "whole selves" to work without penalty. Cherished Safe Welcome Celebrated Celebrated: Cherished: Employees feel celebrated in the workplace because of who they are; they are rewarded for contributing their unique ideas and perspectives. A culture of inclusion permeates the organization; leaders embrace differences among employees as a source of competitive advantage, and there is minimal variability in the experience of belonging across individuals, teams, and functions. Source: Unleashed: The Unapologetic Leader's Guide to Empowering Everyone Around You (Frances Frei and Anne Morriss, Harvard Business Review Press, June, 2020) 4 Early Insights from Our Team "Being younger and having less experience makes it harder to speak up and be heard in meetings." "There is a lack of diversity here ... Leadership is very homogenous." "We don't practice what we publish." Source: Diversity@Workplace Research and Focus Groups, 2020 "Increasing diversity does not, by itself, increase effectiveness; what matters is how an organization harnesses diversity, and whether it's willing to reshape its power structure." ROBIN J. ELY AND DAVID A. THOMAS from "Getting Serious About Diversity: Enough Already with the Business Case," Harvard Business Review, NovemberDecember 2020 Our Strategy and Vision for Diversity, Inclusion, and Belonging A Strategy That Creates Equal Opportunity to Thrive Our diversity, inclusion, and belonging (DIB) strategy aligns with Harvard Business Publishing's FY21 Culture Goal "Revitalize Our Culture and Mission," and supports other goals on future growth and enabling our future. This strategy provides a shared direction and commitment so we can work together to create a diverse and inclusive environment where we transition from initiatives to a way of being. DIVERSITY, INCLUSION, AND BELONGING GOALS Workplace Diversity Workplace Inclusion Enhance our workforce by creating and launching a talent acquisition plan to attract and hire diverse talent. We pledge to work together to create a safe environment and foster a culture where employees are encouraged to bring their unique talents to work to enhance the environment and drive innovation. From Vision to Action This diversity, inclusion, and belonging work "unleashed" the energy, commitment, and passion of our employees, illuminating the desire and need for tangible and measurable progress. Since June 2020—even with the added challenges of the pandemic—we have taken many tangible steps on these primary goals. FY21 Q3-Q4 ACTIONS Workplace Diversity * Create outreach plan to attract and select diverse talent, with a focus on increasing the number of Black and Latinx employees. * Analyze and revise the sourcing, interview, selection, and procedural steps in hiring. * Determine the diversity of the existing supply chains. * Ensure all new external-facing materials are inclusive and depict diversity. Workplace Inclusion * Implement an all-staff awareness program focusing on a common language and unconscious bias. * Launch our manager program, Leading Inclusively. * Determine inclusive behavioral expectations, recognition, and measurement processes. * Identify needed employee resource groups. * Review/enhance standard human resources policies and procedures to reflect our broader commitments. A Few Early Wins KEY PILLAR FOCUS \| Culture Gain a better We partnered with Diversity@Workplace to conduct This work helped us better defnie the understanding of the anonymous focus groups, and we set up an online current state and revealed the hard work form where we invite additional information. We we need to do to ensure Harvard Business current state of the published the Diversity@Workplace Report to all of Publishing is a psychologically safe place to culture through a Harvard Business Publishing in December 2020. work—a culture where people can thrive. non-biased, unflitered, safe process. \| \| \| \| \|---\|---\|---\|---\| \| Leadership \| Rapidly deliver a solid set of resources ahead of longer-term work. \| We delivered a DIB Reference Guide/Playbook that includes everything from terminology to actions you can take in the workplace to support diversity to external resources on Black history. \| We’ve already seen great uptake on the use of the DIB Guide and have heard positive feedback from teams across the organization. \| \| Presence \| Ensure diversity across Harvard Business Publishing’s supplier network. \| The procurement council designed and implemented a Supplier Diversity Survey and intake management system to capture data that was not included before. \| We are now collecting data on diversity across all suppliers and developing a much clearer picture of our supplier network, to better inform vendor selection. \| \| Community \| Launch partnerships with organizations helping elevate the underrepresented. \| We launched a partnership with Sponsors for Education Opportunity (SEO) and Year Up, providing leadership digital content for all participants and alumni in support of their careers. We are also partnering with SEO as part of a new summer internship program. \| This is a great start and learning experience for us as we continue this work with other mission-driven organizations. \| DELIVERABLES IMPACT Many Signs of Progress Across the Organization "I have learned that being a fast follower is not enough. This is a critical time and necessary change that I need to proactively lead." "All business units have held free D&I webinars for their customers and published free content on these topics." "It was great to learn about the five Ambassador Teams this morning, and to learn all the real changes and actions that are underway!" "I'm proud and appreciative of our Harvard Business Publishing leadership—from Ellen's longtime passion, vision, and influence to Larry's care and commitment, on up to David Wan's heart to listen and act." "HBRG has added more minorities as podcast hosts and contributors." "We engaged a team to capture author diversity data and update the search function and taxonomy to include DIB terms and minority authors." "I am so happy, honored, and proud to be part of this team and this organization, especially at this historic moment." "Great goals and action plan— both the form and substance of it were fantastic. Lots to learn and do for all of us—it's going to be a fruitful journey." "Higher Education created a mission statement for the business based on the work we are doing: We are committed to developing leaders who will foster and leverage diversity to make a difference in the world." "I had an idea to change the interview guide question on 'good cultural fit' … our HR colleagues were extremely supportive of substituting it with: 'What unique contributions might this candidate make to the mission of Harvard Business Publishing?'" "We are working hard to increase the Black and Latinx population at Harvard Business Publishing. We engaged a consultant to help us review and revise our recruiting, sourcing, and hiring approach." "Corporate Learning revamped the Harvard ManageMentor Diversity module to launch in February 2021." FY22 Roadmap Listen, Hear, Act Is Our Commitment to Our Employees Thanks to our employees having the courage to participate in the anonymous assessment of our culture, we became aware of the biggest dragons that need to be slayed. We heard that we need to increase the representation of the underrepresented, and we need more racial and ethnic diversity. As a result, for FY22, we are revising our DIB strategic pillars to better reflect these priorities. FY22 FOCUS AREAS * Create safe discussion spaces and resource groups * Offer ongoing education * Leaders encourage and embrace diversity of thought, influencing employee engagement and innovation Increase Representation * Ensure equitable recruiting and selection processes, striving toward being an employer of choice for Black, indigenous, and people of color (BIPOC) candidates * Continue to publish diverse voices * Diversify the supply chain Equitable Talent Management * Integrate DIB into standard policies and practices * Ensure equitable development, review processes and career opportunities * Leaders foster inclusive teams and demonstrate allyship, sponsorship, and/ or mentorship Partnerships & Community * Increase BIPOC pipeline by expanding internship programs * Continue partnerships with organizations that work to elevate the underrepresented * Communicate transparently to the community on our work, progress, and results Tracking Progress and Impact To measure success, we will focus on key deliverables in our plan that demonstrate progress. We will also track progress on key metrics, such as reaching new diversity thresholds in hiring, presence of BIPOC talent in senior roles, and active engagement across the communication forums and channels we have created. And we will watch for more qualitative and subtle milestones—from positive client feedback on our efforts to minority team members speaking out more in meetings. This work is complex. It is a continuous journey that has no clear end. Our best path forward is to continue to demonstrate our commitment through our actions and to maintain the complete transparency of our efforts. I am excited about what is possible with this incredible team. © 2021 Harvard Business School Publishing. All rights reserved.
White Paper Aviation icf.com Are self-connections ready to enter the mainstream? By Kata Cserep, ICF In 2018, more passengers have self-connected between un-aligned airlines – also known as "virtual interlining" – than ever before. Airports at the forefront of this trend are already seeing the benefits, measured in passenger and network reach terms. With a thoughtful approach and understanding of what (and who) is driving the self-connecting trend, executives can influence their share of this rapidly growing segment and boost their air service development in the process. What is different? I've argued that much like the way low-cost carriers (LCCs) have transformed the point-to-point market, self-connections have the potential to transform the transfer market. We expect the concept to enter the mainstream before long. LCCs with a pure point-to-point model have always carried some connecting passengers: traditionally, they've been adventurous travellers who learned that buying two or more separate tickets can open better and/or cheaper itineraries than those published by airlines. But LCCs are now also attracting connecting passengers intentionally, which seems to be at odds with their traditional ethos of simplicity. Why? Simply put, the lowest hanging fruit has been picked. The new markets created and stimulated by low fares and very simple products are nearing saturation, and LCCs are seeking new ways to compete and to keep growing, while retaining their cost advantages. Over the last 20 years, the LCC model has evolved to include flexible fares, allocated seating, loyalty schemes, holidays, serving primary airports, codesharing, and other features more commonly associated with full service carriers. This is simply a natural next step in the evolution of their business model. Today, LCCs are looking for the next source of incremental revenue, in which the ingredients for large scale self-connections might finally be in place: § § Technology § § Large scale § § Primary airports § § Long-haul LCCs Airlines have the network reach; airports are often willing and supportive partners. Technology makes it simple for the passenger; distribution channels are raising awareness. Where is the opportunity for airports? As one of the first to pioneer this concept, airports found an innovative way to mimic a traditional hub for the benefit of both passengers and airlines. Last year, we projected options for possible development models. As predicted, airlines are now taking a more active role by offering and protecting connections. Does this mean that there is no longer a role for the airport? Not quite. Gatwick in London is perhaps the best-known example, offering its own branded hosted connection service, Gatwick Connects, as well as booking and connection protection service. As a result, it is experiencing tangible traffic growth benefits from being at the vanguard of this trend. Milan, Venice, Singapore Changi and Kuala Lumpur are also notable, where the airport plays an active role in either building connections or facilitating connections as they happen. Several other airports are also developing services tailored to their own airline and passenger mix; we expect more to be launched in the near future. And if one considers the most important reason for self-connections from an airport's perspective – to grow its network – then moving early should lead to a sustainable advantage. Hubs have the power to attract airlines and passengers, which is why the traditional airlines and airports are built around them. However, many traditional hubs are becoming congested, often expensive for some business models and often dominated by one airline or alliance. As a competitive response to these established hubs, virtual hubs now offer an alternative for both airlines and passengers. If airports push ahead in facilitating and promoting self-connections – and can translate this into new destinations (short-haul or long-haul) – then each new point on their network will enable more connections and attract more airlines. Who are the other key players? Airlines As recently as two years ago, most LCCs were indifferent or dismissive of connections, citing the perceived risks and complexities associated with connecting to flights either within their own network or to other airlines'. Then Ryanair announced that it would start offering connections at a number of European airports – while partnering with Air Europa and offering connections to the carrier's long-haul services. EasyJet launched Worldwide, offering single transaction bookings and protected connections to long-haul destinations on partner airlines, using a distribution platform developed by Dohop. Passengers are charged a fee for the service, which covers the costs of protection for misconnected flights and/or baggage and processing. Not surprisingly, Gatwick was a launch airport, and easyJet uses the Gatwick Connects service to deliver the passenger experience at the airport. Milan was the other launch airport, with Berlin Tegel, Amsterdam Schiphol, Venice Marco Polo, Paris Charles de Gaulle and Orly, Edinburgh and Inverness announced in early 2018. ICF understands that in Asia, a number of low cost airlines are developing comparable offerings which are expected to be launched in the near future. Norwegian offers connections on its own metal over its Scandinavian and UK hubs, and also generates a significant proportion of self-connecting bookings, particularly in the transatlantic market. U.S. airports where Norwegian has entered in recent years (Boston Logan, Fort Lauderdale-Hollywood International, Denver International, and Los Angeles International for example), have been some of the main centres of self-connecting passengers, as well as Gatwick, which is the airline's largest UK base. Online Travel Agents (OTAs) Kiwi.com is the best-known player in the self-connection space. From an airport perspective, Kiwi's role can be complementary or potentially competing, depending on whether the airport offers its own self-connect solution. This relatively recent addition (founded in 2012 under the Skypicker name) to the OTA space has a niche in virtual interlining, which comprises around 70% of their bookings. Like other OTAs, Kiwi.com offers a full suite of flights and gets both direct and referred bookings from the meta search sites, building bespoke itineraries that connect low-cost airlines to each other or to full service carriers. In 2017, Kiwi.com partnered with Amadeus to increase its search capacity and further enhance its user experience and market footprint. Its largest origin market for bookings is North America, with most connections over European airports on carriers such as those above, as well as Wizzair and AirAsia. Kiwi.com's fee is bundled with the fare, and absolves both airlines or airports of any liability related to a missed connection. It is not surprising that Kiwi has seen rapid growth, and now has over 2,000 employees. Travel Search Engines Dohop has provided travel search capabilities since 2005, and was one of the first to incorporate self-connection itineraries into their offering. The model combines the content of all carriers and searches for the cheapest combination of airlines and OTAs that would otherwise not feature together. More recently, Dohop has led the development of B2B platforms for airlines and airports, having developed their first self-connect airport platform in conjunction with Gatwick. They also power easyJet's Worldwide platform. This technology has improved at a rapid pace as their distribution reach has widened alongside greater uptake from carriers seeking to bring self-connect into the mainstream. Skyscanner, one of the most recognisable brands in flight search, has over 40 million visitors each month – and is still growing at over 40% a year according to the company's figures. It caters to the full spectrum of flight search and distribution. Travellers find virtual interline itineraries provided by OTAs or airlines, as well as so-called "Skyscanner Mashups," which are true self-connections in the sense that the passenger is not offered a bundle but rather knowingly books two tickets and makes their own connection (without misconnect protection). Alongside Skyscanner, self-connection options also appear on Kayak and Google Flights, both relying on content from aggregator OTAs, airports and airlines. SUMMARY OF KEY PLAYERS \| Type \| Example \| Year self- connection started \| Growth trends \| \|---\|---\|---\|---\| \| Airline \| EasyJet \| 2017 \| In relative infancy, rapid growth from small base, other airlines launching or evaluating \| \| Small number of established players, some experiencing very Airport Gatwick 2014 rapid growth; numerous, more passive participants \| \| \| \| \| OTA \| Kiwi.com \| 2012 \| 150% growth in 2017, similar expected in 2018 \| So how big is this market today? Our latest estimates indicate approximately 70 million passengers a year – an increase of 27% compared to 2017, and equivalent to 10% of all transfer passengers worldwide. These estimates are based on several data points, including airport surveys, meta search data, as well as ICF's self-connection sizing tool, which models all feasible and likely traditional and self-connecting itineraries. Despite the self-connect market's rapid growth, it remains a niche traffic segment. Data from Kiwi.com suggests a growth in their passengers of over 100% in the last year alone, with similar growth expected in the next 12 months. As the concept gains popularity among passengers and airlines, and different regions of the world adapt the model to align with demand preferences, a global figure of 100 million or more passengers per year (in airport terminal passenger terms) becomes a realistic figure. Geographically, Europe and Asia have a higher share of self-connect, with the U.S. still largely in wait-and-see mode. This is not surprising, since the U.S market is much more consolidated than other world regions—the top six airlines have a 91% capacity share—and all airlines, including LCCs like Southwest and jetBlue, rely heavily on connections within their own network. According to data provided to ICF by Skyscanner, Kiwi.com and Dohop (who are all broadly consistent in their rankings), the top airports for self-connections today include: § § Gatwick, UK – host to Gatwick Connects, easyJet Worldwide, and Norwegian's UK hub. § § Kuala Lumpur, Malaysia – host to AirAsia and AirAsiaX, as well as Malaysian Airlines. § § Fort Lauderdale – host to Norwegian's long-haul flight from Europe as well as jetBlue, Spirit and Southwest domestically, and to the Caribbean. § § Chennai – host to Indigo, India's largest LCC, as well as international services from Emirates, Etihad, and SriLankan. LAST THREE YEARS' CAPACITY GROWTH, CAGR, PERCENT Source: OAG data Although there are many factors contributing to traffic growth, comparing these airports to their peers shows that three out of the four of them grew faster between 2015 and 2017 than their regional average, which can lend support to the idea that this incremental traffic can contribute to out-performance. What next? In the coming years, we expect some (or all) of the following trends in the area of self-connections: § § More airlines doing this themselves as well as co-operating with others. § § Further changes in the distribution space. The battle for the customer continues and consolidation seems almost inevitable. § § The U.S. market will realize that this product has benefits for passengers, airlines and airports. First movers will emerge. § § Someone will crack the bags challenge and enable through-checked bags from origin to destination. § § Common standards and/or a common language around the concept will emerge, supporting further awareness. These trends will continue to drive greater acceptance by airlines, travel agents, airports – and most importantly passengers. LCCs around the world are the driving force of capacity additions, with their fleet and schedule additions far exceeding legacy carriers'. They will help to ensure that self-connections, which typically involve at least one LCC leg, will become an even more important part of future travel patterns. Airports who understand this shift and its implications for network development will be well positioned to capitalise on the new opportunities. About the Author Kata Cserep leads ICF's airports practice and regularly advises airports with longer term strategic advice relating to traffic, pricing, regulations, incentives, and transactions. She is an expert at communicating the key demand and supply issues facing airports and their implications for business planning. She joined ICF in 2005 and has delivered a wide variety of high value projects, including airline diagnostics and business planning, detailed market studies including socio-economics and tourism, and due diligence of airline and airport transactions. In recent years Ms. Cserep's focus has been on the strategic aspects of airport development, including the interplay between policy, business planning, and economic development, as well as the continued evolution of the airline-airport business relationship. Ms. Cserep has both a master's degree and a bachelor's degree in Economics from the University of Cambridge, Trinity College in the United Kingdom. For more information, contact: Kata Cserep firstname.lastname@example.org +44 20 3096 4921 twitter.com/ICF linkedin.com/company/icf-international facebook.com/ThisIsICF/ Any views or opinions expressed in this white paper are solely those of the author(s) and do not necessarily represent those of ICF. This white paper is provided for informational purposes only and the contents are subject to change without notice. No contractual obligations are formed directly or indirectly by this document. ICF MAKES NO WARRANTIES, EXPRESS, IMPLIED, OR STATUTORY, AS TO THE INFORMATION IN THIS DOCUMENT. About ICF ICF (NASDAQ:ICFI) is a global consulting services company with over 5,000 specialized experts, but we are not your typical consultants. At ICF, business analysts and policy specialists work together with digital strategists, data scientists and creatives. We combine unmatched industry expertise with cutting-edge engagement capabilities to help organizations solve their most complex challenges. Since 1969, public and private sector clients have worked with ICF to navigate change and shape the future. Learn more at icf.com. No part of this document may be reproduced or transmitted in any form, or by any means (electronic, mechanical, or otherwise), for any purpose without prior written permission. ICF and ICF INTERNATIONAL are registered trademarks of ICF and/or its affiliates. Other names may be trademarks of their respective owners. BIS PPR 1018 0159
Submittal of Annual Reports and other Compliance Documents for Municipal Separate Storm Sewer System (MS4) Permits NOTE: Missing or incomplete fields are highlighted at the bottom of each page. You may save, close and return to your draft permit as often as necessary to complete your application. After 120 days your draft is deleted. Reporting Information Required Attachments and Supplemental Information Please complete the contents of each tab to submit your MS4 permit compliance document. The information included in this checklist is necessary for a complete submittal. A complete and detailed submittal will help us review about your MS4 permit document. To help us make a decision in the shortest amount of time possible, the following information must be submitted: Review related web site and instructions for Municipal storm water permit eReporting [Exit Form] Complete all required fields on the annual report form and upload required attachments Attach the following other supporting documents as appropriate using the attachments tab above Public Education and Outreach Annual Report Summary Public Involvement and Participation Annual Report Summary Illicit Discharge Detection and Elimination Annual Report Summary Construction Site Pollution Control Annual Report Summary Post-Construction Storm Water Management Annual Report Summary Pollution Prevention Annual Report Summary Leaf and Yard Waste Management Municipal Facility (BMP) Inspection Report Municipal Property SWPPP Municipally Property Inspection Report Winter Road Maintenance Storm Sewer Map Annual Report Attachment Storm Water Quality Management Annual Report Attachment TMDL Attachment Storm Water Consortium/Group Report Will you be completing the Annual Report or other submittal type? Annual Report Other Is this submittal also satisfying an Urban Nonpoint Source Grant funded deliverable? Yes No Project Name: 2019 MS4 Annual Report County: Dane Municipality: Fitchburg City Permit Number: S058416 Facility Number: 30904 Reporting Year: 2019 Annual Report Municipal Cooperation Attachment Other Annual Report Attachment Attach the following permit compliance documents as appropriate using the attachments tab above Storm Water Management Program (S050075-03 general permittees shall have a written storm water management program that describes in detail how the permittee intends to comply with the permit requirements for each minimum control measure. Updated programs are due to the department by March 31, 2021.) Public Education and Outreach Program Public Involvement and Participation Program Illicit Discharge Detection and Elimination Program Construction Site Pollutant Control Program Post-Construction Storm Water Management Program Pollution Prevention Program Municipal Storm Water Management Facility (BMP) Inventory (S050075-03 general permittees 2.6.1 inventory due to the department by March 31, 2021.) Municipal Storm Water Management Facility (BMP) Inspection and Maintenance Plan (S050075-03 general permittees 2.6.2 – document due to the department by March 31, 2021.) Sign and Submit form Municipal Contact Information- Complete Note: Compliance items must be submitted using the Attachments tab. Notice: Pursuant to s. NR 216.07(8), Wis. Adm. Code, an owner or operator of a Municipal Separate Storm Sewer System (MS4) is required to submit an annual report to the Department of Natural Resources (Department) by March 31 of each year to report on activities for the previous calendar year ("reporting year"). This form is being provided by the Department for the user's convenience for reporting on activities undertaken in each reporting year of the permit term. Personal information collected will be used for administrative purposes and may be provided to the extent required by Wisconsin's Open Records Law [ss. 19.31-19.39, Wis. Stats.]. Municipality Information Name of Municipality Fitchburg City Facility ID # or (FIN): 30904 Updated Information: Check to update mailing address information Mailing Address: 5520 Lacy Rd Mailing Address 2: City: Fitchburg State: Wisconsin Zip Code: xxxxx or xxxxx-xxxx 53711 Primary Municipal Contact Person (Authorized Representative for MS4 Permit) The “Authorized Representative” or “Authorized Municipal Contact” includes the municipal official that was charged with compliance and oversight of the permit conditions, and has signature authority for submitting permit documents to the Department (i.e., Mayor, Municipal Administrator, Director of Public Works, City Engineer). Select to create new primary contact First Name: Mike Last Name: Bisbach Select to update current contact information Title: City Engineer Mailing Address: 5520 Lacy Road Mailing Address 2: City: Fitchburg State: WI Zip Code: xxxxx or xxxxx-xxxx 53711 Phone Number: Ext: xxx-xxx-xxxx 608-270-4261 Email: email@example.com Additional Contacts Information (Optional) I&E Program IDDE Program IDDE Response Procedure Manual Municipal-wide Water Quality Plan Ordinances Individual with responsibility for: (Check all that apply) Pollution Prevention Program Post-Construction Program Winter roadway maintenance First Name: Claudia Last Name: Guy Title: Environmental Eng. Mailing Address: 5520 Lacy Road Mailing Address 2: City: Fitchburg State: WI Zip Code: xxxxx or xxxxx-xxxx 53711 Phone Number: Ext: xxx-xxx-xxxx 608-270-4262 Email: firstname.lastname@example.org Individual with responsibility for: (Check all that apply) I&E Program IDDE Program IDDE Response Procedure Manual Municipal-wide Water Quality Plan Ordinances Pollution Prevention Program Post-Construction Program Winter roadway maintenance First Name: Mark Last Name: Hodel Title: Streets Supervisor Mailing Address: 5520 Lacy Road Mailing Address 2: City: Fitchburg State: WI Zip Code: xxxxx or xxxxx-xxxx 53711 Phone Number: Ext: xxx-xxx-xxxx 608-729-1720 Email: email@example.com 1. Does the municipality rely on another entity to satisfy some of the permit requirements? If yes, enter entity name (government, consultant, group/organization). Yes No 2. Has there been any changes to the municipality's participation in group efforts towards permit compliances (i.e., the municipality has added or dropped consortium membership)? Yes No Public Education and Outreach: Public Involvement and Participation: MAMSWaP Illicit Discharge Detection and Elimination: Construction Site Pollutant Control: Post-Construction Storm Water Management: Pollution Prevention MAMSWaP Dane County Land and Water Resources Department Minimum Control Measures- Section 1 : Complete 1. Public Education and Outreach a. Complete the following information on Public Education and Outreach Activities related to storm water. Select the Mechanism that best describes how the topic message was conveyed to your population. Use the Add Activity to add multiple Mechanisms. For Quantity, choose the range for the number of Mechanisms chosen (i.e., number of workshops, events). Select all applicable audiences targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Select all applicable audiences targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Select all applicable audiences targeted for this topic. Contractors General Public Public Employees Residential School Groups Topic: Detection and elimination of illicit discharges Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Targeted group training (contractors, consultants, etc.) 1 - 9 20 - 49 Yes No Topic: Management of materials that may cause storm water pollution from automobiles, pet waste, household hazardous waste and household practices Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Website 1 - 9 100 + Yes No Signage 1 - 9 100 + Yes No Passive print media (brochures at front desk, posters, etc.) 1 - 9 100 + Yes No Topic: Beneficial onsite reuse of leaves and grass clippings/proper use of lawn and garden fertilizers and pesticides Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Website 1 - 9 100 + Yes No Direct one-on-one communication 1 - 9 1 - 9 Yes No Social media posts 1 - 9 100 + Yes No Business Developers Industries Other: Select all applicable audiences targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Topic: Management of stream banks and shorelines by riparian landowners to minimize erosion and restore and enhance the ecological value of waterways Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Did not focus on this topic this reporting year Select... Select... Yes No Select all applicable audiences targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Select all applicable audiences targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Select all applicable audiences targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Topic: Management of stream banks and shorelines by riparian landowners to minimize erosion and restore and enhance the ecological value of waterways Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Did not focus on this topic this reporting year Select... Select... Yes No Topic: Infiltration of residential storm water runoff from rooftop downspouts, driveways and sidewalks Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Website 1 - 9 100 + Yes No Direct one-on-one communication 1 - 9 20 - 49 Yes No Topic: Inform and where appropriate educate those responsible for the design, installation, and maintenance of construction site erosion control practices and storm water management facilities on how to design, install and maintain the practices Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Website Targeted group training (contractors, consultants, etc.) 1 - 9 100 + Yes No 1 - 9 20 - 49 Yes No Topic: Identify businesses and activities that may pose a storm water contamination concern, and where appropriate, educate specific audiences on methods of storm water pollution prevention Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Direct one-on-one communication 50 - 99 50 - 99 Yes No Select all applicable audiences targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Select all applicable audiences targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Select all applicable audiences targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: b. Brief Public Education and Outreach program information for inclusion in the Annual Report. If your response exceeds the 250 character limit, attach supplemental information on the attachments page. Form 3400-224 (08/19) Social media posts 10 - 19 100 + Yes No Targeted group training (contractors, consultants, etc.) 1 - 9 20 - 49 Yes No Active distribution of print media (mailings, newsletters, etc) 1 - 9 50 - 99 Yes No Topic: Promote environmentally sensitive land development designs by developers and designers, including green infrastructure and low impact development Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Did not focus on this topic this reporting year Select... Select... Yes No Topic: Other (describe): Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Select... Select... Select... Yes No Please see the Appendix A, Section 1 of the attached "Annual Report Appendices" document. Minimum Control Measures - Section 2 : Complete 2. Public Involvement and Participation a. Complete the following information on Public Education and Outreach Activities related to storm water. Select the mechanism that best describes how the topic message was conveyed to your population. Use the Add Activity to add multiple mechanisms. For Quantity, choose the range for number Mechanisms chosen (i.e., number of workshops, events). Select all applicable participants targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Select all applicable participants targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Select all applicable participants targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Topic: Storm Water Management Plan and/or updates Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Website 1 - 9 100 + Yes No Government Event (Public Hearing, Council Meeting, etc) 1 - 9 100 + Yes No Topic: Storm water related ordinance and/or updates Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Website 1 - 9 100 + Yes No Government Event (Public Hearing, Council Meeting, etc) 1 - 9 100 + Yes No Topic: MS4 Annual Report Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Government Event (Public Hearing, Council Meeting, etc) 1 - 9 100 + Yes No Website 1 - 9 100 + Yes No opic: VolunteerOpportunities T Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Clean-up events 1 - 9 50 - 99 Yes No Select all applicable participants targeted for this topic. Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: Select all applicable participants targeted for this topic . Contractors General Public Public Employees Residential School Groups Business Developers Industries Other: b. Brief Public Involvement and Participation program information for inclusion in the Annual Report. If your response exceeds the 250 character limit, attach supplemental information on the attachments page. Form 3400-224 (09/19) M in imum C ontro l Me a sur e s - Se c tion 3 : Complete Topic: Other (describe): Byrne Pond Public Meetings Mechanism Quantity (optional) Est. People Reached (optional) Regional Effort? (optional) Presentation of Storm Water Information 1 - 9 20 - 49 Yes No Please see the Appendix A, Section 2 of the attached "Annual Report Appendices" document. 3. Illicit Discharge Detection and Elimination a. How many total outfalls does the municipality have? 643 Unsure b. How many outfalls did the municipality evaluate as part of their routine ongoing field screening program? 150 Unsure c. From the municipality's routine screening, how many were confirmed illicit discharges? 0 Unsure d. How many illicit discharge complaints did the municipality receive? 1 Unsure e. From the complaint received, how many were confirmed illicit discharges? 0 Unsure f. How many of the identified illicit discharges did the municipality eliminate in the reporting year? (If the sum of 3.c. and 3.e. does not equal 3.f., please explain below.) 0 Unsure g. How many of the following enforcement mechanisms did the municipality use to enforce its illicit discharge ordinance? Check all that apply and enter the number of each used in the reporting year. Unsure Verbal Warning 0 Written Warning (including email) 0 Notice of Violation 0 Civil Penalty/ Citation 0 Form 3400-224 (08/19) M in imum C ontro l Me a sur e s - Se c tion 4 : Complete Notice of Violation 0 Civil Penalty/ Citation 0 Additional Information: h. Brief Illicit Discharge Detection and Elimination program information for inclusion in the Annual Report. If your response exceeds the 250 character limit, attach supplemental information on the attachments page. Please see the Appendix A, Section 3 of the attached "Annual Report Appendices" document. 4. Construction Site Pollutant Control a. How many total construction sites were active at any point in the reporting year? 52 Unsure b. How many construction sites did the municipality issue permits for in the reporting year? 30 Unsure c. Do the above numbers include sites <1 acre? Yes No Unsure d. How many erosion control inspections did the municipality complete in the reporting year? 1152 Unsure e. What types of enforcement actions does the municipality have available to compel compliance with the regulatory mechanism? Check all that apply and enter the number of each used in the reporting year. Unsure No Authority Verbal Warning 222 Written Warning (including email) 200 Notice of Violation 17 Civil Penalty/ Citation 17 Stop Work Order 1 Forfeiture of Deposit 0 Other - Describe below f. Brief Construction Site Pollutant Control program information for inclusion in the Annual Report . If your response exceeds the 250 character limit, attach supplemental information on the attachments page. Please see the Appendix A, Section 4 of the attached "Annual Report Appendices" document. Minimum Control Measures - Section 5 : Complete 5. Post-Construction Storm Water Management 18 Unsure Form 3400-224 (08/19) a. How many sites with new structural storm water management facilities* have received local approval ? Engineered and constructed systems that are designed to provide storm water quality control such as wet detention ponds, constructed wetlands, infiltration basins, grassed swales, permeable pavement, catch basin sumps, etc. b. How many privately owned storm water management facilities were inspected in the reporting year ? Inspections completed by private land owners should be included in the reported number. 26 Unsure c. What types of enforcement actions does the municipality have available to compel compliance with the regulatory mechanism? Check all that apply and enter the number of each used in the reporting year. Unsure No Authority Verbal Warning 0 Written Warning (including email) 96 Notice of Violation 0 Civil Penalty/ Citation 0 Forfeiture of Deposit Complete Maintenance 0 Bill Responsible Party 0 Other - Describe below d. Brief Post-Construction Storm Water Management program information for inclusion in the Annual Report . If your response exceeds the 250 character limit, attach supplemental information on the attachments page. Please see the Appendix A, Section 5 of the attached "Annual Report Appendices" document. M in imum C ontro l Me a sur e s - Se c tion 6 : Complete 6. Pollution Prevention Storm Water Management Facility Inspections (ponds, biofilters, etc.) Not Applicable a. Enter the total number of municipally owned or operated structural storm water management facilities ? 94 Unsure b. How many new municipally owned storm water management facilities were installed in the reporting year ? 2 Unsure c. How many municipally owned storm water management facilities 23 Unsure were inspected in the reporting year? d. What elements are looked at during inspections (250 character limit)? Inflow pipes and whether they needed maintenance or cleaning. e. How many of these facilities required maintenance? 2 Unsure Public Works Yards & Other Municipally Owned Properties (SWPPP Plan Review) Not Applicable f. How many inspections of municipal properties have been conducted in the reporting year? 12 Unsure g. Have amendments to the SWPPPs been made? Yes No Unsure h. If yes, describe what changes have been made (200 character limit): Collection Services - Street Sweeping / Cleaning Program Not Applicable i. Did the municipality conduct street sweeping/cleaning during the reporting year? Yes No Unsure j. If known, how many tons of material was removed? 302 Unsure k. Does the municipality have a low hazard exemption for this material? Yes No l. If street cleaning is identified as a storm water best management practice in the pollutant loading analysis, was street cleaning completed at the assumed frequency? Yes No - Explain Not Applicable Collection Services - Catch Basin Sump Cleaning Program Not Applicable m. Did the municipality conduct catch basin sump cleaning during the reporting year? Yes No Unsure n. How many catch basin sumps were cleaned in the reporting year? 62 Unsure o. If known, how many tons of material was collected? 7 Unsure p. Does the municipality have a low hazard exemption for this material? Yes No q. If catch basin sump cleaning is identified as a storm water best management practice in the pollutant loading analysis, was cleaning completed at the assumed frequency? Yes No - Explain Not Applicable Collection Services - Leaf Collection Program Not Applicable r. Does the municipality conduct curbside leaf collection? s. Does the municipality notify homeowners about pickup? Yes Unsure Yes No No Unsure Salt Brine aa t. Where are the residents directed to store the leaves for collection? Pile on terrace Pile in street Bags on terrace Unsure Other - Describe u. What is the frequency of collection? 4 times per year. Residents can also drop it off at the Recycling Drop off Site. v. Is collection followed by street sweeping/cleaning? Yes No Unsure Note: We are requesting information that goes beyond the reporting year, answer the best you can. Liquids (gallons) (ex. brine) Winter Road Management Not Applicable w. How many lane-miles of roadway is the municipality responsible for doing snow and ice control? Unsure 260 x. Provide amount of de-icing products used by month last winter season? Solids (tons) (ex. sand, or salt-sand) Product Oct Nov Dec Jan Feb Mar 0 46 180 391 636 0 Oct Nov Dec Jan Feb Mar 0 768 3694 11195 10991 0 y. Was salt applying machinery calibrated in the reporting year? Yes Unsure No z. Have municipal personnel attended salt reduction strategy training in the reporting year? Yes Unsure No If yes, describe what training was provided (250 character limit): Winter Maintenance Supervisor Certificate Training. Winter maintenance planning, weather, operations, chemicals, maintenance and environmental impacts. When: How many attended: September 4, 2019 3 Internal (Staff) Education & Communication . Has training or education been held for municipal or other personnel involved in implementing each of the pollution prevention program elements ? Yes No Unsure If yes, describe what training was provided (250 character limit): Filler text has been included below in the "When" and "How many attended" fields. Please see the Appendix A, Section 6 of the attached "Annual Report Appendices" document for a list of trainings. When: How many attended: 1/1/2019 Form 3400-224 (08/19) M in imum C ontro l Me a sur e s - Se c tion 7 : Complete ab. Describe how the municipality has kept the following local officials and municipal staff aware of the municipal storm water discharge permit programs and its requirements. Elected Officials Municipal Officials Appropriate Staff ( such as operators, Department heads, and those that interact with public) Website and public meetings Website, public meetings, internal meetings. Website, public meetings, internal meetings. ac. Brief Pollution Prevention program information for inclusion in the Annual Report . If your response exceeds the 250 character limit, attach supplemental information on the attachments page. Please see the Appendix A, Section 6 of the attached "Annual Report Appendices" document. 7. Storm Sewer System Map a. Did the municipality update their storm sewer map this year? Yes No Unsure If yes, check the areas the map items that got updated or changed: Storm water treatment facilities Storm pipes Vegetated swales Outfalls Other - Describe below b. Brief Storm Sewer System Map information for inclusion in the Annual Report. If your response exceeds the 250 character limit, attach supplemental information on the attachments page. Please see the Appendix A, Section 7 of the attached "Annual Report Appendices" document. Final Evaluation - Complete Fiscal Analysis Complete the fiscal analysis table provided below. For municipalities that do not break out funding into permit program elements, please enter the monetary amount to your best estimate of what funding may be going towards these programs. Element: Public Education and Outreach Element: Public Involvement and Participation Element: Illicit Discharge Detection and Elimination Element: Construction Site Pollutant Control Element: Post-Construction Storm Water Management Element: Pollution Prevention Element: Storm Water Quality Management Element: Storm Sewer System Map Annual Expenditure Reporting Year Budget Reporting Year Budget Upcoming Year Source of Funds 12900 12900 13870 Storm water utility 100 100 150 Storm water utility 100 100 100 Storm water utility 42953 15000 35000 Storm water utility 60000 60000 62500 Storm water utility 105000 105000 105000 Storm water utility 60000 82000 93200 Storm water utility 30000 30000 32000 General revenue fund Other (describe) Select... Water Quality a : Were there any known water quality improvements in the receiving waters to which the municipality’s storm sewer system directly discharges to? Yes No Unsure If Yes, explain below: b : Were there any known water quality degradation in the receiving waters to which the municipality’s storm sewer system directly discharges to? Yes No Unsure If Yes, explain below: c: Have any of the receiving waters that the municipality discharges to been added to the impaired waters list during the reporting year? Yes No Unsure d: Has the municipality evaluated their storm water practices to reduce the pollutants of concern? Yes No Unsure Additional Information Based on the municipality’s storm water program evaluation, describe any proposed changes to the municipality’s storm water program. If your response exceeds the 250 character limit, attach supplemental information on the attachments page. Please see Appendix B of the attached "Annual Report Appendices" document for additional information. Requests for Assistance on Understanding Permit Programs Would the municipality like the Department to contact them about providing more information on understanding any of the Municipal Separate Storm Sewer Permit programs? Please select all that apply: Public Education and Outreach Public Involvement and Participation Illicit Discharge Detection and Elimination Construction Site Pollutant Control Post-Construction Storm Water Management Pollution Prevention Storm Water Quality Management Storm Sewer System Map Water Quality Concerns Compliance Schedule Items Due MS4 Program Evaluation Required Attachments and Supplemental Information Any other MS4 program information for inclusion in the Annual Report may be attached on here. Use the Add Additional Attachments to add multiple documents. Upload Required Attachments (15 MB per file limit) - Help reduce file size and trouble shoot file uploads *Required Item Note: To replace an existing file, use the 'Click here to attach file ' link or press the to delete an item. Storm Sewer System Map Attach - Other Supporting Documents (To remove items, use your cursor to hover over the attachment section. When the drop down arrow appears, select remove item) Attach - Permit Compliance Documents (To remove items, use your cursor to hover over the attachment section. When the drop down arrow appears, select remove item) File Attachment StormMapMS4_2019.pdf AR_Other File Attachment AnnualReportAppendices.pdf Sign and Submit Your Application Steps to Complete the signature process 1. Read and Accept the Terms and Conditions 2. Press the Submit and Send to the DNR button NOTE: For security purposes all email correspondence will be sent to the address you used when registering your WAMS ID. This may be a different email than that provided in the application. For information on your WAMS account click HERE . Terms and Conditions Certification: I hereby certify that I am an authorized representative of the municipality covered under Fitchburg City MS4 Permit for which this annual report or other compliance document is being submitted, and that the information contained in this submittal and all attachments were gathered and prepared under my direction or supervision. Based on my inquiry of the person or persons under my direction or supervision involved in the preparation of this document, to the best of my knowledge, the information is true, accurate, and complete. I further certify that the municipality's governing body or delegated representatives have reviewed or been apprised of the contents of this annual report. I understand that Wisconsin law provides severe penalties for submitting false information. Signee (must check current role prior to accepting terms and conditions) Authorized municipal contact using WAMS ID. Delegation of Signature Authority ( Form 3400-220 ) for agent signing on the behalf of the authorized municipal contact. Agent seeking to share this item with authorized municipal contact (authorized municipal contact must get WAMS id and complete signature). Name: Mike Bisbach Title: City Engineer/Director of Public Works Authorized Signature. I accept the above terms and conditions. Signed by : i:0#.f\|wamsmembership\|bisbachm8 on 2020-03-17T14:04:13 You have already signed and submitted this application to the DNR. Please contact the Wisconsin DNR for assistance. After providing the final authorized signature, the system will send an email to the authorized party and any agents. This email will include a copy to the final read only version of this application. Group Municipal Storm Water Discharge Permit WPDES Permit No. WI-S058416-4 (Rev. 7/1/19) Appendix A Minimum Control Measures Section 1. Public Education and Outreach On April 24, the City of Fitchburg hosted the MAMSWaP Illicit Discharge Training for Field Staff. Approximately 20 people attended, including Fitchburg Public Works staff. The City hosted an Erosion Control Training on May 21 to provide contractors, designers, and inspectors with an overview of the City's erosion control requirements. Approximately 25 people attended. In August of 2019, the City sent a direct mailing to 93 commercial water users to let them know about grant opportunities to encourage improvements to water softeners, which would reduce the amount of salt entering our fresh water resources. The following articles created in house were incorporated into Fitchburg's Green E-News Blast (an e-newsletter that residents can sign up for): - Earth Month Events (including waterway cleanups) – March 2019 - "Remember to be Salt Wise!" – November 2019 - A "Mulch" Better Option for your Leaves – October 2019 In addition, the City posted several stormwater-related posts on its Facebook page: - Shovel First and Then Salt – January 2019 - Winter Salt Certification Workshop – February 2019 - Clearing snow around inlets – January & March 2019 - Salt Wise – August, September (2) & October (2) 2019 - Let's Talk About Salt! – December 2019 The City also has several webpages dedicated to public education on water quality topics including: lawn and garden fertilizers, lawn and garden pesticides, native plant sources, polluted urban runoff, pet waste and water quality, rain gardens, and low-salt use for winter maintenance. These webpages are all linked on the following page: http://www.fitchburgwi.gov/2622/Seasonal. Section 2. Public Involvement and Participation Information on Fitchburg's implementation of the Group Municipal Storm Water Discharge Permit is available on Fitchburg's web site at: http://www.fitchburgwi.gov/233/StormwaterDischarge-Permit. Fitchburg's Environmental Engineer is included in email correspondences related to the Madison Area Municipal Stormwater Partnership (MAMSWaP) quarterly meetings. Fitchburg's Environmental Engineer is the primary Fitchburg contact attending the quarterly meetings; however the Environmental Engineering Technician/GIS Specialist also attends occasionally depending on the meeting agenda topics. Fitchburg pays an annual fee to Dane Group Municipal Storm Water Discharge Permit WPDES Permit No. WI-S058416-4 (Rev. 7/1/19) County as part of an Intergovernmental Agreement for Dane County's Stormwater Education Coordinator to provide stormwater-related Information and Education (I&E) services to property owners and residents throughout Dane County. Fitchburg's Environmental Engineer, Claudia Guy, serves on MAMSWaP's I&E Committee. In 2019, storm water ordinances were updated to modify the Erosion Control and Stormwater Management permit fee structure (Resolution 2019-O-20). As a result, most applicants pay the actual costs incurred by the City to provide services relating to the administration of the Code. Waterway clean ups were held on April 6, 2019 at Apache Pond, Yarmouth Greenway, and Quarry Hill Park/Fahey Fields; and April 20, 2019 at Swan Creek Park. Clean ups were led by members of the Resource Conservation Commission and staff provided safety vests, gloves, bags, maps, waiver forms, and name tags. Residents from each neighborhood volunteered to help improve the health of the waterway ecosystems. The City had Public Meetings on March 13, 2019 and May 1, 2019 to discuss a retrofit project to Byrne Dry Pond. These meetings included a discussion water quality goals. Recordings of the meetings can be found at this website: https://wi-fitchburg.civicplus.com/2621/Byrne-PondRetrofit. Section 3. Illicit Discharge Detection and Elimination Stormwater outfalls, release structures, and culverts were inspected for illicit discharges during dry weather periods from May to August of 2019. The inspections involved commercial, industrial, and environmentally sensitive areas. Throughout the year the outfall and pond inspections involved a thorough look for evidence of illicit discharge. Inspectors included the Engineering Technician/GIS Specialist and Environmental Engineering Intern. Out of the ~150 structures inspected in 2019, none exhibited evidence of a potential illicit discharge at the time of inspection. In 2019, staff received one email about a contractor washing concrete directly into the storm drain in the Quarry Vista neighborhood. Although staff went out expeditiously to investigate, by the time staff arrived the contractor was gone. Unfortunately, the person who reported the problem did not include a license plate number or other identifying information for staff to follow up. Clumps of concrete were cleaned from the storm drain. Below is a summary of investigations related to spills, improper disposal of waste and/or dumping for 2019: 1. December 3, 2019 – Fitchburg Building Inspection staff, Jack Pearson, received a complaint about an oil spill near Pembroke Circle. The responsible party was identified as Advanced Concrete. Environmental Engineer, Claudia Guy, visited the site and saw that Advanced Concrete had already put down oil dry. Staff worked with Advanced Concrete and verified that they came back to clean up the oil dry within 24 hours. Reporting was not required as oil was completely contained on the pavement and did not reach the storm drain. Group Municipal Storm Water Discharge Permit WPDES Permit No. WI-S058416-4 (Rev. 7/1/19) Fitchburg staff includes reports of illicit discharges in the Annual Report. This report is reviewed by the Resource Conservation Commission and Board of Public Works and then posted on Fitchburg's web site at http://www.fitchburgwi.gov/233/Stormwater-Discharge-Permit. Section 4. Construction Site Pollution Control For all developments, the City requires an erosion control plan submittal, review, and approval before a Building Permit or Erosion Control & Stormwater Management (ECSWM) Permit is issued. The review process includes a check for compliance with NR 151 standards and Fitchburg's ordinances. Permit applications are reviewed on behalf of the City of Fitchburg by Dane County staff as part of an Intergovernmental Agreement. The City requires the contractor for each construction project to conduct weekly erosion control inspections and upload those inspections for public viewing at: https://www.mypermitrack.com/sehsvc/ec_report?action=ecProjectMapView&client_id=cwZYkq VS6R4=o1xEBvUkYkg=&detail=twoColor. Fitchburg staff conduct oversight inspections weekly for plat projects, and Dane County staff conduct oversight inspections weekly for all other types of projects. Developments not in compliance with erosion control measures are contacted with a Notice of Non-compliance of the Erosion Control Permit via e-mail or direct phone call to the contractor on-site. If the non-compliance is not corrected, a stop work notice and/or citations may be issued. A Standard Operating Procedure for permit oversight during construction is available at: http://www.fitchburgwi.gov/231/ECSWM-Requirements. In 2019, City staff issued approximately 17 notices of non-compliance for insufficient erosion control practices and/or incomplete weekly construction inspection reports. One stop work order was issued in 2019. The City issued approximately 17 citations for failure to maintain erosion control during 2019. For all construction projects adding over 20,000 sf of new impervious area, development that requires a Certified Survey Map, redevelopment >4,000 sq ft, and any other activity that poses a serious risk of flooding or damage due to runoff, the City requires a stormwater management plan submittal, review, and approval before construction may commence. The review process includes a check for compliance with NR 151 standards. Section 5. Post-Construction Storm Water Management In 2019, the City developed a Standard Operating Procedure for the oversight of long-term maintenance, which is available at: http://www.fitchburgwi.gov/231/ECSWM-Requirements. Stormwater maintenance agreements are prepared and reviewed prior to construction. The agreements are recorded with the Dane County Register of Deeds and copies are maintained by the Public Works Department. In the event that maintenance or repair complaints are raised or if staff notices that stormwater facilities aren't being maintained properly, the Public Works Department has the authority to order the property owner to maintain or repair the facility(ies). Section 6. Pollution Prevention City Stormwater Facilities The City is working on a Stormwater Facility Maintenance Plan which outlines maintenance activities for ponds, infiltration basins, bioretention basins, sumps, etc. When the maintenance plan is finalized, it will be made available at the following webpage: http://www.fitchburgwi.gov/232/Stormwater-Utility. It is anticipated that this will be made available in 2020. Stormwater facilities that the City maintains are available for the public to view at: http://fitchburgwi.maps.arcgis.com/apps/webappviewer/index.html?id=8853de122f734a16abde5 973d58d2c6d. Public Works Maintenance Facility In 2019, the City put together a Spill, Prevention, Control and Countermeasure (SPCC) Plan for the Public Works Maintenance Facility. The Plan outlines best management practices, inspection requirements, spill reporting procedures, etc. for oil storage on the site. The City anticipates developing a Stormwater Pollution Prevention Plan (SWPPP) for the Public Works Maintenance Facility in 2020. Street Sweeping During 2019, the City swept ~86 miles of 2-lane urban streets with curb and gutter and ~10 miles of 4-lane urban streets without curb and gutter. Street cleaning was performed with a Regenerative Air Street Sweeper (Schwarze A7000). ~1,859 cubic yards of material was swept from the streets of Fitchburg. Generally, all urban streets (with curb and gutter) are swept 2 or more times in the spring, one or more times in the summer, and 2 or more times in the fall. Rural roads (without curb and gutter) are generally only swept on an as needed basis, whenever there is a report of debris or a crew member notices sweeping is needed. Catch Basin Sump Cleaning The City's standard stormwater collection structures are inlets and are not built with a sump. If plugging or debris problems are found during sweeping operations, the Streets Division will collect the material with the sweeper vacuum or schedule and perform the maintenance work. The Streets Division also responds to resident calls on inlet maintenance problems. Although it is not standard, sumps were incorporated into 55 inlets along Lacy Road. In 2019, 7 cy of solids were collected from these sumps. Leaf Collection Curbside pickup is organized through Fitchburg's waste hauler, Pellitteri Waste Systems. Usually there are four curbside yardwaste pickups per year. Residents are instructed to place yardwaste in reusable containers or bags at the curb for pickup. In order to encourage the use of reusable bags, the City provides residents with one free reusable bag per at City Hall, available on a first-come-first-serve basis. Additional bags may be purchased for $2 per bag. More information on the leaf collection program can be found here: https://www.fitchburgwi.gov/2568/Brush-Yard-Waste. 2019 Annual Report Appendices Group Municipal Storm Water Discharge Permit WPDES Permit No. WI-S058416-4 (Rev. 7/1/19) Group Municipal Storm Water Discharge Permit WPDES Permit No. WI-S058416-4 (Rev. 7/1/19) The City also includes more sustainable options including lawn mulching and at home composting on its website at http://www.fitchburgwi.gov/220/Yard-Waste-Collection. Winter Road Management Fitchburg has taken multiple measures to improve the effectiveness of its winter maintenance techniques. These techniques are focused on maintaining or improving the safety while reducing costs and environmental impacts. Minimizing salt use saves money and also reduces the negative impacts on the environment. Before a storm even hits, Fitchburg staff monitor the pavement temperature, air temperature, predicted snowfall amount, predicted wind speeds, and timing of the event. The City also pre-wets dry salt with brine, a solution which is 80% salt water and 20% beet juice, before application. This pre-wetting accelerates the effectiveness of the salt and reduces the amount of salt scatter off of the roads. Pre-wetting can reduce the amount of rock salt used by 20% or more. Sand for traction is only used on hills and intersections on an as needed basis when temperatures are too low for salt to be effective. The City salt storage facility is located at 2373 S. Fish Hatchery Road Fitchburg, WI 53711. Internal (Staff) Education & Communication aa. Staff training in 2019 included: - Eight Fitchburg staff members attended Illicit Discharge Training on April 24, 2019. - Three Fitchburg staff members attended the Greenbay Plow Rodeo 8-hour course which covers salt application for plow truck drivers. - Seven Fitchburg staff members attended Fitchburg's Erosion Control Training on May 21, 2019. - Two Fitchburg staff members attended training on the City's new SPCC Plan on September 12, 2019. - Two Fitchburg staff members attended NASECA's Winter 2019 Construction Site Erosion Control and Stormwater Permit Compliance Training on November 4 & 5, 2019. ab. Past Annual and Biennial Reports have been submitted to Fitchburg's Resource Conservation Commission (RCC), the Board of Public Works (BPW), and Common Council. Past Annual and Biennial Reports are also available to the public at: http://www.fitchburgwi.gov/233/Stormwater-Discharge-Permit. Copies of agendas and minutes for the RCC, BPW, and Common Council can be found at: http://www.fitchburgwi.gov/2346/Agendas-Minutes. The Resource Conservation Commission (RCC) meets eight times per year. Staff provide regular staff reports on stormwater-related issues and opportunities. The Board of Public Works (BPW) meets approximately twenty times per year. Staff has also provided occasional reports to BPW on stormwater-related issues and opportunities. Section 7. Storm Sewer System Map Fitchburg staff submitted revisions to its storm sewer system map to the City of Madison. The City of Madison includes a copy of the updated storm sewer system map in its Annual Report for compliance with WPDES Permit No. WI S058416-4. In 2019, City staff made storm sewer information available online. Updated storm sewer information can be downloaded from the City's open data portal at: Group Municipal Storm Water Discharge Permit WPDES Permit No. WI-S058416-4 (Rev. 7/1/19) https://opendata-fitchburgwi.opendata.arcgis.com/ An online interactive map showing the storm sewer system is available at: http://fitchburgwi.maps.arcgis.com/apps/webappviewer/index.html?id=8853de122f734a16abde5 973d58d2c6d Group Municipal Storm Water Discharge Permit WPDES Permit No. WI-S058416-4 (Rev. 7/1/19) Appendix B Evaluation Fiscal Analysis In the upcoming year (2020), the City has the following items budgeted to help meet MS4 compliance: - Public Education and Outreach ($13,870) o $9,370 - MAMSWaP o $4,500 - advertising in the Fitchburg Star - Public Involvement and Participation ($150) o $150 – Food for Green Events - Illicit Discharge Detection and Elimination o No budget - Staff time only ($100 specified in Evaluation) - Construction Site Pollutant Control ($38,000) o $35,000 – Budget for Dane County staff time to review ECSWM permit applications and inspect construction sites o $3,000 – PermiTrack software - Pollution Prevention ($105,000) o $105,000 – MMSD Adaptive Management / Yahara WINS - Storm Water Quality Management ($93,200) o $10,000 – Sweeper maintenance o $7,700 – Oil filter replacement (Lacy Road) o $13,000 – Fuel used in street sweeper o $62,500 – Vegetation management - Storm Sewer System Map ($32,000) o $32,000 – GIS Enterprise License Agreement Water Quality The City finalized the Nine Springs Creek Watershed Master Plan in 2019 to guide future improvements to water quality and hopes to conduct a similar planning process in other urban stormwatersheds. The plan is available to view at: https://wi-fitchburg.civicplus.com/235/Nine-Springs-Creek-Watershed-MasterPlan. In 2019, the City developed Standard Operating Procedures for oversight of erosion control measures during construction, and long-term oversight of private stormwater facilities. The City is currently working on a Draft Stormwater Facility Maintenance Plan to standardize the Stormwater Utility's maintenance activities. The City is also working on a guidance document to answer commonly-asked questions regarding redevelopment requirements in the City. The City of Madison finished construction of the Renaissance Stormwater Treatment Structure upstream of Dunn's Marsh in 2015 and the Renaissance Pond was retrofitted in 2016. In 2019, the City of Madison designed a new filter structure to reduce the likelihood of surcharge. In 2020, the filter structure will be modified to reduce the likelihood of surcharge, which could cause flooding downstream of the structure. City of Fitchburg staff are assisting this project as needed. Group Municipal Storm Water Discharge Permit WPDES Permit No. WI-S058416-4 (Rev. 7/1/19) Schumann Greenway was restored and the McKee Farms Northwest Pond was enlarged in 2016 (~40% TSS reduction to ~75% TSS reduction in that subwatershed). Follow-up vegetation establishment maintenance is planned for 2019 to 2021 for this area. In 2019, staff worked on a design to retrofit Byrne Pond to improve water quality from the pond. The retrofit is scheduled to be constructed in 2020. The City's Stormwater Utility Credit and Rebate program, Nine Springs Creek Watershed Master Plan, an Erosion Control Training Class, and improved public education and outreach are actions being taken to improve water quality for receiving waters within and downstream of Fitchburg. Group Municipal Storm Water Discharge Permit WPDES Permit No. WI-S058416-4 (Rev. 7/1/19) Appendix C Outfall Inspection Report Group Municipal Storm Water Discharge Permit WPDES Permit No. WI-S058416-4 (Rev. 7/1/19) Appendix D Additional Information Fitchburg's Stormwater Utility was established in 2002 (Chapter 40, Article V) to provide consistent funding for meeting the City's stormwater management responsibilities. The billing rates are determined by the property's location in the Urban or Rural service area. Single family homes in the Urban Service Area are billed $18.71 per quarter (2020 rate), which equates to $74.84 per year. A single family home in the Rural Service Area is billed $45.48 annually. Stormwater services in the Urban Service include: - Public Stormwater facility and structure inspection and maintenance, - Municipal Separate Storm Sewer System - MS4 permit requirements from the WI DNR; - Periodic sweeping/cleaning of urban streets, - Retrofits of existing stormwater infrastructure and construction of new facilities to meet DNR requirements, - Mowing of rural public conveyance channels (e.g. roadway ditches, public greenways, etc.) up to twice per year, - Cleaning and replacement of public storm sewer pipes and structures, - Consultation assistance with stormwater issues and concerns, and - Cleaning out existing public conveyance channels when necessary to achieve proper drainage, - Capital Improvement Projects within the urban service area, and - Administrative costs for the Urban Service Area. Stormwater services in the Rural Service Area include: - Mowing of rural public conveyance channels (e.g. roadway ditches, public greenways, etc.) up to twice per year, - Cleaning and replacement of culverts under Fitchburg roads, - Cleaning out existing public conveyance channels when necessary to achieve proper drainage, - Consultation assistance with stormwater issues and concerns, - Capital Improvement Projects within the rural service area, and Group Municipal Storm Water Discharge Permit WPDES Permit No. WI-S058416-4 (Rev. 7/1/19) - Administrative costs for the Rural Service Area. Property owners who implement on-site stormwater management practices like rain gardens, infiltration systems, rain barrels, and pervious alternatives to pavement can receive a reduction on their stormwater utility bills by filling out the Stormwater Utility Credit Application Form or the Fitchburg Creek Supporter Pledge Form. Fitchburg MS4 Map £ 12 ¤ £ ¤ 151
Startup Acquisitions: Acquihires and Talent Hoarding Jean-Michel Benkert, Igor Letina and Shuo Liu ∗ October 2023 Abstract Keywords: acquihire, talent hoarding, startup acquisition, competition. JEL Codes: L41, G34, M13. ∗Benkert: Department of Economics, University of Bern. Letina: Department of Economics, University of Bern and CEPR. Liu: Guanghua School of Management, Peking University. Email: firstname.lastname@example.org, email@example.com, firstname.lastname@example.org. We are grateful to Florian Ederer, Johannes Johnen, Massimo Motta, Armin Schmutzler and to seminar participants at the Universities of Bayreuth, Copenhagen, and Lausanne as well as at the Joint Humboldt University + University of Toronto Theory Conference in Berlin, the CCER Summer Institute in Beijing and the Swiss IO Day 2023 in Bern for valuable feedback and helpful comments. Shuo Liu acknowledges financial support from the National Natural Science Foundation of China (Grants No. 72192844 and 72322006). 1 Introduction of M&A activity not only on current but also on potential (or nascent) competition. It is authorities believe that there may be a case to carefully scrutinize startup acquisitions. 1 at the time, Sam Lessin, would be assigned to a new role. 2 While the startup was "killed," 1In 2020, the Federal Trade Commission investigated "whether large tech companies are making potentially anticompetitive acquisitions of nascent or potential competitors" (FTC, 2020). The European Commission has also taken steps indicating stricter enforcement (see e.g. European Commission, 2021). 2See "Webware 100 winner: Dropio," CNET, May 2009, "50 Best Websites 2009 – Drop.io," Time, August 2009, and "Facebook Acquires Simple File-sharing Service Drop.io," Mashable, October 2010. inefficiency is manifested through talent hoarding: firms engaging in acquihires even when case, low-match firms endogenously choose not to engage in (expensive) talent hoarding, increased pressure on the US economy in 2022. 3 3See "Tech's Talent Wars Have Come Back to Bite It," The New York Times, November 2022. Related literature. managers within firms. We identify strategic motives for talent hoarding across firms. 2003a,b). Also broadly related is the concept of labor hoarding from macroeconomics, model predicts that talent hoarding implies more volatile hiring and firing decisions during economic expansions and contractions, which would dampen the observed labor hoarding of talent hoarding has become more common, then our model would provide a potential 2 Model Two symmetric firms i ∈{1, 2} are competing in a market. 4 There is a second market in which an entrepreneur E's startup is active. In the status quo, the firms' payoffs are given by ΠF and the entrepreneur's payoff is πE . Our model does not specify any direct linkage by making a bid p to the entrepreneur. transaction depend on the match quality θ ∈{ H, L } between the acquirer and the startup. firm according to Pr( θ = H ) = 1 − Pr( θ = L ) = λ ∈ (0 , 1) . Specifically, if firm i with match θ i successfully pursues an acquihire at bid p , its payoff is ¯ Π θ i F − p , while the other firm's payoff is Π θ i F and the entrepreneur receives p . Assumption 1 We assume that surplus arising from the competition between the two symmetric firms is CSF and that from the startup is CSE . Second, a low-match acquihire results in competition between the two (now asymmetric) firms generating the entire consumer surplus (CSL ). Third, consumer surplus (CSH ). Whenever an acquihire occurs, the consumer surplus generated by the startup (CSE ) is lost. We make the following assumption. 4In many relevant applications there will be a dominant firm in the market. We discuss this extension in Section 5 and formally develop it in the Online Appendix B.2. Moreover, we also consider the effect of more than two firms in the Online Appendix B.3. Assumption 2 Let CSH ≥ CSL ≥ CSF. it passes off some of that efficiency to consumers. 5 game ends. 6 Example. P (q1, q2) = a − bq1 − bq2 and constant marginal cost of production c. Let a high-match acquihire reduce the acquirer's marginal cost to c − H > 0 while a low-match acquihire reduces it to c − L, with H > L. Assuming that both firms are active after a high-match acquihire (that is, a − c > H), it is easy to calculate the firms' profits after the various It can be shown that Assumption 1(i) is satisfied for an interval of πE values (which is es- □ 5While it is possible that this assumption does not hold, extending our analysis to those cases is straightforward, but would come at the cost of more complex exposition. 6In Online Appendix B.5 we show that the emergence of incentives to hoard talent does not hinge on firms' knowledge of the order of moves nor on the fact that the firm gets the full surplus resulting from the acquihire. However, if firms were moving simultaneously, e.g., because the entrepreneur is auctioning off the startup, talent hoarding as in Proposition 1 is unlikely to materialize, as a firm with high match value should be able to outbid a low match-value competitor. 3 Talent Hoarding Proposition 1 (Talent hoarding) Under Assumption 1, firm 1's behavior in any PBE is uniquely specified. Namely, if firm 1 is a high-match with the startup, it will do an acquihire; if it is a low-match it will do an acquihire if and only if Proof: Suppose firm 1 has not done an acquihire. It follows from Assumption 1 that, acquihire by Assumption 1. A low-match firm 1, will do an acquihire whenever ¯ Π L F − π E ≥ λΠ H F + (1 − λ )Π F or, equivalently, Note that πE is firm 1's bid for the startup, leaving the entrepreneur just indifferent ¯Π L F − Π H F > π E so that λ A < 1 , and (ii) the probability of a high match is sufficiently high. The condition ¯ Π L F − Π H F > π E guarantees that the gain for a low-match firm from doing However, since a low-match firm makes a negative profit from the acquihire per se, it will only proceed when facing a high-match competitor is likely enough. 7 Effectively, a the acquihire. Thus, talent hoarding is more likely if the price of the acquisition πE is low 7Note that in classical labor models where firm-employee match value matters (e.g., Jovanovic, 1979), firms only care about their own match value. In our model, because of the oligopolistic competition, the potential match value between the competitor and the worker is driving the results. and the probability of a high-match competitor λ is high. 8 (CSH > CSL > CSF ) but lead to the loss of CSE in the startup market. If CSE is very low, so that CSH > CSL > CSF + CSE , then both the low-match and highacquisitions. 9 Similarly, if CSE is very high so that both the low-match and high-match acquihires lower consumer surplus (CSF + CSE > CSH > CSL ), then the policymakers A more subtle case appears if CSE is intermediate, so that CSH > CSF + CSE > CSL . Now, prohibiting a high-match acquihire would decrease consumer surplus while Proposition 2 (Effect of acquihires on consumer surplus) (i) If CSF + CSE > CSH > CSL, then all acquisitions reduce consumer surplus. (ii) If CSH > CSL > CSF + CSE, then all acquisitions increase consumer surplus. (iii) Suppose that CSH > CSF + CSE > CSL. Acquihires reduce consumer surplus in expectation if and only if λ ∈ [λA, λCS). Proof: Cases (i) and (ii) are straightforward. We demonstrate (iii). When λ < λA , by Proposition 1 only high-match firms engage in an acquihire. Since CSH > CSF + CSE , 8One may wonder why the low-match firm does not keep the startup operational or how this result might be affected if the startup was also valuable because of its technology. We discuss these issues in Section 5 and formally analyze them in the Online Appendices B.1 and B.4. In short, we argue that operating the startup as a subsidiary might be less profitable than integration due to moral hazard issues. We also show that when startups also own valuable technology the firms will have no incentive to hoard technology but will still hoard talent. 9Observe that when CSE = 0 (e.g., because the startup is not viable) an acquihire always increases consumer surplus. any acquihire in this case increases consumer surplus. When λ ≥ λA , both low-match λCSH +(1 − λ)CSL. Since the expected consumer surplus when acquihires are prohibited is CSF + CSE , acquihires reduce consumer surplus if and only if λ ≥ λA and Thus, acquihires reduce consumer surplus if and only if λA ≤ λ < λCS . The intuition for Proposition 2 (iii) is that when CSH > CSF +CSE > CSL , acquihires in an acquihire, requiring λ ≥ λA ) and the probability of a high match is sufficiently low (requiring λ < λCS ). Hence, consumer-surplus destroying acquihires can occur only for intermediate λ, that is when λ ∈ [λA, λCS). Figure 1 illustrates Proposition 2(iii) using our Cournot example with πE = 0.9. The CSE = 0.4 for the left panel and CSE = 0.5 for the right panel. In both panels, as λ grows from 0 to λA , the consumer surplus when acquisitions are allowed increases (the solid line). benefit consumers. At λA , low-match firms start talent hoarding, causing a discontinuous drop in consumer surplus visible on both panels. However, on the left panel λCS < λA , so the drop at λA is not sufficient to lower the consumer surplus below the level achieved when acquisitions are prohibited (the dash-dotted line). On the right panel, λA < λCS , so that for all λ ∈ [λA, λCS) the average consumer surplus is lower when acquihires are As λ increases beyond λCS , high-match acquihires are prohibited. Thus, when CSH > CSF + CSE > CSL , allowing acquihires only lowers consumer surplus for intermediate values of λ. Finally, the dashed line represents the only Hacquihires allowed 4 Hiring, Separation and Unemployment probability δ ∈ (0, 1). If a downturn materializes – an event that is publicly observable – has the option of creating a new startup, once more leading to an outside option of πE for her. 10 If the entrepreneur was employed by a firm in period 1, that firm must decide whether to continue the relationship (at the cost πE ) or lay off the entrepreneur, who More specifically, firm i is hit by a shock Si ∈{D, N}, where it is either downgraded same. Let (S1, S2) ∈{D, N} 2 be the profile of shocks hitting the firms, which follows the 10There is empirical evidence that acquihired employees who leave the acquirer are likely to join a new startup (Kim, 2020, 2022; Ng and Stuart, 2021). where γ ∈ (0, 1) is the probability that a firm will be downgraded and r ∈ [0, 1] measures the positive correlation between the firms' shocks. In particular, for r = 0 the shocks are independent and for r = 1 they are perfectly positively correlated. To do so, consider the case where ΠF = Π H F = Π L F so that an acquihire by firm i does not affect firm j's profits. Thus, there are no incentives to hoard talent in this benchmark. ment. Therefore, no separation or unemployment is observed in that case. 11 In contrast, and unemployment. 12 Note that these distinct period-2 outcomes in turn affect the be- Proposition 3 (Effect on employment outcomes) The presence of talent-hoarding motives always leads to more hiring than in the benchmark. Additionally, provided that min λA λ , 1 − λ λ > (1 − r)(1 − γ), talent hoarding also leads to more separation and unemployment than in the benchmark. 11In the video game industry, Loh et al. (2019) document that when the skills of the employees and the needs of the acquirer match well, the employees are more likely to stay with the acquirer. 12The term "unemployment" here means that the entrepreneur is laid off and then not employed by the competitor. Since the entrepreneur can start their own business, unemployment in the precise sense of the term does not occur. between firms' adverse shocks r or the (marginal) probability of suffering a downgrade γ r being high, this is because firm 1's shock is informative of firm 2's shock due to the talent hoarding in the second period. Similarly, when γ is sufficiently high, firm 1 can be more prompting the firm to forgo talent hoarding. Further, when γ or r are sufficiently are strict whenever λ is sufficiently high so that any talent hoarding at all takes place. 5 Discussion and Conclusion People and technology. technology but not employees. 13 We extend the model so that some share of the startup's 13For a discussion of technology markets, see, e.g., Arora, Fosfuri, and Gambardella (2001) and Gans and Stern (2000). Dominant firm. Multiple firms. Partial acquisitions. A Proof of Proposition 3 Benchmark. Talent hoarding. low-match firm 1 that received a D shock, believes its competitor has a high match with probability λ(1 − r)(1 − γ) and will do an acquihire if this is larger than λA . Analogously, a low-match firm 1 receiving a N shock will do an acquihire if λ(1 − γ(1 − r)) ≥ λA . * 2( ¯ Π L F − π E ) if λ (1 − r )(1 − γ ) > λ A ; * ( ¯ Π L F − π E )(2 − δγ ) − δγλ (1 − r )(1 − γ )(Π F − Π H F ) + δγ Π F if λ (1 − γ (1 − r )) > λ A > λ(1 − r)(1 − γ); talent unless it receives a D shock in an economic downturn. In case 3, it will hoard so that λ 1 A ≥ λ 2 A ≥ λ 3 A. Comparison. Case 1: λ(1 − r)(1 − γ) > λA . Then, λ ≥ λ 1 A = λ A 2 2−γδ . Hence, a low-match firm will Case 2: λ(1 − γ(1 − r)) > λA > λ(1 − r)(1 − γ). Hence, λ > λ 2 A so firm 1 will entrepreneur unless it receives shock D. Hence, the probability of a layoff will be δγ, which is larger than the benchmark layoff rate l ∗ . Moreover, the probability of transition to unemployment will be δ(γ −λP (D, N)), which is larger than u ∗ iff 1 − λ λ > (1−r)(1−γ). Case 3: λA > λ(1 − γ(1 − r)). If λ > λ 3 A then firm 1 will do an acquihire in period 1. match. Hence, the probability of observing a layoff is δ(γ+(1−λ)(1−γ)) = δ(1−λ(1−γ)), which is larger than l ∗ . The probability of observing a transition to unemployment is δ([2λ − λ 2 ]γ − λ 2 P (D, N) + (1 − λ) 2 ) which is larger than u ∗ . If instead λ < λ 3 A , then we Finally, observe that the condition min λA λ , 1 − λ λ > (1 − r)(1 − γ) implies that we are References Affeldt, P. and R. Kesler (2021a): "Big Tech Acquisitions – Towards Empirical Evidence," Journal of European Competition Law & Practice, 12, 471–478. Arora, A., A. Fosfuri, and A. Gambardella (2001): "Markets for technology and their implications for corporate strategy," Industrial and corporate change, 10, 419–451. Bao, R. and J. Eeckhout (2023): "Killer Innovation," Mimeo. Bar-Isaac, H., J. P. 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Wang (2022): "Acquisition-induced kill zone," Monash Verginer, L., F. Parisi, J. v. L. de Jeude, and M. Riccaboni (2022): "The Impact B Online Appendix: Not for Publication B.1 People and Technology the technology isδ∈ [0,1], while the share generated by employees is(1− δ). Moreover, δ(or1− δ ) of the impact that acquiring the entire startup would have. Just as before, a firm can have a high match value with the startup with probability λ , where we assume startup at price por does nothing. startup's technology at the priceqto firm 2. main text. Suppose firm 1 with matchθ Firm 1 : Π F + ¯ π 1 − p Firm 2 : Π F Startup : − p, θ F π θ F 1 1 did an acquisition at pricep . Absent any sale which coincides with profits in the baseline model (although the notation is different). 14 If the technology part is sold at price q , the profits read $$Firm 1 : ΠF + (1 − δ)¯ π θ 1 F − δ π θ 2 F − p + q Firm 2 : ΠF − (1 − δ)π θ 1 F + δ ¯ π θ 2 F − q Startup : p.$$ firm 2. Then, the surplus reads δ ¯ π H F + π L F − ¯ π L F − π H F Assumption B1 ¯ π H F > π E >¯ π L F and π H F >π L F ≥ 0. $$Assumption B2 .$$ $$¯ π H F + π L F − ¯ π L F − π H F > 0$$ Proposition B1 Under Assumptions B1 and B2, firm 1's behavior in any PBE is uniquely specified. Namely, if firm 1 has a high match, it will make an acquisition and not sell the technology; if it has a low match, it will make an acquisition and sell the startup's technology to a high-match (but not a low-match) firm 2 if and only if and do nothing otherwise. 14For instance, the payoff of an acquiring firm with match type θ1 in the main text is ¯Π θ 1 F while it now reads ΠF + ¯ π θ 1 F . Proof: Suppose firm 1 has not made the acquisition. It follows from Assumption B1, One can verify that for δ = 0 the above condition reduces to the condition (1) in the main text. As δ increases, the threshold λA(δ) decreases, i.e., the acquisition happens for B.2 Dominant Firm we denote ( ¯ Π H D , ¯Π L D , Π D , Π L D , Π H D ) for the dominant firm and (¯Π H C , ¯Π L C , Π C , Π L C , Π H C ) for the ¯Π H F > Π F + π E > ¯Π L F and (ii) Π F ≥ Π L F > Π H F hold for each F ∈{ D, C } . We consider the Corollary B1 (Acquihires with a dominant firm) (i) If either the dominant or the challenger firm moves second it engages in an aquihire if and only if it is the high match type. (ii) If the dominant firm moves first, it engages in an acquihire if it is the high match type or if it is the low match type and the probability that the challenger firm is the high match type is (iii) If the challenger firm moves first, it engages in an acquihire if it is the high match type or if it is the low match type and the probability that the dominant firm is the high type is challenger firm, i.e., when is λC > λD ? The following result gives a set of simple sufficient Proposition B2 If the following two inequalities hold, then λC > λD: Proof: From Corollary B1 we have the threshold values where H > L > 1 and 1 ≤ ℓ> h ≥ 0. This implies that an acquihire (either own As long as ΠD > ΠC (i.e., absent any acquihire, the dominant B.3 Multiple Firms thus allow for n ≥ 2 firms competing in the same market. θ ∈{L, H} is an independent draw with identical probability Pr(θ = H) = λ. In the absence of an acquihire, each firm makes profits ΠF (n). If firm i with match type θ makes an acquihire profits read ¯ Π θ F ( n ) for firm i and Π θ F ( n ) for firms j ̸ = i . To make things concrete, we focus on a Cournot oligopoly setting with n firms and where qi indicates the quantity choice of firm i ∈{1, ..., n} and a, b > 0. We assume that the demand intercept a is sufficiently large to ensure an interior solution. Let c > 0 is assumed to reduce its marginal cost to c − θ > 0, where θ ∈{H, L} satisfies H > L ≥ 0. as n → +∞, firms acquire startups if and only if it is efficient to do so. 15 To see this, 15As it will become clear, this result does not hinge on the Cournot specification; it holds as long as take any one of the n firms and suppose that its match value with the startup is θ. It is clear that if πE < ¯ Π θ F ( n ) − Π F ( n ) , this firm will acquire the startup whenever possible. acquiring and not acquiring the startup. In our Cournot specification, as n → +∞, both ΠF (n) and Π H F ( n ) converge to zero. Therefore, conditions (B.4) and (B.5) cannot hold simultaneously when n is sufficiently large. This implies that, whenever (B.4) holds, no firm with a match value θ will conduct an acquihire, therefore the talent hoarding problem Note that when n = 2, talent hoarding arises in equilibrium if and only if In comparison, suppose that n = 3 and firm 1 anticipates that firms 2 and 3 will acquire the startup when their match values are high. Then, firm 1 will be inclined to conduct Now, consider a parametric example with λ = 0.1, a = 10, b = 1, c = 3, H = 2, L = 0, and πE ∈ (0.534, 0.54). One can show that Assumption 1 holds. In addition, condition B.4 Partial Acquisitions the benchmark profit ΠF converges to zero as the number of firms increases. to acquire a share s ∈ (0, 1] of the startup and continue to operate it as a stand-alone en- (p, d) as is standard in such transactions. In the main text, doing so would not change the entrepreneur (who can also receive deferred payments). If a firm acquires a share s with bid (p, d), its payoff reads ΠF + sπE(s) − p − d, while the entrepreneur's payoff is (1 − s)πE(s) + w(s) + p + d. Here, πE(s) captures the startup's profit net of potential Correspondingly, w(s) constitutes the entrepreneur's wage (net of effort costs) for different degrees of outside ownership. In particular, πE = πE(0) + w(0). That is, when the other firm's payoff is unchanged at ΠF . When a firm acquires a stake in the startup it Assumption B3 We assume that πE(s) + w(s) is decreasing in s with πE(0) + w(0) > πE(1) + b(1). fully owns the startup. πE(s) + w(s) being decreasing reflects the reduced effort of the entrepreneur as a result of agency. πE(0)+w(0) > πE(1)+w(1) captures that the first-best make a bid to the entrepreneur to acquire a share s 1 ∈ (0 , 1] of the startup or make an bids ( p, d ) with p ≥ π E ( s 1 ) , so that no owner can be expropriated. If the entrepreneur accept or try to block the transaction and succeeds in doing so with probability q ( s 1 ) , where q is a weakly increasing function with q (0) = 0 and q (1) = 1 . Nature determines Proposition B3 Under Assumptions 1 and B3 and without blocking rights, i.e., q(s) = 0 for all s ∈ [0, 1], firm 1's behavior in any PBE is uniquely specified. Namely, if firm 1 draws a high match type, it will make an acquihire; if it draws a low type it will make an acquihire if and only if λ ≥ λA and do nothing otherwise. Proof: See the proof of Proposition B4, which contains this as a special case. Proposition B4 Under Assumptions 1 and B3 and with blocking rights, firm 1's behavior in any PBE is uniquely specified. Namely, if firm 1 draws a high type, it will make an acquihire. If it draws a low type, there is a threshold value for λ below which it does nothing. Above the threshold, it will do an investment and, depending on the model's parameters, there may be an even higher threshold above which it does an acquihire. Proof: We solve the game backward. Stage 2 that the payoffs of firm 1 and the entrepreneur following a firm-1 investment of size s1 at price (p1, d1) read $$Firm 1 : ΠF + s1πE(s1) − p1 − d1 Entrepreneur : (1 − s1)πE(s1) + w(s1) + p1 + d1.$$ Hence, firm 1 would try to block any bid (p2, d2) resulting in a lower payoff than the receive payoff ΠF ; (ii) make the minimum bid such that both firm 1 and the entrepreneur accept, yielding payoff ¯ Π θ F − π E ( s 1 ) − w ( s 1 ) − Π F + Π θ F for firm 2; or (iii) make a bid that provides an expected payoff for firm 2 of q(s1)ΠF + (1 − q(s1))( ¯ Π θ F − π E ( s 1 ) − w ( s 1 )) . It follows from Assumptions 1 and B3 that this condition is not necessarily satisfied. Let ˆ s with inducing both for s1 < ˆ s. We obtain that inducing both is better whenever s1 < ˆ s, this condition is never satisfied. Thus, for s1 < ˆ s the low type does nothing. accept when s1 ≥ ˆ s. As above, inducing both is better whenever condition (B.8) holds. Since the left-hand side of (B.8) is increasing in s1 , we define s L ∈ [ˆ s, 1] as the threshold actions: for s1 < ˆ s, do nothing; for ˆ s ≤ s1 ≤ sL , induces only the entrepreneur to accept; and for s1 > sL , induce both the entrepreneur and firm 1 to accept the offer. which may be satisfied for s1 above some threshold s H ∈ [0, 1]. Below this threshold, the high type will induce only the entrepreneur. Note that it is not clear whether s H or s L Stage 1 1 can acquire different stakes s1 which in turn may induce different responses from firm (B). As for a high-match firm 2, it may either do E or B. In what follows let (A1, A2) denote the action profiles of the low- and high-match firm 2, e.g, (N, B) means firm 2 Let ∆(s1) ≡ πE(s1)+ w(s1) − πE(0) − w(0). The following are the firm-1 payoffs resulting from an acquisition of s1 which induces the indicated firm-2 behavior: To illustrate how to calculate these payoffs, consider the case (N, E), where the lowlowest bid at which the entrepreneur is willing to sell a stake s1 to firm 1 is p1 + d1 = πE(0) + w(0) − (1 − s1)πE(s1) − w(s1). As we are considering the case (N, E), so that a probability q(s1), yielding the following payoff to firm 1 Adding (B.9) and (B.10) up while multiplying them with the probabilities 1 − λ and λ, respectively, we obtain the expression in the above list. 16 Finally, to complete the list, note that an acquihire gives a payoff ¯ Π L F − π E (0) − w (0) to firm 1 and doing nothing results in λΠ H F + (1 − λ )Π F . three cases three cases based on the values of the thresholds s H , s L , and ˆ s. Recall that a low-match firm 2 will do nothing below ˆ s, induce the entrepreneur between ˆ s and s L and potentially induce both above s L , while a high-match firm 2 will induce only the entrepreneur below s H and may induce both above it. Case 1: s H ≤ ˆ s ≤ s L . Note that this allows only for four types of firm-2 behavior following an investment. If s1 ≤ s H , then we have (N, E), a low-match firm 2 does nothing and a high-match induces only the entrepreneur ; if s H < s1 ≤ ˆ s, then we have (N, B), namely a low-match firm 2 does nothing and a high-match induces both; if ˆ s < s1 ≤ s L , have (E, B); and if s1 > s L , both types of firm 2 induce both, so we end up with (B, B). (B, B) and (E, B), while an investment inducing (N, B) dominates an acquihire. Thus, the remaining actions are doing nothing, inducing (N, E) or inducing (N, B). where the investment necessary to induce (N, B) is bigger than the one for (N, E) but both are smaller than ˆ s so that ΠF + πE(s1) + w(s1) ≥ ¯ Π L F . We note that: * As λ → 0 doing nothing dominates both types of investment * For λ > π E (0)+ w (0) − π E ( s 1 ) − w ( s 1 ) ΠF −Π H F inducing (N, B) dominates (N) * Depending on parameters, (N, E) or (N, B) is the better investment, but for low enough λ inducing (N, E) is always better In summary, there is a threshold value for λ below which doing nothing is best, then for larger λ inducing (N, E) is better, and for very large λ, depending on parameters, inducing (N, B) may be best. Case 2: ˆ s ≤ s H ≤ s L . Note that this allows only for four types of firm-2 behavior following an investment: (N, E), (E, E), (E, B) and (B, B). Proceeding as above, we find 16Observe that the size of firm 1's investment s1 is not the same across cases in the above list, as different investment sizes induce the different behaviors of firm 2. that there is a threshold value for λ below which doing nothing is best, then for larger λ inducing (N, E) is better, and for very large λ, depending on parameters, doing an Case 3: ˆ s ≤ s L ≤ s H . Note that this allows only for four types of firm-2 behavior following an investment: (N, E), (E, E), (B, E) and (B, B). Proceeding as above, we find that there is a threshold value for λ below which doing nothing is best, then for larger λ inducing (N, E) is better, and for very large λ, depending on parameters, doing an B.5 Unknown Order of Moves moving first anymore. Specifically, when firm i gets to interact with the startup, it does firm i can make a bid to acquihire the startup, which the entrepreneur can accept or Proposition B5 Under Assumption 1, there exists a symmetric equilibrium in which all firms acquihire the startup at price πE independently of their type if Proof: Suppose that firm j behaves as suggested in the proposition and that the entrepreneur accepts bids if and only if they are at least πE . We consider the incentives of firm i. Given Assumption 1, it is a dominant strategy for a high-match firm i to make a bid πE to do an acquihire whenever it has the chance to do so. Now, consider a low-match firm i. Given that firm j would always do an acquihire, firm i knows that it is moving first. Hence, doing nothing yields a payoff of λΠ H F + (1 − λ )Π L F , while doing an acquihire yields ¯ Π L F − π E . Hence, doing the acquihire is optimal if and only if λ ≥ λ ′ A , completing B.6 Surplus Sharing sequentially, but in case of an acquihire the entrepreneur receives a share γ ∈ [0, 1] of the Proposition B6 Talent hoarding can happen if the following condition holds: Proof: We solve the game backward. resulting from an acquihire is given by ¯ Π H F − Π F − π E > 0 so that an acquihire takes place and the resulting payoffs for firm 2 and the entrepreneur read ΠF +(1 − γ)( ¯ Π H F − Π F − π E ) and πE + γ( ¯ Π H F − Π F − π E ) , respectively. Consider a low-match firm 2. The surplus then reads ¯ Π L F − Π F − π E < 0 so that no acquihire takes place. for ΠF − Π H F − γ (¯Π H F − Π F − π E ) > 0 . We have λ A,S ≤ 1 whenever the condition stated
Morecambe Town Council Page of 112 Executive Summary Morecambe Town Council is conﬁdent it can deliver a balanced budget whilst providing a year-on-year saving for its residents through a reduction in the Council's precept of £48.69 (33%), rolling back 47.7% of last year's increase. Foreward Morecambe Town Council is committed to continuing to 'deliver, protect and enhance services for the community'. Through a shared vision of protecting the past and working to shape a vibrant future, improvements to the environment, local events, community activities, and a tourism oﬀer, have positively inﬂuenced discussions amongst elected representatives this year, and will see Morecambe become an even better place to live, work, and visit. This report accompanies the full draft budget and contains the recommendations of the Finance and Governance Committee which reviewed all budget lines at its meeting held on 9 January 2024. Background The Council is required to set an annual budget to deliver its services, and its income is ﬁnanced through a combination of the parish precept, service fees, grants and other revenue. The Council is also required to determine the necessary levels of reserves it will require for the ﬁnancial year, which commences annually on 1 April. The precept is the most local element of council tax levied by Lancaster City Council on properties within the administrative boundary, and is ring-fenced for the sole beneﬁt of tax payers within Morecambe Town Council's administrative boundary (which includes Heysham North). The precept set by the Council must enable it to continue its 'business as usual' functions at acceptable service levels. It must also be able to fund agreed service enhancements, in addition to asset maintenance and operational improvements. To best support management in the delivery of services, some budget headings, ledger codes and subjective lines have been reviewed and updated. Such reviews facilitate the ongoing and eﬀective management and monitoring of income and expenditure. Legal Obligations The Council must set a balanced budget and comply with all statutory requirements pertaining to the setting of its budgets as set out in the Local Government Act 2003, Part 2, Section 25 and 26, which holds under clause 25 (1) that the Responsible Finance Oﬃcer (RFO) must report on the robustness of the estimates made for the purposes of the calculations and on the adequacy of the proposed ﬁnancial reserves. To satisfy the requirements of the Local Government Act 2003, Councillors must have due regard to this report when making decisions on the budget and precept. They must also approve a precept which: * meets the Council's objectives and service level responsibilities. * maintains an appropriate level of reserves. * provides stability in the event of any unforeseeable demands. Introduction Over the past few years the Council has made eﬀorts to establish a realistic budget. Morecambe Town Council has gone through a rapid period of growth over the last three years, with annual precept increases required to reﬂect this. These would have been less signiﬁcant if there had been reasonable annual increments applied during the past 14 years. Morecambe Town Council's precept history When the Council was founded in 2009, its ﬁrst precept was set at £19.31. Over the following 12 years this remained virtually static, staying below £20 up until 2021-22. While this produced an overall saving for taxpayers for over a decade, it eﬀectively resulted in real-term budget cuts throughout most of the Council's existence. Simultaneously, this also reduced the Council's ability to build an adequate reserve, as the precept was primarily required to resource the Council's annual expenditure. During this period the Council's role was primarily a reactive one, responsible for distribution of community grants and management of the occasional event. The level of staﬃng and budget reﬂected this. Across a similar period (from 2007 to present day) the second-tier authority, Lancaster City Council, experienced a near 40% cut in central government funding while the thirdtier authority, Lancashire County Council, had to regularly ﬁnd multi-million-pound savings. In reaction to these circumstances, Morecambe Town Council resolved to try and play a more proactive role and reduce the potential risk of watching a decline of services in Morecambe. This resulted in consecutive c.50% rises in the precept, bringing it to £44.11 in 2022-23 - still £33.10 below the national average. For 2023-2024, the Council set a revenue budget of £739K (including VAT). It also raised a £1M Community Action Fund (CAF) to pursue a regeneration project on the former Frontierland site. Whilst the Council 'froze' the precept collected in 2023-2024 for its revenue budget, it required an overall increase in the precept of 231% to raise the CAF. Since collecting the CAF Reserve, a new administration has been elected and a new direction established, exploring alternative ways of responding to current community needs. Discussions have been held with elected representatives regarding the reallocation of CAF funds, and careful consideration has been given to all options by the Council's Finance and Governance Committee, with their recommendation following. Reserves Councils are recommended to hold a minimum of 25% of annual expenditure as a General Reserve. Prior to 2021 and the signiﬁcant period of growth that followed, the Council held little to no reserves: * In 2021/22 general reserves were held at just 8% against a projected c.£450,000 expenditure. * In 2022/23 general reserves were held at just 7% against a projected c.£550,000 expenditure. In order to raise the CAF in 2023/24, the Council pooled all its reserves. Had the Council not raised the £1M CAF, it would still have had to raise the precept by approximately £70 per Band D household across the following two years to resource the expanded services delivered by the Council and create a minimum general reserve of 25% against projected annual expenditure. In-Year Adjustments To ensure the budget remains ﬁt-for-purpose throughout the Council's changing operational landscape, there have been in-year adjustments made during Q1 and Q2 to the budget to facilitate the ongoing and eﬀective management and monitoring of income and expenditure. This includes changes to accommodate overspends in areas such as elections fees which had not been anticipated to be so high. At close of Q3, it is possible to forecast the most accurate outturn of anticipated income/ expenditure for Q4. Key recommendations for current year budget changes are: 1) The Council's projected income of £30,000 for its events schedule is unlikely to be achieved in this ﬁnancial year and an adjustment to the budget should be made to account for this. There has been a sum of £6,017 received from events earlier in the ﬁnancial year. However, with the absence of an Events Oﬃcer, the Council has not had the capacity to fully optimise its income in this area. With that being said, the Council did receive a grant of £9,950 for the Coronation Carnival which has been oﬀset against event costs. 2) Whilst the Council has pursued its accreditation to become a registered Lantra training provider (in order to deliver staﬀ public realm training in-house to save costs), the Council has not had the capacity to receive any candidates from Lantra as of yet, and therefore the anticipated income of £25,000 is unlikely to be realised by year end and an adjustment to the budget should be made to account for this. 3) The Council has received a grant of £18,072, and must ensure that there is a similar amount remaining within its expenditure column to account for its outgoings in Q4. If the Council wishes to continue oﬀering additional grants to local community organisations in Q4, then it will need to make an adjustment to accommodate this. 4) Giving consideration to the projections above, and other adjustments, the Council would be best placed to vire a sum of money from the public realm equipment budget to ensure income vs expenditure is balanced by year end. This sum (originally intended to cover capital expenditure such as the purchase of a new ﬂeet vehicle) will need to be accommodated in the new ﬁnancial year instead. 5) The Council accepted during Q3 that further costs would be incurred associated with the occupation of the new oﬃces. Whilst the Council originally discussed coding these costs to the underspend in the Staﬃng budget, the budget has been adjusted to account for this expenditure in the 'Oﬃce Equipment' budget line. There have also been additional unanticipated costs in the year including the purchase of tablets for members (within the IT infrastructure budget). Up until this year, the Council has not owned the majority of its oﬃce furniture, and (following a request from Lancaster City Council to return loaned equipment) new furniture and equipment have been purchased, and cosmetic repairs to infrastructure have been undertaken in-house (with costs including new desks, chairs, cupboards, carpets and decorating supplies). 6) It is recommended to vire the CAF to General Reserves for Q4. BUDGET LINE EXPLANATIONS CORPORATE SERVICES STAFFING Staﬃng payments for corporate services include annual salary adjustments, medical/ occupational fees, reasonable adjustments for protected characteristics, contractual obligations, team building costs, training, parking, contingencies for cover staﬀ, and other possible costs which may arise from unexpected circumstances such as terminations. Budget delegation: Proper Oﬃcer (in line with Contracts of Employment, reasonable adjustments, team building, parking, and obligatory training such as health and safety) + Personnel Committee (Medicals, terminations, and continuous personal development plans) OFFICE EQUIPMENT / CONSUMABLES / ADMINISTRATION / EXPENSES Up until this year, the Council has not owned the majority of its oﬃce furniture, and (following a request from Lancaster City Council to return loaned equipment) new furniture and equipment will need to be purchased to accommodate a growing team. Budget delegation: Proper Oﬃcer PROFESSIONAL SERVICES The council does not employ speciﬁc staﬀ to undertake specialist roles relating to legal, IT, HR and planning areas. Therefore, budgets have been in place to commission advice in these areas when it is needed. Budget delegation: Proper Oﬃcer (LALC) + Personnel Committee (HR) + Finance and Governance (Legal) OFFICE RENT The Council's current rental obligations to Lancaster City Council are £15k pa. In 2024-2025, the will also be two years' of rates to be collected. Budget delegation: Proper Oﬃcer INSURANCE Other councils are experiencing signiﬁcant increases in their insurance premiums - the ﬁnal premium amounts will not be known until the renewals are completed following an update of the Asset Register. Budget delegation: Proper Oﬃcer AUDITS During the past two years the Council has received challenges to its end of year audit. This has resulted in substantial delays to the conclusion of the audit, and signiﬁcantly increased the workload of oﬃcers, resulting in a backlog of day-to-day work. This budget has increased in order to accommodate heightened auditor's bills and an appropriate level of staﬃng to simultaneously resource challenge correspondence whilst providing continuity to normal operations. Budget delegation: Full Council (IA + EA Costs) + Proper Oﬃcer (Staﬃng Costs) TRAINING Training for members and volunteers (particularly for events) is essential in ensuring the safety of the public is upheld and the Council has appropriate oversight and scrutiny. Budget delegation: Proper Oﬃcer IT INFRASTRUCTURE There will be a full review of IT infrastructure in the new ﬁnancial year. Budget delegation: Proper Oﬃcer + Full Council CIVIC EXPENSES Town Councillors do not receive any annual allowance. This budget accommodates expenses (such as parking and childcare) that may be incurred whilst undertaking council business. Budget delegation: Proper Oﬃcer COMMUNICATIONS WEBSITE Residents often complain of diﬃculty navigating the website and understanding the services provided by the Town Council. This budget accommodates a redesign of the Council's website, a rebrand, and ongoing hosting, maintenance, and development, ensuring the Council's 'shop window' is ﬁt for purpose and accessible. Budget delegation: Full Council GENERAL COMMS This budget includes subscriptions to design software and activities to raise awareness of the Council's activities. Budget delegation: Proper Oﬃcer COMMUNITY ENGAGEMENT This budget will provide an annual sum to ensure full engagement with the community is undertaken with regular consultations, and the production of an annual report that can be delivered to all households. Budget delegation: Proper Oﬃcer TOURISM Residents have expressed concern at the closure of Morecambe's Visitor Information Centre and Councillors have expressed an interest in exploring opportunities to support the tourism sector within the town as Eden Project Morecambe approaches. This budget will support that purpose. Budget delegation: Full Council GRANTS COMMITTEE This budget provide community grants to local organisations. Budget delegation: Grants Committee (Up to £3K limit) + Full Council CULTURAL SERVICES FESTIVALS / EVENTS (GRANTS AWARDED) This budget provides community grants to local organisations for events and festivals. Budget delegation: Festival and Events Committee (Up to £3K limit) + Full Council MORECAMBE LIGHTS This budget provides a sum (agreed in principle) to support Baylight. Budget delegation: Full Council COUNCIL EVENTS / PARTNERSHIP This budget provides a sum to cover expenditure for council events and partnerships. Budget delegation: Festival and Events Committee (Up to £3K limit) + Full Council STAFFING / CASUAL This budget provides a sum to cover expenditure for an Events Oﬃcer and casual staﬀ for events. Budget delegation: Proper Oﬃcer (in line with Contracts of Employment) TOWN MAINTENANCE / IMPROVEMENTS STAFFING (PERMANENT) Staﬃng payments for public realm services include annual salary adjustments, medical/ occupational fees, reasonable adjustments for protected characteristics, contractual obligations, team building costs, training, parking, and other possible costs which may arise from unexpected circumstances such as terminations. Budget delegation: Proper Oﬃcer (in line with Contracts of Employment, reasonable adjustments, team building, parking, and obligatory training such as health and safety) + Personnel Committee (Medicals, terminations, and continuous personal development plans) STAFFING (CONTRACTUAL) This budget provides a sum to cover expenditure for two public realm temporary workers for six months. Budget delegation: Proper Oﬃcer PUBLIC REALM ENHANCEMENTS At its meeting of 24.11.22 the Environment Committee resolved to submit a budget request of £150K for 2023-24. At the time, the Committee had anticipated ﬁve land parcels would be transferred from Lancaster City Council to MTC for community improvement. At its meeting held on 21.9.23 the Council resolved to pursue community asset transfers for two parcels of land (Maylands Sq and Mardale Avenue). At its meeting held on 20.7.23 the Council resolved to allocate £8K of this budget to ﬁnance the repair of Morecambe Skatepark. This budget line is retained to deliver further improvements to the public realm in the new ﬁnancial year. Budget delegation: Environment Committee (Up to £3K limit) + Full Council EQUIPMENT / ASSET / FLEET PURCHASE OR LEASE Equipment and ﬂeet purchases. Budget delegation: Proper Oﬃcer (delivery of public realm service and hand-held equipment), Environment Committee (Up to £3K limit) + Full Council EQUIPMENT / ASSET / FLEET MAINTENANCE AND REPAIR Equipment maintenance and repair. Budget delegation: Proper Oﬃcer MOTOR INSURANCE Other councils are experiencing signiﬁcant increases in their insurance premiums - the ﬁnal premium amounts will not be known until the renewals are completed. WEED CONTROL This expenditure includes the purchase of products to control the growth of weeds. Budget delegation: Proper Oﬃcer IT INFRASTRUCTURE / SOFTWARE / MOBILES A budget to cover costs associated with the delivery of a public realm services, including computers, geo-tracking location apps, and integrated work schedule solutions. A full review of expenditure within this budget line will be undertaken in 2024-2025. Budget delegation: Proper Oﬃcer PPE Provision of personal protective clothing for employees. Budget delegation: Proper Oﬃcer ALLOTMENTS The Council owns North Heysham and West End Allotment Site. This sum defrays any costs associated with fulﬁlling its legal obligations. Budget delegation: Environment Committee CONTINGENCY A sum for unanticipated costs which may arise during the ﬁnancial year. Budget delegation: Environment Committee (up to £3K) + Full Council PLANNING & REGENERATION A sum to conclude work on the Neighbourhood Plan. RESERVES ELECTION RESERVE A sum to cover the full cost of a by-election in each ward. Budget delegation: Full Council Budget delegation: Full Council PUBLIC REALM RESERVE A provision to safeguard the delivery of the public realm service if new accommodation was required to be found. Budget delegation: Full Council GENERAL RESERVE A required sum held to cover the future costs of the Council and improve its resilience. Budget delegation: Full Council Precept Calculation With the budget and reserves as presented, the precept is calculated as follows: Projected Carry Forward as at 31 March 2024 is £1,000,195.70 Of this balance, £850,195.70 is recommended to remain as a General Reserve in 2024-2025 and £150,000.00 will be used to subsidise the budget and reduce the precept. It is predicted that expenditure in 2024-2025 will total: £1,164,680.00 Budgeted income will total: £63,295.67 Therefore, the total precept request required for 2024-2025 is: £951,384.33 The tax base is calculated annually by Lancaster City Council. The tax base represents the equivalent number of Band-D tax-paying properties in the town and accounts for homes receiving discounts/exemptions and the diﬀerent council tax bands, allowing for a 99% collection rate. The tax base for 2024-2025 is 9,752.19. This represents a year-onyear decrease in the number of homes covering the cost of the precept. The tax base and precept are used to determine the ﬁnal amount each household will pay through council tax. Based on the total precept required for 2024-2025, a Band D household would receive a charge of £97.56. This represents a year-on-year decrease of £48.69 (33%), rolling back 47.7% of last year's increase. Recommendations: 1) That the Council approves to set its budget at: £1,164,680.00 2) That the Council use £150K from its General Reserves to subsidise the budget. 3) That the Council approves to set its precept at: £951,384.33
ABOUT THE AON ELIGIBLE ROLLOVER FUND The Aon Eligible Rollover Fund (Aon ERF) is a public offer superannuation fund. The sole purpose of the Aon ERF is to be a temporary repository for amounts transferred to the Fund from other regulated superannuation funds. These amounts are generally lost, inactive or small accounts. The Aon ERF cannot accept any contributions. If you would like information about how to consolidate your superannuation and be able to make contributions, please contact us on 1300 880 588. This report contains general information for the benefit of all members. It is designed to bring you up to date with recent developments and to keep you informed about the operation and benefits of the Aon ERF. More information is available on the Aon ERF web page. erf.aon.com.au erf.aon.com.au Every effort has been made to ensure the information contained in this report is accurate. However, the trust deed ultimately governs your rights and benefits, and it can be viewed on request to the trustee. No penalties have been imposed on the Aon ERF or the trustee for non-compliance during the 2014/15 year. Printed copy of annual report If you would like a printed copy of this annual report free of charge, call us on 1300 880 588 or email us at firstname.lastname@example.org. The information in this report is general in nature. Your personal objectives, financial situation or needs were not taken into account when preparing this information. You may want to seek independent financial advice before making any decisions about your super. This report has been prepared by Aon Hewitt Limited (ABN 48 002 288 646 AFSL No 236667) and issued by Aon Superannuation Pty Limited (ABN 83 057 982 822 AFSL No 237465) as trustee of the Aon Eligible Rollover Fund (ABN 54 338 733 881). INVESTMENT PORTFOLIO Investment aims and strategy The investment aim of the Aon ERF is to reduce volatility of returns. This is achieved by investing predominantly in fixed interest and cash, with a moderate allocation in shares to enhance the potential for the Aon ERF to outperform inflation after fees. The emphasis is on managing risk rather than maximising the investment return. The Aon ERF invests in funds managed by specialist investment managers. These professional managers each have their own risk management policy statements which specify the use of derivatives. Derivatives are financial instruments with value derived from underlying investments. Most managers use derivatives such as options, futures and swaps to protect the value of underlying investments or to gain 'synthetic' exposure to the market when there has been a large inflow of cash (eg the purchase of futures contracts to gain exposure to the share market rather than holding cash while waiting to find stocks to buy at an attractive price). The trustee does not invest in derivatives directly. Investment managers are chosen by the trustee and reviewed from time to time. The trustee has received the risk management statements of each investment held. Investment objectives The specific investment objective for the Aon ERF is to achieve a return of at least 0.25% pa above inflation (after fees and taxes) over rolling three-year periods. The risk rating of the Aon ERF investment is 2 (low) with an estimated number of negative annual returns (after fees and taxes) of 0.5 to less than 1 over any 20-year period. 3 Asset allocation \| Asset class \| 30 June 2014 \| 30 June 2015 \| \|---\|---\|---\| \| Cash \| 10.0% \| 10.0% \| \| Australian fixed interest \| 35.9% \| 34.1% \| \| International fixed interest \| 24.2% \| 23.1% \| \| Australian shares \| 14.9% \| 15.0% \| \| International shares \| 15.0% \| 17.8% \| Investment returns The unit prices change according to the investment earnings (or losses) attributed to the Aon ERF. So each time the unit price changes, the investment earnings (or losses) are automatically reflected in your account balance. Investment performance The Aon ERF's return (after tax, investment and management fees) for the year ended 30 June 2015 was 3.6%. Net crediting rates for the past five years and the compound average net crediting rate for five years are shown in the table below. Underlying investment managers This table shows the investments and their percentage of Aon ERF assets at 30 June 2015. \| Asset class \| ($) \| \|---\|---\| \| Cash \| 6,685,973 \| \| Fixed interest \| 22,783,800 \| \| Fixed interest \| 15,444,565 \| \| Shares \| 10,018,864 \| \| Shares \| 8,749,739 \| erf.aon.com.au FINANCIAL SUMMARY This is a summary of the Aon ERF's financial statements for the year ended 30 June 2015. The full audited financial statements and audit report are available. If you would like a copy please contact us. CORPORATE GOVERNANCE The trustee The trustee of the Aon ERF, Aon Superannuation Pty Limited, holds an Australian Financial Services Licence (AFSL No 237465) and a Registrable Superannuation Entity Licence (RSEL No L0000437) issued by APRA. The trustee is also authorised by APRA to issue a MySuper product (Identifier No 68964712340201) (see the Aon Master Trust website). Through its board of directors, the trustee is responsible for the Aon ERF's strategic direction, compliance with legislation, regulations and superannuation prudential standards, as well as adherence to its trust deed and rules. The board exercises a 'duty of care' on behalf of members of the Aon ERF and maintains their best interests in its decision-making and strategy process. Trustee board The trustee directors during the year were: º º Trevor Allen—independent director (appointed to the board in January 2015) º º Frank Argent º º Steven Clarke º º Jennifer Dean º º Paul Mazoudier—independent director and chairman º º Michael Murphy º º Bruce Robertson—independent director (retired from the board in December 2014) º º Janice Sengupta As Aon Superannuation Pty Limited does not employ any staff, all of the directors are 'non-executive' as defined in the superannuation prudential standards. Three of the directors are currently employed by Aon Hewitt and two directors meet the prudential standards' definition of 'independent'. For profiles of each of the current directors, please go to About us at erf.aon.com.au erf.aon.com.au 6 Governance framework To align its strategic member focus and prudential compliance responsibilities, the trustee has established a governance framework that: º º is driven by its objectives and strategic intent º º guides the trustee's governance practices in respect of investment, insurance management and operations º º incorporates a board governance program and risk management framework, and º º defines the allocation of management responsibilities. The trustee has also developed a number of policies to help the directors implement and manage this governance framework. For more information on the trustee's governance framework and policies, go to About us at erf.aon.com.au Sub-committees The trustee has established Audit, Compliance and Risk Management, Investment, and Operations sub-committees to assist with the running of the Aon ERF. Each sub-committee has its own charter outlining its responsibilities and delegated authorities. Compliance The Aon ERF is administered at all times to comply with provisions contained in the Superannuation Industry (Supervision) Act 1993 and Regulations, the Corporations Act 2001 and Regulations, and other superannuation laws. Various supervisory functions are carried out by the Australian Prudential Regulation Authority (APRA), the Australian Securities and Investments Commission (ASIC) and/or the Australian Taxation Office (ATO). No penalties have been imposed on the Aon ERF and/or the trustee for any kind of non-compliance during the 2014/15 year. The trustee is not aware of any matter that would cause the Aon ERF to lose its complying status and expects to continue to comply with all relevant legislation. Indemnity insurance The trustee has the benefit of professional indemnity insurance cover to protect the trustee, its directors and the Aon ERF. Trust deed changes and significant events The Aon ERF was established by a trust deed dated 16 December 2003 which has been amended from time to time. There were no deed amendments or significant events during the financial year ended 30 June 2015. Privacy Policy Aon is committed to protecting your personal information in accordance with the Australian Privacy Principles under the Privacy Act 1988 (Cth). We collect, use and disclose personal information to offer, promote, provide, manage and administer the many financial services and products we and our group of companies are involved in, as set out in the Aon Privacy Notice. In order to do this, we may also share your information with other persons or entities who assist us in providing or promoting our services as set out in the Aon Privacy Notice. Further information about our privacy practices can be located in the Aon Australia Group Privacy Policy Statement. You may also gain access to your personal information, or modify your privacy preferences, by contacting your Aon representative or our Privacy Officer through the means set out in the Aon Privacy Notice. You can obtain a copy of the Privacy Policy or the Aon Group Privacy Policy Statement by writing to the Privacy Officer at Aon Superannuation Pty Limited, GPO Box 534, Sydney 2001 or by visiting our website. 7 Trust documents Your benefit statement and Product Disclosure Statement contain important information about your personal benefits and the Aon Eligible Rollover Fund. You are entitled to request further information including the trust deed and rules, the latest audited accounts and auditor's report, and risk management statements. For copies of these documents, or if you want more information about your benefits, please contact us. Complaints resolution The trustee has an established procedure for dealing with member complaints about the operation and management of the Aon ERF. Complaints should be made in writing to the Complaints Officer, Aon ERF, PO Box 1949, Wollongong NSW 2500. The trustee will consider and respond to your complaint within 90 days, but may take more than 90 days in the case of difficult or complicated complaints. The trustee is obliged to advise you of the decision within 30 days of the decision being made. If you have made a complaint and you are dissatisfied with the decision of the trustee, you may have a right to lodge a complaint with the Superannuation Complaints Tribunal (SCT). If the SCT accepts your complaint, it will try to help you and the trustee to reach a mutual agreement through conciliation. For more information on this process, you can contact the SCT on 1300 884 114, or in writing to Locked Bag 3060, Melbourne Vic 3001. MORE INFORMATION Protection of benefits Up to 30 June 2015, all member account balances in the Aon ERF were protected from administration fees and charges exceeding investment earnings. Administration fees charged to members in each reporting period generally could not exceed investment returns credited to member accounts. Administration fees include entry fees, the annual member fee and exit fees but not taxation or investment management costs. In addition, it should be noted that in the event that the Aon ERF experiences negative earnings, administration fees may be charged, provided the apportionment of those costs between members is carried out in a 'fair and equitable' manner as prescribed by the superannuation regulations. The investment strategy minimises the likelihood of such negative investment returns. The Government removed the requirement for member benefit protection from 1 July 2013. The trustee has ceased protecting member benefits in the Aon ERF from 1 July 2015. Surcharge The surcharge tax was abolished for contributions made after 1 July 2005. This will not, however, affect any existing or previous surcharge tax liability you may have incurred. The surcharge may also apply if you have not provided your tax file number to the trustee. erf.aon.com.au 8 Unclaimed super If your benefit in the Aon ERF becomes unclaimed super it may be transferred to the Australian Taxation Office (ATO). The following are regarded as unclaimed super: º º Accounts of members who have reached age 65 where: – the member is uncontactable, and – the account has been inactive for at least two years. º º Lost super accounts that: – have a balance under $2,000 † and have been inactive for five years, or – have a balance under $2,000 † and the member is uncontactable, or – are unidentifiable and have been inactive for 12 months. Death benefit payments and temporary residents' payments may also be regarded as unclaimed monies. See the ATO website ato.gov.au for more information on unclaimed super. † The Government has proposed to increase this threshold to $4,000 from 31 December 2015, and then to $6,000 from 31 December 2016. At date of publication of this annual report, the proposal has been passed by both Houses and is awaiting Royal Assent. DIRECTORY Aon Eligible Rollover Fund PO Box 1949 Wollongong NSW 2500 Phone 1300 880 588 Fax 1300 267 582 ABN 54 338 733 881 Administrator Aon Hewitt Limited (with majority of administration services outsourced to Superannuation Administration Corporation — trading as Pillar Administration) ABN 48 002 288 646 AFSL No 236667 Trustee Aon Superannuation Pty Limited ABN 83 057 982 822 AFSL No 237465 Privacy Officer Aon Superannuation Pty Limited GPO Box 534 Sydney NSW 2001 Investment managers Russell Investment Management Ltd ABN 53 068 338 974 AFSL No 247185 Vanguard Investments Australia Ltd ABN 72 072 881 086 AFSL No 227263 Auditor KPMG ABN 51 194 660 183 Custodian services BNP Paribas Funds Services Australasia Pty Ltd ABN 71 002 655 674 AFSL No 241080 Contact us Email email@example.com Phone 1300 880 588 Fax 1300 267 582 Aon Eligible Rollover Fund PO Box 1949 Wollongong NSW 2500 © 2015 Aon Hewitt Limited A0277_1104 1115 erf.aon.com.au
Although disorders of the skeleton are individually rare, they are of clinical relevance because of their overall frequency. Many attempts have been made in the past to identify disease groups in order to facilitate diagnosis and to draw conclusions about possible underlying pathomechanisms. Traditionally, skeletal disorders have been subdivided into dysostoses, defined as malformations of individual bones or groups of bones, and osteochondrodysplasias, defined as developmental disorders of chondro-osseous tissue. In light of the recent advances in molecular genetics, however, many phenotypically similar skeletal diseases comprising the classical categories turned out not to be based on defects in common genes or physiological pathways. In this article, we present a classification based on a combination of molecular pathology and embryology, taking into account the importance of development for the understanding of bone diseases. Introduction Genetic disorders affecting the skeleton comprise a large group of clinically distinct and genetically heterogeneous conditions. Clinical manifestations range from neonatal lethality to only mild growth retardation. Although they are individually rare, disorders of the skeleton are of clinical relevance because of their overall frequency. Their clinical diversity makes these disorders often difficult to diagnose, and many attempts have been made to delineate single entities or groups of diseases to facilitate diagnosis. Traditionally, skeletal disorders have been subdivided into dysostoses, defined as malformations of individual bones or groups of bones, and osteochondrodysplasias, defined as developmental disorders of chondro-osseous tissue. On the basis of clinical and radiological features, an international group of experts created a taxonomy called the “Nomenclature and Classification of the Osteochondrodysplasias.” In the most recent revision, the dysostoses have been incorporated into the nomenclature, which also has been called a “nosology” (Hall 2002). Although this nosology is based on clinical entities, it also takes into account the more recent advances in our understanding of the molecular pathology of skeletal conditions. In many instances, the molecular data support the original clinical delineation. In other cases, however, it results in the grouping of conditions that have a common molecular origin but that have little in common clinically. For example, mutations in COL2A1 can result in such diverse conditions as lethal achondrogenesis type II and Stickler dysplasia, which is characterized by moderate growth retardation, arthropathy, and eye disease. It is now becoming increasingly clear that several distinct classifications are needed that reflect, on one hand, the molecular pathology and, on the other, the clinical signs and symptoms. Several reviews of the rapidly changing molecular basis of osteochondrodysplasias have been published, focusing either on a molecular-pathogenetic classification (Mundlos and Olsen 1997; Superti-Furga et al. 2001) or on more specific aspects, such as transcriptional dysregulation (Hermanns and Lee 2001). In this article, we present a classification, based on a combination of molecular pathology and embryology, that takes into account the importance of development for the understanding of bone diseases. This concept directly links the clinical phenotype to key cellular processes of skeletal biology, such as proliferation, differentiation, and apoptosis. Skeletal development starts with the formation of a pattern, a process during which the number, size, and shape of the individual skeletal elements are delineated. After the pattern is set, mesenchymal precursor cells migrate to the site of skeletogenesis, condense, and differentiate. Growth of the skeleton takes place primarily in the cartilaginous growth plates, highly specialized organs located at the ends of the long bones. Bone cells remain active after the growth phase has ended, to keep the skeleton in homeostasis by a process called “remodeling.” Accordingly, we have subdivided skeletal disorders into four major groups: disorders affecting skeletal patterning, condensation/differentiation... of skeletal precursor structures ("anlagen"), growth, and homeostasis. Disorders of Skeletal Patterning The skeleton arises from three distinct sites. The axial skeleton, consisting of the vertebrae and ribs, originates from the somites; the appendicular skeleton has its origin in mesenchymal cells located in the lateral plate mesoderm. Most of the craniofacial bones are of neural-crest origin. Disorders affecting the craniofacial skeleton have been discussed in detail elsewhere (Wilkie and Morriss-Kay 2001) and will therefore not be presented here. The Axial Skeleton The axial skeleton, consisting of the vertebrae and the dorsal part of the ribs, is entirely derived from the somites, transient organizational structures of the developing embryo located on both sides of the neural tube. Somites are blocks of epithelial cells with a periodic structure that originate from the paraxial mesoderm. The formation of new somites and their detachment from the paraxial mesoderm have to occur in a highly ordered fashion simultaneously on both sides of the neural tube, in a craniocaudal direction (fig. 1A). Timed regulation of the formation and budding of new somites is given by oscillations of cycling genes that lead to waves of notch signaling sweeping up the paraxial mesoderm from the posterior to the anterior pole (Saga and Takeda 2001). In addition to this molecular clock, a stable gradient of Fgf8 expression from the posterior to the anterior pole of the embryo allows a spatial coordination of somite border formation. Dll proteins are notch ligands that reside at the cell surface. Their differential expression determines the size as well as the polarity of the somites. Any disturbance in this polarity results in abnormally spaced somites and in fusion of adjacent somites, as exemplified in the mouse mutant pudgy, which carries a mutation in Dll3 (Kusumi et al. 1998). As the somite moves rostrally, it matures and differentiates into the dermatomyotome—a structure giving rise to the entire appendicular and axial musculature, as well as to the dorsal epithelium—and the sclerotome, the primary origin of the axial skeleton (fig. 1B). The signaling molecule sonic hedgehog (Shh) is the major signal from the notochord/floor plate that initiates and controls sclerotome formation. It is evident that any disturbance of this process will result in abnormal anlagen of the vertebrae and thus in vertebral malformations. Conditions with Vertebral Malformations Abnormalities of the ribs and/or vertebrae are a relatively common finding in human malformation syndromes. Those that primarily affect the axial skeleton are summarized under the term "spondylocostal dysostoses" (SCDs). Although the causes of the majority of these genetically heterogeneous conditions remain undiscovered, one type of dominant SCD has been shown to be caused by mutations in DLL3 (Bulman et al. 2000). Similar to the pudgy mutant in the mouse, which is caused by mutations in the mouse ortholog, Dll3 (Kusumi et al. 1998), affected individuals show a wide variety of vertebral malformations, including fusions and half vertebrae. Vertebral malformations are frequently observed in Robinow syndrome, a condition that will be discussed further below. Robinow syndrome is caused by mutations in ROR2, an orphan receptor tyrosine kinase (Afzal et al. 2000; van Bokhoven et al. 2000). The role of ROR2 in somite development remains to be determined. The Appendicular Skeleton The limb skeleton originates from the lateral plate mesoderm, which forms the limb bud as the result of a series of interactions with the overlying ectoderm. The mesenchymal cells of the growing limb bud begin to differentiate to form the various tissues of the limb in a proximodistal sequence, with structures being laid down progressively from a region of undifferentiated cells at the tip of the limb bud, known as the "progress zone." The positional identity and thus differentiation of each cell is controlled by a three-dimensional coordinate system consisting of the dorsoventral, proximodistal, and anteroposterior axes. Each axis is controlled by a particular set of signaling molecules/pathways produced by a defined population of cells. Three signaling regions have been identified: the apical ectodermal ridge (AER), mediating limb bud outgrowth (proximodistal axis); ectoderm covering the sides of the bud, governing the dorsoventral pattern; and the zone of polarizing activity (ZPA), controlling the anteroposterior pattern (fig. 1C). Many of the signaling molecules that are produced by these signaling centers have been identified and characterized. Receptors have been identified, and intracellular signaling transduction pathways are being unraveled (Capdevila and Izpisua Belmonte 2001). The AER is an anatomical structure consisting of densely packed ectodermal cells located at the very tip of the limb bud. Several different fibroblast growth factors (FGFs) are expressed and secreted by the AER and have been shown to be essential and sufficient to initiate and control outgrowth of the limb. FGF signaling is conveyed through the FGF receptors, which are expressed in the underlying mesenchyme. As discussed below, the FGF-signaling system is also important in later stages of development, when FGFs control skeletal morphogenesis and growth. The ZPA is a region of mesenchyme located at the Figure 1 Patterning of the axial and appendicular skeleton. A, Somitogenesis. Presomitic mesoderm on both sides of the neural tube becomes subdivided into somites in craniocaudal direction. To illustrate the spatial and temporal coordination of somite formation, a time difference of 90 min between the left and right portion of the presomitic mesoderm is depicted here. Waves of notch expression originating from the caudal pole of the embryo time the somite border formation so that a new somite is formed every 90 min. Spacial coordination is conveyed by a gradient of FGF8 expression. Gray shading of newly formed somites represents polarized expression of Dll3. Somites give rise to several structures, among them the axial skeleton. B, Dorsoventral patterning of the axial skeleton. Each somite subdivides into a dermatomyotome, from which the muscles of the extremities are derived, and a sclerotome, which develops into the axial skeleton. This process is regulated by Shh, which is expressed by the notochord. C, Patterning of the limb buds. The AER is an important signaling center for proximodistal outgrowth of limb structures. p63 expression is crucial for sustaining the AER. The ZPA directs anteroposterior patterning by expression of Shh. Under the influence of Shh, the repressor form of Gli3, Gli3R, is converted to the activating form Gli3A, and a gradient of Shh and Gli3 expression is established. Expression of the Hoxd-cluster genes occurs in a highly ordered fashion as a result of the Shh/Gli3 gradient created by the ZPA. Wnt7a shows a polarized expression, which is strongest in the dorsal ectoderm of the limb bud. It induces Lmx1 in the underlying mesenchyme, which has a key role in dorsoventral patterning. D, The result of the patterning process becomes visible as mesenchymal condensations at later developmental stages. These condensations either develop into cartilaginous bone precursors in endochondral ossification or are directly transformed into bone in desmal ossification. posterior limb bud margin. Shh is expressed in this region and has been shown to be the main mediator of anteroposterior patterning (Chiang et al. 1996). Implantation of Shh-expressing cells can rescue surgical ZPA removal, and Shh expression from the anterior margin of the limb bud results in the formation of an anterior ZPA with subsequent mirror duplication of the entire autopod. Shh is a secreted molecule that is autoprocessed and subsequently modified by the addition of a cholesterin molecule to the last amino acid. Furthermore, a cysteine at the N-terminus is palmitoylated, thus attaching the protein to the plasma membrane. Both modifications are indispensable for biological activity. On the other hand, Shh can form freely diffusible multimers, which allows long-range effects (Ingham and McMahon 2001). Shh binds to its receptor, patched (ptc), which in turn inhibits the signaling of smoothened (smo), a seven-pass membrane protein. Much of the intracellular hedgehog signaling is communicated by the family of Gli transcription factors, notably Gli3. Under the influence of Shh, the zinc finger transcription factor Gli3 is converted into the activating form Gli3A, whereas, otherwise, the repressor form Gli3R predominates and, in a negative feedback, downregulates Shh. By this mechanism, Gli3 expression is much stronger in the anterior than in the posterior limb bud, where Shh levels are high, thus creating an anteroposterior gradient that has been shown to be important for limb patterning. The investigation of the Gli3-deficient mouse mutant extra toes (Xt) gave some closer insight into the role of Shh and Gli3 in limb patterning. Surprisingly, the lack of Shh can be partly rescued by inactivating Gli3. Whereas Shh deficiency leaves only one rudimentary digit, Shh/Gli3 double knockouts show a severe polysyndactyly similar to Gli3−/− mice. The expression of patterning genes like Hoxd12 and Fgf4 is aberrant in the double mutants. This places Gli3 downstream of Shh, and it can be concluded that the Shh/Gli3 pathway imposes a pentadactyl constraint on the polydactyl potential of the autopod and specifies digit identity (Litingtung et al. 2002; te Welscher et al. 2002). A member of the Wnt family of growth factors, Wnt7a, has been shown to be important in dorsoventral patterning. An orthologous pathway is active in Drosophila (Rincon-Limas et al. 1999). Expression of Wnt7a in the dorsal ectoderm of the limb bud upregulates Lmx1b, which belongs to the family of LIM homeodomain transcription factors and forms a dorsoventral gradient (Riddle et al. 1995). This close functional relationship explains why Wnt7a- and Lmx1b-deficient mice both develop autopods with a double ventral phenotype. HOX genes from the 5′ region of the A and D clusters show characteristic stage-dependent expression patterns that determine the shape and identity of individual skeletal elements. HOX genes encode homeodomain-containing transcription factors and are arranged in four gene clusters (HOXA, HOXB, HOXC, and HOXD) that comprise a total of 39 genes in humans. Lower-number HOX genes are expressed earlier in development and more anteriorly and proximally than are the higher-number genes. This pattern of expression is probably achieved by an as-yet-unknown repression mechanism that is gradually released during development. At least for the Hoxd cluster, evidence exists that repression depends on a chromosomal region upstream of Hoxd13 (Kmita et al. 2002). In general, HOX genes seem to lie downstream of the basic patterning signals—for example, those provided by the above-mentioned FGF or Shh pathways. Polydactyly Disorders Involving the Hedgehog Pathway Polydactyly is a relatively common malformation clinically subdivided into the preaxial (additional finger at the side of the thumb) and postaxial (additional finger at the side of the little finger) types. Recent evidence from mouse models has shown that many types of polydactyly directly or indirectly involve the hedgehog pathway. Mutations in SHH itself, however, cause holoprosencephaly, a condition characterized by midline defects of the brain and the face with normal limbs. Mutations in the downstream effector of Shh, GLI3, give rise to different phenotypes, the mildest of which are postaxial polydactyly type I (MIM 174200) and preaxial polydactyly type IV (MIM 174700) (Radhakrishna et al. 1997, 1999). Greig cephalopolysyndactyly (MIM 175700) is a dominant disorder that comprises hypertelorism and frontal bossing, as well as syndactyly and pre- or postaxial polysyndactyly of variable degrees (Vortkamp et al. 1991). The most-severe malformations are found in dominant Pallister-Hall syndrome (MIM 146510), a condition characterized by (i) malformations of the CNS and, occasionally, holoprosencephaly with midline clefting; (ii) craniofacial abnormalities; (iii) syndactyly and polydactyly (central and postaxial); and (iv) anal defects (Kang et al. 1997). No clear genotype/phenotype correlation exists. Another protein that possibly acts downstream of Shh is the human homolog of the Drosophila spalt gene, SALL1. This zinc finger transcription factor has been found to be mutated in Townes-Brooks syndrome (TBS [MIM 107480]) (Kohlhase et al. 1998). Limb malformations include bifid or triphalangeal thumbs and preaxial polydactyly. Further characteristics are abnormal ears and urogenital, heart, and visceral abnormalities. In keeping with a role in anteroposterior patterning, Sall1 is expressed in the AER and the underlying mesenchyme. Regardless of the tremendous evolutionary distance from humans, the orthologous pathway in Drosophila also coordinates anteroposterior patterning. The exact targets of spalt and Sall1 are still elusive, but it was demonstrated that the Sall1 protein colocalizes with the telomere-binding protein PIN2 to pericentromeric heterochromatin (Netzer et al. 2001). Most mutations cluster in exon 2 of SALL1 and delete a zinc finger domain by truncating the protein, which is thought to render it nonfunctional. Preaxial polydactyly is frequently associated with a triphalangeal thumb (a long fingerlike thumb with three phalanges instead of two). This condition, triphalangeal thumb–polysyndactyly syndrome (TPTPS [MIM 190605]), is inherited as an autosomal dominant trait with variable expressivity. It has been mapped to chromosome 7, close to the SHH gene (Heutink et al. 1994). Whereas no TPTPS mutations have been identified so far, an intronic deletion and insertion within the neighboring LMBR1 (Corf2) gene has recently been found in the human limb amputation condition achireopodia and in the polydactylosus mouse mutant sasquatch (Ssq), respectively (Ianakiev et al. 2001; Lettice et al. 2002). These findings and the subsequent identification of a translocation breakpoint, in a patient with postaxial polydactyly, in the same intron as the Ssq insertion (Lettice et al. 2002; Horikoshi et al. 2003) suggest the existence of a long-range cis enhancing element directing Shh expression in the limb. In the future, the identification of the underlying molecular defect of the mouse limb mutants Hemimelic extra toes (Hx) and Hammertoe (Hm), which have also been mapped to this syntentic region and display postaxial polydactyly plus tibial aplasia and syndactyly, may help to refine the genomic size of an Shh long-range limb enhancer element. Ectrodactyly and Other Absence/Hypoplasia Defects “Ectrodactyly” is a rather nonspecific descriptive term applied to a number of genetic and nongenetic malformations with absence deformities of the hands/feet. The great majority of these defects occur unilaterally and are nongenetic. The split hand/foot malformation (SHFM) is genetically heterogeneous and preferentially affects the central part of the distal limb (fig. 2). Similar phenotypes can be produced in the chick, by surgical removal of the AER. This results in truncation of the limbs at a position corresponding to the time point of AER ablation, indicating that SHFM may be caused by similar mechanisms. The dominant ectrodactyly, ectodermal dysplasia, and clefting syndrome (EEC [MIM 604292]) was the first condition in which mutations in the p53 homolog p63 were identified (Celli et al. 1999). In addition to syndactyly and ectrodactyly of the hands and feet, cleft palate, hypodontia, and diverse signs of ectodermal dysplasia can be noted. EEC overlaps with limb-mammary syndrome (MIM 603543), in which the nipples are hypoplastic or absent, and nonsyndromic SHFM (MIM 605289), and all three disorders were shown to be allelic (Brunner et al. 2002). Expression of the p63 transcription factor is restricted to stem cells within the basal layer of squamous epithelia. Consequently, complete deletion of p63 in mice leads to an absence of squamous epithelia and their derivatives, such as hair, teeth, and mammary, lacrimal, and salivary glands. Moreover, limbs are severely truncated, which illustrates the utmost importance of functional ectoderm for limb bud initiation and patterning. Without p63, no AER is formed, and the mesenchymal cells of the limb bud degenerate, most likely because of a lack of FGF8 (Yang et al. 1999). The human ectrodactyly disorders cannot simply be explained by a loss of p63 function. Even though almost all EEC mutations affect arginine residues in the DNA-binding domain, this does not necessarily entail a total loss of function, since p63 still can interact and thus influence other proteins via its SAM domain. Mutations in this domain, on the other hand, cause Hay-Wells syndrome (MIM 106260), which comprises only minor limb abnormalities. How exactly the changed DNA-binding capacity of p63 leads to a degeneration of only the central part of the AER to cause splitting of the autopod needs to be determined. Another form of ectrodactyly has been linked to deletions on chromosome 7q (SHFM1 [MIM 183600]). This region contains two homeobox genes, DLX5 and DLX6. The deletion of both genes in the mouse results in an SHFM-like phenotype. Other absence defects involve either the radial or the ulnar ray of the limb. Holt-Oram syndrome (HOS [MIM 142900]) is characterized by the combination of radial ray defects, such as hypoplasia/aplasia of the thumb and aplasia of the entire radius, with congenital heart defects. The responsible gene, TBX5, belongs to the T-box family of transcription factors, which are crucial for, among other functions, mammalian limb development and identity (Basson et al. 1997). Interestingly, Okihiro syndrome (MIM 607343), which combines features of TBS and HOS, has recently been linked to mutations in SALL4, a homolog of SALL1, raising questions as to an interaction of TBX5 and SALL transcription factors (Kohlhase et al. 2002). Congruent with the localization of the human malformations, Tbx5 is expressed exclusively within the murine forelimb, whereas the related Tbx4 is constricted to the hindlimb. It is tempting to speculate that the T-box code has a function similar to that of the Hox code, in that it determines body-part identity. Tbx5−/− mice die in utero because of severe heart malformation before limb development is sufficiently advanced to assess limb identity. Human mutations are known that predominantly cause cardiac defects. For some of these, a differential impairment of binding to cardiac-specific promoters has been demonstrated (Basson et al. 1999). Loss-of-function mutations in TBX3, which is active in the forelimb and hindlimb, are known to cause the dominant ulnar-mammary syndrome (MIM 181450) (Bamshad et al. 1997). The limb malformations affect primarily posterior structures—that is, the third to fifth digits and the ulna, which may be hypoplastic or deformed. A postaxial polydactyly can be also observed, and the fourth and fifth toe are frequently shortened. Tbx3 has been shown to be expressed in an anterior and a posterior stripe in the limb bud. The posterior stripe, which seemingly confines identity of the posterior digits, appears to be independent of ZPA signaling, whereas the anterior expression domain is sensitive to Bmp2 and Shh and is thought to determine the width of the bud (Tumpel et al. 2002). Acheiropodia (MIM 200500) is a rare recessive condition with severe truncation defects of the upper and lower extremities and aplasia of the hands and feet. The limb phenotype somewhat resembles that of Shh−/− mice, indicating a possible involvement of the hedgehog pathway. A deletion in the human ortholog of the mouse Lmbr1 gene was identified that removes intronic sequence as well as exon 4, resulting in a presumably inactive truncated protein (Ianakiev et al. 2001). Disorders of Dorsoventral Patterning Nail-patella syndrome (NPS [MIM 161200]) is an example of a disturbed patterning along the dorsoventral axis. Characteristic findings are dysplastic nails and hypoplastic or aplastic patellae, together with iliac horns. Abnormalities of the elbows and nephropathy are associated manifestations. After evidence for linkage of the condition to 9q31 had already emerged, the similar phenotype of the corresponding knockout mouse led to the discovery of mutations in LMX1B (Chen et al. 1998; Dreyer et al. 1998). The associated nephropathy stems from an altered expression of type IV collagen at the glomerular basement membrane, leading to defects in podocyte differentiation. Lmx1b was shown to regulate the expression of this collagen (Morello et al. 2001). The pathomechanism underlying NPS appears to be haploinsufficiency (Dreyer et al. 2000). Disorders Involving HOX Genes The first human disorder discovered to be caused by a HOX gene mutation was synpolydactyly (SPD [MIM 186000]). Its hallmark is a dominantly inherited syndactyly between the third and fourth finger and the fourth and fifth toe. Additional features include clinodactyly, camptodactyly, and brachydactyly of the fifth finger, as well as syndactyly and brachydactyly of the second to the fifth toes. The genetic cause is an expansion of an imperfect polyalanine coding repeat in exon 1 of HOXD13 (Muragaki et al. 1996). The normally occurring 15 alanine residues in the N-terminal part of HOXD13 are expanded by 7–14 alanines in affected cases. In contrast to other repeat-expansion diseases, the repeat number is meiotically stable across generations. Repeat length positively correlates with severity and penetrance of the disorder (Goodman et al. 1997). Individuals in whom the longest repeat, 29 residues in total, was identified show additional malformations of the thumb and hallux and extraskeletal defects like hypospadias. An even more pronounced phenotype, with severe brachydactyly and oligodactyly of the feet, was observed in individuals who are homozygous for the mutation (Muragaki et al. 1996). A much weaker phenotype results from deletion mutations that lead to frameshift and truncation of the protein or a missense mutation of a conserved residue (Goodman et al. 1998). Only few mutation carriers have the typical SPD features; instead, the second metatarsals can be duplicated, and the middle phalanges of the toes are slightly hypoplastic. Interestingly, mice with inactivated Hoxd13 alleles show a very mild phenotype without polydactyly (Dolle et al. 1993; Davis and Capecchi 1996), indicating that the SPD mutations are not simple loss-of-function mutations. The synpolydactyly homologue (spdh) mouse mutant has the SPD phenotype and a polyalanine expansion similar to the human mutation (Bruneau et al. 2001). The spdh phenotype closely resembles that of mice with deletions of the Hoxd11, Hoxd12, and Hoxd13 genes (Zakany and Duboule 1996), raising the possibility that the alanine expansions interfere with other limb-expressed Hox genes. Further interesting findings are that, in spdb homozygotes, the proliferation of the autopod chondrocytes is reduced and that 5' Hox genes are expressed in the perichondrium after birth. In addition to patterning, Hox genes apparently have a function in the regulation of growth (Albrecht et al. 2002). Hoxa13 is expressed in the distal limb bud, similar to Hoxd13. Heterozygous mutations in the HOXA13 gene are the cause of hand-foot-genital syndrome (MIM 140000), a condition characterized by short first metacarpals, hypoplastic distal phalanges of the thumb and toes, and urogenital abnormalities such as duplications of the female urogenital tract, malpositioning of the ureteral orifices, and hypospadias of varying degrees in affected males (Mortlock and Innis 1997). Most disease-causing mutations identified so far are nonsense mutations, which can be assumed to lead to a complete loss of function. Interestingly, an expansion of the polyalanine stretch at the N-terminus leads to an identical phenotype (Utsch et al. 2002). Hence, alanine expansions in HOXA13 produce loss of function, whereas similar expansions in the related HOXD13 have complex effects. Mutations in HOXA11 have recently been shown to cause amegakaryocytic thrombocytopenia and radioulnar synostosis (MIM 605432) (Thompson and Nguyen 2000). The site of the malformation reflects the developmental expression of HOXA11. The mutations are single-base-pair deletions that are thought to cause a premature stop codon by frameshift, thus truncating the protein within the homeodomain. A loss of function is therefore likely. Disorders of Early Differentiation Pattern formation is the process during which number, size, and shape of the cartilaginous template are delineated. Once the pattern is determined, cells migrate to the sites of future skeletogenesis and form condensations that anticipate the structure of the skeleton (anlage). Extracellular matrix molecules such as versican, tenascin, syndecan, heparan sulfate, and chondroitin sulfate proteoglycans are highly expressed in these cells and contribute to the "sticky" nature of the cell aggregates. The next step is the overt differentiation of these cells into cartilage-forming chondrocytes in endochondral skeletal elements or into bone-forming osteoblasts in membranous skeletal elements. In areas of endochondral bone formation, the condensed cells differentiate into chondrocytes. The transcription factor Sox9 has been shown to be essential for this process (Bi et al. 1999). Sox9 is a member of the Sox family of transcription factors, which are characterized by a high-mobility group-box DNA-binding domain. It is expressed in the early cartilaginous condensations and, at later stages, in growth-plate chondrocytes. One of its regulatory targets is Col2a1, the gene encoding the major collagen in cartilage; Sox9 binds specifically to sequences within the first intron of this gene (Lefebvre et al. 1998). Two other members of the Sox family, Sox5 and Sox6, are also required for overt chondrocyte differentiation. Homozygous Sox5−/− mutant mice and Sox6−/− mutant mice are born with relatively mild skeletal anomalies. In contrast, Sox5/Sox6 double homozygous mice die in utero because of severe defects in cartilage formation. A detailed analysis has shown that Sox9 is needed for the formation of mesenchymal condensations, whereas Sox5 and Sox6 are required for the differentiation of condensed cells into chondrocytes (Akiyama et al. 2002). The transforming growth factor β (Tgfβ)/bone morphogenetic protein (BMP)/GDF5 pathway plays an important role in the regulation of condensation and differentiation of precursor cells into chondrocytes. Signaling of the Tgfβ superfamily members requires the binding of the ligand to cell-surface receptors consisting of two types of transmembrane serine/threonine kinase receptors, classified as type I and type II. The type II receptor transphosphorylates and thus activates the type I receptor. The intracellular substrates of the activated type I receptors are the Smads. Smads 1, 5, and 8 are phosphorylated and then translocated to the nucleus, where they participate in the transcriptional regulation of genes involved in cartilage and bone formation (Massague and Chen 2000; Miyazono et al. 2001). Overexpression of Bmp2 or Bmp4 in chick embryos is followed by dramatic increases in both the size and shape of skeletal elements. Similar effects can be observed by overexpressing a constitutively active BmpRⅡb, whereas the opposite effect is achieved by expressing a dominant negative truncated form of the receptor (Zou et al. 1997). The likely mechanism is the recruitment of mesenchymal precursor cells to the cartilage condensations and to the perichondria, which contribute cells to the anlage by appositional growth. Recruitment of cells to condensations is also consistent with the known action of BMPs and Gdf5 to induce cartilage and bone when implanted ectopically. In areas of membranous bone formation, the condensed cells differentiate into osteoblasts, which produce bone matrix. Genetic experiments in mice have demonstrated that Cbfα1/Runx2 is essential for this process (Otto et al. 1997). Runx2 is a member of a small family of transcription factors that are homologous to the Drosophila runt gene. In Runx2 null mice, no endochondral or membranous bone is formed, because of an arrest during the early steps of osteoblast differentiation. Recently, a Cbfβ-deficient mouse model with a similar yet less severe phenotype made clear that Runx2 directly interacts with Cbfβ to fulfill its role. A direct interaction of both proteins was shown (Kundu et al. 2002). Osterix, another transcription factor, is thought to act downstream of Runx2 (Nakashima et al. 2002). Mesenchymal condensations resemble the future skeleton in shape and size. In many instances, though, more than one bone or cartilage can arise from a single condensation. This is particularly evident in the limbs. The digital rays are thought to be formed from prechondrogenic condensations that appear spatially continuous and subsequently segment into individual skeletal elements. Morphologically, development of most joints begins with a condensation of cells at the future joints and the repression of chondrogenesis at these sites. In the chick, this so-called “interzone” develops into a three-layered structure, with the central region undergoing apoptosis resulting in the formation of the joint cavity. Recently, a member from the Wnt family, Wnt14a, has been implicated in joint induction (Hartmann and Tabin 2001). Members of the BMP/GDF families are expressed in the joint interspace and have also been reported to be involved in joint formation (Francis-West et al. 1999). Among them, Gdf5 is the most prominent. Inactivation of Gdf5, as observed in the brachypodism mutation, results in the loss of interphalangeal joints. Multiple other genes involved in the regulation of chondrogenesis can be expected to play a role in this process. Overexpression of Runx2, for example, which is normally not expressed in the joint region, results in the lack of a morphologically defined interzone and missing Gdf5 expression, indicating that it interacts with the early events of joint formation (Stricker et al. 2002). Genetic defects that result in the disturbance of mesenchymal condensation and/or differentiation can be expected to have a patterning-like phenotype—that is, loss or underdevelopment of certain bones, together with a growth defect. Such conditions have been termed “dysostoplasias,” indicating that aspects of dysostosis occur together with those of the dysplasias (Mundlos and Olsen 2002). Conditions that fit into this category can be found among the brachydactylies and other syndromes affecting early bone development. Brachydactyly Types A, B, and C Brachydactyly (from the Greek brachys, meaning “short,” and daktylos, meaning “digit”) is “shortening of the digits due to anomalous development of any of the contributing phalanges or metacarpals of which they consist” (Bell 1951, p. 2). Brachydactylies have been classified, on anatomic and genetic bases, into five groups, A to E, including three subgroups (A1, A2, A3) that usually manifest as autosomal dominant traits. Brachydactyly type A1 (BDA1 [MIM 112500]) is characterized by hypoplastic/aplastic middle phalanges. Interestingly, BDA1 was the first human condition recognized to be inherited in a dominant fashion. Named after this landmark paper, it is also called “Farabee-type brachydactyly.” BDA1 was recently shown to be caused by heterozygous missense mutations in the amino-terminal domain of the signaling molecule Indian hedgehog (IHH) (Gao et al. 2001). The role of Ihh during early digit formation is not well understood, and mice with one inactivated Ihh allele do not show a brachydactyly phenotype. Homozygous inactivation results in a severe and lethal chondrodysplasia characterized by the absence of cortical bone, reduced proliferation and abnormal differentiation of chondrocytes, and defects in joint formation (St-Jacques et al. 1999). The pivotal role of this signaling molecule in chondrocyte differentiation is discussed in the “Disorders of Growth” section. Brachydactyly type B (BDB [MIM 113000]) is characterized by hypoplasia/aplasia of the distal phalanges and/or nails. The thumb is usually unaffected but may be duplicated in severe cases. Symphalangism, especially of the interdigital joints, occurs. BDB is caused by truncating mutations located in two distinct regions of the receptor tyrosine kinase ROR2 (Oldridge et al. 2000). The truncations distal to the tyrosine kinase domain are associated with a more severe phenotype than are proximal mutations, which disrupt or delete this entire domain (Schwabe et al. 2000). Ror2 has a pivotal role in chondrocyte differentiation, as demonstrated by the severe and lethal chondrodysplasia observed in Ror2 null mice (Takeuchi et al. 2000). However, the mechanism explaining the brachydactyly phenotype remains unclear. Brachydactyly type C (BDC [MIM 113100]) is characterized by brachymesophalangy of the second, third, and fifth fingers, sometimes together with hyperphalangy, usually of the second and third fingers, and shortening of the first metacarpal. As a rule, the fourth finger is not affected and is therefore the longest digit in BDC. Heterozygous frameshift or nonsense mutations affecting GDF5, also called “cartilage-derived morphogenetic protein 1” (CDMP1), have been identified in several individuals with BDC (Polinkovsky et al. 1997). Homozygous mutations located within the active domain of GDF5 lead to severe disturbance of limb morphogenesis in acromesomelic chondrodysplasias of the Grebe (MIM 200700) (Thomas et al. 1997) and Hunter-Thompson (MIM 201250) (Thomas et al. 1996) types, as well as Du Pan syndrome (MIM 228900) (Faiyaz-Ul-Haque et al. 2002). Defects of Joint Formation Abnormalities in joint formation occur in several genetic conditions. Patients with proximal symphalangism (MIM 185800) show fusion/malformation of the proximal interdigital joints together with deafness due to an ankylosis of the stapes within the middle ear. Multiple-synostosis syndrome (MIM 186500), a more severe form of this condition, was later shown to be allelic. Heterozygous mutations affecting the Bmp antagonist noggin (NOG) (Gong et al. 1999; Marcelino et al. 2001) were shown to be the cause of these conditions. Campomelic Dysplasia Campomelic dysplasia (MIM 114290) is a dominant disorder caused by haploinsufficiency of the transcription factor SOX9 (Wagner et al. 1994). The phenotypic abnormalities include (i) bowing and angulation of long bones, (ii) hypoplasia of the scapula and pelvis, (iii) abnormalities of the vertebral column with a decreased number of ribs, and (iv) craniofacial abnormalities (cleft palate, micrognathia, hypertelorism, and a flat facies) (fig. 3). Most affected babies die, in the neonatal period or during early infancy, of respiratory distress caused by a small rib cage, narrow airways (defective tracheobronchial cartilage), and hypoplastic lungs. However, long-term survivors have been described. Three-quarters of the cases with a male karyotype have a complete or partial sex reversal. Other tissues affected include kidney, heart, brain, and pancreas, consistent with the expression pattern of Sox9 in the developing mouse. Four major classes of mutations causing campomelic dysplasia have been reported. The missense mutations impair DNA binding, a finding that is consistent with a loss-of-function model. The truncating mutations reduce transactivation activity and thereby impede the ability of SOX9 to activate target genes. SOX9 has a large 5' regulatory region, and translocations or deletions in this area apparently interfere with normal SOX regulation (Meyer et al. 1997). Ellis–van Creveld Syndrome Ellis–van Creveld syndrome (MIM 225500) is also referred to as “chondroectodermal dysplasia.” It is a recessive disorder, and—as the designation implies—the clinical features are a combination of skeletal and ectodermal abnormalities. The major features consist of (i) short stature, of prenatal onset, that is most pronounced in the distal segments; (ii) skeletal defects, including polydactyly, short and broad middle phalanges and hypoplastic distal phalanges, fusion of wrist bones, an abnormal pelvis, a narrow thorax with thin ribs, and hypoplasia of the upper lateral tibia; (iii) hypoplastic fingernails; (iv) cardiac defects; (v) neonatal teeth, or small teeth with delayed eruption; and (vi) a frenulum from the alveolar ridge to the upper lip, as well as defects in the alveolar ridge. The responsible gene, called EVC, was mapped in an Amish pedigree and encodes a 992-amino acid protein of unknown function containing a leucine zipper motif and nuclear localization signals (Ruiz-Perez et al. 2000). Cleidocranial Dysplasia Cleidocranial dysplasia (CCD [MIM 119600]) is a dominantly inherited disorder caused by mutations in CBFA1/RUNX2 (Mundlos et al. 1997). CCD is characterized by (i) hypoplasia/aplasia of the clavicles; (ii) delayed ossification of cranial sutures and fontanelles; (iii) dental anomalies, including delayed eruption of deciduous and permanent teeth and supernumerary teeth of the permanent dentition; and (iv) short stature. A number of other skeletal abnormalities are commonly observed, including a narrow, bell-shaped thorax; cervical or missing ribs; and characteristic changes in the pelvis, consisting of hypoplastic iliac wings and a wide symphysis pubis. Large femoral epiphyses, two ossification centers of the second metacarpal, and a short middle phalanx of the fifth finger are frequently found. The bone development is generally retarded. The face and the skull have a characteristic appearance, with a relatively large cranium, frontal and parietal bossing, and a frontal groove originating from ossification defects. within the metopic suture. The nose is short and anteverted, and the maxilla is hypoplastic, giving the impression of a relative prognathism (Mundlos 1999). CCD is caused by haploinsufficiency of Runx2. The mutations identified so far include deletions of the entire gene and flanking regions; nonsense mutations and frame shifts, which can be expected to result in RNA degradation; and missense mutations in the DNA binding domain, which were shown to interfere with DNA binding (Quack et al. 1999; Otto et al. 2002). Interestingly, some of the truncating mutations that may result in stable proteins were shown to delete binding sites for Smad. A missense mutation affecting serine 104 was shown to interfere with heterodimerization of Runx2, thereby mimicking the inhibitory effect of phosphorylation of this residue (Wee et al. 2002). CCD is a typical condition that combines features of a dysostosis—that is, abnormal patterning (aplasia of clavicles and supernumerary teeth)—with those of a skeletal dysplasia affecting the skeleton as a whole (short stature). This combination of defects can be explained by the dual role of Runx2 in skeletal development. First, it is essential for the differentiation of osteoblasts by tightly controlling a number of downstream genes. This control appears to be exquisitely dose sensitive, since even a 50% reduction is sufficient to produce a phenotype. Runx2−/− mice are a good model for CCD, since they recapitulate most of the human phenotype (with the exception of supernumerary teeth) (Otto et al. 1997). The skull phenotype can be explained by a reduced rate of differentiation of precursor cells into osteoblasts at the site of bone growth—that is, the suture lines. The clavicles are hypoplastic, with delayed endochondral ossification of the medial part and absent intramembranous formation of the lateral part (Huang et al. 1997). A second role for Runx2 is in the regulation of chondrocyte hypertrophy and the invasion process, which explains the delay in bone maturation and the short stature observed in patients with CCD (Kim et al. 1999). Furthermore, Runx2 appears to have a role beyond embryonic development. Some individuals with CCD have very low bone density and suffer from osteoporotic fractures (Quack et al. 1999; Morava et al. 2002; Unger et al. 2002). Whether this is caused by the downregulation of downstream genes such as alkaline phosphatase or by a reduced osteoblast differentiation remains to be determined. Leri-Weill Dyschondrosteosis and Langer Mesomelic Dysplasia Leri-Weill dyschondrosteosis (LWD [MIM 127300]) and Langer mesomelic dysplasia (MIM 249700) are caused by mutations in the short stature homeobox gene (SHOX) (Belin et al. 1998; Stuppia et al. 1999; Clement-Jones et al. 2000; Zinn et al. 2002). It resides within the pseudoautosomal regions on the X and Y chromosomes and may also play a role in nonsyndromic short stature and in Turner syndrome. LWD is caused by haploinsufficiency, whereas Langer mesomelic dysplasia is due to homozygous loss-of-function mutations. LWD is characterized by short stature, Madelung deformity of the forearm, and limited motion at the elbow. Langer mesomelic dysplasia results in a rudimentary fibula, a very short dysplastic tibia, a distally reduced ulna, and a bowed shortened radius. Additional features are short fingers, broad hands, and hypoplastic mandibles. The target genes and the exact role of SHOX are unknown. The combination of symptoms, however, suggests a role in early chondrocyte differentiation as well as in the growth plate. Disorders of Growth In contrast to the bones of the skull that are formed by a direct transformation of mesenchymal cells into osteoblasts, so-called “desmal ossification,” the major part of the skeleton is formed by endochondral ossification. In endochondral ossification, a cartilaginous template is formed first, which is subsequently replaced by bone. Central to this process is the formation of a growth plate, a highly organized structure that generates all of the longitudinal growth (fig. 4). Growth-plate chondrocytes are invariably arranged in three layers: reserve chondrocytes, proliferating chondrocytes, and hypertrophic chondrocytes. A very complex interplay of different signaling pathways regulates the rate of proliferation and the conversion of proliferating chondrocytes into hypertrophic chondrocytes. During the process of chondrocyte differentiation, the matrix composition changes dramatically through the production of other components, such as collagen type X; the expression of metalloproteinases; and calcification. At the same time, blood vessels begin to penetrate the calcified cartilage, bringing in osteoclasts, which remove cartilage, and osteoblasts, which build new bone. With further growth, the central and primary center of ossification expands toward the ends of the bones, and secondary centers of ossification form within the cartilage remnants. The growth plate, now localized between the epiphysis (the secondary center of ossification) and the metaphysis (the distal end of former primary ossification center), remains active until the end of puberty, when primary and secondary ossification centers fuse. At this point, the cartilage of the joints is the only cartilage that remains of the former anlage. Growth hormone secreted by the pituitary gland and IGF1 produced by proliferating and hypertrophic chondrocytes, among many other tissues, act largely independently to control the rate of chondrocyte proliferation. Disorders affecting this pathway result in proportionate dwarfism without much skeletal dysplasia, suggesting that they are major regulators of linear bone growth and, thus, of body size. The vast majority of other short-stature disorders, however, result in disproportionate dwarfism, presumably because they affect not only proliferation but also differentiation of chondrocytes. Two major signaling pathways that control proliferation and differentiation of chondrocytes have been identified: the Ihh/parathyroid hormone (PTH)–related peptide (PTHrP) pathway and the FGF pathway. Ihh, the second mammalian hedgehog ortholog, plays a central role in the regulation of chondrocyte proliferation and hypertrophy. Ihh signals through the HH pathway (also see the “Disorders of Skeletal Patterning” section). Ihh appears to have direct and indirect functions. Through a yet-unknown cascade of events, Ihh indirectly regulates the expression of PTHrP, which is normally expressed in chondrocytes close to the joint surface. PTHrP is a secreted molecule transducing its signal via the PTH/PTHrP receptor (PPR) and plays a critical role in the regulation of chondrocyte hypertrophy by keeping cells in the nonhypertrophic proliferative state. Ihh and PTHrP form a feedback loop whereby Ihh up-regulates the synthesis of PTHrP, thereby indirectly slowing down the process of chondrocyte hypertrophy (Vortkamp et al. 1996). FGF signaling plays a major role in the regulation of chondrocyte proliferation and differentiation. More than 20 different FGFs are currently known, and splice variants further widen the diversity. They are involved in a multitude of developmental and physiological processes, act as potent mitogens for chondrocytes as well as for osteoblasts, and stimulate bone formation in vitro and in vivo. The four distinct FGF receptors (FGFRs) are activated by most members of the FGF family. Activity and specificity of the FGF/FGFR complex is dependent on the tissue-specific expression of splice variants and the composition of the extracellular matrix (ECM), which binds FGFs and is an indispensable cofactor for activation of the FGF receptors. Only few downstream targets of FGFRs have been elucidated, among them PLCγ, Shc, MAP kinase, and the transcription factor STAT1. FGFR1 and FGFR3 are both expressed in the growth plate. Their distinct domains of expression (FGFR3 is expressed in proliferating chondrocytes, whereas FGFR1 is expressed in prehypertrophic and hypertrophic chondrocytes) suggest unique functions. Inactivation of Fgfr3 in the mouse results in overgrowth of the long bones, whereas expression of an activating mutation results in dwarfism, indicating that Fgfr3 functions as a regulator of chondrocyte proliferation and/or hypertrophy (for a review of FGF function see Ornitz and Marie 2002). It is not yet clear which of the many different FGFs expressed in the developing endochondral bone is the predominant ligand for FGFR3 at the growth plate. However, the similarity between the phenotype of a recently created Fgf18 knockout and the Fgfr3-deficient mouse model indicates that it may be Fgf18 that rules the growth plate in competition with its opponents, the BMPs (Liu et al. 2002). The Ihh/PTHrP and the FGF signaling pathways also interact with members of the BMP family. At the growth plate, FGFs have been shown to antagonize BMP action by inhibiting Ihh expression and to decrease chondrocyte proliferation by accelerating chondrocyte hypertrophy (Minina et al. 2002). The next and final step in endochondral bone formation is the replacement of hypertrophic cartilage by bone. This requires vascular invasion, a step initiated and controlled by an interaction of antiangiogenic and angiogenic factors. To stimulate vessel invasion from the bone collar, the hypertrophic chondrocytes express vascular endothelial growth factor (VEGF). As pointed out in the “Disorders of Early Differentiation” section, Runx2 is a transcription factor of pivotal importance for bone formation. In cartilage, Runx2 is expressed in nonproliferative and prehypertrophic chondrocytes (Stricker et al. 2002), one of its target genes being VEGF (Zelzer et al. 2001). If Runx2 is expressed specifically in nonhypertrophic chondrocytes in Runx2−/− mice, it is able to partially rescue the differentiation defect and induces chondrocyte hypertrophy and endochondral ossification (Takeda et al. 2001). Furthermore, despite the absence of osteoblasts in rescued animals, osteoclasts resorbing the cartilage matrix were identified. Hence, Runx2 seems to induce chondrocyte hypertrophy and the consecutive removal of calcified cartilage in parallel with its key function in osteoblast differentiation. VEGF is not secreted by the hypertrophic chondrocytes, but it is walled in the hypertrophic cartilage. As a fascinating regulatory mechanism, it was shown to be released by the action of matrix-metalloproteinase-9 (MMP-9), which is produced by osteoclasts (Vu et al. 1998). The hypertrophic chondrocytes furthermore ensure their posthumous removal by expressing MMP-13, which alone has little proteolytic activity but is strongly activated by MMP-9 (Engsig et al. 2000). Cartilage is characterized by a unique ECM that accounts for ~90% of the tissue volume. The main component is fibrous collagen, which confers tensile strength. In the resting and proliferating chondrocytes, production of type II collagen predominates, which can form fibers together with type IX and type XI collagen. Type X collagen, in contrast, is specific to hypertrophic cartilage. Proteoglycans—above all, aggrecan—are of high abundance. They are giant molecules with a gel-like consistency that are composed of a core protein to which are attached different kinds of glycosaminoglycans (GAGs), which are highly sulfated and thus negatively charged. This allows them to bind large amounts of cations and water molecules and to be mutually repellent, which is thought to contribute to the elasticity of the cartilage. Glycoproteins are a third group of matrix components, comprising, among others, perlecan, fibronectin, tenascin, and cartilage oligomeric matrix protein (COMP). COMP is a pentameric glycoprotein able to bind calcium at calmodulin-like domains. It forms noncovalent cross-links by interacting with different types of collagens. Bone consists mostly of type I collagen. In contrast to the elastic cartilage, the bone matrix contains few proteoglycans and instead consists of as much as two-thirds hydroxyapatite, in order to be rigid. Disorders Affecting Chondrocyte Differentiation and Proliferation Mutations in IHH, one of the key regulators of chondrocyte proliferation and differentiation, cause BDA1, as described in the “Disorders of Early Differentiation” section. In addition to hypoplasia/aplasia of the middle phalanges, BDA1 is, in some individuals, associated with short stature, confirming its general role in growth-plate function (Gao et al. 2001). Ihh is a secreted signaling molecule that exerts its function over long distances. The composition of the ECM appears to be of utmost importance for this process, as is demonstrated by the Drosophila mutant tout velu. In these animals, the distribution of hedgehog is disorganized by an altered expression of heparan sulfate (Bellaiche et al. 1998). Loss-of-function mutations in the EXT genes, the human orthologs of tout velu, cause multiple cartilaginous exostoses (MIM 133700), a condition characterized by multiple, circumscribed, sometimes painful bone protuberances, most frequently located at the ends of tubular bones in close proximity to the growth plates. During adulthood, growth of the lesions slows, and no new lesions are formed. Additional dysplastic changes are disproportionate shortening of the ulna with bowing of the radius and radioulnar or tibiofibular synostosis. Adult height is frequently reduced. Malignant degeneration occurs and is caused by second hits involving other genes. EXT1 is located on chromosome 8q24, EXT2 is located on chromosome 11p11-12, and other loci have also been described. Mutations in EXT1 cause multiple exostosis and, if involved in a contiguous deletion, are part of tricho-rhino-phalangeal syndrome (MIM 190350) (Ludecke et al. 2001). Several disorders have been described that involve PTHrP and the PPR. Blomstrand chondrodysplasia (MIM 215045) is characterized by a short-limb–type dwarfism, with severely shortened tubular bones with club-shaped ends, an accelerated bone maturation, shortened limbs, and a generalized sclerosis of bone. Affected children usually die shortly after birth. The early maturation of the skeleton is caused by an unhindered chondrocyte hypertrophy due to homozygous loss-of-function mutations in the PPR (Jobert et al. 1998). Dominant activating mutations in the same receptor result in Jansen-type metaphyseal chondrodysplasia (MIM 156400) (Schipani et al. 1995). Patients suffer from a severe growth retardation and bone deformations. The joints are enlarged, with osseous restriction of mobility and ligamentous hyperlaxity. Radiologically, there is generalized demineralization (resulting in occasional fractures), rachitiform changes with enlargement of the metaphyses, and hyperostosis of the calvarium and the base of the skull. Major laboratory findings include hypercalcemia during the first months of life, elevated alkaline phosphatase, and low or normal serum PTH. Two different missense mutations lead to a constitutive stimulation of cAMP production by the receptor, which blocks chondrocyte hypertrophy and hinders the following ossification process. Enchondromatosis (MIM 166000) is characterized by the occurrence of multiple enchondromas, benign tumors of cartilage that are usually located in close proximity to or in continuity with growth plate cartilage. In some cases, a generalized dysplasia may be present that is not attributable to the enchondromas. Enchondromas can lead to skeletal deformity, and, in rare cases, may result in chondrosarcoma. A mutant PPR receptor has been identified in some cases, which constitutively activates hedgehog signaling. The mutations can be inherited as germline mutations that acquire second hits later in life or as somatic mutations that can be detected only within the lesion (Hopyan et al. 2002). The importance of FGF signaling for skeletal growth first became clear when it was discovered that mutations in FGFR3 lead to achondroplasia (MIM 100800), the most frequent form of dwarfism (Shiang et al. 1994). Rhizomelic limb shortening, midface hypoplasia, frontal bossing, trident hands, and exaggerated lumbar lordosis are typical of this dominantly inherited condition. The disproportionately large head may be due to true megencephaly, or, more commonly, it may be due to enlarged ventricles that are believed to be caused by increased intracranial pressure due to diminished resorption and drainage of cerebrospinal fluid. The hydrocephalus stabilizes spontaneously in almost all patients (achondroplasia-specific growth curves for head circumference should therefore be used) and is not related to intellectual performance, which is normal in individuals with achondroplasia. Muscular hypotonia is commonly found in infancy and may be caused by stenosis of the foramen magnum. Guidelines for health supervision of children with achondroplasia can be found in the 1995 American Academy of Pediatrics (AAP) Guidelines (see the “Health Supervision for Children with Achondroplasia” policy statement, available from the AAP Web site). Mean ± SD adult height is 131 ± 5 cm in males and 124 ± 6 cm in females. Two allelic disorders exist: Hypochondroplasia (MIM 146000) is a milder form of the disorder, with less growth deficit and more or less normal facial development. Thanatophoric dysplasia (MIM 187600 and MIM 187601), in contrast, is characterized by severe disproportionate dwarfism with very short extremities, very narrow thorax, and death in early infancy due to respiratory insufficiency. Major radiographic features include severe platyspondyly, short and relatively broad tubular bones and bowing of the femora, small facial bones and large calvaria, and distinct changes of the pelvis. Two types are differentiated, with type 2 showing straight femora and craniosynostosis. All the FGFR3 mutations involved in the three conditions have a receptor-activating effect, thus leading to ligand-independent tyrosine phosphorylation. The mutations, however, lie in very different regions of the protein. The most common achondroplasia mutation (G380R) is located in the transmembrane segment, whereas hypochondroplasia is most often caused by the N540K mutation, which modifies a tyrosine kinase domain (Shiang et al. 1994; Bellus et al. 1995). Thanatophoric dysplasia type 1 is caused, in the great majority of cases, by an extracellular R248C mutation, whereas type 2 is generally due to a K650E substitution within the tyrosine kinase domain of the receptor. For at least some of these mutations, a correlation between receptor tyrosine kinase activity and severity of the phenotype could be shown (Naski et al. 1996). Interestingly, another FGFR3 mutation (P250R) in the extracellular domain was identified in several craniostenosis cases (Bellus et al. 1996). The broad spectrum of FGF action is demonstrated by autosomal dominant hypophosphatemic rickets (MIM 605380), the only heritable disorder linked to mutations in an FGF so far. The common rickets phenotype, which is characterized by a growth defect due to growth-plate disorganization and mineralization defects, is caused by a calcium deficit, which leads to an increase of PTH secretion. In hypophosphatemic rickets, however, PTH levels are normal. In contrast, this phenotype is caused by an accumulation of FGF23 by mutations, which make it resistant to inactivation by peptidase cleavage (The ADHR Consortium 2000). Nearly identical symptoms are produced by inactivating mutations in the metallopeptidase gene PHEX in X-linked hypophosphatemia (The HYP Consortium 1995). Recent results suggest that FGF23 is cleaved by PHEX, which explains the close relationship between both forms of rickets (Bowe et al. 2001). Whereas the exact function of FGF23 in growth-plate chondrocytes and bone cells is only beginning to be unraveled, it was clearly shown that it downregulates the sodium-phosphate cotransport in kidney cells, thus causing the hypophosphatemia of the two disorders. Another receptor tyrosine kinase implicated in growth regulation is ROR2, the receptor tyrosine kinase mentioned above in connection with BDB. A mouse model lacking Ror2 shows small but normally shaped limb anlagen at early developmental stages but develops misshapen and shortened limbs because of dysregulated endochondral ossification. (DeChiara et al. 2000). The murine phenotype resembles human recessive Robinow syndrome (MIM 268310), a skeletal dysplasia with (i) characteristic facial appearance, (ii) chondrodysplasia with short stature and mesomelic shortening of the limbs, (iii) hypoplasia of the genitals, (iv) vertebral malformations, and (v) heart defects. In contrast to BDB, in which two mutational hotspots are located just before or after the tyrosine kinase coding domain, the mutations in Robinow syndrome are spread throughout the gene and are expected to result in a loss of function (Afzal et al. 2000). Disorders Caused by Defects in Matrix Components ECM is essential for proper functioning of cartilage and bone. Most abundant are the collagens, which are homomeric or heteromeric triple helices of three collagen chains. Type II collagen is a homomer of three α1 chains encoded by the COL2A1 gene. A spectrum of different dominant disorders is linked to this gene, the most deleterious being achondrogenesis type II (MIM 200610). This condition is characterized by (i) very short limbs; (ii) flat midface, micrognathia, and often cleft palate; and (iii) hydroptic appearance. Radiographically, the absent or severely retarded ossification of the vertebrae, barrel-shaped thorax, and very short tubular bones with metaphyseal flare and cupping are most striking. Hypochondrogenesis (MIM 200610) is part of the spectrum and shows similar but less severe changes. The cause of both conditions is missense mutations at the C-terminal end of the helix-forming part of the collagen protein (Chan et al. 1995). Collagen containing mutant molecules is posttranslationally overmodified and not secreted, resulting in the complete absence of type II collagen from the cartilage matrix (Mundlos et al. 1996). Spondyloepiphyseal dysplasia congenita (SEDc [MIM 183900]) and Kniest dysplasia (MIM 156550) are milder forms, the first being caused by missense mutations in the C-terminal half of the helix-forming region and the latter by splice-site mutations, which lead to small, nontruncating deletions (Spranger et al. 1994). Both conditions are characterized by disproportionate short-spine dwarfism with normal-sized hands and feet, a flat midface, occasional cleft palate, and severe myopia in ~50% of cases. Retinal detachment is a common complication. Stickler dysplasia (MIM 120140) represents the mild end of the collagen type II–related disease spectrum. Major clinical findings are (i) midface hypoplasia; (ii) cleft palate and Pierre-Robin sequence in infants; (iii) a high degree of myopia; (iv) sensorineural hearing loss; (v) normal stature or only mild shortness of stature, sometimes with Marfanoid appearance; and (vi) joint pain, morning stiffness, and precocious arthritis. In contrast to the more severe forms, Stickler dysplasia is generally caused by nonsense mutations, resulting in a nonfunctional allele, or by mutations in the N-terminal half of the collagen helix-forming region, preventing the insertion of the molecule into the type II collagen trimer (Winterpacht et al. 1993). Collagen type II forms fibrils with other collagens—in particular, collagen type XI. This biochemical finding is mirrored on a genetic basis by mutations in COL11A1 and COL11A2, the two genes encoding the α1 and α2 chains of collagen type XI, in Stickler dysplasia. Other conditions caused by mutations in collagen type XI are the recessive and dominant variants of otospondylo-megaepiphyseal dysplasia (MIM 215150) (Vikkula et al. 1995). Defective matrix components are also responsible for the different types of multiple epiphyseal dysplasias (EDMs) (Briggs and Chapman 2002). Usually beginning at age 2–10 years, typical symptoms are pain and stiffness in the joints, the knee and the hip being most heavily affected. Osteoarthritis develops in early adulthood. Body height is normal or sometimes slightly reduced. Fragmentation and delayed ossification of numerous epiphyses are visible radiographically. The genes underlying EDM2 (MIM 600204) and EDM3 (MIM 600969) are COL9A2 and COL9A3, respectively. A recently reported EDM mutation in COL9A1 completed this list (Czarny-Ratajczak et al. 2001). All EDM mutations affect splice sites, resulting in mRNAs bearing in-frame deletions. The cartilage collagen mainly consists of type II and type XI fibrils. Type IX collagen is restricted to the surface of the mature collagen fiber, which possibly explains the relatively mild phenotype. A more severe form of EDM (EDM1 [MIM 132400]) and pseudoachondroplasia (MIM 177170), a condition characterized by a short-limb dwarfism with body proportions resembling those of achondroplasia but with a normal face, are caused by mutations in cartilage oligomeric matrix protein (COMP). Most mutations affect the calmodulin-like domains, leading to retention of the misfolded protein in the rough endoplasmatic reticulum. Since COMP interacts with type I, II, III, and IX collagen, these are also retained within the chondrocytes, leading to cell death (Thur et al. 2001). Another gene product associated with EDM (EDM5 [MIM 607078]) is matrilin-3 (MATN3) (Chapman et al. 2001). MATN3 is a matrix protein carrying von Willebrand factor A domains that appear to interact with COMP and with type II and type IX collagen (Briggs and Chapman 2002). A recessive form of EDM (EDM4 [MIM 226900]) shows clubfoot, scoliosis, and a double-layered patella as additional features. Mutations in the diastrophic dysplasia sulfate transporter (DTDST) are underlying this disorder (Superti-Furga et al. 1996b). Similar to the type II collagenopathies, a spectrum of diseases are associated with mutations in DTDST (Rossi and Superti-Furga 2001). Diastrophic dysplasia (MIM 222600), the disorder in which the transporter was first identified, is a recessive dwarfing condition with a high frequency in Finland (Hastbacka et al. 1994). This condition is characterized by (i) multiple joint contractures resulting in therapy-resistant club feet; (ii) proximally set, hypermobile thumbs; (iii) cystic masses of the external ear (cauliflower appearance); (iv) cleft palate; and (v) scoliosis, which is progressive in most cases. Atelosteogenesis type 2 (MIM 256050) presents with the same pattern of abnormalities as diastrophic dysplasia but is more severe. Achondrogenesis type 1B (MIM 600972) represents the most severe end of the DTDST spectrum, showing hydropic appearance, extreme micromelia, short trunk, absent to severely retarded ossification, and, most characteristically, extremely short tubular bones with loss of longitudinal orientation and round or triangular configuration (Superti-Furga et al. 1996a). As mentioned above, glycosaminoglycans are not only major matrix components, but, like heparan sulfate, also important cofactors for FGF signaling. Inactivation of the sulfate transporter DTDST results in the production of undersulfated cartilage proteoglycans disturbing growth regulation as well as matrix integrity. EDM is mostly caused by missense mutations, as is diastrophic dysplasia. In contrast, stop mutations or substitutions in transmembrane segments lead to the more severe phenotypes. A rough correlation between the reduction of sulfate transport and disease severity has been found when mutated DTDST is expressed in Xenopus oocytes (Karniski 2001). Perlecan is a heparan sulfate proteoglycan present in all basement membranes and in cartilage (which does not have basement membranes). Perlecan is implicated in cell growth and differentiation through interactions with growth factors, cell surface receptors, and ECM molecules. Mice with an inactivated perlecan gene (Hspg2−/−) develop severe chondrodysplasia (Arikawa-Hirasawa et al. 1999). Their phenotype somewhat resembles the lethal autosomal recessive disorder dyssegmental dysplasia, Silverman-Handmaker type (MIM 224410), which led to the identification of mutations in the human perlecan gene (Arikawa-Hirasawa et al. 2001). Dyssegmental dysplasia is a lethal condition with irregularly sized vertebral bodies that have single or multiple ossification centers, small thorax and ribs, and very short, extremely widened tubular bones. Patients with dyssegmental dysplasia of the Roland-Desbuquois type have similar but less severe changes. Phenotypic overlaps with Kniest dysplasia exist. Both conditions are caused by insertions and splicing mutations in the perlecan gene HSPG2 and are predicted to result in unstable molecules that are not secreted. Furthermore, structural and functional mutations have been shown to cause Schwartz-Jampel syndrome (MIM 258800) (Nicole et al. 2000), a recessive skeletal dysplasia associated with myotonia. Patients with Schwartz-Jampel syndrome survive and show much milder phenotypes compared with the dyssegmental dysplasias, possibly reflecting differences in the amount of perlecan in the matrix. The major component of bone matrix is collagen type I, which is encoded by two genes, COL1A1 and COL1A2. Mutations in these genes result in osteogenesis imperfecta (OI), or “brittle bone disease” (for review, see Byers and Cole 2002). OI covers a wide phenotypic spectrum of conditions characterized by osseous fragility and fractures. On clinical, genetic, and radiological grounds, four major subtypes have been delineated. The most severe cases, classified as the neonatal type or OI type II, have (i) a characteristic facial appearance with dark sclerae and a beaked nose, (ii) an extremely soft calvarium because of insufficient ossification, (iii) short extremities with bowed legs, and (iv) a small thoracic cavity. The radiological picture shows a virtual absence of calvarial mineralization, short and malformed (“crumpled”) long bones, beaded ribs, and signs of fractures with insufficient healing. Severe nonlethal cases of the progressive deforming variety are generally diagnosed as type III OI. Many of these patients eventually become wheelchair bound because of the recurrent fractures and poor healing resulting in severe deformity and instability of the skeleton. Patients with type IV OI show mild to moderate deformity, short stature, and dentinogenesis imperfecta. Type I refers to the least severe variety. Affected individuals have blue sclerae, normal teeth, and normal to near-normal stature, but they have recurrent fractures that heal without deformity. Very mild cases of OI may have osteopenia as the only clinical sign. The majority of cases with OI types II–IV are caused by mutations, in either COL1A1 or COL1A2, that replace one of the repetitive glycines within the triple-helical domain with other, bulkier amino acids. This disrupts the correct folding of the helix and thus has a dominant effect by inactivating a high percentage of the normal chains as well. Similar to type II collagen, the less severe phenotype (i.e., type I OI) is caused by nonsense mutations resulting in mRNA degradation and by other mutations that result in silent alleles or the exclusion of the mutated protein from the helix. Multiple subtypes of OI with dominant and recessive inheritance that are not caused by mutations in either of the collagen type I genes have been described, expanding the Sillence classification (Cole 2002). Recent studies have shown that severe cases of OI can be effectively treated with bisphosphonates, agents that interfere with bone resorption and decrease bone loss in postmenopausal woman with osteoporosis (Rauch et al. 2002). The treatment appears to selectively inhibit resorption, leaving bone formation intact. Disorders of Skeletal Homeostasis As soon as the first bone tissue is formed, osteoclasts/chondroclasts come into play and start to degrade calcified cartilage as well as mature bone. This resorptive activity is a prerequisite for bone growth, since formation of mature bone tissue is possible only after the removal of calcified cartilage. Proper growth and skeletal maturation is important to reach an adequate peak bone mass, which has to be kept stable as long as possible. On the other hand, it is pivotal that the bone architecture adjust constantly to changing mechanical and metabolic needs. Both preservation of overall bone mass and constant restructuring are achieved by a concerted action of osteoblasts and osteoclasts, called “bone remodeling.” If remodeling is out of balance, either a loss or an accumulation of bone occurs, resulting in osteoporotic or osteoprotic phenotypes, respectively. Bone Matrix and Mineralization Bone consists mostly of type I collagen and hydroxyapatite. Osteonectin, bone sialoprotein, and tissue-non-specific alkaline phosphatase (TNAP), three of the several glycoproteins found in bone, are thought to regulate hydroxyapatite deposition. Osteoblasts first secrete osteoid that subsequently calcifies in a not completely understood manner. Hydroxyapatite crystal formation is inhibited by pyrophosphate (PP$_4$), which is cleaved by TNAP to phosphate (P$_i$). This explains why TNAP-deficient mice have a delayed ossification and thus reduced bone growth. Extracellular PP$_4$ levels seem to be regulated by the Ank protein, which transports PP$_4$. Osteocalcin has, despite what its name suggests, only a minor effect on bone mineralization but was shown to regulate cross-linking of other matrix proteins and to inhibit osteoblast function. It is one of the few proteins that are specifically transcribed by the osteoblast. Some noncollagenous matrix proteins such as vitronectin, osteopontin, and bone sialoprotein contain RGD motifs, which are recognized by integrins and mediate cell attachment. Furthermore, bone matrix proteins were shown to bind to growth factors—for example, Tgf$\beta$. Hence, osteoblasts and osteoclasts can be regulated in different ways by interaction with the bone matrix—or can become dysregulated, in the case of a disturbance of the matrix components. Osteoblast Differentiation Desmal ossification and endochondral ossification are dependent on Runx2 activity. Without Runx2, mesenchymal precursor cells cannot differentiate into osteoblasts. Ihh controls chondrocyte differentiation but is also essential for osteoblast differentiation, as demonstrated by the total absence of osteoblasts in long bones of $Ihh$-deficient mice (St-Jacques et al. 1999). In $Ihh^{-/-}$ mice, the perichondrium, from which osteoblasts are recruited during the endochondral ossification process, lacks expression of Runx2, indicating that Ihh acts upstream of Runx2. FGF18 also stimulates osteoblast differentiation and proliferation. It was shown to be expressed in differentiating osteoblasts, and FGF18 deficiency causes delayed ossification and osteoblast differentiation (Liu et al. 2002). Local and Systemic Factors Influence Osteoblast Proliferation and Function LRP5 is a ubiquitously expressed coreceptor for Wnt growth factors that becomes upregulated during osteoblast differentiation and which is inhibited upon binding to proteins of the Dickkopf (dkk) family. In vitro experiments and data obtained from the analysis of knockout mice suggest that it regulates osteoblast proliferation and function via the canonical pathway involving $\beta$-catenin, which is independent of Runx2 (Kato et al. 2002). Different local factors primarily regulate osteoblast proliferation and activity. Although BMPs stimulate the expression of Runx2 in osteoblasts in vitro, their role in skeletal homeostasis has remained ambiguous, since their inactivation primarily results in abnormal patterning. BMP3-deficient mice, however, have a phenotype compatible with a postdevelopmental function. These mice have an increased bone density, which is somewhat unexpected for loss of a “bone inducer” molecule (Dalsuiski et al. 2001). The amino-terminal (1-34) region of PTH regulates osteoblast function, through its receptor PTHR1, in an ambiguous way. Permanent application stimulates only the early stages of osteoblast proliferation and suppresses the later stages. Intermittent PTH, in contrast, increases the numbers of mature, bone-forming osteoblasts (Karaplis and Goltzman 2000). PTH effects are therefore potentially anabolic and catabolic, depending on the dose as well as on the changes of the dose over time. Sex steroids are crucial for the central regulation of bone remodeling. The interaction of estrogen, androgens, and their different receptors is so complex that it is beyond the scope of this article. In general, it can be said that estrogen and androgens can, in vitro, increase bone formation and decrease bone resorption by reciprocally influencing osteoblasts and osteoclasts via direct and indirect pathways (reviewed by Rickard et al. 1999). Leptin is a hormone that is produced by adipose tissue and regulates body weight via binding to hypothalamic receptors. Since it had long been recognized that a high BMI provides protection from osteoporosis, the group of G. Karsenty investigated whether mice deficient for leptin or the leptin receptor would have abnormal bone density. Both mutants had a two- to threefold increased bone density, due to an increased bone formation rate. No direct action of leptin on bone cells could be detected; instead, intracerebral administration of leptin strongly reduced bone density. The signaling from the hypothalamus to the osteoblast was shown to occur via the sympathetic nervous system and involved β2-adrenergic receptors (Takeda et al. 2002). Conditions with Abnormal Mineralization Abnormal mineralization may present either as under-mineralization (rachitic changes, osteomalacia) or as over-mineralization (increased density on radiographs, osteosclerosis). Hypophosphatasia (MIM 146300, MIM 171760, and MIM 241500) is a characteristic example of decreased mineralization. Three different types are distinguished on clinical grounds. The perinatally lethal form is characterized by (i) lack of ossification of calvarial bones; (ii) short, deformed extremities with absence of ossification of whole bones; (iii) respiratory distress due to short undermineralized ribs; and (iv) polyhydramnios. The severe forms are transmitted as autosomal recessive traits, whereas the late and intermittent forms are usually dominant. All forms have low or absent serum alkaline phosphatase levels, resulting from mutations in the TNAP gene. The cleavage of PP\textsubscript{i} has been hypothesized to be central to the function of TNAP in promoting matrix mineralization. In hypophosphatasia, this enzymatic reaction cannot take place, and mineralization is inhibited by high extracellular PP\textsubscript{i} levels. Craniometaphyseal dysplasia (CMD [MIM 123000]) is a dominant condition characterized by sclerosis and overgrowth of cranial bones together with a modulation defect of the metaphyses. Hyperostosis of calvarial and facial bones is associated with obstruction of the nasal cavity, variable compression of cranial nerves, and hypertelorism. The metaphyses of the long bones are distally broadened, resulting in an Erlenmeyer flask–like pattern. The condition is caused by specific mutations in ANKH (Nürnberg et al. 2001), a gene encoding a putative multipass transmembrane protein involved in the intracellular-to-extracellular transport of inorganic PP\textsubscript{i}. PP\textsubscript{i} is the naturally occurring analog of the bisphosphonates, known to be inhibitors of mineralization and bone resorption. It is still unclear how ANKH mutations can result in increased bone formation. An inactivating mutation in the orthologous Ank was identified in the mouse mutant ankylosis (ank), which shows formation of hydroxyapatite crystals on articular surfaces and in synovial fluid, progressive arthritis, and subsequent ankylosis. The ank mutation results in a lower extracellular concentration of PP\textsubscript{i} in in vitro experiments (Ho et al. 2000), which may result in aberrant crystal formation in the joints and induce arthritis. Recently, ANKH mutations, which are located in the transmembrane region or which result in alternative start ATGs, were identified in selected families with mineral deposition disease (Pendleton et al. 2002). CMD mutations, in contrast, are located at specific sites in the cytosolic portion of the protein, possibly explaining the completely different phenotypes of the two conditions. Conditions with Osteoblast Dysfunction Since Runx2 appears in osteoblasts long before skeletal homeostasis is achieved, mutations predominantly have the already-mentioned developmental consequences. Closer observation, though, revealed that CCD can be associated with osteoporosis (Quack et al. 1999). Furthermore, severe cases of CCD phenotypically resemble hypophosphatasia (Morava et al. 2002; Unger et al. 2002). The overlap between both phenotypes can possibly be explained by the fact that expression of alkaline phosphatase is induced by Runx2. The genes for recessive osteoporosis-pseudoglioma syndrome (OPS [MIM 259770]), a dominantly inherited high-bone-mass trait (HBM [MIM 601884]), and autosomal dominant osteopetrosis type I (ADOI [MIM 166600]) link to the same locus on chromosome 11q13 (Johnson et al. 1997; Van Hul et al. 2002). Several loss-of-function mutations in low-density lipoprotein (LDL) receptor-related protein 5 (LRP5) have subsequently been shown to be causative for OPS. In vitro studies revealed that the mutations impair Wnt signaling and stimulation of the osteoblast alkaline phosphatase (Gong et al. 2001). The pseudoglioma is caused by a persistence of the hyaloid artery system in the eye that could be reproduced in Lrp5−/− mice. In total, seven missense mutations in LRP5 have been shown to be associated with several slightly differing HBM phenotypes: HBM either with or without enlarged mandible, which was alternatively diagnosed as van Buchem disease, osteopetrosis type I, endosteal hyperostosis, and autosomal dominant osteosclerosis (Little et al. 2002; Van Wesenbeeck et al. The decisive common feature of all phenotypes, however, is an increased thickness of long-bone cortices with high mechanical stability. All mutations are situated in the first extracellular $\beta$-propeller module of the LRP5 protein. Several hypercholesterinemia-causing mutations have been found in the corresponding portion of the LDL receptor, proving its functional importance for this protein family. The effect of the first identified HBM mutation (G171V) is an increase in Wnt signaling, due to a diminished affinity of LRP5 to the antagonistic protein dkk, which results in higher osteoblast activity (Boyden et al. 2002). The investigation of sclerosteosis (MIM 269500) and van Buchem disease (MIM 239100) promises to shed light onto the obscure role of BMPs in bone homeostasis. Both diseases are characterized by an immense bone overgrowth, which leads to osteosclerosis and tall stature of varying degree. Loss-of-function mutations have been identified in the SOST gene in sclerosteosis. In the milder van Buchem disease, only a 52-kb deletion downstream of the SOST gene was detected, which might influence gene expression. SOST is a homolog of Gremlin, a BMP antagonist, and was shown to block bone formation in vitro (Janssens and Van Hul 2002). Estrogen loss is the main cause of osteoporosis, a major health problem in industrialized countries. Accelerated bone loss during the postmenopausal phase is characterized by reduced osteoblast function and increased resorption by osteoclasts, whereas the slow decay typical of osteoporosis at higher ages is mainly due to impaired osteoblast activity. Mutations in estrogen receptor $\beta$ and in the enzyme aromatase, which converts androgens to estrogen, lead to osteoporotic phenotypes (Smith et al. 1994; Bilezikian et al. 1998). Affected individuals are usually of tall stature, because of a delay of bone maturation and growth plate closure, which illustrates the importance of sex hormones for skeletal development. Cross Talk between Osteoblast and Osteoclast The model of a balanced competition between osteoblasts and osteoclasts in homeostasis predicts that a weakening of one cell type results in either bone accumulation or bone loss. This is demonstrated by a simple experiment: A specific ablation of mature osteoblasts by transgenic expression of herpes virus thymidine kinase under control of the osteocalcin promoter causes a ganciclovir-inducible and reversible bone loss, since bone resorption apparently proceeds normally (Corral et al. 1998). Although osteoblasts and osteoclasts are antagonists, they communicate with each other intensively. This is exemplified by the osteopetrotic (op) mouse mutant, which lacks macrophage-colony stimulating factor (M-CSF), a soluble growth factor that is produced by bone stromal cells and promotes proliferation of early osteoclast precursors (Felix et al. 1990). Yet M-CSF alone is not sufficient for osteoclast proliferation and differentiation. RANKL serves as a ligand for the receptor activator of NF-$\kappa$B (RANK), a receptor that resides at the cell surface of osteoclast precursors (fig. 5). RANK initiates osteoclast differentiation via the NF-$\kappa$B pathway, involving direct interaction with TRAF6, which is interconnected with other signaling pathways. Stromal cells, however, are also able to secrete osteoprotegerin (OPG), which is a truncated soluble RANK protein that can bind to RANKL and make it thus inaccessible to the osteoclast receptor. Whereas RANK knockouts are severely osteopetrotic, OPG knockouts are osteoporotic, which highlights the crucial role of this signaling system for bone remodeling (Simonet et al. 1997; Kong et al. 1999). Most hormonal signals are not directly received by the osteoclast but are translated by the osteoblast via M-CSF and RANKL/OPG. An important exception is calcitonin, which acts directly upon osteoclasts to stop resorption (Baron et al. 1990). The other two hormones that regulate calcium homeostasis, PTH and 1,25-dihydroxyvitamin D$_3$, stimulate RANKL expression by osteoblasts (Quinn et al. 2001; Thomas et al. 2001). Interleukin-1 and tumor necrosis factor (TNF), in contrast, increase M-CSF secretion. This effect is antagonized by estrogen, which has additionally been shown to increase OPG production by osteoblasts (Hofbauer et al. 1999). What about feedback from the osteoclast? There is evidence for production of Tgf$\beta$ by osteoclasts in response to estrogen and androgens (Robinson et al. 1996; Pederson et al. 1999). Furthermore, Tgf$\beta$ is bound to the bone matrix and, in a mechanism similar to the release of VEGF from the calcified cartilage, osteoclasts release it by bone resorption. Tgf$\beta$ stimulates OPG production by osteoblasts and osteoblast proliferation, so that a regulatory negative feedback loop is established (Takai et al. 1998; Dallas et al. 2002). Disorders Caused by Disturbed Osteoblast-Osteoclast Cross Talk Paget disease of bone (PDB) is a prominent example of signaling from the osteoclast to the osteoblast. In this condition, increased bone formation, which leads to cortical thickening, is driven by hyperactive osteoclasts. The dysregulation can be mimicked by viral infection of osteoclasts, and intracellular viruslike inclusions are frequently found in osteoclasts in PDB bone biopsies (Reddy et al. 2001). Excessive bone formation is prevented by administration of bisphosphonates that are known to selectively kill osteoclasts. Familial clustering of PDB suggests a strong genetic component. Indeed, different chromosomal loci could be linked to the disease. Evaluation of the candidate gene SQSTM1 on Figure 5 Function and regulation of the osteoclast. Osteoblasts/stromal cells (yellow) regulate proliferation, differentiation, and activity of the osteoclast via RANKL and M-CSF. M-CSF binds to its receptor, c-fms, on mononuclear osteoclast precursors and stimulates their proliferation. RANKL stimulates differentiation into multinuclear resorbing osteoclasts via RANK, which transduces the signal with the help of TRAF6 and NFκB. As soon as the mature osteoclast attaches to the bone surface, it forms a ruffled border membrane containing large amounts of H$^+$-ATPase complexes (green) and the chloride channel ClC-7 (red), which together transport HCl and acidify the resorption lacuna. Protons are provided by the cytosolic carbonic anhydrase type II (CAII). Acidic proteases like cathepsin k (blue circles) become active and degrade the bone matrix proteins (mainly collagen) and release bound growth factors, above all Tgfβ. Tgfβ is able to signal back to the osteoblast establishing a negative feedback loop by stimulating OPG expression. Degradation products are transported out of the cell by transcytosis. K = cathepsin k. Chromosome 5q31 revealed several mutations in familial and sporadic cases of PDB (Hocking et al. 2002; Laurin et al. 2002). This gene encodes p62 (sequestosome1), which has been described as a downstream effector of the RANK/TRAF6 pathway (Sanz et al. 2000). It was furthermore shown that p62 binds ubiquitin and may be involved in protein degradation, which could explain the inclusion bodies seen in pagetic osteoclasts (Geetha and Wooten 2002). A similar hereditary disorder with earlier onset is recessive juvenile Paget disease (MIM 239000). It was recently shown either to be caused by a deletion of the whole OPG-encoding TNFRSF11B gene or by a deletion of one amino acid in OPG, which prevents it from binding to RANKL (Cundy et al. 2002; Whyte et al. 2002). The dominant disorder familial expansile osteolysis (MIM 174810) is caused by a mutation in the RANK signaling peptide, which leads to intracellular accumulation and self-stimulation of the receptor (Hughes et al. 2000). Hence, all genes involved in the pathogenesis of PDB and related disorders initially increase osteoclast activity by a dysregulation of the OPG/RANK/RANKL system and only secondarily lead to osteoblast stimulation. This is reflected by the finding that the disorders begin with a phase of increased resorption, which then entails osteoblast stimulation. As a consequence, extremely high levels of bone resorption are paralleled by high levels of bone formation at later stages. Mutations in TGFBI, which lead to Camurati-Engelmann syndrome (MIM 131300), prove the relevance of the Tgfβ feedback mechanism for bone homeostasis (Janssens et al. 2000; Kinoshita et al. 2000). Bone pain and walking problems are typical signs of this disorder. X-rays reveal a fusiform shape and progressive sclerosis of the long bone diaphyses, due to increased endosteal and periosteal bone formation. Most mutations are clustered around the disulfide bridge between the latency-associated peptides. The likely pathomechanism is premature activation of Tgfβ. Another way to disturb the balance between osteoblasts and osteoclasts is exemplified by a rare recessive form of idiopathic osteolysis (MIM 605156). Patients with this disease have short stature, carpal and tarsal osteolyses, and an arthropathy, which eventually develops into ankylosis. The underlying genetic cause is inactivating mutations in matrix-metalloproteinase-2 (MMP-2) (Martignetti et al. 2001). This enzyme is exceptionally capable of digesting type IV collagen and is thought to regulate the inflammatory response. In bone, MMP-2 is produced by the osteoclast, but its function is elusive. A regulatory role has been discussed—for example, helping to release Tgfβ bound to the matrix or activating other proteases (Dallas et al. 2002). An MMP-2-deficient mouse model lacks a significant skeletal pathology and thus corresponds only weakly to the human phenotype (Narisawa et al. 1997). Osteoclast Differentiation and Function The differentiation of the mature, multinucleated osteoclast from its mononuclear hematopoietic precursor occurs in several well-defined steps. First, the formation of the precursor cells is dependent on PU.1, a hematopoietic transcription factor whose disruption in mice leads to a loss of lymph nodes, macrophages, and osteoclasts (Tondravi et al. 1997). Precursor proliferation is subsequently stimulated by M-CSF, which is produced by osteoblasts. The fate of these cells critically depends on Rank-signaling and on the c-Fos transcription factor (Wang et al. 1992). If either of them is missing, only macrophages and no osteoclasts develop from the mononuclear precursors, resulting in osteopetrotic phenotypes in mice. The osteoclasts-to-be then fuse and attach to the bone surface with the help of the vitronectin receptor, which triggers a signaling cascade involving Pyk2, c-Src, and c-Cbl to induce the conversion to a polarized resorbing osteoclast. This results in a massive fusion of acidic vesicles, with the osteoclast plasma membrane opposing the bone surface. The consequent membrane accumulation creates the so-called “ruffled membrane,” which contains high amounts of v-type H⁺ ATPases that pump protons into the tightly sealed resorption lacunae between osteoclast and bone surface. Strong extracellular acidification is crucial for bone resorption, since low pH is needed (i) to dissolve the hydroxyapatite of the bone tissue and (ii) to degrade the organic components of the bone matrix—above all, type I collagen—with acidic proteases like cathepsin k (fig. 5). After cathepsin k has cleaved the collagen fibrils, other proteases come into play that work under less acidic conditions. The degradation products are subsequently transferred to the basolateral pole of the cell by a transcytosis mechanism (reviewed by Väänänen et al. 2000). Disorders Caused by Osteoclast Dysfunction Changes in bone mass can be caused by reduced bone resorption due to a malfunction or a reduced number of osteoclasts. An extreme form of bone accumulation is seen in osteopetrosis. The majority of human osteopetrosis cases show high numbers of nonfunctional osteoclasts. The disease can be phenotypically subdivided into three (often overlapping) forms, all of which are based on defects in the osteoclast acidification machinery. Infantile malignant osteopetrosis usually begins shortly after birth and shows autosomal recessive inheritance (ARO [MIM 259700]). Characteristic signs are dense bones without a regular marrow cavity, bone-within-bone appearance, an increased fracture rate, hepatosplenomegaly, and cranial-nerve compression, which can lead to blindness and deafness (Gerritsen et al. 1994). The disorder is usually lethal if not treated early by bone-marrow transplantation. Mutations in TCIRG1, which encodes the α3 subunit of the osteoclast proton pump, are the major cause of recessive malignant osteopetrosis (Frattini et al. 2000; Kornak et al. 2000). Different types of mutations in different regions of the protein have been found in >50% of the cases, many leading to a truncation. The α subunit is the largest of the at least 13 subunits that form the v-type H⁺ ATPase and anchors the protein complex to the membrane. Only one a subunit is present per complex, so that the mutations can only have a loss-of-function effect. No clear genotype/phenotype correlation has so far been deduced. An almost indistinguishable osteopetrotic phenotype is caused by mutations in CLCN7, which encodes the ubiquitously expressed ClC-7 chloride channel. It became clear that ClC-7 is functionally linked to the H⁺ ATPase, since it resides in the osteoclast ruffled membrane and transports chloride ions in parallel to the protons pumped into the resorption lacuna (Kornak et al. 2001). A truncating tercalated cells explains the associated cerebral calcifications and renal dysfunction, respectively. Autosomal dominant osteopetrosis type II (ADOII, also called “Albers-Schönberg disease” [MIM 166600]) is often not diagnosed before adulthood (fig. 6). The first signs are abnormal fractures or a suspicious appearance of the bones in routine x-rays, especially the so-called “sandwich vertebra” (Bénichou et al. 2000). Cranial-nerve compression is rare. Whereas in malignant recessive osteopetrosis bone resorption seems to be entirely abolished, bone accumulates in several steps during growth in ADOII to remain stable during later life. Recently, dominant missense mutations in the CLCN7 chloride channel gene were found, which are spread over the whole protein, often in the direct vicinity of recessive mutations (Cleiren et al. 2001). A mutation hotspot is the second cystathionine β-synthase domain, which is probably involved in protein-protein interaction. The related sclerosing disorder, pycnodysostosis (MIM 265800), from which the painter Toulouse-Lautrec is thought to have suffered, is ascribed to mutations in cathepsin k, an acidic protease secreted by the osteoclast. The phenotype is milder than that of the recessive osteopetroses, with short stature, bone fragility, skull deformity, and hypoplasia of the clavicles being the main symptoms (Gelb et al. 1996). Cathepsin k is indispensable for bone resorption, since it is the only protease able to cleave the intact collagen triple helix, which renders it accessible for other osteoclast proteases—for example, MMP-9. Cathepsin k–deficient osteoclasts are therefore not able to degrade collagen but can still demineralize the underlying bone, showing that acid secretion is unaffected (Gowen et al. 1999). Figure 6 Sandwich vertebra in ADOII. ADOII can be diagnosed by characteristic radiological findings. The radiograph shows the typical sandwichlike appearance of the vertebra by thickening of the endplates. Stop mutation and missense mutations have so far been identified in only a minority of cases. In contrast to TCIRG1 mutations, loss of functional ClC-7 in mice leads to a primary retinal degeneration that has also been described in human osteopetrosis cases. Recently, a splice-site mutation in the Grey-lethal (GL) gene was found in a single ARO case (Chalhoub et al. 2003). The analysis of the corresponding mouse mutant indicated that gl, which harbors one putative transmembrane segment and is expressed in osteoclasts, osteoblasts, skin, and other tissues, might be involved in the arrangement of the osteoclast cytoskeleton. A recessive form of intermediate severity is osteopetrosis with renal tubular acidosis (MIM 259730). It goes along with cerebral calcifications, which can result in mental retardation. The mutated protein is carbonic anhydrase type II, which is highly abundant in the osteoclast cytosol, synthesizing the protons transported by the H⁺ ATPase (Sly et al. 1983). High expression of this carbonic anhydrase in cerebral neurons and in renal in- Acknowledgment We thank Marie-Christine de Vernejoul for kindly providing ADOII radiographs. Electronic-Database Information The URLs for data presented herein are as follows: Health Supervision for Children with Achondroplasia, American Academy of Pediatrics, http://www.aap.org/policy/00696.html Online Mendelian Inheritance in Man (OMIM), http://www.ncbi.nlm.nih.gov/Omim/ (for postaxial polydactyly type I, preaxial polydactyly type IV, Greig cephalopolysyndactyly, dominant Pallister-Hall syndrome, TBS, TPTPS, EEC, limb-mammary syndrome, nonsyndromic SHFM, Hay-Wells syndrome, SHFM1, HOS, Okihiro syndrome, ulnar-mammary syndrome, acheiropodia, NPS, SPD, hand-foot-genital syndrome, amegakaryocytic thrombocytopenia and radioulnar synostosis, BDA1, BDB, BDC, chondrodysplasia [Grebe type], chondrodysplasia [Hunter-Thompson type], Du Pan syndrome, proximal symphalangism, multiple-synostosis syndrome, campomelic dysplasia, Ellis–van Creveld syndrome, CCD, LWD, Langer mesomelic dysplasia, multiple cartilaginous exostoses, tricho-rhino-phalangeal syndrome, Blomstrand chondrodysplasia, Jansen type metaphyseal chondrodysplasia, enchondromatosis, achondroplasia, hypochondroplasia, thanatophoric dysplasia, autosomal dominant hypophosphatemic rickets, recessive Robinow syndrome, achondrogenesis type II, hypochondrogenesis, SEDC, Kniest dysplasia, Stickler dysplasia, otospondylomegaepiphyseal dysplasia, EDM2, EDM3, EDM1, pseudoachondroplasia, EDMS, EDM4, diastrophic dysplasia, atelosteogenesis type 2, achondrogenesis type 1B, dyssegmental dysplasia [Silverman-Handmaker type], Schwartz-Jampel syndrome, hypophosphatasia, CMD, OPS, HBM, ADOL, sclerosteosis, van Buchem disease, juvenile Paget disease, familial expansile osteolysis, Camurati-Engelmann syndrome, idiopathic osteolysis, ARO, osteopetrosis with renal tubular acidosis, ADOII, and pycnodysostosis) References ADHR Consortium, The (2000) Autosomal dominant hypophosphataemic rickets is associated with mutations in FGF23. 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www.fivbmedicine2011.org yball Medicine Congres ine Congress 2011 FIVB Volley Medicine Congr ball Medicine Congress 2011 FIVB FIVB Volleyball Volleyball Medicine Congress 20 B Volleyball Medicine Congress 2011 FIVB Volleyball M B Volleyball Medicine Congress 2011 FIVB Volleyball Medicine Congress 2011 FIVB FIVB 2011 FIVB Volleyball Medicine Congress 2011 FIVB Volleyball Medicine Congress 20 dicine Congress 2011 FIVB Volleyball Medicine Congress 2011 FIVB Volleyb dicine Congress 2011 FIVB Volleyball Medicine Congress 2011 gress 2011 FIVB FIVB Volleyball Medicine Congress 2011 FIVB Volleyball Medicine Congress 2011 FIVB dicine Congress 2011 FIVB Volleyball Medicine Congress 2011 FIVB Volleyss 2011 FIVB Volleyball Medicine Congress 2011 FIVB Volleyball ll Medicine Congress 2011 FIVB FIVB Volleyball Medicine Congress 2011 FIVB V ball Medicine Congress 2011 FIVB Volleyb gress 2011 FIV Co Welcome from the FIVB president Dear Participants, Volleyball and Beach Volleyball like other sports offer society a unique opportunity for individual and social development. Volleyball is a challenging game, where players learn a wide variety of skills – physical, mental and social. Volleyball is also an exciting game – for players and spectators alike! Nevertheless, sports participation also entails a certain risk of injury. Studies from the 2004 Athens Olympic Games and 2008 Beijing Olympic Games document that the injury risk in Volleyball is much lower than the other Olympic team sports, and even lower than most individual sports. Even so, injuries can affect performance and even long-term health. Therefore, protecting the health of our athletes is the number one priority for the FIVB. Through its Medical Commission, chaired by professor Roald Bahr, the FIVB has looked at how injuries and illness can be prevented, how the risk of long-term disability can be reduced by proper diagnosis, treatment and rehabilitation, and how to maintain volleyball as a drug-free sport. The FIVB is a signatory to the World Anti-doping Code, and our anti-doping education and testing program ranks second to none. In keeping with our commitment to protect the health of our players, FIVB has taken the initiative to organize the FIVB World Congress on Volleyball Medicine in Bled, Slovenia in January 2011. This congress will be the perfect platform for physicians, physical therapists, athletic trainers, biomechanists and other scientists to share their views on volleyball injuries and illnesses. Although it is not the first of its kind, this promises to be a landmark congress, covering the entire field of volleyball medicine with a star line-up of world-renowned experts. The FIVB is pleased to be able to fund this event. I would also like to take this opportunity to acknowledge the hospitality of our hosts, the Slovenian Volleyball Federation, and all their partners. Not only have they whole-heartedly embraced the idea, but they have worked diligently to create the best possible conditions for the exchange of knowledge and ideas related to the health of our players. The FIVB also thanks the Scientific Committee, chaired by dr. Jonathan Reeser, for creating a superb program. You do not wish to miss this event! Yours sincerely, Jizhong Wei FIVB President Welcome from the Scientific Committee On behalf of my colleagues on the Scientific Committee, I cordially invite you to attend the 2011 FIVB World Congress on Volleyball Sport Medicine, to be held in Bled Slovenia from 13.–15. January 2011. The keynote lectures and symposia, outlined in this first announcement, have been selected in order to cover the breadth of sports medicine as it applies to volleyball. The Congress features an outstanding faculty from around the world. In the months ahead, workshops will be added to the schedule. These workshops are intended to be small group, hands-on sessions that complement the main program. In addition, the Congress will provide a forum for presentation of original volleyball-related research. Our goal is to stimulate volleyball-specific investigation and thereby advance the existing "state of the art". Look for the "call for abstracts" on page 9. Evening social events will punctuate each day. These gatherings will permit discussion and the sharing of ideas, fostering a culture of collaborative inquiry that will help carry the discipline forward. Please contribute to the future of volleyball sport medicine by joining us for this landmark Congress in 2011. We look forward to welcoming you to Bled! dr. Jonathan C. Reeser, MD, PhD Chair, Scientific Committee Speakers Keynote speakers Elizabeth Arendt, MD • University of Minnesota, Minneapolis, MN, USA Roald Bahr, MD PhD • Oslo Sports Trauma Research Center, Oslo, Norway Lars Engebretsen, MD PhD • University of Oslo and Oslo Sports Trauma Research Center, Oslo, Norway Pavels Mustafins, MD • Riga Stradins University and Latvian Academy of Sports Pedagogy, Riga, Latvia Invited speakers Håkan Alfredson, MD PhD • Sports Medicine Unit, University Hospital of Umea, Umea, Sweden William Briner, MD • Lutheran General Hospital, Park Ridge, IL, USA Aaron Brock, MS, ATC • USA Volleyball, Anaheim, CA, USA Álvaro Chamecki, MD PhD • Clinica Artro, Curitiba, Brazil Ann Cools, PT PhD • Ghent University, Ghent, Belgium Edvin Dervisevic, MD PhD • Faculty of Sport, Ljubljana, Slovenia Karim Khan, MD PhD • Centre for Hip Health and Mobility, University of British Columbia, Vancouver, Canada Jacek Kruczynski, MD PhD • Nicolaus Copernicus University in Torun, Bydgoszcz, Poland Georg Lajtai, MD PhD • Altis Sports Medicine Clinic, Althofen, Austria Willem Meeuwisse, MD PhD • University of Calgary, Calgary, Canada Grethe Myklebust, PT PhD • Oslo Sport Trauma Research Centre, Oslo, Norway Annie Peytavin, MD • Member, FIVB Medical Commission, Paris, France Jonathan Reeser, MD PhD • Marshfield Clinic Research Foundation, Marshfield, USA Helgi Thorsteinsson • FIVB, Lausanne, Switzerland Markus Tilp, PhD • Institute of Sports Science, Karl-Franzens University, Graz, Austria Prof. Hiroshi Toyoda • FIVB Technical Commission, Mikasa Corporation, Tokyo, Japan Matjaž Veselko, MD PhD • University Medical Center, Ljubljana, Slovenia Håvard Visnes, MD PhD • Oslo Sports Trauma Research Center, Oslo, Norway Programme-at-a-glance Session A Session B/C Workshops yball Medicine Congres Chair: B Volleyball Medicine Congress 2011 Advances in Volleyball Sport Science 18:00 Chair: • (Ann Cools, Belgium) • FIVB Volleyb FIVB Volleyball Medicine Congress 2011 18:00 Symposium 2 : Volleyball-related Shoulder Dysfunction Chair: Ann Cools, Belgium (Georg Lajtai, Austria) FIVB FIVB Volleyball Medicine Congress 2011 FIVB FIVB FIVB Volleyball Medicine Congress 2011 FIVB dicine Congress 2011 Medicine Congress 2011 FIVB Volleyball Medicine Congress 2011 Medicine Congress 2011 FIVB Volleyball Medi Congress 2011 FIVB Clinical approach to shoulder pain in the overhead athlete · (Ann Cools, Belgium) Risk factors for volleyball-related shoulder dysfunction · (Jonathan Reeser, USA) Suprascapular neuropathy and other entrapments in · the overhead athlete Vascular problems in the overhead athlete · (Jonathan Reeser, USA) Surgical management of shoulder problems · (Georg Lajtai, Austria) Rehabilitation strategies for the overhead athlete with shoulder pain · (Ann Cools, Belgium) Cases and discussion · (Panel) 20:00 GET TOGETHER/DINNER IN CONFERENCE HALL 10:00 Registration 14:00 OPENING CEREMONY 15:00 KEYNOTE 1: Sports medicine challenges in volleyball and beach volleyball (Roald Bahr, Norway) 16:00 Symposium 1 : Advances in Volleyball Sport Science Chair: Hiroshi Toyoda, FIVB Technical Commission, Japan Scientific analysis of volleyball • (Hiroshi Toyoda, Japan) Biomechanics of jumping • (Markus Tilp, Austria) Biomechanics of overhead volleyball skills • (Jonathan Reeser, USA) Analysis of athletic performance • (Hiroshi Toyoda, Japan) Implications for training • (Markus Tilp, Austria) Cases and discussion • (Panel) COFFEE BREAK Programme - Thursday January 13th 18:00 Chair: • Programme - Friday January 14th 14:00 14:45 KEYNOTE 3: (Elizabeth Arendt, USA) The Female Volleyball Athlete Symposium 4: Low Back Pain in Volleyball Players Chair: Jonathan Reeser, USA The spine in overhead sports • (Jonathan Reeser, USA) The epidemiology of low back pain among VB players • (William Briner, USA) Evaluation and nonsurgical management of low back pain among • volleyball players (Aaron Brock, USA) Core stabilization: does it really work? • (Aaron Brock, USA) Indications for surgical intervention • (Elizabeth Arendt, USA) Cases and discussion • COFFEE BREAK 16:45 -19.15 Abstract presentation 20:30DINNER NOTE: Deadline for submission of abstracts is September 1, 2010. 09:15 08:30 09:15 Chair : • FIVB Volleyball M 14:00 14:45 Chair : COFFEE BREAK 11:15 Symposium 6: Chair : Matjaž Veselko, Slovenia B Volleyball Medicine Congress 2011 FIVB Volleyball Medicine Congress 2011 * Volleyball Medicine Congress 2011 FIVB Volleyball Medicine Congress 2011 LUNCH FIVB Volleyball Medicine Congress 2011 The FIVB: We play it clean! (Helgi Thorsteinsson, Switzerland) COFFEE BREAK FIVB FIVB Volleyball Medicine Congress 2011 FIVB FIVB Volleyball Med CLOSING CEREMONY GALA DINNER AT HOTEL TOPLICE Medicine Congress 2011 dicine Congress 2011 dicine Congress 2011 KEYNOTE 4: (Roald Bahr, Norway) Periodic Health Examination of Volleyball Players Ankle Injuries in Volleyball 14:00 KEYNOTE 5: The Paralympic Volleyball Athlete (Pavels Mustafins, Latvia) 14:45 Symposium 7: Environmental Issues in Beach Volleyball Chair : Fernando Avila-Espana - Spain Historical risk of heat illness on the FIVB World Tour • (Jonathan Reeser, USA) The FIVB Heat Stress Monitoring protocol • (Roald Bahr, Norway) Recognizing and treating heat illness • (William Briner, USA) 15:30 Symposium 8: The FIVB Anti-Doping Program Chair: Manfried Holzgraefe - Germany The FIVB Anti-doping program • (Roald Bahr, Norway) The FIVB: We play it clean! • (Helgi Thorsteinsson, Switzerland) The FIVB TUE protocol • (Annie Peytavin, France) Cases and discussion • COFFEE BREAK 16:45 Symposium 9: Minimizing and Managing the Risk of Injury Chair : Roald Bahr, Norway Principles of risk management in a team setting • (Roald Bahr, Norway) Empirical lessons learned • (Willem Meeuwisse, Canada) Management of risk at the national team level: Poland • (Jacek Kruczynski, Poland) Management of risk at the national team level: Brazil • (Álvaro Chamecki, Brazil) 18:15 CLOSING CEREMONY 20:30 GALA DINNER AT HOTEL TOPLICE FIVB Volley Medicine Congr ball Medicine Congress 2011 FIVB FIVB Volleyball Volleyball Medicine Congress 20 B Volleyball Medicine Congress 2011 FIVB Volleyball Medicine Congress 2011 dicine Congress 2011 Programme - Saturday January 15th 08:30 Preventing injuries in volleyball players (Roald Bahr, Norway) Symposium 5: Periodic Health Examination of Volleyball Players Willem Meeuwisse - Canada The IOC PHE consensus statement · (Willem Meeuwisse, Canada) The electronic pre-participation evaluation · (Willem Meeuwisse, Canada) The role of isokinetic strength testing in volleyball · (Edvin Dervisevic, Slovenia) Screening female athletes for risk of ACL injury · (Grethe Myklebust, Norway) Monitoring athlete health: how the USA does it · (Aaron Brock, USA) Cases and discussion · Assessment of the acutely injured ankle · (Roald Bahr, Norway) The role of surgery in acute ankle injury · (Matjaž Veselko, Slovenia) Rehabilitation of acute ankle injuries · (Grethe Myklebust, Norway) The chronically painful or unstable ankle · (Álvaro Chamecki, Brazil) Cases and discussion · Call for papers Authors are kindly requested to submit their abstracts on the official website www.fivbmedicine2011.org. All accepted abstracts will be published in the Abstract Book, as well as in a themed issue of the British Journal of Sports Medicine. The organisers wish to present the state-of-the-art in volleyball-related research at the FIVB Volleyball Medicine Congress 2011, and will therefore include poster sessions and free communications to present the most recent research. The Conference is multidisciplinary, and we encourage abstracts to be submitted within all fields of volleyball research. This includes studies on epidemiology, risk factors, injury mechanisms, pathophysiology, intervention studies, relevant biomechanical studies, studies on behaviour and attitudes, performance & fitness, and related research from other fields. Please follow the instructions carefully in order to ensure that your abstract is received successfully. The deadline for submitting abstracts is September 1st, 2010. ine Congress 2011 (5) - The title should be brief (maximum 30 words) and clearly reflecting the content of the study. Do NOT use capital letters. FIVB Volleyb FIVB FIVB Volleyball Medicine Congress 2011 FIVB FIVB Volleyball Medicine Congress 20 FIVB Volleyball Medicine Congress 2011 Results: Conclusions: Submit your abstract on www.fivbmedicine2011.org Interventions (or Assessment of Risk Factors or other relevant subheading): Describe essential features of any interventions, including their method and duration of administration. For observational studies, clearly outline the independent variables. Main Outcome Measurements: The primary study outcome measures (dependent variables) should be indicated as planned before data collection began. If the hypothesis being reported was formulated during or after data collection, this fact should be clearly stated. Results: Report the main findings of the study. Conclusions: State only those conclusions of the study that are directly supported by data, along with their clinical application (avoiding overgeneralisation) or whether additional study is required before the information should be used in usual clinical settings. Medicine Congr ball Medicine Congress 2011 Volleyball Medicine Congress 20 B Volleyball Medicine Congress 2011 B Volleyball Medicine Congress 2011 Volleyball Medicine Congress 2011 dicine Congress 2011 dicine Congress 2011 gress 2011 Guidelines for Submission of Abstracts (1) – The abstract must be written in English. (2) – The abstract must not exceed 300 words. (3) – The body text of the abstract must not include the names of the authors or institution. (4) Abbreviations can be used except title; but must be clearly defined in parenthesis the first time they are used. Abstract Format The abstract should be structured, using the following subtitles and sections: Background: Provide the background for the study in one or two sentences. Objective: State the main question or objective of the study and the major hypothesis tested, if any. Design: Describe the design of the study, indicating, as appropriate, use of randomisation, blinding, criterion standards for diagnostic tests, temporal direction (retrospective or prospective), and so on. Setting: Indicate the study setting, including the clinical setting or competitive level if relevant (e.g. youth team, high school league, elite division, World League team). Patients (or Participants): State selection procedures, entry criteria, and numbers of participants entering and finishing the study. Conference committees Organizing Committee Vedran Hadzic, MD - President of the Organizing Committee • Maja Apih - Organizing Committee Secretary • Edvin Dervsevic, MD, PhD • Tine Sattler, MSc • Igor Dolinsek, Volleyball Federation of Slovenia • Spela Kavcic - hotel logistics • Scientific Committee prof. Roald Bahr , MD, PhD, Norway • prof. Helena Burger, MD, PhD, Slovenia • assist. prof. Edvin Derviševic, MD, PhD, Slovenia • dr. Fernando Avila España, MD, Spain • prof. Jacek Kruszynski, MD, PhD, Poland • dr. Jonathan C. Reeser, MD, PhD, USA, • Chair of the Scientific Committee prof. Matjaž Veselko, MD, PhD, Slovenia • Honorary Committee President of Republic of Slovenia - Danilo Türk • Minister for Education and Sport - Igor Luksic • Minister of Health - Borut Miklavcic • Minister of Higher Education, Science and Technology - Gregor Golobic • Dean of Faculty of Medicine, University of Ljubljana - Dusan Suput • Dean of Faculty of Sport, University of Ljubljana - Milan Zvan • Chairman of Department of Public health, Faculty of Medicine, Univer- • sity of Ljubljana - Marjan Bilban President of Volleyball Federation of Slovenia - Matjaz Kovacic • President of Olympic Committee of Slovenia - Janez Kocijancic • FIVB President, Mr. Jizhong Wei • CEV President, Mr. André Meyer • FIVB Executive Vice-President, Dr. Amr Elwani • www.lovechotel.com or by fax: Hotel accomodation DEADLINE FOR RESERVATIONS IS 1.november 2011. AFTER THIS DATE RESERVATION WILL BE MADE ON REQUEST. For reservation use the reservation form on our official website www.fivbmedicine2011.org. Reservation must be send in Hotel Jelovica Bled by e mail: firstname.lastname@example.org or by fax: 00386 4 5741 550. Direct booking to chosen hotel is not possible. NOTE: A supplementary tourist tax of 1.01 € will be charged per room per day. Reservation must be confirmed with credit card number with exp. date.Hotel Jelovica will deliver all reservations directly to chosen hotel. All guest will pay their costs directly in hotel, they will stay in. No cost cancellation till 10.11.2010. Hotel Jelovica Hotel Astoria Price for Bed&Breakfast per room per day Single/Lake: 57 € Double/Stand.: 66 € Double/Lake: 74 € Remark: Tourist tax included. www.hotel-jelovica.si Best Western Lovec Best Western Kompas Price for Bed&Breakfast per room per day Single/Stand: 128 € Double/Stand.: 151 € www.lovechotel.com Price for Bed&Breakfast per room per day Single/Stand: 123 € Double/Stand.: 135 € www.kompashotel.com Price for Bed&Breakfast per room per day Single/Stand: 119 € Double/Lake: 139 € Double/Su: 119 € www.hotelastoria-bled.com Hotel accomodation Grand Hotel Toplice Price for Bed&Breakfast per room per day Single/Stand: 120 € Single/Lake: 148 € Double/Stand.: 140 € Double/Lake: 172 € www.hotel-toplice.com Price for Bed&Breakfast per room per day Single/Stand: 100 € Single/Lake: 112 € Double/Stand.: 120 € Double/Lake: 136 € www.hotel-golf-bled.com Price for Bed&Breakfast per room per day Single/Stand: 83 € Single/Lake: 100 € Double/Stand.: 104 € Double/Lake: 120 € www.hotel-park-bled.com Hotel Savica Price for Bed&Breakfast per room per day Single/Stand: 71 € Double/Stand: 80 € www.hotel-savica.com FIVB Volleyball Medicin FIVB Volleyball M FIVB Volleyball Medicine Up to 1.9.2010 After 1.9.2010 200 EUR 300 EUR 100 EUR 150 EUR FIVB Volleyball Medicine Congress 2011 FIVB Volleyball Medicine Congress 2011 FIVB FIVB Volleyball Medicine Con- dicine Congress 2011 Volleyball Medicine Congress 2011 Registration For those wanting to attend the upcoming FIVB Volleyball Medicine Congress 2011, please visit us on www.fivbmedicine2011.org and register online. Up to 1.9.2010 Delegate Full Registration (13.-15. January) 200 EUR One-day registration fee 100 EUR To view the current foreign exchange rates, please visit www.x-rates.com DEADLINE FOR HOTEL RESERVATIONS IS 1. November 2011. AFTER THIS DATE RESERVATION WILL BE MADE ON REQUEST. For reservation use the reservation form on our official website www.fivbmedicine2011.org. Reservation must be send in Hotel Jelovica Bled by e mail: email@example.com or by fax: 00386 4 5741 550. Direct booking to chosen hotel is not possible. Congress City and Venue - Bled, a jewel among the alpine resort. With immense natural beauty, Bled, together with its surroundings, ranks among the most beautiful alpine resorts, renowned for its mild, healing climate and thermal lake water. The beauty of the mountains reflected on the lake, the sun, the serenity and the fresh air arouse pleasant feelings in visitors throughout the year, guaranteeing an ideal base or a relaxing break or an active holiday. 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Linked Lists Towards Queues We want to implement the queue library o So far we only wrote client code using its interface say int for a change say int for a change A queue stores a bunch of elements of the same type say int for a change o Idea: represent a queue as an array 0 3 1 2 7 2 Queue Interface ``` // typedef ______* queue_t; bool queue_empty(queue_t S) // O(1) /@requires S != NULL; @/ ; queue_t queue_new() // O(1) /@ensures \result != NULL; @/ /@ensures queue_empty(\result); @/ ; ``` ``` void enq(queue_t S, int x) // O(1) /@requires S != NULL; @/ /@ensures !queue_empty(S); @/ ; ``` ``` int deq(queue_t S) // O(1) /@requires S != NULL; @/ /@requires !queue_empty(S); @/ ; ``` // Implementation-side type struct queue_header{ int[]data; }; typedef struct // Client type typedef queue* queue_t; o But … arrays have fixed length yet queues are unbounded how would we add and remove elements? can we achieve the complexity goals? queue_header queue; Toward Queues A queue stores a bunch of elements of the same type o Represent a queue as an array We want something like an array but where o we can add/remove elements at the beginning and end o have it grow and shrink as needed Some kind of disembodied array … ``` // typedef ______* queue_t; bool queue_empty(queue_t S) // O(1) /@requires S != NULL; @/ ; queue_t queue_new() // O(1) /@ensures \result != NULL; @/ /@ensures queue_empty(\result); @/ ; void enq(queue_t S, int x) // O(1) /@requires S != NULL; @/ /@ensures !queue_empty(S); @/ ; int deq(queue_t S) // O(1) /@requires S != NULL; @/ /@requires !queue_empty(S); @/ ; Queue Interface ``` Adding an element adds a cell, removing an element removes a cell Toward Queues A disembodied array o how to reach the elements after the first? Use pointers to go to the next element This is called a linked list ``` // typedef ______* queue_t; bool queue_empty(queue_t S) // O(1) /@requires S != NULL; @/ ; queue_t queue_new() // O(1) /@ensures \result != NULL; @/ /@ensures queue_empty(\result); @/ ; void enq(queue_t S, int x) // O(1) /@requires S != NULL; @/ /@ensures !queue_empty(S); @/ ; int deq(queue_t S) // O(1) /@requires S != NULL; @/ /@requires !queue_empty(S); @/ ; Queue Interface ``` Linked Lists Lists of Nodes Linked lists use pointers to go to the next element Let's implement it: a node consists of o a data element an int here o a pointer to the next node The whole list is a pointer to its first node ``` struct list_node { int data; struct list_node* next; }; ``` Lists of Nodes ``` struct list_node { int data; struct list_node* next; }; ``` Linked lists are a recursive type o a struct list_node is defined in terms of itself What if we don't have this pointer? o It would take an infinite amount of memory! o The C0 compiler disallows this recursion can only occur behind a pointer (or an array) ``` a node that contains an int and a node that contains an int and a node that contains an int and … ``` 3 7 2. . . Lists of Nodes ``` struct list_node { int data; struct list_node* next; }; ``` Let's make it more readable ``` typedef struct list_node list; // ADDED struct list_node { int data; list* next; // MODIFIED }; This can go before or after the struct ``` Implementing this linked list ``` list* L = alloc( list ); 3 7 2 L ``` ``` L->data = 3; L->next = alloc(list); L->next->data = 7; L->next->next = alloc(list); L->next->next->data = 2; ``` Lists of Nodes Does this help us implement queues? o Linked lists can be arbitrarily large or small use just the nodes we need size is not fixed like arrays o It's easy to insert an element at the beginning allocate a new node and point its next field to the list o In fact, it's easy to insert an element between any two nodes allocate a new node and move pointers around What about inserting an element at the end? o How do we indicate the end of a linked list? The End of a List We need to make the pointer in the last node special Use the NULL pointer 3 7 2 This is a great idea if we don't need direct access to the end of the list This is a NULL-terminated list Point it to a special node we keep track of somewhere This is a great idea if we do need direct access to the end of the list We know we reached the end of the list if its next field is equal to the address of the dummy node This node is called the dummy node or the sentinel Have it point to itself This works too, but nobody does that List Segments Lists with a Dummy Node We need to keep track of two pointers o start: where the first node is o end: the address in the next field of the last node the address of the dummy node What's in the dummy node? o some values that are not important to us some number and some pointer These values are not special in any way: o we say its fields are unspecified * data could be any element no way to test for "unspecified" * next may or may not be NULL A dummy value is a value we don't care what it is List Segments There may be more nodes before and after o The pair of pointers start and end identify our list exactly start is inclusive (the first node of the list) end is exclusive (one past the last node of the list) o They identify the list segment [start, end) here it contain values 3, 7 and 2 similar to array segments A[lo, hi) points to the dummy node List Segments There are many list segments in a list o The list segment [C, F) contains elements 3, 7, 2 its dummy node contains 42 and the pointer G o The list segment [A, G) contains 9, 23, 3, 7, 2, 42 its dummy node contains 18 and the some pointer o The list segment [B, D) contains 23, 3 its dummy node contains 7 and the pointer E o The list segment [C, C) contains no elements its dummy node contains 3 and the pointer D this is the empty segment any segment where start is the same as end [A, A), [B, B), … Checking for List Segments ``` typedef struct list_node list; struct list_node { int data; list* next; }; ``` We want to write a specification function that checks that two pointers start and end form a list segment o Follow the next pointer from start until we reach end ``` bool is_segment(list* start, list* end) { list* l = start; while (l != end) { l = l->next; } return true; } ``` o Does this work? the dereference l->next may not be safe we need NULL-checks! we never return false Checking for List Segments ``` typedef struct list_node list; struct list_node { int data; list* next; }; ``` We want to write a specification function that checks that two pointers start and end form a list segment o Follow the next pointer from start until we reach end o Does this work? if there is a list segment from start to end, it will return true if it returns false, there is no list segment from start to end o It works then … ``` bool is_segment(list* start, list* end) { list* l = start; while (l != NULL) { // MODIFIED if (l == end) return true; // ADDED l = l->next; } return false; // MODIFIED } ``` Checking for List Segments ``` typedef struct list_node list; struct list_node { int data; list* next; }; ``` A function that checks that start and end form a list segment if there is a list segment from start to end, it will return true if it returns false, there is no list segment from start to end o Can there be no list segment but it does not return false ``` bool is_segment(list* start, list* end) { list* l = start; while (l != NULL) { if (l == end) return true; l = l->next; } return false; } ``` Checking for List Segments ``` typedef struct list_node list; struct list_node { int data; list* next; }; ``` A function that checks that start and end form a list segment o We need to be sure there are no cycles o Does this work? Yes! ``` bool is_segment(list* start, list* end) //@requires is_acyclic(start); // ADDED { list* l = start; while (l != NULL) { if (l == end) return true; l = l->next; } return false; } We will implement it later ``` Checking for List Segments ``` typedef struct list_node list; struct list_node { int data; list* next; }; ``` A function that checks that start and end form a list segment ``` bool is_segment(list* start, list* end) //@requires is_acyclic(start); { list* l = start; while (l != NULL) { if (l == end) return true; l = l->next; } return false; } ``` o Notes: returns false if start == NULL or if end == NULL NULL is not a pointer to a list node subsumes NULL-check for both start and end Checking for List Segments ``` typedef struct list_node list; struct list_node { int data; list* next; }; ``` We can also write it more succinctly o using a for loop ``` bool is_segment(list* start, list* end) //@requires is_acyclic(start); { for (list* l = start; l != NULL; l = l->next) { if (l == end) return true; } return false; } ``` o recursively ``` bool is_segment(list* start, list* end) //@requires is_acyclic(start); { if (start == NULL) return false; return start == end \|\| is_segment(start->next, end); } ``` All 3 versions are equivalent Detecting Cycles How to check if a list is cyclic? o Use a counter and look for overflows very inefficient! also, C0 pointers are 64 bits but ints are 32 bits o Keep track of visited nodes somewhere in an array? in another list? In C0, there are more pointers than integers! how big to make it? array indices are 32 bits how do we check it has no cycles? o Add a "visited" field to the nodes (a boolean) we need to know the list is acyclic to initialize it to false! o What then? Detecting Cycles The tortoise and hare algorithm by this dude o Traverse the list using two pointers the tortoise starts at the beginning and moves by 1 step the hare starts just ahead of the tortoise and moves by 2 steps o If the hare ever overtakes the tortoise, there is a cycle ``` bool is_acyclic(list* start) { if (start == NULL) return true; list* t = start; // tortoise list* h = start->next; // hare while (h != t) { if (h == NULL \|\| h->next == NULL) return true; //@assert t != NULL; // hare hits NULL quicker t = t->next; // tortoise moves by 1 step h = h->next->next; // hare moves by 2 steps } //@assert h == t; // hare has overtaken tortoise return false; } ``` Detecting Cycles The tortoise and hare algorithm ``` bool is_acyclic(list* start) { if (start == NULL) return true; list* t = start; // tortoise list* h = start->next; // hare while (h != t) { if (h == NULL \|\| h->next == NULL) return true; //@assert t != NULL; // hare hits NULL quicker t = t->next; // tortoise moves by 1 step h = h->next->next; // hare moves by 2 steps } //@assert h == t; // hare has overtaken tortoise return false; } ``` o Returns true if there is no cycle false if there is a cycle Does it fix our problem with is_segment? o Too aggressive o Exercise: fix it! Hint: you need to account for end Manipulating List Segments Deleting an Element How do we remove the node at the beginning of a non-empty list segment [start, end)? and return the value in there 1. grab the value in the start node 2. move start to point to the next node 3. return the value Deleting an Element How do we remove the last node of a non-empty list segment [start, end)? and return the value in there o we must go from start end is one node too far 1. follow next until just before end 2. move end to that node 3. return its value o Complexity: O(n) ``` list* l = start; while (l->next != end) l = l->next; end = l; return l->data; 2 3 1 ``` Expensive! Notes: * The old last node becomes the new dummy node * We are not "deleting" anything, just making the segment shorter Inserting an Element How do we add a node at the beginning of a list segment [start, end)? 1. create a new node 2. set its data field to the value to add 3. set its next field to start 4. set start to it Inserting an Element How do we add a node as the last node of a list segment [start, end)? 1. create a new node 2. set its data field to the value to add 3. set its next field to end 4. point the old last node to it o Complexity: O(n) ``` list* new_last = alloc(list); new_last->data = x; new_last->next = end; list* l = start; while (l->next != end) l = l->next; l->next = new_last; 2 3 1 4 ``` Expensive! Note: we are adding a new last node, but we modify the next pointer of the old last node Inserting an Element How do we add a node as the last node of a list segment [start, end)? o Can we do better? 1. set the data field of end to the value to add 2. set its next field to a new dummy node 3. set end to it Summary We will use this as a guide when implementing queues (and stacks) to achieve their complexity goals Implementing Queues Queues as List Segments Implementing queues o We add and remove from opposite ends o Cost must be O(1) The front of the queue is the start of the segment o because that's where we remove elements from choosing the end would give deq cost O(n) The back of the queue is the end of the segment the dummy node Queues as List Segments ``` typedef struct list_node list; struct list_node { int data; list* next; }; ``` The front of the queue is the start of the segment The back of the queue is the end of the segment Queues as List Segments Internally, queues are values of type queue* o must be non-NULL o front and back fields must bracket a valid list segment ``` typedef struct list_node list; struct list_node { int data; list* next; }; ``` ``` struct queue_header { list* front; list* back; }; typedef struct queue_header queue; ``` Queues as List Segments Next we implement the operations exported by the interface ``` // typedef ______* queue_t; bool queue_empty(queue_t S) // O(1) /@requires S != NULL; @/ ; queue_t queue_new() // O(1) /@ensures \result != NULL; @/ /@ensures queue_empty(\result); @/ ; void enq(queue_t S, int x) // O(1) /@requires S != NULL; @/ /@ensures !queue_empty(S); @/ ; int deq(queue_t S) // O(1) /@requires S != NULL; @/ /@requires !queue_empty(S); @/ ; Queue Interface ``` Queues as List Segments Enqueuing Dequeueing o add at the back o remove from the front o This is the code we wrote earlier with start changed to Q->front end changed to Q->back ``` typedef struct list_node list; struct list_node { int data; list* next; }; ``` ``` struct queue_header { list* front; list* back; }; typedef struct queue_header queue; ``` ``` void enq(queue* Q, int x) //@requires is_queue(Q); //@ensures is_queue(Q); //@ensures !queue_empty(Q); { Q->back->data = x; Q->back->next = alloc(list); Q->back = Q->back->next; } ``` ``` int deq(queue* Q) //@requires is_queue(Q); //@requires !queue_empty(Q); //@ensures is_queue(Q); { int x = Q->front->data; Q->front = Q->front->next; return x; } ``` Queues as List Segments The empty queue o empty segment has start equal to end Creating a queue o we create an empty queue ``` bool queue_empty(queue* Q) //@requires is_queue(Q); { return Q->front == Q->back; } ``` ``` typedef struct list_node list; struct list_node { int data; list* next; }; struct queue_header { list* front; list* back; }; typedef struct queue_header queue; ``` ``` queue* queue_new() //@ensures is_queue(\result); //@ensures queue_empty(\result); { queue* Q = alloc(queue); Q->front = alloc(list); Q->back = Q->front; return Q; } ``` Implementing Stacks Stacks as List Segments Implementing stacks o We add and remove from the same end o Cost must be O(1) The top of the stack is the start of the segment o because that's where we add and remove elements choosing the end would give pop cost O(n) The floor of the stack is the end of the segment the dummy node \| \| at the beginning \| at the end \| \|---\|---\|---\| \| Inserting \| O(1) \| O(1) \| \| Deleting \| O(1) \| O(n) \| Stack as List Segments ``` typedef struct list_node list; struct list_node { int data; list* next; }; ``` The top of the stack is the start of the segment o The representation invariant is_stack is just like is_queue Stacks as List Segments Next we implement the operations exported by the interface ``` // typedef ______* stack_t; bool stack_empty(stack_t S) // O(1) /@requires S != NULL; @/ ; stack_t stack_new() // O(1) /@ensures \result != NULL; @/ /@ensures stack_empty(\result); @/ ; void push(stack_t S, int x) // O(1) /@requires S != NULL; @/ /@ensures !stack_empty(S); @/ ; int pop(stack_t S) // O(1) /@requires S != NULL; @/ /@requires !stack_empty(S); @/ ; Stack Interface ``` Also updated to int elements Stacks as List Segments ``` bool stack_empty(stack* S) //@requires is_stack(S); { return S->top == S->floor; } ``` Same code we wrote for queues with front/back replaced with top/floor Same code we wrote for queues with front/back replaced with top/floor Same code we wrote for queues with front/back replaced with top/floor ``` stack* stack_new() //@ensures is_stack(\result); //@ensures stack_empty(\result); { stack* S = alloc(stack); S->top = alloc(list); S->floor = S->top; return S; } ``` 41 ``` int pop(stack* S) //@requires is_stack(S); //@requires !stack_empty(S); //@ensures is_stack(S); { int x = S->top->data; S->top = S->top->next; return x; } ``` ``` void push(stack* S, int x) //@requires is_stack(S); //@ensures is_stack(S); //@ensures !stack_empty(S); { list* l = alloc(list); l->data = x; l->next = S->top S->top = l; } ``` ``` typedef struct list_node list; struct list_node { int data; list* next; }; ``` ``` struct stack_header { list* top; list* floor; }; typedef struct stack_header stack; ``` Code we wrote earlier Code we wrote earlier with with start start replaced with replaced with S->top Another Implementation of Stacks The floor field goes mostly unused o only to check that a stack is empty We can get rid of it … o … if we represent stacks as NULL-terminated lists Another Implementation of Stacks Valid stacks are o non-NULL and o the top field is a NULL-terminated list i.e., is acyclic The empty stack has NULL in the top field Nothing else changes! ``` bool is_stack(stack* S) { return S != NULL && is_acyclic(S->top); } ``` ``` bool stack_empty(stack* S) //@requires is_stack(S); { return S->top == NULL; } ``` ``` stack* stack_new() //@ensures is_stack(\result); //@ensures stack_empty(\result); { stack* S = alloc(stack); S->top = NULL; return S; } ``` Sharing Stacks without Headers Since the header contains just one field, o why not get rid of it? push and pop are now incorrect they modify the local stack variable but not the caller's aliasing! it breaks the interface: NULL is now the empty stack ``` struct stack_header { list* top; }; typedef struct stack_header stack; ``` ``` typedef list* stack; ``` Stacks without Headers But we're fine if we always return the updated stack o Functions transform an input stack into an output stack this is a functional interface Functional Stacks How to create this stack? ``` stack_t S = stack_new(); S = push(S, 2); S = push(S, 7); S = push(S, 3); ``` equivalently ``` stack_t S = push(push(push(stack_new(), 2), 7), 3); ``` but harder to read Functional Stacks o What if now we do The client has two stacks S with 3, 7, 2 S1 with 14, 3, 7, 2 In the implementation, they share a suffix the linked list 3, 7, 2 is shared Sharing A functional stack library supports sharing list suffixes o This takes up much less space than our earlier implementation! o The client has no idea What if we now do this? Sharing What if we now do Sharing If sharing is so great, why don't our libraries always use it? o It takes a change of mindset using functions that don't modify data structures in place o A lot of code we write uses one instance of a data structure So what? Sharing wouldn't hurt anyway Good point o It doesn't work for all data structures Try it on queues! Functional programming languages rely heavily on sharing Wrap Up What have we done? We introduced linked lists and two common ways to use them o NULL-terminated linked lists o list segments We learned about list manipulations and their complexity We used them to implement stacks and queues We talked about sharing Linked Lists vs. Arrays How do they compare? Question to help decide which one to use: o Can we anticipate the size we need? o Do they allow us to achieve our target complexity? \| \| Arrays (unsorted) \| Linked lists \| \|---\|---\|---\| \| Pros \| o O(1) access o built-in \| o self-resizing o O(1) insertion* o O(1) deletion* * Given the right pointers \| \| Cons \| o fixed size o O(n) insertion \| o O(n) access o no special syntax \|
PDF-VERSION (ADJUSTED FROM BROCHURE) WOODWORKING SOLUTIONS HOW TO PROTECT YOUR PROCESS FROM FIRE AND DUST EXPLOSIONS WOODWORKING INDUSTRY FIREFLY SYSTEMS FILTER- & SILO PROTECTION PLANERGUARD PLANERGUARD BAND SAW PROTECTION & SANDERGUARD CONTACT US Rapid growth The woodworking industry is becoming more complex. Higher efﬁ ciency and automation are both results of the rapid technical achievements within the industry. Investments in the business have increased, causing production downtime to be even more costly. Machinery producing at higher speeds as well as an increase in waste material leads to a larger risk of ﬁ re. The demands on production safety and ﬁ re prevention have therefore also increased. Is your company at risk? Three elements are needed to cause a ﬁ re or an explosion: Inﬂ ammable material Oxygen Ignition Wood is a particularly inﬂ ammable material. Wood dust in a ﬁ lter can ignite from ca. 470°C (878°F). In a silo, this temperature can be as low as ca. 260°C (500°F). Compare this to the temperature of a newly extinguished match, which is ca. 500°C (932°F)… Machinery that typically generates ignition sources: Planer/Router/Moulder • Sander • Hogger • Band saw • Fans • according to the U.S. National Fire Protection Association (NFPA) We never generalise Every factory in the process industries is different. Even within the same type of business, such as the woodworking industry, no two factories operate alike. The risk therefore for ﬁ re or a dust explosion will vary from factory to factory. For over 30 years, Fireﬂ y has specialised in creating tailor-made solutions that will ﬁ t your operation. Our competent staff have vast experience in the woodworking industry and the highest technical skills necessary to design a safe ﬁ re prevention solution for your company. In order to protect your company from ﬁ re and dust explosions: You need a fast and reliable system of the highest technical standard • You need a tailor-made system • You need detection of potential hazards: i.e. sparks and hot particles occurring in your process • You need a system which is insensitive to daylight, thus minimising numerous false alarms and costly downtime • You need an extinguishing method adapted to your process to minimise the risk of water damage • At Fireﬂ y we understand your business WOODWORKING INDUSTRY How we protect your business Fireﬂ y always delivers complete system solutions. Our staff are able to perform an on-site assessment and design a solution that will provide optimal safety against ﬁ re and dust explosions. Fireﬂ y has a range of unique products which are combined in a system depending on the design of your process. Our systems are designed to protect the process and prevent damage to plants. Detection Detectors that indicate sparks and hot particles Detectors that indicate ﬂ ames Extinguishing Using full cone water spray Using water mist Using mechanical diversion, isolation, steam or gas Control Control unit for system monitoring and process control Services On-site system assessment Commissioning and education Service after installation Solutions Fireﬂ y has developed several unique solutions for the woodworking industry. With these solutions we can effectively protect your company against costly ﬁ res and dust explosions: Filter and Silo protection • PlanerGuard • Band saw protection • SanderGuard • FIREFLY SYSTEMS Why Filter and Silo protection? Filters and Silos are key components in the woodworking process. A ﬁ re or dust explosion can have devastating consequences! Lengthy downtimes, damage to your machinery and loss of revenue are good examples. Loss of human life is a worst case scenario. Machinery can create ignition sources. There is a large risk that they will follow your production line into the ﬁ lter. Once inside the ﬁ lter, combined with wood dust and oxygen, you have the perfect environment for a ﬁ re or dust explosion. The risk of a ﬁ re or dust explosion in a silo is even greater when the material is stored in layers. A ﬁ re in a silo can take several days to extinguish due to the large volumes of material stored. Typical causes of ﬁ re/dust explosions in ﬁ lters and silos Friction • ...explosion caused by fire in woodchip silo Machinery breakdown • Foreign bodies • Electrical problems • »Human factor« • Our solution System design depends on the characteristics of the material as well as the way the process is designed. In order for a ﬁ re or a dust explosion to occur, the ignition source needs to have a certain temperature and energy. Minimum ignition temperature for wood in: Cloud Layer 470 °C 260 °C Source: NFPA (National Fire Protection Association) Filter protection In order to protect a ﬁ lter, Fireﬂ y delivers detectors that can indicate sparks and hot particles with a temperature over 400°C (752°F). An extinguishing zone is normally installed to eliminate these dangerous particles. Silo protection In order to protect a silo, Fireﬂ y delivers detectors that can indicate sparks and hot particles with a temperature over 250°C (482°F). As with a ﬁ lter, an extinguishing zone is installed to eliminate these dangerous particles. Our tailor-made system solutions for the woodworking industry effectively minimise the risks for ﬁ re or dust explosion in ﬁ lters and silos. FILTER & SILO PROTECTION Why protect planers? A planer is one of the largest and most important investments. Unforeseen interruptions in production due to ﬁ re are often very costly. Planers can generate large amounts of inﬂ ammable material because they are high speed machines with many moving parts. A planer can generate dangerous ignition sources in the form of sparks and hot particles. Accumulation of shavings or oil can cause violent ﬁ res. The situation is aggravated by the high air ﬂ ow within the machine. Automation of the planing process as well as general conditions in the production areas dictate that the machine is often installed remote from operators stations. As a consequence, ﬁ res can go undetected for some time. Typical causes of ﬁ re in a planer Presence of foreign bodies • Waste material trapped between feeding rolls and planer bed • Our solution – PlanerGuard Our PlanerGuard system depends entirely on the design of the planer. The PlanerGuard system consists of fast and reliable detection as well as effective water mist extinguishing. PlanerGuard is, as all Fireﬂ y systems, insensitive to daylight. This factor is crucial for avoiding numerous false alarms since the planer is normally located in a well lit location. High speed planers Modern high speed planers achieve speeds that were unthinkable a few years ago. This results in increased production which also elevates the risk of ﬁ re. Planing at high speeds leads to an increase in friction heat, making the process vulnerable to ﬁ re. Fireﬂ y focuses on indicating and extinguishing ignition sources at an early stage. Our experience shows that the feeding rolls and transmission are the main causes of ﬁ re. Similarly problems can be generated at the planing head. As a consequence, Fireﬂ y's PlanerGuard focuses on these critical areas both in terms of detection and extinguishing. Fireﬂ y has a unique range of detectors and the choice of detector depends entirely upon which parts of the planer need to be monitored. Fireﬂ y also delivers the most effective extinguishing to gain advantage from early detection. Typically extinguishing is in the form of a ﬁ ne water mist which quickly and effectively extinguishes the ﬁ re without causing costly downtime and damage to your planer. PlanerGuard also comprises equipment for detection and extinguishing in the dust extraction system. You can ﬁ nd more information in the section Filter and Silo protection. PLANERGUARD Open planers The construction of an open planer causes difﬁ culties when designing an extraction system. In many cases, large amounts of shavings are accumulated in and around the planer. When ignited, these shavings can cause rapid ﬁ res resulting in considerable damages. Our experience shows that a ﬁ re in an open planer can be generated by feeding mechanisms or the machining heads. Mechanical wear can also be a problem for open planers in older designs. Experience also shows that a ﬁ re often starts at the in-feed of the planer. Fireﬂ y's PlanerGuard monitors this type of machine by using ﬂ ame detectors monitoring the open area. It is important that extinguishing can take place even in closed areas of the planer. This is especially true for open planers.Water mist will extinguish ﬁ re quickly and efﬁ ciently, even in these closed areas. Water mist also ensures that your planer isn't damaged by water. PlanerGuard also comprises equipment for detection and extinguishing in the dust extraction system. You can ﬁ nd more information in the section Filter and Silo protection. Moulders A moulder is often installed in a production area adjacent to other machinery. The consequences of a ﬁ re in a moulder can therefore be extensive and damage surrounding equipment. The risk for ﬁ re caused by frictional heat or problems at the feeding rolls isn't as signiﬁ cant for moulders compared to other types of machines as speeds are relatively low. Our experience shows that the most common causes of ﬁ re in a moulder are due to overheating of motors and driving mechanisms, as well as spark generation at the machining heads. Fireﬂ y's PlanerGuard system detects sparks or incipient ﬁ re at a very early stage. The PlanerGuard system can be designed in a cost-efﬁ cient way due to the compact design of the moulder. Water mist will extinguish quickly and efﬁ ciently, even in these closed areas. Water mist also ensures that your moulder isn't damaged by water. PlanerGuard also comprises equipment for detection and extinguishing in the dust extraction system. You can ﬁ nd more information in the section Filter and Silo protection. PLANERGUARD Why Band saw protection? The band saw is often the ﬁ rst stage in the production process. A failure of the band saw means that the ﬂ ow of material to the rest of the production stops. Large amounts of waste material often accumulates around the band saw due to its design. This accumulation together with high speed rotating mechanical parts and powerful motors creates a large risk for ﬁ re. Our solution Fireﬂ y will tailor the system to suit the design of the band saw, focusing on areas of the band saw where the risk for ﬁ re is estimated to be greatest. We also take the layout of the production area into consideration, in order to prevent the spread of ﬁ re. We use ﬂ ame detection in combination with water mist extinguishing around the machine. Our unique ﬂ ame detectors are designed to only detect ﬂ ames, but no other disturbances such as sunlight. Water mist extinguishing is effective in open as well as closed areas without damage to the machine. Fireﬂ y's Band saw protection also comprises equipment for detection and extinguishing in the dust extraction system. You can ﬁ nd more information in the section Filter and Silo protection. Why protect sanders? The ﬁ ne dust generated by this machine can, when ignited, give rise to severe dust explosions and rapid spread of ﬁ re. The risk of a costly incident increases considerably when the sander becomes blocked due to a breakdown in the feeding system or the inclusion of foreign bodies. Broken or misaligned abrasive belts are a very common cause for ignition. Our solution Detecting sparks inside a sander is difﬁ cult for production staff due to the enclosed design. However, this does not present a problem for the installation of a Fireﬂ y detection and extinguishing system. Fireﬂ y's SanderGuard is designed to quickly indicate a failure inside the machine and, before a ﬁ re can take hold, extinguish by using a water mist system. The extinguishing is designed to quickly cover the enclosed area and create an inert environment. It is important to use detectors that are insensitive to daylight since sanders are regularly inspected for purposes of maintenance. Fireﬂ y's detectors only detect hot particles such as sparks and glowing particles. Fireﬂ y's SanderGuard also comprises equipment for detection and extinguishing in the dust extraction system. You can ﬁ nd more information in the section Filter and Silo protection. BAND SAW PROTECTION & SANDERGUARD Fireﬂ y – Swedish spark detection systems Moelven SCA Timber Weyerhaeuser Arauco Masisa Finnforest Vest-Wood Asia Dekor Green River Stora Enso Mobalpa International Timber Swedwood Rubner Fireﬂ y – Keeps you in production Fireﬂ y, a Swedish company for more than 30 years, delivers complete systems to protect your company against ﬁ res and dust explosions. With unique solutions, quick delivery and excellent service, Fireﬂ y has become the natural choice for many customers within the woodworking industry worldwide. Contact us and we will tell you more about how we can provide you with the best safety for your process! Tel +46 8 449 25 00 \| Fax +46 8 449 25 01 \| info@ﬁ reﬂ y.se \| www.ﬁ reﬂ y.se CONTACT US Version 1.0 \| ENG
OPEN ACCESS - Additional supplementary ﬁles are published online only. To view these ﬁles please visit the journal online (http://dx.doi. org/10.1136/jmedgenet-2012101155). For numbered afﬁliations see end of article Correspondence to Dr Manu Sharma, Department. of Neurodegenerative diseases, Hertie-Institute for Clinical Brain Research and DZNE- German Center for Neurodegenerative Diseases, Tübingen, HoppeSeyler-Str. 3, Tübingen 72076, Germany; firstname.lastname@example.org Additional supplementary tables are published online only. To view these ﬁles please visit the journal online (http:// dx.doi.org/10.1136/jmedgenet2012-101155). Received 6 July 2012 Revised 5 September 2012 Accepted 7 September 2012 SHORT REPORT A multi-centre clinico-genetic analysis of the VPS35 gene in Parkinson disease indicates reduced penetrance for disease-associated variants Manu Sharma, 1CA John P A Ioannidis, 2 Jan O Aasly, 3 Grazia Annesi, 4 Alexis Brice, 5,6,7 Lars Bertram, 8 Maria Bozi, 9,10,11 Maria Barcikowska, 12 David Crosiers, 13,14,15 Carl E Clarke, 16 Maurizio F Facheris, 17 Matthew Farrer, 18 Gaetan Garraux, 19 Suzana Gispert, 20 Georg Auburger, 19 Carles Vilariño-Güell, 18 Georgios M Hadjigeorgiou, 21 Andrew A Hicks, 17 Nobutaka Hattori, 22 Beom S Jeon, 23 Zygmunt Jamrozik, 24 Anna Krygowska-Wajs, 25 Suzanne Lesage, 5,6,7 Christina M Lill, 9,26 Juei-Jueng Lin, 27 Timothy Lynch, 28 Peter Lichtner, 29 Anthony E Lang, 30 Cecile Libioulle, 18 Miho Murata, 31 Vincent Mok, 32 Barbara Jasinska-Myga, 33 George D Mellick, 34 Karen E Morrison, 17,35 Thomas Meitnger, 36,37 Alexander Zimprich, 38 Grzegorz Opala, 36 Peter P Pramstaller, 19 Irene Pichler, 19 Sung Sup Park, 26 Aldo Quattrone, 4 Ekaterina Rogaeva, 39 Owen A. Ross, 40 Leonidas Stefanis, 11,41 Joanne D Stockton, 35 Wataru Satake, 42 Peter A Silburn, 43 Tim M Strom, 37,39 Jessie Theuns, 14,15 Eng- King Tan, 44 Tatsushi Toda, 42 Hiroyuki Tomiyama, 22 Ryan J Uitti, 45 Christine Van Broeckhoven, 14,15 Karin Wirdefeldt, 46 Zbigniew Wszolek, 45 Georgia Xiromerisiou, 21 Harumi S Yomono, 47 Kuo-Chu Yueh, 27 Yi Zhao, Thomas Gasser, 1 Demetrius Maraganore, 48 Rejko Krüger, 1 on behalf of GEOPD consortium ABSTRACT Background Two recent studies identiﬁed a mutation (p.Asp620Asn) in the vacuolar protein sorting 35 gene as a cause for an autosomal dominant form of Parkinson disease . Although additional missense variants were described, their pathogenic role yet remains inconclusive. Methods and results We performed the largest multicenter study to ascertain the frequency and pathogenicity of the reported vacuolar protein sorting 35 gene variants in more than 15,000 individuals worldwide. p.Asp620Asn was detected in 5 familial and 2 sporadic PD cases and not in healthy controls, p.Leu774Met in 6 cases and 1 control, p.Gly51Ser in 3 cases and 2 controls. Overall analyses did not reveal any signiﬁcant increased risk for p.Leu774Met and p.Gly51Ser in our cohort. Conclusions Our study apart from identifying the p. Asp620Asn variant in familial cases also identiﬁed it in idiopathic Parkinson disease cases, and thus provides genetic evidence for a role of p.Asp620Asn in Parkinson disease in different populations worldwide. INTRODUCTION There is increasing interest to try to identify uncommon and rare genetic variants that increase the risk of common diseases and that are difﬁcult to identify using traditional genome-wide association studies (GWAS) approaches. 1 Rare variants which are not mapped by GWAS can be identiﬁed by using next generation sequencing, that is, exome sequencing in large families with multiple affected individuals. 2 Exome sequencing is now J Med Genet2012; –:721 49 726. doi:10.1136/jmedgenet-2012-101155 routinely used to identify rare mutations in familial forms of disease in diverse phenotypes. 2 Two recent studies independently performed exome sequencing in large families of Caucasian descent, and identiﬁed a mutation in the vacuolar protein sorting 35 (VPS35) gene as a possible cause for an autosomal dominant form of Parkinson disease (PD). 3 4 In addition, several non-synonymous base exchanges were identiﬁed, but their involvement in disease pathogenesis remains inconclusive. Furthermore, recently published studies provided conﬂicting results regarding the role of VPS35 in PD. 5 – 8 Here, we performed a large multi-centre study to determine the frequency and pathogenicity of VPS35 variants in PD in diverse populations worldwide. METHODS Consortium Investigators from the Genetic Epidemiology of Parkinson disease Consortium were invited to participate in this study. A total of 23 sites representing 19 countries from four continents agreed to contribute DNA samples and clinical data for a total of 15 383 individuals (8870 cases and 6513 controls). Control individuals underwent neurological examination and were excluded from the study whenever there was clinical evidence for any extrapyramidal disorder. Genotyping We selected seven non-synonymous variants exactly as they were proposed. 3 In addition, we selected tag single nucleotide polymorphisms 721 J Med Genet: first published as 10.1136/jmedgenet-2012-101155 on 2 November 2012. Downloaded from http://jmg.bmj.com/ http://jmg.bmj.com/ J Med Genet: first published as 10.1136/jmedgenet-2012-101155 on 2 November 2012. Downloaded from http://jmg.bmj.com/ J Med Genet: first published as 10.1136/jmedgenet-2012-101155 on 2 November 2012. Downloaded from on September 29, 2022 by guest. Protected by copyright. (SNPs) (HapMap Rel 28 phase II+III, Aug10, National Centre for Biotechnology Information. B36 dbSNP b126; http://www. hapmap.org) that cover the common genetic variants in the VPS35 gene using an r 2 threshold of 0.8–1.0 to select tag SNPs for VPS35 gene. Using this strategy, we were able to capture 23 SNPs in a 40 kb region, including VPS35 ('chr16:46 693 589– 46 723 144 based on hg 19'). Therefore, in total, 10 SNPs located in the VPS35 were genotyped (including seven rare nonsynonymous and three common variants). Genotyping was performed by a central genotyping core. Genotyping was performed using a matrix-assisted laser desorption/ionisation time-of-ﬂight mass spectrometry on a MassArray system (Sequenom, San Diego, California, USA). Cleaned extension products were analysed by a mass spectrometer (Bruker Daltronic, Billerica, MA, USA) and peaks were identiﬁed using the MassArray Typer 22.214.171.124 software (Sequenom). Assays were designed by the AssayDesigner software 4.0 (Sequenom) with the default parameters for the iPLEX Gold chemistry and the Human GenoTyping Tools ProxSNP and PreXTEND (Sequenom). All variants were genotyped in one multiplex assay. The average call rate of the variants was >97%. The local Ethics Committee approved the study. All participants gave signed informed consent. Statistical analysis Logistic regression was used to test the association between VPS35 and PD in our overall cohort. For common variants (minor allele frequency >5%), we synthesised the effect estimates using ﬁxed and random effects models. Fixed effect models assume that the genetic effect is the same in populations from different sites and that observed differences are due to chance alone. For associations showing between-study heterogeneity, ﬁxed effect estimates yield narrower CIs and smaller p values as compared with random effects models, which incorporate between-study heterogeneity. 9 10 Random effects models allow the genetic effects might be different due to genuine heterogeneity that may exist across different sites. Random effects calculations take into account the estimated between-study heterogeneity. Cochran's Q test of homogeneity and the I 2 metric were used to evaluate the between-site heterogeneity. The I 2 metric ranges from 0% to 100% and measures the proportion of variability that is beyond chance. Typically, estimates of I 2 <25% are considered to reﬂect little or no heterogeneity, 25%–50% moderate heterogeneity, 50%–75% large heterogeneity and >75% very large heterogeneity. The overall main analysis considered all sites and populations irrespective of ancestry. For variants with minor allele frequency <1%, an exact test was used to compare the frequency differences between cases and controls combining data across all 21 sites. RESULTS Characteristics of sites and overall database Overall, 23 sites contributed a total of 8870 cases and 6513 controls. Characteristics of all participating sites are shown in table 1. Most sites contributed participants of Caucasian ancestry (N=19); four sites included participants of Asian ancestry. The proportion of men and women ranged from 42% to 58% across different participating sites (table 1). The median age at onset of PD in our studied population was 61 years. Rare variants Overall, we observed p.Asp620Asn in seven cases, p.Leu774Met in six cases and one control, p.Gly51Ser in three cases and two 722 controls. Details per site are shown in table 2. The controls subjects carrying p.Leu774Met (P-13) and p.Gly51Ser (P-2 and P-16) at the time of study sampling were 81, 84 and 76 years, respectively. In Caucasian populations, the number of carriers in cases and controls for the three variants were 5 versus 0 (pAsp620Asn), 4 versus 1 (pLeu774Met) and 3 versus 1 (p.Gly51Ser), respectively. In Asian descent populations, the respective numbers were 2 versus 0 (p.Asp620Asn), 2 versus 0 (p.Leu774Met) and 0 versus 1 (p.Gly51Ser). Most interestingly, two out of seven patients carrying the p.Asp620Asn variant presented without any family history for PD. This represents the ﬁrst evidence for reduced penetrance of the respective variant initially attributed to autosomal dominant familial PD. We did not observe any carriers for one variant (p.Arg524Trp) in our cohort. Two non-synonymous variants (p.Met57Ile, p. Thr82Arg) failed genotyping. By collapsing the rare variants across different sites, we did not observe statistically signiﬁcant increased risk for p.Leu774Met and p.Gly51Ser in our cohort (see online supplementary table S1). Overall data synthesis for common variants Out of three tag SNPs, one SNP (rs3218745) failed genotyping. We did not observe signiﬁcant association for any of common variants with PD either with either ﬁxed effect or random effect models (see online supplementary table S2). The OR ranged from 0.96 to 0.99 and tight 95% CIs excluded modest association effects. We observed no substantial heterogeneity for the two genotyped SNPs, and also the Q test was nonstatistically signiﬁcant for common SNPs. Moreover, examining the Caucasian or Asian populations separately did not change our results (data not shown). Clinical features All PD patients who carried potential pathogenic variants (p. Asp620Asn, p.Gly51Ser, p.Leu774Met) were clinically diagnosed with PD (Online supplementary clinical analysis data). A few of these (0.2%) affected individuals also have a positive family history. Affected individuals exhibited classical symptoms of PD (resting tremor, bradykinesia, rigidity) (table 2). The clinical diagnosis of PD was made by movement disorder specialists who used UK brain bank criteria for PD. Non-motor symptoms were present in the majority of PD patients carrying a pathogenic variant (table 2). Interestingly, hallucinations and dementia were also observed in one asymptomatic carrier suggesting clinical heterogeneity associated with VPS35. The identiﬁed healthy carriers have not shown any sign of PD as yet (table 2). DISCUSSION We performed the ﬁrst multi-centre study to deﬁne the role of the VPS35 gene (PARK17) in PD by assessing the frequency of the reported non-synonymous variants in familial and sporadic PD patients from different populations worldwide. Among 15 383 subjects genotyped, we found a pathogenic relevance for p.Asp620Asn in different populations. Most interestingly, out of seven subjects who carry p.Asp620Asn, two have a negative family history. Therefore, our results provide additional evidence that VPS35 is a rare cause of familial as well as the common sporadic form of PD. In total, about 0.4% of PD cases in diverse population were due to disease-associated variant in the VPS35 gene. Our lack of supporting the role of common variants of the VPS35 gene in PD is consistent with recently published GWAS and also meta- analyses of GWAS of PD, as none of these highlighted the role of common variability in VPS35 gene as a risk factor for PD. 11 – 15 The p.Asp620Asn J Med Genet2012; 49 –:721 726. doi:10.1136/jmedgenet-2012-101155 Table 1 Description of datasets contributed by each study site AAO, Age at onset; NA: Not applicable. variant is located in the C-terminal region of the VPS35 protein pointing that subtle structural changes might inﬂuence the disease pathogenesis. 3 The spectrum of proteins involved in PD aetiology has grown considerably. This includes proteins that are related to mitochondrial quality control (Parkin, PINK1 and DJ1), proteins involved in protein aggregation (SNCA) (Synuclein, MAPT) Microtubule associated protein Tau), and proteins which are involved in sorting and degradation within endocytic and autophagy pathways ((VDAC) Voltage dependent anion channel, (GBA) Glucocerebrosidase gene, VPS35). 16 17 So far, very little is known about the speci ﬁ c role of VPS35 in PD, except that it is hypothesised that it is involved in cargo recognition as part of a retrograde complex recycling membrane proteins from endosomes to the trans-Golgi network. 3 4 Indeed , in vitro and in vivo studies strongly implicate the role of VPS35 Table 2 Clinical description of carriers of non-synonymous variants of vacuolar protein sorting 35 gene NA, not applicable; NAV, not available; PD, Parkinson disease; +positive; −negative. J Med Genet2012; –:721 49 726. doi:10.1136/jmedgenet-2012-101155 Genotype-phenotype correlations gene in neurodegeneration. For example, reduced levels of VPS35 have been found in affected brain regions of Alzheimer disease (AD) patients 18 and loss of VPS35 function has been shown to increase the levels of amyloid β and cause synaptic impairment in a mouse model of AD. Furthermore, variants in another member of the VPS family and substrate of retromer complex, SORL1, have been implicated in AD. 19 In this study, we have focused only on non-synonymous variants identiﬁed by Zimprich and colleagues. 3 Of note, we conﬁrmed the pathogenic relevance of the p.Asp620Asn variant which was identiﬁed by both studies for familial cases and in sporadic PD. Recently, published studies also identiﬁed p.Asp620Asn mutations in PD, 6 20 thus providing support to the role of p.Asp620Asn in PD. In our study, clinically, the symptomatic carriers showed a broad spectrum of clinical phenotypes ranging from typical PD to (DLB) Dementia with Lewy body, so longitudinal evaluation of carriers at risk will provide unique information on the natural course of the disease caused by VPS35. Even though our data support the role of p.Asp620Asn variant in PD, given the fact that the frequency in diverse population is far below <1%, it is likely to be a rare cause of PD worldwide. Nevertheless, sequencing of families is encouraged for identifying additional missense variants which may provide mechanistic insight into the causes of PD. Author afﬁliations 3 Department of Neurology, St Olavs Hospital and NTNU Trondheim, Trondheim, Norway 4 Institute of Neurology, Department of Medical Sciences , University Magna Graecia, Catanzaro; Neuroimaging Research Unit, National Research Council, Catanzaro, Italy 5 INSERM, UMR_S975, Université Pierre et Marie Curie-Paris, CNRS, UMR 7225, AP-HP, Pitié-Salpêtrière Hospital 1 Department of Neurodegenerative diseases, Hertie-Institute for Clinical Brain Research and DZNE- German Center for Neurodegenerative Diseases, Tübingen 2 Stanford Prevention Research Center, Department of Medicine and Department of Health Research and Policy, Stanford University School of Medicine, Stanford, California, USA 6 7 Cnrs, UMR 7225, Paris, France AP-HP, Hôpital Pitié-Salpêtière, Department of Genetics and Cytogenetics, Paris, France Neuropsychiatric Genetics Group, Department of Vertebrate Genomics, Max Planck 8 Institute for Molecular Genetics, Berlin, Germany. General Hospital of Syros, Syros, Greece 9 10' ' 11 Hygeia Hospital, Clinic of Neurodegenerative Disorders, Athens, Greece 2nd Neurology Clinic, University of Athens,' ' 12 Attikon Hospital, Athens, Greece Department of Neurodegenerative Disorders, Medical Research Centre, Polish Academy of Sciences, Warsaw, Poland Institute Born-Bunge, University of Antwerp, Antwerp, Belgium 13 Neurodegenerative Brain Diseases Group, Department of Molecular Genetics, VIB, Antwerp, Belgium 14 15 Department of Neurology, Antwerp University Hospital, Antwerp, Belgium. 17 Centre for Biomedicine, European Academy Bozen/Bolzano, Itlay, Afﬁliated institute of the University of Lübeck, Lübeck, German 16 School of Clinical and Experimental Medicine, College of Medical and Dental Sciences, University of Birmingham, City Hospital, Birmingham, UK 18 Department of Medical Genetics, University of British Columbia, Vancouver, British Columbia, Canada Human Genetic Centre, University Hospital of Liège, Liège, Belgium and Department of 19 Neurology, General Central Hospital, Bolzano, Itlay 22 20 Department of Neurology, Goethe University Frankfurt am Main, Frankfurt, Germany 21 Department of Neurology, University of Thessaly and Institute of Biomedical Research and Technology, CERETETH, Larissa, Greece Department of Neurology, Juntendo University School of Medicine, Tokyo, Japan Department of Neurology, Seoul National University Hospital, Seoul, Korea 23 24 25 Department of Neurology, Medical University of Warsaw, Warsaw, Poland Department of Neurology, Jagiellonian University, Krakow, Poland Department of Neurology, Johannes Gutenberg University, Mainz, Germany 27 Department of Neurology, Chushang Show-Chwan Hospital, Nantou and Chung-Shan Medical University Hospital, Taichung, Taiwan 26 28 The Dublin Neurological Institute at the Mater Misericordiae University Hospital, and Conway Institute, University College Dublin, Dublin, Ireland 29 Helmholtz Zentrum München, German Research Centre for Environmental Health (Gmbh), Neuherberg, Germany 724 30 Movement Disorders Centre, and the Edmond J Safra Program in Parkinson's Disease, Toronto Western Hospital, University of Toronto, Toronto, Canada 32 Department of Medicine and Therapeutics, Prince of Wales Hospital,The Chinese University of Hong Kong, Shatin, Hong Kong 31 Department of Neurology, National Center Hospital of Neurology and Psychiatry, Tokyo, Japan 33 Department of Neurology, Medical University of Silesia, Katowice, Poland 34 ﬁ 35 Eskitis Institute for Cell and Molecular Therapies, Grif th University, Brisbane, Australia Neurosciences Department, Queen Elizabeth Hospital Birmingham, University Hospitals Birmingham NHS Foundation Trust, Birmingham, UK German Research Center for Environmental Health, Institute of Human Genetics, 36 Helmholtz Zentrum München, Neuherberg, Germany Department of Neurology, Medizinische Universität Wien, Vienna, Austria 37 Institute of Human Genetics, Technische Universität München, Munich, Germany 38 39 Tanz Centre for Research in Neurodegenerative Diseases, Department of Medicine, University of Toronto, Toronto, Canada 41 Divisions of Basic Neurosciences & Cell Biology, Biomedical Research Foundation of Academy of Athens, Athens, Greece 40 Department of Neuroscience, Mayo Clinic, Jacksonville, Florida 42 Division of Neurology/Molecular Brain Science, Kobe University Graduate School of Medicine, Kobe, Japan 44 Department of Neurology, Singapore General Hospital, National Neuroscience Institute, Singapore 43 University of Queensland Centre for Clinical Research, Herston, Australia 45 Department of Neurology, Mayo Clinic Jacksonville, USA 47 46 Epidemiology and Biostatistics and Department of Clinical Neuroscience, Karolinska Institutet Department of Neurology, National Hospital Organization Tokyo Hospital, Tokyo, Japan Department of Neurology, NorthShore University HealthSystem, Chicago, USA 48 Acknowledgements RS Boyle, MD (Princess Alexandra Hospital, Brisbane, Site Investigator); A Sellbach, MD (Princess Alexandra Hospital, Brisbane, Site Investigator); JD O'Sullivan, MD (Royal Brisbane and Women's Hospital Brisbane, Site Investigator); GT Sutherland, PhD (Eskitis Institute for Cell and Molecular Therapies, Grifﬁth University, Nathan, QLD, Site Investigator); GA Siebert, MD (Eskitis Institute for Cell and Molecular Therapies, Grifﬁth University, Nathan, QLD, Site Investigator); NNW Dissanayaka, MD (Eskitis Institute for Cell and Molecular Therapies, Grifﬁth University, Nathan, QLD,Site Investigator); Christine Van Broeckhoven, PhD DSc (Neurodegenerative Brain Diseases Group, Department of Molecular Genetics, VIB; and Laboratory of Neurogenetics, Institute Born-Bunge; and University of Antwerp); Jessie Theuns, PhD (Neurodegenerative Brain Diseases Group, Department of Molecular Genetics, VIB; and Laboratory of Neurogenetics, Institute Born-Bunge; and University of Antwerp); David Crosiers, MD (Neurodegenerative Brain Diseases Group, Department of Molecular Genetics, VIB; and Laboratory of Neurobiology, Institute Born-Bunge; and University of Antwerp; and Department of Neurology, Antwerp University Hospital, Antwerp); Barbara Pickut, MD (Department of Neurology, Antwerp University Hospital, Antwerp); Sebastiaan Engelborghs, MD, PhD (Laboratory of Neurochemistry and Behaviour, Institute Born-Bunge; and University of Antwerp; and Department of Neurology and Memory Clinic, Hospital Network Antwerp, Middelheim and Hoge Beuken, Antwerp); Aline Verstraeten (Neurodegenerative Brain Diseases Group, Department of Molecular Genetics, VIB; and Laboratory of Neurogenetics, Institute Born-Bunge; and University of Antwerp); Peter P De Deyn, MD, PhD (Laboratory of Neurochemistry and Behaviour, Institute Born-Bunge; and University of Antwerp; and Department of Neurology and Memory Clinic, Hospital Network Antwerp, Middelheim and Hoge Beuken, Antwerp; and Department of Neurology and Alzheimer Research Center, University Medical Center Groningen, The Netherlands); Patrick Cras, MD, PhD (Laboratory of Neurobiology, Institute Born-Bunge; and University of Antwerp; Department of Neurology, Antwerp University Hospital, Antwerp). Funding: The research was in part supported by the Methusalem excellence program of the Flemish Government; a Centre of Excellence grant by the Special Research Fund of the University of Antwerp; the Research Foundation Flanders (FWO); the Agency for Innovation by Science and Technology Flanders (IWT); the Interuniversity Attraction Poles program (IAP) P6/43 of the Belgian Science Policy Ofﬁce; the Belgian Parkinson Foundation; and the Foundation for Alzheimer Research (SAO/FRMA). DC is receiving a PhD fellowship of the FWO and AV of the IWT. Ekaterina Rogaeva, PhD (Tanz Centre for Research in Neurodegenerative Diseases, Department of Medicine, Division of Neurology, University of Toronto, ON, Canada, Site Investigator); Anthony E Lang, MD (Movement Disorders Centre, Toronto Western Hospital, University of Toronto, Toronto, ON, Canada, Site Investigator); Y Agid, MD (Inserm, Paris, From the French Parkinson's Disease Genetics Study Group, Site Investigator); M Anheim, MD (Inserm, Paris, From the French Parkinson's Disease Genetics Study Group, Site Investigator); A-M Bonnet, MD (Inserm, Paris, From the French Parkinson's Disease Genetics Study Group, Site Investigator); M Borg, MD (From the French Parkinson's Disease Genetics Study Group, Site Investigator); A Brice, MD (Paris, From the French Parkinson's Disease Genetics Study Group, Site Investigator); E Broussolle MD (From the French Parkinson's Disease Genetics Study Group, Site Investigator); JC Corvol MD (Inserm, Paris, From the J Med Genet2012; 49 –:721 726. doi:10.1136/jmedgenet-2012-101155 ' French Parkinson s Disease Genetics Study Group, Site Investigator); P Damier, MD' (From the French Parkinson s Disease Genetics Study Group, Site Investigator); A' Destée, MD (From the French Parkinson s Disease Genetics Study Group, Site' Investigator); A Dürr, MD (Inserm U708, Paris, From the French Parkinson s Disease Genetics Study Group, Site Investigator); F Durif, MD (From the French Parkinson's Disease Genetics Study Group, Site Investigator); S Lesage, PhD (Inserm, Paris, From the French Parkinson's Disease Genetics Study Group, Site Investigator); E Lohmann, MD (Inserm, Paris, From the French Parkinson's Disease Genetics Study Group, Site Investigator); P Pollak, MD (From the French Parkinson's Disease Genetics Study Group, Site Investigator); O Rascol, MD (From the French Parkinson's Disease Genetics Study Group, Site Investigator); F Tison, MD (From the French Parkinson's Disease Genetics Study Group, Site Investigator); C Tranchant, MD (From the French Parkinson's Disease Genetics Study Group, Site Investigator); F Viallet, MD (From the French Parkinson's Disease Genetics Study Group, Site Investigator); M Vidailhet, MD (Inserm, Paris, From the French Parkinson's Disease Genetics Study Group, Site Investigator); Christophe Tzourio, MD (Inserm U708, Paris, From the French Parkinson's Disease Genetics Study Group, Site Investigator); Philippe Amouyel, MD (Inserm U744, Lille, Site Investigator); Marie-Anne Loriot, MD (Inserm UMRS775, Paris, Site Investigator); Eugénie Mutez, MD (Inserm UMR837, Service de Neurologie et de Pathologie du Mouvement CHRU de Lille, Univ Lille Nord de France, Site Investigator); Aurélie Duﬂot, MD (UMR837 Inserm-Univ Lille 2, CHRU de Lille, Site Investigator); Jean-Philippe Legendre, MD (Service de Neurologie et Pathologie du Mouvement, Clinique de Neurologie du CHU de Lille, Site Investigator); Nawal Waucquier, MD (Service de Neurologie et Pathologie du Mouvement, Clinique de Neurologie du CHU de Lille, Site Investigator); Thomas Gasser MD (Department of Neurology, University Hospital Tuebingen, Site Investigator); Olaf Riess MD (Department of Neurology, University Hospital Tuebingen, Site Investigator); Christine Klein, MD (Section of Clinical and Molecular Neurogenetics at the Department of Neurology, University of Lübeck, Site Investigator); Ana Djarmati, PhD (Department of Neurology, University of Lübeck, Site Investigator); Johann Hagenah, MD (Department of Neurology, University of Lübeck, Site Investigator); Katja Lohmann, PhD (Section of Clinical and Molecular Neurogenetics at the Department of Neurology, University of Lübeck, Site Investigator); Georg Auburger, MD (Department of Neurology, Goethe University Frankfurt am Main, Germany, Site Investigator); Rüdiger Hilker, MD (Department of Neurology, Goethe University Frankfurt am Main, Germany, Site Investigator); Simone van de Loo, MD (Department of Neurology, Goethe University Frankfurt am Main, Germany, Site Investigator); Efthimios Dardiotis, MD (Department of Neurology, Faculty of Medicine, University of Thessaly and Institute of Biomedical Research & Technology, CERETETH, Larissa; Site Investigator); Vaia Tsimourtou, MD (Department of Neurology, Faculty of Medicine, University of Thessaly, Larissa, Site Investigator); Styliani Ralli, MD (Department of Neurology, Faculty of Medicine, University of Thessaly, Larissa, Site Investigator); Persa Kountra, MD (Department of Neurology, Faculty of Medicine, University of Thessaly, Larissa, Site Investigator); Gianna Patramani, MD (Department of Neurology, Faculty of Medicine, University of Thessaly, Larissa, Site Investigator); Cristina Vogiatzi, MD (Department of Neurology, Faculty of Medicine, University of Thessaly, Larissa, Site Investigator); Nobutaka Hattori, MD, PhD (Department of Neurology, Juntendo University School of Medicine, Tokyo, Site Investigator); Hiroyuki Tomiyama, MD, PhD (Department of Neurology, Juntendo University School of Medicine, Tokyo, Site Investigator); Manabu Funayama, PhD (Department of Neurology, and Research Institute for Diseases of Old Age, Graduate School of Medicine, Juntendo University, Tokyo, Site Investigator); Hiroyo Yoshino, PhD (Research Institute for Diseases of Old Age, Graduate School of Medicine, Juntendo University, Tokyo, Site Investigator); Yuanzhe Li MD,PhD Research Institute for Diseases of Old Age, Graduate School of Medicine, Juntendo University, Tokyo, Site Investigator); Yoko Imamichi (Department of Neurology, Juntendo University School of Medicine, Tokyo, Site Investigator); Tatsushi Toda, MD (Division of Neurology/Molecular Brain Science, Kobe University Graduate School of Medicine, Kobe, Japan, Site Investigator); Wataru Satake, MD, PhD (Division of Neurology/ Molecular Brain Science, Kobe University Graduate School of Medicine, Kobe, Japan, Site Investigator); Tim Lynch, MD (The Dublin Neurological Institute at the Mater Misericordiae University Hospital, Clinical Investigator at the Conway Institute, University College Dublin, Ireland, Site Investigator); J Mark Gibson, MD (Department of Neurology, Royal Victoria Hospital, Belfast, Ireland, Site Investigator); Enza Maria Valente, MD, PhD (IRCCS, Casa Sollievo della Sofferenza Hospital, Mendel Institute, San Giovanni Rotondo, Site Investigator); Alessandro Ferraris, MD (IRCCS, Casa Sollievo della Sofferenza Hospital, Mendel Institute, San Giovanni Rotondo, Site Investigator); Bruno Dallapiccola, MD (Mendel Institute, Casa Sollievo della Sofferenza Hospital, Rome, Site Investigator); Tamara Ialongo, MD, PhD (Institute of Neurology, Catholic University, Rome, Site Investigator); Laura Brighina, MD, PhD (Department of Neurology, Ospedale San Gerarado, Monza, Italy, Site Investigator); Barbara Corradi, PhD (Department of Paediatrics, University of Milano-Bicocca, Monza, Site Investigator); Roberto Piolti, MD (Department of Neurology, Ospedale San Gerardo, Monza, Italy, Site Investigator); Patrizia Tarantino, PhD (Institute of Neurological Sciences, National Research Council, Site Investigator); Ferdinanda Annesi, PhD (Institute of Neurological Sciences, National Research Council, Site Investigator); Beom S Jeon, MD, PhD (Department of Neurology, Seoul National University Hospital, Site Investigator); Sung-Sup Park, MD, PhD (Department of Laboratory Medicine, Seoul National University Hospital, Site Investigator); J Aasly, MD J Med Genet2012; –:721 49 726. doi:10.1136/jmedgenet-2012-101155 (Department of Neurology, University of Trondheim, Norway, Site Investigator); Grzegorz Opala, MD, PhD (Department of Neurology, Aging, Degenerative and Cerebrovascular Disorders, Medical University of Silesia, Katowice; Site Investigator); Barbara Jasinska-Myga, MD, PhD (Department of Neurology, Aging, Degenerative and Cerebrovascular Disorders, Medical University of Silesia, Katowice, Site Investigator); Gabriela Klodowska-Duda, MD, PhD (Department of Neurology, Aging, Degenerative and Cerebrovascular Disorders, Medical University of Silesia, Katowice, Site Investigator); Magdalena Boczarska-Jedynak, MD, PhD (Department of Neurology, Aging, Degenerative and Cerebrovascular Disorders, Medical University of Silesia, Katowice, Site Investigator); Eng King Tan, MD, PhD (National Medical and Biomedical Research Councils, and the Duke-NUS Graduate Medical School, Singapore Millenium Foundation, Site Investigator); Andrea Carmine Belin, PhD (Department of Neuroscience, Karolinska Institutet, Stockholm, Site Investigator); Lars Olson, MD (Department of Neuroscience, Karolinska Institutet, Stockholm, Site Investigator); Dagmar Galter, PhD (Department of Neuroscience, Karolinska Institutet, Stockholm; Site Investigator); Marie Westerlund, PhD (Department of Neuroscience, Karolinska Institutet, Stockholm, Site Investigator); Olof Sydow, PhD (Department of Clinical Neuroscience, Karolinska University Hospital, Stockholm; Site Investigator); Christer Nilsson, MD, PhD (Department of Geriatric Psychiatry, Lund University; Site Investigator); Andreas Puschmann, MD (Department of Neurology, Lund University Hospital, Department of Geriatric Psychiatry, Lund University, Site Investigator); JJ Lin, MD (Department of Neurology, Cushang Show-Chwan Hospital, Taiwan, Site Investigator); Demetrius M Maraganore, MD (Department of Neurology, NorthShore Health Systems, Chicago, IL, Site Investigator); J Eric Ahlskog PhD, MD (Department of Neurology, Mayo Clinic, Rochester, MN, USA, Site Investigator); Mariza de Andrade, PhD (Department of Health Sciences Research, Mayo Clinic, Rochester, MN, USA, Site Investigator); Timothy G Lesnick, MS (Department of Health Sciences Research, Mayo Clinic, Rochester, MN, USA, Site Investigator); Walter A Rocca, MD, MPH (Departments of Neurology and Health Sciences Research, Mayo Clinic, Rochester, MN, USA, Site Investigator); Harvey Checkoway, PhD (Department of Environmental and Occupational Health Sciences, University of Washington, Seattle, WA, Site Investigator); Owen A Ross PhD (Division of Neuroscience, Mayo Clinic, Jacksonville, USA, Site Investigator); Zbigniew K Wszolek, MD (Department of Neurology, Mayo Clinic, Jacksonville, FL, Site Investigator); Ryan J Uitti, MD (Department of Neurology, Mayo Clinic, Jacksonville, FL, Site Investigator). ContributorsAll authors presented in this study made substantial contributions to: (1) conception and design, acquisition of data, or analysis and interpretation of data; (2) drafting the article or revising it critically for important intellectual content; and (3) ﬁnal approval of the version to be published. Funding This work was supported by Michael J Fox Foundation under the Edmond J Safra Rapid Response Innovation Award program. Competing interests None. Provenance and peer review None. REFERENCES 1. Ioannidis JP, Thomas G, Daly MJ. Validating, augmenting and reﬁning genome-wide association signals. Nat Rev Genet 2009;10:318–29. 2. Singleton AB. Exome sequencing: a transformative technology. Lancet Neurol 2011;10:942–6. 3. Zimprich A, Benet-Pages A, Struhal W, Graf E, Eck SH, Offman MN, Haubenberger D, Spielberger S, Schulte EC, Lichtner P, Rossle SC, Klopp N, Wolf E, Seppi K, Pirker W, Presslauer S, Mollenhauer B, Katzenschlager R, Foki T, Hotzy C, Reinthaler E, Harutyunyan A, Kralovics R, Peters A, Zimprich F, Brücke T, Poewe W, Auff E, Trenkwalder C, Rost B, Ransmayr G, Winkelmann J, Meitinger T, Strom TM. A mutation in VPS35, encoding a subunit of the retromer complex, causes late-onset Parkinson disease. Am J Hum Genet 2011;89:168–75. 4. Vilarino-Guell C, Wider C, Ross OA, Dachsel JC, Kachergus JM, Lincoln SJ, Soto-Ortolaza AI, Cobb SA, Wilhoite GJ, Bacon JA, Behrouz B, Melrose HL, Hentati E, Puschmann A, Evans DM, Conibear E, Wasserman WW, Aasly JO, Burkhard PR, Djaldetti R, Ghika J, Hentati F, Krygowska-Wajs A, Lynch T, Melamed E, Rajput A, Rajput AH, Solida A, Wu RM, Uitti RJ, Wszolek ZK, Vingerhoets F, Farrer MJ. VPS35 mutations in Parkinson disease. Am J Hum Genet 2011;89:162–7. 5. Verstraeten A, Wauters E, Crosiers D, Meeus B, Corsmit E, Elinck E, Mattheijssens M, Peeters K, Cras P, Pickut B, Vandenberghe R, Engelborghs S, De Deyn PP, Van Broeckhoven C, Theuns J. Contribution of VPS35 genetic variability to LBD in the Flanders-Belgian population. Neurobiol Aging 2012;33:1844 e11–3. 6. Lesage S, Condroyer C, Klebe S, Honoré A, Tison F, Brefel-Courbon C, Dürr A, Brice A, French Parkinson's Disease Genetics Study Group. Identiﬁcation of VPS35 mutations replicated in French families with Parkinson disease. Neurology 2012;78:1449–50. 7. Guo JF, Sun QY, Lv ZY, Yu RL, Li K, Zhang YH, Tian JY, Xia K, Yan XX, Tang BS. VPS35 gene variants are not associated with Parkinson's disease in the mainland Chinese population. Parkinsonism Relat Disord 2012;18:983–5. 8. Guella I, Solda G, Cilia R, Pezzoli G, Asselta R, Duga S, Goldwurm S. The Asp620asn mutation in VPS35 is not a common cause of familial Parkinson's disease. Mov Disord 2012;27:800–1. Genotype-phenotype correlations 9. Ioannidis JP, Patsopoulos NA, Evangelou E. Uncertainty in heterogeneity estimates in meta-analyses. BMJ 2007;335:914–16. 10. Higgins JP, Thompson SG, Deeks JJ, Altman DG. Measuring inconsistency in meta-analyses. BMJ 2003;327:557–60. 11. Nalls MA, Plagnol V, Hernandez DG, Sharma M, Sheerin UM, Saad M, Simón-Sánchez J, Schulte C, Lesage S, Sveinbjörnsdóttir S, Stefánsson K, Martinez M, Hardy J, Heutink P, Brice A, Gasser T, Singleton AB, Wood NW. Imputation of sequence variants for identiﬁcation of genetic risks for Parkinson's disease: a meta-analysis of genome-wide association studies. Lancet 2011;377:641–9. 12. Simón-Sánchez J, Schulte C, Bras JM, Sharma M, Gibbs JR, Berg D, Paisan-Ruiz C, Lichtner P, Scholz SW, Hernandez DG, Krüger R, Federoff M, Klein C, Goate A, Perlmutter J, Bonin M, Nalls MA, Illig T, Gieger C, Houlden H, Steffens M, Okun MS, Racette BA, Cookson MR, Foote KD, Fernandez HH, Traynor BJ, Schreiber S, Arepalli S, Zonozi R, Gwinn K, van der Brug M, Lopez G, Chanock SJ, Schatzkin A, Park Y, Hollenbeck A, Gao J, Huang X, Wood NW, Lorenz D, Deuschl G, Chen H, Riess O, Hardy JA, Singleton AB, Gasser T. Genome-wide association study reveals genetic risk underlying Parkinson's disease. Nature genetics 2009;41:1308–12. 13. Satake W, Nakabayashi Y, Mizuta I, Hirota Y, Ito C, Kubo M, Kawaguchi T, Tsunoda T, Watanabe M, Takeda A, Tomiyama H, Nakashima K, Hasegawa K, Obata F, Yoshikawa T, Kawakami H, Sakoda S, Yamamoto M, Hattori N, Murata M, Nakamura Y, Toda T. Genome-wide association study identiﬁes common variants at four loci as genetic risk factors for Parkinson's disease. Nat Genet 2009;41:1303–7. 14. Saad M, Lesage S, Saint-Pierre A, Corvol JC, Zelenika D, Lambert JC, Vidailhet M, Mellick GD, Lohmann E, Durif F, Pollak P, Damier P, Tison F, Silburn PA, Tzourio C, Forlani S, Loriot MA, Giroud M, Helmer C, Portet F, Amouyel P, Lathrop M, Elbaz A, Durr A, Martinez M, Brice A. Genome-wide association study conﬁrms BST1 and 726 suggests a locus on 12q24 as the risk loci for Parkinson's disease in the European population. Hum Mol Genet 2011;20:615–27. 15. Pankratz N, W. Beecham GW, DeStefano AL, Dawson TM, Doheny KF, Factor SA, Hamza TH, Hung AY, Hyman BT, Ivinson AJ, Krainc D, Latourelle JC, Clark LN, Marder K, Martin ER, Mayeux R, Ross OA, Scherzer CR, Simon DK, Tanner C, Vance JM, Wszolek ZK, Zabetian CP, Myers RH, Payami H, Scott WK, Foroud T. Meta-analysis of Parkinson disease: identiﬁcation of a novel locus, RIT2. Ann Neurol 2012;71:370–84. 16. Geisler S, Holmstrom KM, Skujat D, Fiesel FC, Rothfuss OC, Kahle PJ, Springer W. PINK1/Parkin-mediated mitophagy is dependent on VDAC1 and p62/SQSTM1. Nat Cell Biol 2010;12:119–31. 17. Burbulla LF, Krebiehl G, Kruger R. Balance is the challenge–the impact of mitochondrial dynamics in Parkinson's disease. Eur J Clin Invest 2010;40:1048–60. 18. Small SA, Kent K, Pierce A, Leung C, Kang MS, Okada H, Honig L, Vonsattel JP, Kim TW. Model-guided microarray implicates the retromer complex in Alzheimer's disease. Ann Neurol 2005;58:909–19. 19. Rogaeva E, Meng Y, Lee JH, Gu Y, Kawarai T, Zou F, Katayama T, Baldwin CT, Cheng R, Hasegawa H, Chen F, Shibata N, Lunetta KL, Pardossi-Piquard R, Bohm C, Wakutani Y, Cupples LA, Cuenco KT, Green RC, Pinessi L, Rainero I, Sorbi S, Bruni A, Duara R, Friedland RP, Inzelberg R, Hampe W, Bujo H, Song YQ, Andersen OM, Willnow TE, Graff-Radford N, Petersen RC, Dickson D, Der SD, Fraser PE, Schmitt-Ulms G, Younkin S, Mayeux R, Farrer LA, St George-Hyslop P. The neuronal sortilin-related receptor SORL1 is genetically associated with Alzheimer disease. Nat Genet 2007;39:168–77. 20. Sheerin UM, Charlesworth G, Bras J, Guerreiro R, Bhatia K, Foltynie T, Limousin P, Silveira-Moriyama L, Lees A, Wood N. Screening for VPS35 mutations in Parkinson's disease. Neurobiol Aging 2012;33:838.e1–5. J Med Genet2012; 49 –:721 726. doi:10.1136/jmedgenet-2012-101155 Correction Sharma M, Ioannidis JP, Aasly JO, Annesi G, Brice A, Bertram L, Bozi M, Barcikowska M, Crosiers D, Clarke CE, Facheris MF, Farrer M, Garraux G, Gispert S, Auburger G, Vilariño-Güell C, Hadjigeorgiou GM, Hicks AA, Hattori N, Jeon BS, Jamrozik Z, Krygowska-Wajs A, Lesage S, Lill CM, Lin JJ, Lynch T, Lichtner P, Lang AE, Libioulle C, Murata M, Mok V, Jasinska-Myga B, Mellick GD, Morrison KE, Meitnger T, Zimprich A, Opala G, Pramstaller PP, Pichler I, Park SS, Quattrone A, Rogaeva E, Ross OA, Stefanis L, Stockton JD, Satake W, Silburn PA, Strom TM, Theuns J, Tan EK, Toda T, Tomiyama H, Uitti RJ, Van Broeckhoven C, Wirdefeldt K, Wszolek Z, Xiromerisiou G, Yomono HS, Yueh KC, Zhao Y, Gasser T, Maraganore D, Krüger R; on behalf of GEOPD consortium. A multi-centre clinico-genetic analysis of the VPS35 gene in Parkinson disease indicates reduced penetrance for disease-associated variants. J Med Genet. 2012 Nov;49(11):721-726. In this paper J Theuns and C Van Broeckhoven were afﬁliated with institutions 14 and 15. This is an error and both authors are afﬁliated with institutions 13 and 14. J Med Genet 2013;50:202. doi:10.1136/jmedgenet-2012-101155corr1 202 Guven A, et al . J Med Genet2013; 50 –:199 202. doi:10.1136/jmedgenet-2012-101313
CONNECTOR 925 Sunday to Metro Airport \| 2299 7:44 925 7:49 8:02 8:12 2300 9:02 925 9:07 9:20 9:30 2402 10:32 2301 10:25 925 10:37 10:50 11:00 2304 11:47 925 11:52 12:05 12:15 2303 1:11 925 1:16 1:29 1:39 2306 2:33 925 2:41 2:54 3:04 2305 3:56 925 4:01 4:14 4:24 2308 5:18 2307 5:16 925 5:23 5:36 5:46 2310 6:33 2309 6:41 925 6:46 6:59 7:09 2312 8:02 2313 8:01 925 8:07 8:20 8:30 \| \| \| \| \|---\|---\|---\|---\| \| \| \| 2299 \| 7:44 \| \| 2300 \| 9:02 \| \| \| \| 2402 \| 10:32 \| 2301 \| 10:25 \| \| 2304 \| 11:47 \| \| \| \| \| \| 2303 \| 1:11 \| \| 2306 \| 2:33 \| \| \| \| \| \| 2305 \| 3:56 \| \| 2308 2310 \| 5:18 6:33 \| 2307 2309 \| 5:16 6:41 \| \| 2312 \| 8:02 \| 2313 \| 8:01 \| Bold Numerals represent PM Times CONNECTOR 925 Sunday to Wayne Rail Station \| 2300 \| 9:02 \| \| \|---\|---\|---\| \| 2402 \| 10:32 \| 2301 \| \| 2304 \| 11:47 \| \| \| 2306 \| 2:33 \| 2303 \| \| 2308 \| 5:18 \| 2305 2307 \| \| 2310 2312 \| 6:33 8:02 \| 2309 2313 \| FARES & TICKETS Connector 925 Free! Connector 925 is your FREE link between Detroit Metro Airport and Wayne Rail Station. Look for the bright blue Freshwater Railway buses at North Terminal and McNamara Terminal – board at the Ground Transportation Center and take a quick ride to the Michigan Line. Avoid delays and buy your rail ticket on the bus. Rail Ticket Vending Machines are available on every bus. When you arrive at Wayne Rail Station, you'll be good to go! Rail Ticket Vending Machines are available at all rail stations as well. CONNECTOR 917 The Michigan Line isn't your only way to Detroit Metro Airport. If you're coming from Monroe, Toledo, or anywhere else along the south I-75 corridor, use Connector 917 to access Detroit Metro Airport from the Erie Line. Service is available on weekdays to accommodate popular morning and evening fl ight times. THE TRAIN HAS ARRIVED. Freshwater Railway is Southeast Michigan's Regional Rail System. From Dexter to Davisburg, Mt Clemens to Monroe, it's never been easier to access your favorite places. Not so long ago, our region suff ered from a severe shortage of choices. We poured billions into a long-outdated transportation system that focused almost completely on cars. Core cities shriveled, natural green spaces became generic paved spaces – all while personal and public expenditures on transportation soared. For all of this, our population stagnated and our economy sputtered. Freshwater Railway is part of the solution. We're one component of an emerging multimodal transportation network. It's a smarter, more fl exible, less costly path to economic growth and personal choice. The new network absolutely includes cars – just as it includes trains, planes, buses, bicycles, boats, horses, feet, and anything else that moves you. Transportation choices aff ect your lifestyle. And we think that choice should be yours. Welcome aboard. Bring your wheels! 1100 Michigan Central Sta Detroit, Michigan 48216 The whole system is Wheelchair Accessible. We off er Bike Racks on all trains and at all stations. Commuter Parking is available at 43 stations. www.fwrail.org Printed on 100% Recycled Paper Detroit Metro Airport Connector EFFECTIVE FEBRUARY 27, 2011 CONNECTOR 925 Your free link from Freshwater Railway to the rest of the world. Trains, planes... and buses. WAYNE DETROIT METRO AIRPORT McNamara Terminal DETROIT METRO AIRPORT North Terminal WAYNE RAIL STATION Michigan Line METRO AIRPORT CONNECTOR 925 Monday-Friday to Metro Airport \| 2001 4:32 925 4:37 4:50 5:00 2000 5:34 2003 5:22 925 5:42 5:55 6:05 2205 6:14 925 6:27 6:40 6:50 2004 6:39 925 6:57 7:10 7:20 2006 7:24 2209 7:29 925 7:34 7:47 7:57 2208 7:49 2211 7:59 925 8:04 8:17 8:27 2214 9:17 2213 9:04 925 9:24 9:37 9:47 925 9:44 9:57 10:07 2216 10:37 2215 10:30 925 10:42 10:55 11:05 925 11:07 11:20 11:30 2218 11:57 2217 11:50 925 12:02 12:15 12:25 925 12:22 12:35 12:45 2220 1:13 2219 1:16 925 1:21 1:34 1:44 925 1:37 1:50 2:00 925 2:27 2:40 2:50 2222 2:38 2221 2:31 925 2:44 2:57 3:07 925 3:10 3:23 3:33 2224 3:18 2023 3:16 925 3:25 3:38 3:48 2226 3:58 2225 4:02 925 4:07 4:20 4:30 925 4:32 4:45 4:55 2228 4:38 2027 4:42 925 4:50 5:03 5:13 2230 5:23 2029 5:22 925 5:32 5:45 5:55 2232 5:58 2231 5:52 925 6:02 6:15 6:25 2033 6:27 925 6:32 6:45 6:55 2236 7:17 2235 7:01 925 7:22 7:35 7:45 \| \| \| \| \|---\|---\|---\|---\| \| \| \| 2001 \| 4:32 \| \| 2000 \| 5:34 \| 2003 \| 5:22 \| \| \| \| 2205 \| 6:14 \| \| 2004 \| 6:39 \| \| \| \| 2006 \| 7:24 \| 2209 \| 7:29 \| \| 2208 \| 7:49 \| 2211 \| 7:59 \| \| 2214 \| 9:17 \| 2213 \| 9:04 \| \| 2216 \| 10:37 \| 2215 \| 10:30 \| \| 2218 \| 11:57 \| 2217 \| 11:50 \| \| 2220 \| 1:13 \| 2219 \| 1:16 \| \| 2222 \| 2:38 \| 2221 \| 2:31 \| \| 2224 \| 3:18 \| 2023 \| 3:16 \| \| 2226 \| 3:58 \| 2225 \| 4:02 \| \| 2228 \| 4:38 \| 2027 \| 4:42 \| \| 2230 \| 5:23 \| 2029 \| 5:22 \| \| 2232 \| 5:58 \| 2231 \| 5:52 \| \| \| \| 2033 \| 6:27 \| \| 2236 \| 7:17 \| 2235 \| 7:01 \| CONNECTOR 925 \| 2000 \| 5:34 \| 2003 \| \|---\|---\|---\| \| 2004 \| 6:39 \| \| \| 2006 \| 7:24 \| 2209 \| \| 2208 \| 7:49 \| 2211 \| \| 2216 \| 10:37 \| 2215 \| \| 2218 \| 11:57 \| 2217 \| \| 2220 \| 1:13 \| 2219 \| \| 2222 \| 2:38 \| 2221 \| \| 2224 \| 3:18 \| 2023 \| \| 2226 \| 3:58 \| 2225 \| \| 2228 \| 4:38 \| 2027 \| \| 2230 \| 5:23 \| 2029 \| \| 2232 \| 5:58 \| 2231 \| \| \| \| 2033 \| \| 2034 2236 \| 6:48 7:17 \| 2235 \| \| 2238 2240 \| 8:27 9:57 \| 2241 \| CONNECTOR 925 Saturday to Metro Airport \| 2259 5:29 925 5:34 5:47 5:57 2258 6:52 2261 6:44 925 6:57 7:10 7:20 2260 8:02 2563 8:04 925 8:10 8:23 8:33 2062 9:12 2265 9:25 925 9:30 9:43 9:53 2564 10:32 2067 10:35 925 10:39 10:52 11:02 2266 11:22 925 11:27 11:40 11:50 2268 1:13 2271 12:55 925 1:18 1:31 1:41 2270 2:28 2573 2:31 925 2:36 2:49 2:59 2572 4:43 925 4:48 5:01 5:11 2074 5:58 2277 6:01 925 6:06 6:19 6:29 2276 7:22 2079 7:31 925 7:36 7:49 7:59 2278 8:42 2281 8:56 925 9:01 9:14 9:24 925 9:41 9:54 10:04 \| \| \| \| \|---\|---\|---\|---\| \| \| \| 2259 \| 5:29 \| \| 2258 \| 6:52 \| 2261 \| 6:44 \| \| 2260 \| 8:02 \| 2563 \| 8:04 \| \| 2062 \| 9:12 \| 2265 \| 9:25 \| \| 2564 \| 10:32 \| 2067 \| 10:35 \| \| 2266 \| 11:22 \| \| \| \| 2268 \| 1:13 \| 2271 \| 12:55 \| \| 2270 2572 \| 2:28 4:43 \| 2573 \| 2:31 \| \| 2074 2276 \| 5:58 7:22 \| 2277 2079 \| 6:01 7:31 \| \| 2278 \| 8:42 \| 2281 \| 8:56 \| CONNECTOR 925 Saturday to Wayne Rail Station \| 925 6:10 6:20 6:36 2258 6:52 2261 6:44 925 7:29 7:39 7:55 2260 8:02 2563 8:04 925 8:39 8:49 9:05 2062 9:12 2265 9:25 925 9:59 10:09 10:25 2564 10:32 2067 10:35 925 10:52 11:02 11:18 2266 11:22 925 12:20 12:30 12:46 2271 12:55 925 1:52 2:02 2:18 2270 2:28 2573 2:31 925 4:08 4:18 4:34 2572 4:43 925 5:26 5:36 5:52 2074 5:58 2277 6:01 925 6:49 6:59 7:15 2276 7:22 2079 7:31 925 8:11 8:21 8:37 2278 8:42 2281 8:56 925 9:14 9:24 9:40 2283 10:05 925 9:54 10:04 10:20 2280 10:27 \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| 2258 \| 6:52 \| 2261 \| 6:44 \| \| \| \| 2260 \| 8:02 \| 2563 \| 8:04 \| \| \| \| 2062 \| 9:12 \| 2265 \| 9:25 \| \| \| \| 2564 \| 10:32 \| 2067 \| 10:35 \| \| \| \| 2266 \| 11:22 \| \| \| \| \| \| \| \| 2271 \| 1 \| 2:55 \| \| \| 2270 \| 2:28 \| 2573 \| 2:31 \| \| \| \| 2572 2074 2276 \| 4:43 5:58 7:22 \| 2277 2079 \| 6:01 7:31 \| \| \| \| 2278 2280 \| 8:42 10:27 \| 2281 2283 \| 8:56 10:05 \| \| AIRLINES Major airlines fly from Metro Airport's two main terminals: 4 4 American North Terminal 4 4 DeltaMcNamara Terminal 4 4 Frontier North Terminal 4 4 KLM McNamara Terminal 4 4 Southwest North Terminal 4 4 United North Terminal 4 4 USAirways North Terminal Other airlines also serve Metro Airport. 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Midge Owners and Builders Club Autumn 2015 Secretary: Jim Hewlett The Old Manse, Tarbrax, West Calder West Lothian EH55 8XD 01501 785206 Email:email@example.com Editor (for this issue) John Bircumshaw Find us on Facebook We have been enjoying an Indian summer over the last few days – ideal weather to find a little used route through the Welsh mountains and to admire the view, but I have also been busy preparing this edition of our Club Newsletter which will be my last as Editor. You may have already noticed the change in Secretary from the address panel above, and I'm most grateful to Jim for volunteering to take over the running of our Club, and for this final opportunity to thank you all for your support over the last ten years. It's been a great experience, and I hope that the enthusiasm within the club will continue to grow. Ten years is a long time to be the secretary and the changes I've seen are quite amazing. At one time, anyone could find an old Triumph Herald/Spitfire or Ford Escort and after a few woodworking and mechanical challenges could produce a Midge and drive it legally on the public highway with a minimum of fuss. That was until the EU intervened, and it's now all but impossible to build a Midge from scratch that will be road legal, so the advice has to be to find one that is already built and legally registered and then carry out any restoration/rebuilding work that is necessary. During my time as secretary the number of members has stayed broadly the same, at around 100, but the major difference is that the internet has meant that we can now attract members worldwide and communicate with them at the click of a mouse. Ten years ago about half our members relied on snail mail to keep in touch, whereas today there are very few members who do not have on line access. Our page on Facebook is widely appreciated and is a good mixture of technical advice and entertainment, with pictures of members' cars and the sharing of knowledge to solve Midge problems that seem to occur quite regularly. Last but not least, our Club Website is a great way in which to attract the non-member and it has been gradually refined and improved by Neil Russell who has a long history of conscientious and unassuming service to the Club. I should like to thank Neil for all that he has done during my tenure as Secretary, and like me, he feels that it is now an appropriate time for him to step down as Webmaster. In the immortal words of the two Ronnies, it's goodbye from him and goodbye from me! I am sure that the Club will continue to prosper under its new management. Please give your continued support to Jim Hewlett in his role as Secretary, and if you are familiar with Website design and maintenance, please think seriously about taking on this important aspect of the Club's activities. CLUB VACANCY Our Club is looking for a Webmaster to work with the Secretary and maintain and develop the Club Website www.mobc.co.uk If this is something you would like to consider, please get in touch with Jim Hewlett. The usual terms apply; expenses will be reimbursed, the salary will be zero, and the job satisfaction will be fantastic! MIDGE CLUB CALENDAR FOR 2016 James Orr will be producing our 2016 Club Calendar, and it's an opportunity to showcase your Midge so don't miss it! We are intending to produce a full colour 12 page A3 calendar with the top half image, and the lower half showing the month with space for each day and this is an opportunity to have your Midge in a colour picture which will be available worldwide! These themes are given as suggestions, but imagination is the key! * Midge building in Garage * Winter/Summer Midge * Country road/lane/Farmhouse * Hill Climb/ Midge at Speed For our members who are not in the UK why not show your car in an environment typical of your Country? Our Midges are in the style of MGJ2 of 1930's so why not have the Driver/Passenger in 1930's clothing or related to Art Deco? All images should be sent to James at firstname.lastname@example.org by October 16 th. We anticipate the calendars will be very popular, so if you would like to order one (or two!) then please contact James for details of prices now. MIKE BAMBRIDGE'S MIDGE - PART 2 Here is the second part of Mike's account of the way in which he built his Midge. You will see that his car is 'more unique' than most of the other Midges in our Club. Whilst this may be grammatically incorrect, it seems the only way in which to describe such an amazing car! Spick and span under the bonnet! With all the running gear bolted back on, attention turned to the body. When I built my first Midge, I had made it 2" wider than normal as this gave me a little extra elbow and footwell room, so I repeated this process, and also modified the side panels to remove the step behind the door aperture which I considered to be a little odd looking. Whilst this widened body suits my needs very well, it does result in extra work and expense. Namely, I was now unable to use the original windscreen, hood, sidescreens and dashtop! The screen was fabricated from 3/4" ally channel, the lower section bent to follow the shape of the scuttle using a home-made bending jig. The original dashtop was cut and widened to suit the body (isn't fibreglass great?) Whilst I rather like cycle wings, my wife prefers the full length swept type, and to be honest, I rather like them too. For Midge No.1 I was able to purchase a set from a Kit Car manufacturer who was selling up, but this time the only ones I could find were in excess of a budget busting £500. I elected to make some from scratch. Whilst planning this operation, I chanced upon a pair of fibreglass reproduction MG TD rear wings on an MG forum in Luxembourg. £50 changed hands, and I collected them from the seller at an MG Spares show in Stoneleigh. These were modified to accept different tail lights, and re-profiled to match the Midge body. A wooden former was made and this was used to mould the running boards. The front wings needed a bit more thought, but whilst trying to decide upon the best/easiest/cheapest method of manufacture, I found a pair of extremely rusty original MG TA wings on E-bay. I could not believe it when my bid won them. Not only were they fairly local, but I had bought them for £26. These were cut about and wooden strips, ally sheet and plaster of Paris gave me the required shape. These were then used as formers to produce a pair of fibreglass wings. The wings and running boards are bolted through flanges in the mouldings direct to the body sides, but the front wings have a copper tube glassed to the underside to provide extra rigidity, and a protective route for the front side light cum indicator wiring. They are also supported by a curved bracket, courtesy of a wheelchair backrest bracket, which doubles up as a headlight mount. I have always liked the so-called suicide doors, so this was a must. I used Mk1 Mini door catches, which are nice and neat, plus I had some in the garage from a Minivan that I had scrapped in the early 70's. The petrol tank cover is a little different to JC's original design, as I wanted a more angular look, and a stronger support for the spare wheel bracket. I therefore used the same construction method as the body tub, topped off with a couple of dummy straps made from stainless steel strip. With the body built it was time to spray. This time, instead of the red of the first Midge, my wife decided that Old English White would look rather smart, and I have to agree with her now that it's finished. I'm lucky in that we have a very long car port attached to the house, and this was turned into a makeshift spray booth with large sheets of polythene covering the walls and roof. When all the masking tape is removed you can really appreciate that real progress has been made. Next came the interior. In keeping with the period look, the handbrake was fitted to the left hand side of the gearbox cover using fabricated brackets that allowed the lever to be almost upright when it is fully on. I moulded a fibreglass propshaft tunnel and gearbox cover, the interior panels were trimmed with vinyl, and the original single Herald seats were cut down to just their bases. A Herald rear seat was modified to provide a full width backrest and this was fixed to the front seats with hinges so that the angle could be adjusted. Carpeting was cut to fit the gearbox cover and floor with gaiters sewn up for the gear lever and handbrake. The wider body meant that I could not use the original hood, and the rear hinged doors meant that the sidescreens were also redundant. I made a set of sidescreens by copying the MG TA/TB/TC etc design, the frames being welded up from steel strip and the screens being made from sheets of 2mm Lexan, a virtually unbreakable plastic as used for visors and vandal-proof bus shelters, and this was covered with Everflex hooding material. The window apertures were trimmed with ally strip bolted through the Lexan and the frame. As I had no roof, and doubted my ability to sew up something that wouldn't spoil the whole car, I visited 4 local car trimmers and asked for quotes. Two never bothered to send me any quotes at all, one was so busy that he couldn't take on any work for 9 months, and the remaining trimmer wanted £1200 for a tonneau and hood. Considering that any Midge hood is a fairly simple affair, I thought this was rather steep so I decided to make the tonneau first as that seemed the simpler of the two, and bought a second hand 1950's semi-industrial sewing machine. It took me several days, but in the end I think it does look reasonably presentable. I drove the car for a couple of weeks, weather permitting, but found that there was so much negative camber on the rear wheels that the tyres would occasionally rub on the inner wheel arches. To remedy this I bought another used leaf spring and experimented with the number of leaves, adding and removing until I achieved a more upright wheel and no more excessive camber. In the end I fitted 10 out of the original 11, far more than the build plans recommend. I suppose this is due to the fact that when JC produced his first plans, most donor cars were a lot younger than they are now and consequently springs were much stiffer. As for the hood, well, I did chicken out. The tonneau experience convinced me that my sewing skills are not as good as I thought. However, there is a happy ending to this hood saga. I found a local manufacturer of boat covers who had made a few car hoods, and he gave me the unbelievable quote of £200 + materials. All in cost, £278. So there we have it folks, another Midge returns to the road, albeit in a slightly different form than first designed by Mr C, but it's all mine, and I love it. MOBC BADGES Do you have a grille badge or perhaps a dashboard badge like the ones here? If the answer is 'no' and you would be interested in purchasing a pair, please let Jim Hewlett know. The price for our previous order came out at about £15 including UK delivery. THE RULES OF BUYING GOOD CLASSIC CARS HAVE ALWAYS REMAINED THE SAME: TRY TO FIND THE BEST ONE YOU CAN AFFORD, LOOK FOR ORIGINALITY, MATCHING NUMBERS AND CORRECT ENGINES. But if you actually like classic cars, this is a load of rubbish. If you like cars, you should really be looking for cars with mismatched engines, dodgy body kits and just enough rust to make it look a bit ropey but still hold together when you go over a bump. Because those cars are a bargain, and more importantly they have been driven in the past by people like you. Why does it have the wrong engine? Probably because the owner holed a piston or warped a head, and it was the quickest and cheapest way to get it back on the road. Why does it have a body kit? Because the owner loved driving it so much he wanted to emulate his racing heroes. Rust? If it is non- structural, it won't affect your driving. Lower down the scale, there are often forum punchups over which model was fitted with which hubcap. Again, most of this is rubbish. A friend, once the director of a large Italian sports car company in the 1960s and 70s told me that almost every time he visited the factory the workforce were on strike. Cash flow was so bad that often parts suppliers refused to send bits until they had received payment. The mechanics would be sent down-town to the local motor factors to buy somethinganything- that fitted, so that the car could be finished and sold. Another problem with lovely cars is that they don't remain so lovely if you drive them. A few months ago Quentin Wilson sold his E-Type, because he'd over-restored it. When a car is too nice, with ten layers of immaculate paint glimmering in the sunlight, immaculate chrome and an engine you could eat your dinner off, it takes a brave person to go and rag it around a dirty B-road in the rain. So why should enthusiasts go with the bitsa rather than the trailer queen? Because they are more fun. Another scratch won't matter. Another oil drip won't even be noticed. And if the worst comes to the worst and you warp the head, just go and get another one. You'll get to do a lot more driving, and you'll be buying a bargain while all the 'collectors' line up to buy a shiny thing with wheels as an investment. Then tell people your car is a load of rubbish. That way prices will stay low and we enthusiasts will be left alone to enjoy our cars in peace. Just don't smile too much, or you might give the game away! TONY ARNOLD'S MIDGE I didn't intend to buy a Midge 3 years ago I had just purchased a reconditioned herald engine however when I arrived to pick it up it was attached to a midge chassis, when talking to the seller he had the body tub so a deal was struck and I became the proud owner of one of these little cars. There was a lot of fabrication required and as an inspiration I used the 1935 Aston Martin Ulster, I have always wanted a boat tailed roadster so after reuniting the body shell to the refurbished chassis I wondered how to construct the boat tail. As I intended to encase the fuel tank in steel and extend the chassis for safety in another twist of fate I was at the Stoneleigh Kit car show and was talking to the owner of a nice boat tailed Bentley replica, when asked how he had constructed the boat tail on his car he told me the secret was to use a Morris minor bonnet, suddenly it all slotted into place, I modified the rear tub to get the right angle to attach the bonnet then built up the side s in steel (as they are a nice aerofoil shape they work well ) then I cut the opening in the bonnet and created the boot, it is still work in progress but should be a rather unique car when finished. There have been a lot of hurdles to overcome with angles and attachments but it will be rewarding in the end. If anyone wished to do the same and wishes any help I am more than willing to share the pitfalls of doing this. CLASSIC CARS AND THE MOT TEST – THIS CHECKLIST MAY HELP MIDGE OWNERS Depending on your viewpoint, the MOT test is either a welcome yearly check of your car's roadworthiness and street-legality or an annual pain and a drain on your finances. Lucky owners of cars manufactured before 1960 don't have to endure the 12-monthly check over – their cars are exempt from compulsory MOT testing. This is an overview of the MOT test as it applies to classic cars, including the important exemptions. General points to bear in mind are that you can get an MOT up to a month (minus a day) before your current MOT runs out, and still keep the same renewal date. You can only legally drive your vehicle on the road if the MOT has run out only if you are driving it to or from somewhere to be repaired, or to a pre-arranged MOT test. The maximum charge for an MOT, stipulated by law, is £54.85, although many testing stations charge less. The best long-term plan of action is to find an MOT tester you can trust who is happy to discuss the requirements of the test and explain any failure points he discovers – and stick with him. In this way, the tester will get to know you and the car, and you'll be better informed about your car's state of health. Seat belts Most pre-1965 cars are not required by law to have seatbelts, but for most post-'65 cars and all older cars that have had seatbelts retro-fitted, the belts must be in good condition with no frays, correctly functioning buckles and solid corrosion-free mounting points. If they are fitted with a retraction mechanism, it must work properly. Since 1965, when cars were first required to have seatbelt mounting-points fitted by law, various other regulations have come in concerning the amount of belts fitted and their type. The seats themselves must also be firmly secured. Emissions The emissions test for classics is much more tolerant than for modern cars. Basically, if there's no visible smoke on tick over (with the choke off) and the exhaust doesn't kick out excessive carbon monoxide, you should be OK. And if you your car is smoking out the MOT testing garage, it's time to take remedial action anyway. Exhausts and manifolds should be hole and leak-free. Corrosion All structural areas of the car must be in sound condition, and any mounting points for suspension, steering or seat belts must be solid for 30cm around that area. Cars with separate chassis should have the body properly attached to the chassis. In addition, there shouldn't be any sharp or jagged edges on the bodywork that could cause serious damage to a pedestrian in a crash. Brakes Foot and handbrakes need to work properly with no pulling to either side and no binding. There should be no leaks in the brake lines, master cylinder or slave cylinders. All brake components should be securely fitted. Steering There should be no excessive play at the steering wheel or at the road wheels. Generally speaking, steering boxes are allowed a little more play at the steering wheel than steering racks – and some boxes can be adjusted. All elements of the steering system should be fastened to the car securely. The tester will go through the whole steering system, including all the joints, looking for any slack that will induce a fail. Excessive play in any of the wheel bearings will also cause the car to fail its test. Suspension The 'bounce test' is a good way to see if your suspension is working properly. Bounce each corner of the car in turn; if the body carries on bouncing, the shock absorbers/dampers are worn and will cause an MOT fail – there should be no leaks and no play in suspension linkages. Wheels and tyres Wheels should be in good condition with no serious cracks or corrosion; tyres should have at least the minimum legal depth of tread – 1.6mm in a continuous band around the central three quarters of the tyre. Instruments and lights Headlights must work correctly, with the correct aim on full and dip beam. Rear lights, indicators, brake lights, hazard flashers and number plate lights must all be working correctly, as should any visual or audible readouts on the dashboard. Windscreen wipers should work correctly with no splits in the blades and windscreen washers should work and be correctly aimed. Miscellaneous Any cracks in the windscreen in the driver's field of vision will cause a fail, as will a non-functioning horn. The bonnet catch and that on the boot lid or hatch should open and lock. All doors must work from both inside and out. The registration plate must be appropriate for the year of the vehicle – only cars registered before 1973 can use the old black and white plates. The VIN/chassis plate must be fitted, easily read and tie-in with your previous MOT (usually a computerised check these days). The speedometer must work. Good luck at your next MOT with the Midge! And from Richard Hazelgrove……….. I entered the Midge in the Historic Grande Prix at Bressuire in France recently. It was a fantastic event. !0,000 people attended over the two days and a great spirit of camaraderie. My dynamo blew up on Saturday, but by the time I arrived on Sunday morning some other competitors had sourced a replacement and fitted it! There were 12 cars in my class and my best result was 4th. THE MIDGE MK2 Here's a (lack of) progress report on the Midge MK2 from our mentor John Cowperthwaite. If you thought that making your own Midge road legal was difficult, then read on…. Progress can be likened to wading through treacle. The current regulations state that the car has to be finished, roadworthy with an MOT. The MOT certificate and a current certificate of insurance plus all the relevant paperwork and a minimum 6 months road tax plus a fifty pound fee have to be submitted to DVLA who at their discretion may or may not require that it is submitted for an 8 point check at a VOSA test station. The car is totally finished to the best of my ability, and having understood from DVLA that the car had to be tested on its chassis number and that its original registration number must not be recorded on the MOT certificate, I spent weeks trying to find a testing station that would co-operate. Most said it could not be done. DVLA said it should not be a problem and the selected MOT station could phone them for confirmation at the time of the test. Eventually a mechanic friend who does not test but has his own repair garage offered to take the car away and deliver it to his 'Classic car friendly' MOT tester 15 miles away. This he duly did but he did not fetch it back for two weeks! The fail list was comprehensive but all simple faults and only one was relative to the build. The others were things like spring hanger bushes, insecure front to rear loom under the car where my other friendly garage had forgotten to re-secure it after replacing the front to back brake line, which shared the same clips. Also two of the flexi hoses they had replaced were deemed to be wrongly positioned, two tyres had faults although they appear perfect, and the horn decided to be intermittent on the test! The only design fault was they want me to slightly re-route the handbrake linkage as they say it could foul the chassis. I don't think that it could but you can't argue with these guys. So the car was collected and I was told, 'these are only small things leave it with me'. Knowing that I had no pit or ramp, and knowing the state of my eyesight he was being kind so I agreed. This was on the 28th of May, I expected the car to be returned any day, and not wishing to pressure him I just left it with him. After a month had passed I called in, sort of casually to see what progress had been made. The car was still over his pit and had not moved. Nor had any work been done on it. My options were to either risk falling out with him and persuade him to move a yard full of cars in order to get it out and then have to ask him to bring it back to my house (Remember he has motor trade insurance, the car has no MOT and I can't drive anymore) so having accepted his apology that the delay was due to pressure of work and his promise to make a start on it after work that very day, I left it with him. He eventually brought the car back and I was pleased to see it arrive until he told me that he could not find the time to work on it. When I looked at the fail certificate I was dismayed to find that it had after all been tested on its registration number I had the option to get the work done and somehow return it for a retest to the MOT station that had failed it so I contacted DVLA to ask what the position was now that the registration number appeared on the MOT documentation. 'Oh that doesn't matter anymore; it won't be a problem'. So now I have gone full circle and back to my friendly garage across the road who worked on the car previously. No problem says Roger, viewing the fail sheet; these are only bits and pieces and some are our fault! I can fix it all for you now it can have a normal MOT test.... but I can't fit it in for at least 3 weeks (!) In the meantime I still can't sell any plans until the outcome is clear. So the hold button is pressed ad infinitum! Not only does our Secretary, Jim Hewlett own two Midges, but he's also a tractor enthusiast and has a Fergie which he has restored. In this article, he gives us an insight into his 'other' hobby. So what do Midge owners do when not Midging? Midges are known for their relative simplicity, basic wiring and open air nature. They don't go very fast, but attract attention and admiration from passersby. Most have a maximum of two seats and require a driver who knows a spanner from a screwdriver. So what could be more natural than to expand my fleet with a 1957 TE Ferguson Tractor Type D TVO? Only one seat, top speed of 12 mph and a wiring system that makes most lawn-mowers look complicated. No lighting, no indicators, rod brakes on the rear wheels only and GPM rather than MPG. Most regulations are inapplicable, MOT, Tax and emission controls absent; most of the safety devices hadn't been invented. Insurance for road use is required. As robotic cars become a reality inventors might want to consider the Fergie as a prototype. Once running in a field you can hop off and chuck bales off the trailer for cattle feed, before hopping back on before you hit the opposite hedge. You will need a piece of string if you want it to keep doing circles. I remember my father doing that and have no intention of repeating it. Elf and Safety would have kittens. Like Midges they are not very expensive, a few thousand will get you a nice model and there are quite a few types to choose from, generally grey. The one I bought cost me a grand, I've spent another £1225 getting it right, the four tyres being a significant part. You can get all the bits new or second hand and a club to help you get it registered or re-registered with DVLA if you want. In fact, just like the MOBC! NEW MEMBER Welcome to Jeff Brockhurst from Seasalter, near Whitstable in Kent. Jeff has become the proud keeper of the Midge formerly owned by Stephen Rollo. We hope that you will enjoy being a member of the Club. And so my final Newsletter comes to an end. Thanks again to everyone for being a part of this great Club. During the summer I've been pleased to welcome a number of members to my home in North Wales. If you're coming my way, then please call in to say hello and discuss the latest Midge gossip.... John John John John
671661 research-article2016 APY0010.1177/1039856216671661Australasian PsychiatryMartin et al. Transference-Focused Psychotherapy in Australian psychiatric training and practice Australasian Psychiatry 1–4 © The Royal Australian and New Zealand College of Psychiatrists 2016 Reprints and permissions: sagepub.co.uk/journalsPermissions.nav DOI: 10.1177/1039856216671661 apy.sagepub.com Louise Martin Senior Psychiatry Registrar, Advanced Trainee in Psychotherapies, Department of Psychiatry, Flinders Medical Centre, Adelaide, SA, Australia Bonita Lloyd Senior Psychiatry Registrar, Advanced Trainee in Psychotherapies, Department of Psychiatry, Flinders Medical Centre, Adelaide, SA, Australia Paul Cammell Senior Psychiatrist, Department of Psychiatry, Flinders Medical Centre, Adelaide, SA, Australia Frank Yeomans Clinical Associate Professor of Psychiatry, Director of Training, Personality Disorders Institute, Weill Medical College of Cornell University, New York, NY, USA, and; Adjunct Associate Professor, Columbia Center for Psychoanalysis, New York, NY, USA Abstract Objective: This article discusses Transference-Focused Psychotherapy, a contemporary evidence-based and manualised form of psychoanalytic psychotherapy for borderline personality disorder. Transference focused psychotherapy has evolved from decades of research in the object-relations approach developed by Professor Otto Kernberg and his collaborators. It is being adopted increasingly throughout North and South America and Europe, and this article explores the role its adoption might play in psychiatric training as well as public and private service provision contexts in Australia. Conclusions: Transference focused psychotherapy is readily applicable in a range of training, research and public and private service provision contexts in Australia. A numbers of aspects of current Australian psychiatric training and practice, such as the Royal Australian and New Zealand College of Psychiatrists advanced training certificate, and the Australian medicare schedule, make it especially relevant for this purpose. Keywords:psychotherapy, borderline personality disorder, psychiatric training, public health Patients with borderline personality disorder (BPD) present clinicians with a challenging constellation of symptoms. At times both clinicians and patients can feel that the available treatment modalities are limited in their ability to address the patient's core issues. The prevalence of BPD in Australia is estimated to be 1–3% in the general population; however, people with BPD have been reported to account for up to 23% of psychiatric outpatients and up to 43% of psychiatric inpatients. 1 Individuals living with BPD also have a significantly higher mortality rate than the general population. 2 All of these factors highlight the need for continued training of clinicians in evidence-based treatment modalities. This is especially the case of psychiatrists and psychiatry trainees who will continue to see patients with BPD frequently regardless of their level of training. In Australia in the past decade, public service provision to this clinical domain has been increasingly emphasised, including recently published National Health and Medical Research Council guidelines, and federal and state government policies, 1 but there continues to be great difficulty in achieving systematised services for this population, both in the public sector and in settings integrated with the private sector or research and training centres. The fundamental issue relates to the resource-rich nature of quality evidence-based care which needs to be phase specific, multimodal, individually tailored, multisite, with the longer term and intensive involvement of dedicated psychotherapists. This care extends beyond generic management approaches or the often isolated dialectical behaviour therapy groups offered by many public mental health services. This article intends to explore the role that one contemporary evidence-based model of psychotherapy for BPD, Corresponding author: Paul Cammell, Department of Psychiatry, Flinders Medical Centre, Bedford Park, SA, 5042, Australia. Email: email@example.com Transference-Focused Psychotherapy (TFP), could increasingly have in the Australian context. What follows is a description of TFP and the role it could play increasingly in training as well as public and private service settings in Australia. Transference-Focused Psychotherapy TFP is a structured, manualised, twice-weekly psychodynamic evidence-based treatment for severe personality disorders, particularly BPD and narcissistic personality disorder. TFP has arisen in North America in the past 25 years as a progression of the work of Professor Otto Kernberg and his collaborators on BPD, borderline personality organisation and modified psychoanalytic psychotherapy that dates back to the 1960s. The influence of this work and TFP has now spread across North and South America and Europe and there is increasing opportunity to develop applications in the Australian context. TFP is based on object-relations theory and has a primary focus on the exploration of the dominant affectladen themes that emerge over the course of therapy between the patient and the therapist. 3 This exploration of transference and countertransference is done in the 'here and now' of the unfolding therapeutic relationship and enables better understanding of the patient's interaction with the world outside of therapy. 4 As the subjective and interpersonal experience of the patient with severe personality disorder is often exaggerated and distorted, the aim of TFP is to use the activation of this in the treatment relationship to frame the affects cognitively that arise in relationships in order to facilitate integration of the related conflicting internal object relations (or 'dyads') into a more cohesive and functional personality structure. 5 The therapist promotes reflective function and affect regulation by adopting a neutral stance that actively enquires about and clarifies aspects of patients thoughts, feelings and perceptions, and then confronts (invites the patient to reflect on inconsistencies related to internal splitting mechanisms) the patient with and interprets the patterns in which these relate to the transference relationship and key relationships in the individual's life. Another key element of TFP is the initial treatment contract, developed between the patient and the therapist in the very early stages of therapy. The contract focuses on holding patients responsible for their own recovery, establishing a clear framework for how acting out behaviours (for example, self-harm) will be addressed during therapy. 6 The contract also defines the treatment relationship in a clear way that facilitates observing and interpreting any deviations from the defined relations based on the patient's distorted internal images. TFP has a growing evidence base, with studies showing that it has positive effects across a broad range of outcome domains including suicidality, anger, impulsivity and irritability. It is also being studied in specific populations (youth, for example) and settings (resident training, for example). It is worthwhile to consider how these applications could be developed in the Australian context in training as well as in public and private service provision. Psychotherapy training for Australian psychiatrists Training in psychotherapy is a vital part of psychiatry training; this is reflected by the college's retention of the psychotherapy written case as a mandatory training experience in the transition from the 2003 to the 2012 training curriculum. The advanced training certificate in the psychotherapies is also one of the most popular and is felt to be very relevant for the transition of senior psychiatry trainees to the role of junior consultancy. Nevertheless, psychotherapy training, especially in the field of psychodynamic methods, can be particularly challenging for trainees given the complexity and sheer amount of theory on which it is based; the lack of a clear procedure in some treatment modalities and the challenges of managing transference and countertransference. 7 There also seems to be a commonly held bias that patients with BPD are unsuitable for trainees to see for long-term psychotherapy due to their intensity and high risk; this deprives trainees of a vital learning opportunity and is seemingly at odds with the reality that trainees are already treating patients with BPD in other treatment settings (inpatient wards, community settings). Psychotherapy influenced by the principles of TFP is a way for trainees to offer psychotherapy to these patients by providing a treatment model that is both engaging and practical. It offers a unified psychodynamic theory within a manualised therapy with a clear practice framework. As recognising and managing countertransference is central to the therapy, trainees begin knowing that managing this is vital, and instead of feeling anxious about it, they welcome the emergence of transference/countertransference as a core aspect of the therapeutic intervention. Interestingly, in addition to the use of TFP with patients who have severe personality disorders, trainees have found that the skills learnt in TFP have applications that extend to a vast cohort of their patient populations. The ability to understand psychodynamic theory better and how it applies to patients, in addition to feeling much more comfortable with managing difficult interactions in which transference and countertransference are prominent, better equips trainees in all of their rotations – be that in an acute inpatient ward, a community mental health team or in a busy emergency department. Furthermore, TFP lends itself well to advanced training in psychotherapy, as 12 trainees in South Australia who are currently undertaking the advanced certificate have found. In addition to the benefits outlined above, supervision options exist both locally and internationally via online video-conferencing, increasing the accessibility of expertise in this area. The trainees have found that this training is not only beneficial for their learning and the provision of psychotherapy to their patients, but it can also be disseminated within their services to instigate changes in their service culture. Private practice in Australian psychiatry TFP is an ideal modality for private practice. The robust training benefits and supervision options discussed above also apply to the private practice setting. TFP's principles that inherently encourage liaison with other parties (family, carers, general practitioners, other mental health services) ensure a supported, transparent framework from which to provide care. The clearly defined roles in this structure assist in overcoming biases of polypharmacy, misdiagnosis and the avoidance of otherwise complex and treatment-resistant patients. Although Medicare data illustrate that item numbers applicable to psychotherapy sessions have been increasingly less employed, 8 rebate number 306 (and for attendances greater than 50 per year, item 319) is ideally suited to provide affordable treatment in the TFP format of twice-weekly 50-minute sessions. Given that the Australian psychiatric community is historically influenced by psychodynamic, and specifically object-relations, approaches, this is an ideal modality to be adopted into the future by private practitioners. Also, training in this modality of psychotherapy can be easily incorporated into private practice, where training cases and supervision can enhance day to day private practice and provide further opportunities for peer and supervisor contact, and further professional development. Public sector psychiatry in Australia Certain regions and leaders in Australia have developed approaches to training, research and limited service provision for BPD, for example: the Westmead Psychotherapy Unit; 9 Spectrum; 10 the Hype Service at Orygen; 11 and Project Air. 12 These centres, in different ways, address issues of training, research, consultation and service provision in innovative and unique ways. Some are wedded to a specific modality of psychotherapy, some are multimodal, and some attempt to generalise accepted approaches from a range of psychotherapies into a more generic and adaptable approach. TFP has been formulated not only to be a structured treatment offered by a trained and supervised practitioner, but also to have principles that can be translated into a range of settings to influence very practical approaches to BPD treatment within general mental health services and dedicated centres in the public sector. 13 TFP encourages safe and structured contracting of treatment, and a coherent and collaborative approach with the suffering individual and their family, and between care providers. Paying attention to the field of relationships in the suffering individual's life can avoid problems that have been typically associated with BPD sufferers, including splitting within teams and services, as well as inconsistent and fragmented care. These principles clearly delineate the roles of the therapist and service provision offered by the community mental health service, emergency departments and the patient's general practitioner. As such, public services have the potential not only to emphasise further training in this modality of psychotherapy, but also to adopt its broader principles in structuring and integrating the services it provides to these populations. There is the opportunity for TFP to provide a specialised form of psychotherapy treatment for BPD sufferers, as well as guide the structure of broader systems of service. Conclusions TFP is increasingly adoptable in the Australian context for a high risk, high needs population that is currently underserviced and continues to have poor outcomes despite sophisticated manualised, evidence-based modes such as TFP potentially being available. TFP lends itself well to psychiatric training, complementing the current Royal Australian and New Zealand College of Psychiatrists general curriculum as well as psychotherapy advanced training requirements. Furthermore, TFP is well-suited to the public and private sectors more broadly; it can be adapted to these settings and accommodated by broader services, and existing Medicare rebates should render it an affordable, accessible treatment. Disclosure The authors report no conflict of interest. The authors alone are responsible for the content and writing of the paper. Funding The authors received no financial support for the research, authorship, and/or publication of this article.. References 1. National Health and Medical Research Council. Clinical Practice Guideline for the Management of Borderline Personality Disorder. Canberra: NHMRC, 2012. 2. Oldham JM. Borderline personality and suicidality. Am J Psychiatry 2006; 163: 20–26. 3. Clarkin J, Yeomans F and Kernberg O. Psychotherapy for borderline personality: focusing on object relations. Arlinton, VA: American Psychiatric Publishing, 2006 4. Clarkin J, Levy K, Lenzenweger M, et al. Evaluating three treatments for borderline personality disorder: a multiwave study. Am J Psychiatry 2007; 164: 922–928. 5. Draijer N and Van Zon P. Transference-focused psychotherapy with former child soldiers: meeting the murderous self. J Trauma Dissoc 2013; 14: 170–183. 6. Yeomans F, Clarkin J and Kernberg O. Transference-Focused Psychotherapy for Borderline Personality Disorder: A Clinical Guide. Arlington, Virginia: American Psychiatric Publishing, 2015. 7. Bernstein J, Zimmerman M and Auchincloss E. Transference-focused psychotherapy training during residency: an aide to learning psychodynamic psychotherapy. Psychodynamic Psychiatry 2015; 43, 201–222. 8. Australian Government, Department of Human Services. Medicare item reports. http://medicarestatistics.humanservices.gov.au/statistics/mbs_item.jsp (accessed 25 May 2016). 9. Meares R. The conversational model: an outline. Am J Psychotherapy 2004; 51–65. 10. Beatson J and Rao S. Psychotherapy for borderline personality disorder. Australasian Psychiatry 2014; 22: 529–532. 11. Chanen A, Mccutcheon L, Germano D, et al. The HYPE Clinic: an early intervention service for borderline personality disorder. J Psychiatr Pract 2009; 15: 163–172. 12. Grenyer B. Improved prognosis for borderline personality disorder: new treatment guidelines outline specific communication strategies that work. Med J Australia 2013; 198: 464–465. 13. Zerbo E, Cohen S, Bielska W, et al. Transference-focused psychotherapy in the general psychiatry residency: a useful and applicable model for residents in acute clinical settings. Psychodynamic Psychiatry 2013; 41(1): 163–181.
th INTERNATIONAL 21 - 27/5/2022 www.sajam.net PLEASEFILLINBLOCKCAPITALS APPLICATION - CONTRACT FOR MARKETING SERVICES FULL NAME OF EXHIBITOR / ERVICE USER S COUNTRY TELEPHONE CELLULAR PHONE / E-MAIL www. ADDRESS CONTACT PERSON V.A.T. (Number) POSTAL CODE TOWN PRINTED MATERIAL \| CATALOGUE \| EUR/item \| ORDERED \| \|---\|---\|---\| \| Sticker on front page (3 x 2.5 cm) \| 360 \| item \| \| Sticker on Map of Fair (2 x 2 cm) \| 81 \| item \| \| Stamp in the inlay 'Floor-plan of the Exhibitors' \| 70 \| item \| \| Column (1 cm tall) on all pages in the inlay 'Floor-plan of the Exhibitors' \| 300 \| item \| \| Stamp on the blob of the catalogue \| 185 \| item \| \| Inserting advertising inserts - delivered to the Fair \| 200 \| item \| \| Dividing cardboard - one colour page \| 261 \| item \| \| Dividing cardboard - both sides \| 342 \| item \| \| Inside colour page \| 170 \| item \| \| First inside page, colour \| 306 \| item \| \| Second cover page, colour \| 360 \| item \| \| Third cover page, colour \| 342 \| item \| \| Fourth cover page, colour \| 395 \| item \| \| OTHER SERVICES \| EUR/item \| ORDERED \| \| The right to hand out advertising material - exhibitors* \| 370 \| item \| \| The right to hand out advertising material - exhibitors* one day \| 65 \| item \| \| The right to hand out advertising material - non-exhibitors \| 500 \| item \| \| The right to hand out advertising material - non-exhibitors one day \| 100 \| item \| \| Advertising space of a flyer distributed to visitors (distributed throughout Novi Sad and nearby villages) \| 400 \| item \| \| Logo on billboards (60 x 40 cm) and on posters (12 x 10 cm) advertising the event \| 3.600 \| item \| \| Printed sticker at the home of the tickets \| 3.500 \| item \| \| The back of the tickets - advertising space \| 2.800 \| item \| * heFairshallprovidethreedayticketforthedistributionofadvertisingmaterialforexhibitors. T ** heFairshallprovidethreedayticketforthedistributionofadvertisingmaterialfornon-exhibitors. T Theabovementionedpricesforgraphicdesignservicesarevalidincasetheexhibitordeliversthedesignsolution via e-mail or on a CD. Other services related to design and prepress are negotiated separately and charged accordingtoavalidprice-list. NOTE ·ALLPRICESLISTEDABOVEEXCLUDEV.A.T.WHICHWILLBEINCLUDEDINTHEINVOICE,ACCORDINGTOTHELEGALREGULATIONSINPOWERATTHETIMEWHENTHESERVICEISPROVIDED. V.A.T.ISCOVEREDBYTHEBUYER. B E YSIGNINGTHISAPPLICATION-CONTRACT, XHIBITORAGREESWITHGENERALTERMSANDCONDITIONSOFCONTRACTING,WHICHMAKECONSTITUTENTPARTOFPRESENT APPLICATION-CONTRACT,ASWELLASWITHMANNEROFPAYMENTSPECIFIEDINGENERALTERMSANDCONDITIONS. IINCASEOFLEGALDISPUTE,THERESOLUTIONSHALLFALLWITHINTHERESPONSIBILITYOFACOURTINNOVISAD. ·APPLICATIONISIRREVOCABLEANDOBLIGESTHEEXHIBITORUNLESSCANCELLEDINWRITINGFORM(OFFICIALLETTER)20DAYSBEFORETHEOPENINGOFTHEEVENT. Serbia - 21000 Novi Sad, HajdukVeljkova 11· V.A.T.: 101646656 · EGISTRATION NUMBER: 08044473 REGISTRATION NUMBER INTHE BUSINESS REGISTERS AGENCY: 60237 R · INTEGRATED MARKETING COMMUNICATIONS SECTOR P PRINT AND E-EDITIONS \| FAIR NEWSLETTER - DAILY PAPER \| EUR/item \| ORDERED \| FAIR NEWSLETTER - SPECIAL EDITION \| EUR/item \| \|---\|---\|---\|---\|---\| \| Colour page \| 145 \| item \| Colour page \| 300 \| \| 1/2 colour page \| 117 \| item \| Back colour page \| 360 \| \| 1/3 colour page \| 100 \| item \| 1/2 colour page \| 205 \| \| 1/4 colour page \| 90 \| item \| Sticker on first colour page (6 x 3 cm) \| 234 \| \| Back colour page \| 234 \| item \| Sticker on inside colour pages (6 x 3 cm) \| 127 \| \| Banner on inside pages (25,7 x 3 cm) \| 100 \| item \| Banner on inside pages (19 x 3 cm) \| 150 \| \| Column on inside pages (6 x 38 cm) \| 80 \| item \| Column on inside pages (4,5 x 25,7 cm) \| 125 \| \| Sticker on first colour page (6 x 5 cm) \| 178 \| item \| Inserting advertising inserts \| offer \| \| Sticker on inside colour pages (6 x 5 cm) \| 100 \| item \| E-NEWSLETTER \| EUR/item \| \| Inserting advertising inserts for exhibitors \| offer \| \| A sticker with a link to the company site \| 90 \| \| Inserting advertising inserts for non-exhibitors \| offer \| \| Announcement of the company's performance at the Fair \| 180 \| FAIRNEWSBULLETIN–printandPDFversionontheNoviSadFairweb-site(Presspages)·DAILYPAPER-IIssueddailyduringtheevent.Handedoutforfreetoexhibitors,guests,visitors, media representatives and potential visitors to Novi Sad and the vicinity. · SPECIAL EDITION - Printed periodically before the event, as announcements of events and exhibitor presentations.Theyaresenttoministries,funds,chambersofcommerce,associations,banksandotherrelevantinstitutionsinorderforthemtoplanpossiblecontactsduringthe air. F www.sajam.net \| INTERNET SITE - BANNERS \| EUR/item \| ORDERED \| INTERNET SITE - BANNERS \| EUR/item \| \|---\|---\|---\|---\|---\| \| Banner on first page of website - per month \| \| \| \| \| \| Size 970 x 90 pixels \| 240 \| item \| Size 970 x 90 pixels \| 150 \| \| Size 180 x 150 pixels \| 200 \| item \| Size 250 x 250 pixels \| 200 \| \| Banner on all pages of website - over 4,000 pages - per month * \| \| \| \| \| \| Size 970 x 90 pixels \| 360 \| item \| Size 970 x 90 pixels \| 100 \| \| Size 250 x 250 pixels \| 510 \| item \| Size 250 x 250 pixels \| 130 \| \| Banner on the page with the fairs of events and press page - per month * \| \| \| \| \| \| Size 250 x 250 pixels \| 100 \| item \| Advertising page for sponsors \| 800 \| * Serbian and English, with a link to the company's site 250 x 250 pixels 180 x 150 pixels 970 x 90 pixels www.facebook.com/novosadskisajam www.instagram.com/novosadski_sajam Promotion on the nstagram profile of the Novi Sad Fair - per month I Placing information, tagging and shuffling customer information (3 times a week) www.youtube.com/user/Novosadskisajam Promotion on the ouTube channel of the Novi Sad Fair - per month Y ORDERED item ORDERED EUR/item 1 07 EUR/item Placing information item 1 07 NOTE ·ALLPRICESLISTEDABOVEEXCLUDEV.A.T.WHICHWILLBEINCLUDEDINTHEINVOICE,ACCORDINGTOTHELEGALREGULATIONSINPOWERATTHETIMEWHENTHESERVICEISPROVIDED. V.A.T.ISCOVEREDBYTHEBUYER. B E YSIGNINGTHISAPPLICATION-CONTRACT, XHIBITORAGREESWITHGENERALTERMSANDCONDITIONSOFCONTRACTING,WHICHMAKECONSTITUTENTPARTOFPRESENT APPLICATION-CONTRACT,ASWELLASWITHMANNEROFPAYMENTSPECIFIEDINGENERALTERMSANDCONDITIONS. IINCASEOFLEGALDISPUTE,THERESOLUTIONSHALLFALLWITHINTHERESPONSIBILITYOFACOURTINNOVISAD. ·APPLICATIONISIRREVOCABLEANDOBLIGESTHEEXHIBITORUNLESSCANCELLEDINWRITINGFORM(OFFICIALLETTER)20DAYSBEFORETHEOPENINGOFTHEEVENT. Serbia - 21000 Novi Sad, HajdukVeljkova 11· V.A.T.: 101646656 · EGISTRATION NUMBER: 08044473 REGISTRATION NUMBER INTHE BUSINESS REGISTERS AGENCY: 60237 R · \| TV SHOW \| EUR \| ORDERED \| PRODUCTION \| EUR \| \|---\|---\|---\|---\|---\| \| Broadcasting of 1 second spot (brought in CD, DV or DVD) \| 5/1 second \| second \| Filming and editing reportage from the stands of the exhibitors with broadcasting (up to 1 minute) \| 18 0/1 minute \| \| Broadcast video news (of 30 seconds) \| 65 / item \| item \| Filming and editing reportage from the place of event (up to 1 minute), broadcasting and DVD with a broadcasted reportage \| 305 /item \| \| Streaming video events with the Fair (1 minute) \| 14 0/1 minute \| minute \| \| \| \| Subtitle up to 10 words (design and one broadcasting) \| 70/10 words \| words \| Talk at the Fair (up to 2 minutes) \| 27 0 /item \| \| A sticker along with the anchor's introduction (in one show) \| 18 0/ item \| item \| Video record of events at the Fair (1 minute) \| 80 /1 minute \| \| The host mentions the company's name (in one show) \| 130/ item \| item \| Video of the event - award presentation (1 minute) \| 70 /1 minute \| \| Inserter to 5 seconds (in a show) \| 22 0/ item \| item \| CD or DVD with show where reports is show \| 5/ item \| TV SHOW "LET'S ALL GO TOTHE FAIR" –TV show produced by the Novi Sad Fair, broadcast on 40 regional and local television stations across Serbia DURINGTHE FAIR – 25-minute shows produced daily during the event and broadcast on local television stations BEFORE AND AFTERTHE FAIR – 15-minute shows produced once a week and broadcast on the network of regional and local television \| ENTRANCE HALL \| EUR \| ORDERED \| WITHINTHE FAIR SITE AND INTHE HALL \| EUR \| \|---\|---\|---\|---\|---\| \| Rental of advertising space for a brought banner 5 x 1 m (tarpaulin or mesh) \| 130/m2 \| m2 \| Rental of advertising space for a brought board or brought banner \| 43/m2 \| \| Rental of advertising space for a brought board 1 x 2 m \| 95/m2 \| m2 \| Rental of advertising space for a brought banner (tarpaulin or mesh) - on the Avenue of Nations at Hall 2 \| 100/m2 \| \| Broadcasting of the logo of service user on the LED display \| 100/day \| days \| \| \| \| \| \| \| Flags (1.5 x 3 m) in 'Master' Hall \| 130/ item \| \| MAIN ENTRANCE \| EUR \| ORDERED \| Flags (1.5 x 3 m) on a flagpole, without a console \| 70/ item \| \| Rental of advertising space for a brought banner 2 x 3 m (tarpaulin or mesh) \| 1.750/ item \| item \| \| \| \| \| \| \| Flags (1.5 x 3 m) on a flagpole, with a console \| 90/ item \| \| Flags (1.5 x 3 m) \| 220/ item \| item \| \| \| \| \| \| \| Flags (1.5 x 3 m) on a movable flagpole with a console \| 100/ item \| \| Flags (1.5 x 3 m) for a period of one month \| 610/ item \| item \| \| \| \| \| \| \| Rental of advertising space to print on concrete \| 43/m2 \| \| ZEPPELIN \| EUR \| ORDERED \| \| \| \| \| \| \| Branding house \| 30/m2 \| \| Space rental for a brought zeppelin \| 130/ item \| item \| \| \| UPON SPECIAL REQUESTS · An option to rent advertising space on the facade of the Novi Sad Fair over a period of one month novior one year ENTRANCE HALL WITHINTHE FAIR SITE MAIN ENTRANCE 3 x 1,5 m Banner 5 x 3 m Banner Board 1 x 2 m Flag 1,5 x 3 m SPONSORSHIP PACKAGES AND OTHER PACKAGE OF MARKETING SERVICES ARE CHARGHED BY SPECIAL OFFERS. PHONE: + 381 21/483-11-25 NOTE ·ALLPRICESLISTEDABOVEEXCLUDEV.A.T.WHICHWILLBEINCLUDEDINTHEINVOICE,ACCORDINGTOTHELEGALREGULATIONSINPOWERATTHETIMEWHENTHESERVICEISPROVIDED. V.A.T.ISCOVEREDBYTHEBUYER. B E IINCASEOFLEGALDISPUTE,THERESOLUTIONSHALLFALLWITHINTHERESPONSIBILITYOFACOURTINNOVISAD. YSIGNINGTHISAPPLICATION-CONTRACT, XHIBITORAGREESWITHGENERALTERMSANDCONDITIONSOFCONTRACTING,WHICHMAKECONSTITUTENTPARTOFPRESENT APPLICATION-CONTRACT,ASWELLASWITHMANNEROFPAYMENTSPECIFIEDINGENERALTERMSANDCONDITIONS. *APPLICATIONISIRREVOCABLEANDOBLIGESTHEEXHIBITORUNLESSCANCELLEDINWRITINGFORM(OFFICIALLETTER)20DAYSBEFORETHEOPENINGOFTHEEVENT. Novi Sad, ___________________ Date ________________________________ Signature of Novi Sad Fair ___________________________ Name and surname of the authorized person for the exhibitor / Service user Seal Seal ______________________ Signature Serbia - 21000 Novi Sad, HajdukVeljkova 11· V.A.T.: 101646656 · EGISTRATION NUMBER: 08044473 REGISTRATION NUMBER INTHE BUSINESS REGISTERS AGENCY: 60237 R ·
Warsaw International Mechanism Executive Committee (WIM ExCom) Work Plan Action Area 6 on Migration, Displacement and Human Mobility Submission of the Advisory Group on Climate Change and Human Mobility composed of the United Nations' High Commissioner for Refugees (UNHCR), the International Organization for Migration (IOM), the United Nations University Institute for Environment and Human Security (UNU-EHS), the United Nations Development Programme (UNDP), the Norwegian Refugee Council and its Internal Displacement Monitoring Centre (NRC/IDMC), Refugees International (RI), the University of Liège (ULg), and the Arab Network for Environment and Development (RAED) Action Area 6 of the WIM ExCom's initial two-year workplan focuses on enhancing the understanding of and expertise on how the impacts of climate change are affecting patterns of migration, displacement and human mobility; and the application of such understanding and expertise. To assist the Executive Committee in this task, relevant organizations and experts have been invited to provide to the WIM ExCom, by Monday 16 May 2016, knowledge, data and scientiJic information on both internal and cross-border migration, displacement and other forms of human mobility owing to factors related to climate change impacts, including in combination with other factors. The WIM ExCom is particularly interested in gathering information on potential challenges and possible solutions. Input may include: a) Information on factors that affect movements or decisions to stay of vulnerable populations (characteristics, underlying vulnerabilities, circumstances, where interventions may be needed to help particular groups) associated with the impacts of climate change in distinction to or in conjunction with impacts related to climate variability and non-climate related impacts; b) Policy, normative and institutional challenges and opportunities associated with minimizing, averting and addressing both internal and cross-border displacement, including in the context of alternative climate change trajectories (e.g. 1.5°C, 2°C, etc.) including challenges of communities not in a position to migrate (so called "trapped populations"). I. Information on factors that affect movements or decisions to stay of vulnerable populations (characteristics, underlying vulnerabilities, circumstances, where interventions may be needed to help particular groups) associated with the impacts of climate change in distinction to or in conjunction with impacts related to climate variability and non-climate related impacts; a. How do adverse effects of climate change impact displacement, migration and other forms of human mobility? The IPCC First Assessment report concluded that one of the largest impacts of climate change could be on human mobility. Since then, understanding of the mobility aspects of climate change have substantially increased. The latest IPCC report (IPCC AR5) concludes that the adverse effects linked to climate change are anticipated to affect human mobility in at least three ways: (2) Increased warming and drought affects agricultural production and access to clean water. (1) an increase in the frequency and intensity of extreme weather events forces people from their homes on a temporary and sometimes permanent basis. (3) Sea level changes have been projected to lead to permanent displacements as coastal areas become uninhabitable. (4) more indirectly, through amplifying poverty and economic shocks that contribute to the potential for violent conYlict in the form of civil war and intergroup violence. 1 b. How many people are displaced or at risk of displacement in the context of climate change? * There is signiYicant quantitative and qualitative data on past displacement associated with disasters brought on by sudden-onset natural hazards such as Yloods, storms and wildYires. Considering the impact of sudden-onset weather-related hazards or shocks, between 2008 and 2015, there was an average of at least 21.5 million new displacements of people each year. There is no global estimate of the total number of people 2 living in displacement, however, including hundreds of thousands who remain displaced for prolonged periods of times that go on for years to decades rather than days to months before they are able to settle in their former homes or elsewhere. The Fifth 3 Assessment Report of the IPCC (AR5) concluded that levels of displacement related to both large and small-scale, recurrent hazards linked to climate change will increase in the coming decades. Climate change is likely to exacerbate an upward trend in disaster displacement as the number of vulnerable people living in hazardous areas increases, through population growth and rapid, unplanned urbanization (and an explosion in the number of people living in slum-like conditions), poor development practices and other factors. IPCC Fifth Assessment Report, Working Group II, "Climate Change 2014: Impacts, Adaptation and Vulnera 1 bility," Chapter 12, pp. 766-71; Chapter 21, pp. 1175 https://www.ipcc.ch/report/ar5/wg2/ IDMC Global Report on Internal Displacement 2016, May 2016. h=p://www.internal-displacement.org/globalre 2 port2016/ ibid. Also see IDMC Global Estimates 2015: People displaced by disasters, July 2015. Chapter 5, pp. 47-74. 3 http://www.internal-displacement.org/publications/2015/global-estimates-2015-people-displaced-by-disasters/ * There is another signiYicant gap in the current data: displacement related to the impact of slow onset hazards and gradual processes of environmental degradation that may in turn be linked to climate change. These processes can be a signiYicant driver of migration and displacement as they erode livelihoods, food security, health and other factors necessary for people to survive and prosper in their home areas. More qualitative and 4 quantitative national assessments are needed to understand human mobility in the context of these climate-related stressors, including recurrent drought, land degradation, desertiYication, sea level rise and temperature rise. 5 * Although displacement in the context of disasters and climate change is predominantly internal, more data is needed on people displaced across international borders in these contexts. * An additional challenge, especially when analyzing the link between climate change and human mobility and quantifying movements, is determining the extent to which climate change – in combination with socio-economic or other non-climate factors – was a cause of the movement. The interactions of mobility with climate change impacts are multifaceted and motivations are complex. Environmental conditions and altered ecosystem services are just some among the many reasons why people move, which usually interacts with a range of other economic, political, social, and demographic factors. Climate change impacts may thus play a role in these decisions, but direct attribution is often difYicult to establish in relation to speciYic events and contexts, and is the subject of extensive research. In view of this complex causality, estimating future global displacement is fraught with uncertainty. 6 * Adding to this uncertainty is the fact that the extent of human mobility in the context of adverse effects of climate change will be highly dependent upon not only the rate of warming and changes to the climate system, the perceptions of vulnerable populations IDMC Global Estimates 2015: People displaced by disasters, July 2015 http://www.internal-displacemen 4 t.org/publications/2015/global-estimates-2015-people-displaced-by-disasters/ IOM's Assessing the Evidence series. country and regional assessments on environmental and climate mi 5 gration (2014-2016). Papua New Guinea, 2014 (www.environmentalmigration.iom.int/assessing-evidencemigration-environment-and-climate-change-papua-new-guinea). Haiti, 2015 (www.environmentalmigration.iom.int/fr/deYis-enjeux-et-politiques-migrations-environnement-et-changements-climatiques-en-haiti). Dominican Republic, 2016 (https://publications.iom.int/es/system/Yiles/assessing_the_evidence_domini- can_republic_sp.pdf). Cambodia, 2016. https://environmentalmigration.iom.int/assessing-vulnerabilitiesand-responses-environmental-changes-cambodia. Gemenne, François. 2011. "Why the Numbers Don't Add up: A Review of Estimates and Predictions of People 6 Displaced by Environmental Changes." Migration and Global Environmental Change – Review of Drivers of Migration 21, Supplement 1 (December): S41–49. doi:10.1016/j.gloenvcha.2011.09.005 on environmental changes and the extent to which humans implement adaptation measures that effectively avoid or minimize displacement. , 7 8 * In some cases, initiatives to mitigate climate change, such as REDD+ or biofuel production, may also indirectly lead to displacement and other forms of human mobility. 9 c. Where is the risk of climate displacement more prominent? While no region of the globe is immune from climate change, it will disproportionately affect certain geographic regions and communities that are more exposed and vulnerable to its effects. , While severe weather events affect rich and poor countries alike, poor and 10 11 vulnerable communities are worst affected. Since 2008, close to 175 million people who live in developing countries have been displaced by disasters, accounting for 95 per cent of the global total. Risks are greatest for least developed countries with signiYicant 12 populations who are both exposed to climate-related hazards and vulnerable to climate impacts due to pre-existing vulnerability such as poverty, poorly constructed housing and infrastructure, as well as their limited Yinancial, technical and institutional capacity to recover or adapt. Thus, the extent of displacement will also depend on the ability of governments and communities to adapt and implement measures to build resilience and reduce underlying vulnerabilities and displacement risk. Certain geographic regions of the world are also more likely to experience climate changerelated displacement and migration. For example: (i) Asia sees more disasters than any other region – in 2015, 85 percent of all new displacement by sudden onset disasters was in south and east Asia. 13 Zickgraf, Caroline, Sara Vigil, Florence de Longueville, Pierre Ozer, and François Gemenne. 2016. "The Impact 7 of Vulnerability and Resilience to Environmental Changes on Mobility Patterns in West Africa." World Bank. IOM, 2016. Data on Environmental Migration: How much do we know : http://iomgmdac.org/data-envi 8 ronmental-migration/ Vigil, S. 2015. 'Displacement as a consequence of climate change mitigation policies', Disasters and Dis 9 placement in a Changing Climate, Forced Migration Review. University of Oxford. No 49 : 43-45. Ionesco Dina, Daria Mokhnacheva, François Gemenne. 2016. Atlas des migrations environnementales. 1 vol. 10 (151 p.) vols. Paris: Sciences Po les Presses/ Organisation Internationales des Migrations (IOM) : http:// www.iomfrance.org/atlas-des-migrations-environnementales-0 IOM and Sciences Po Series: State of Environmental Migration (2011,2012, 2013, 2014, 2015) http:// 11 www.environmentalmigration.iom.int/projects/state-environmental-migration IDMC 2015. 12 IDMC Global Report on Internal Displacement 2016, May 2016. h=p://www.internal-displacement.org/globalre 13 port2016/ (ii) Low-lying coastal areas with large populations living within a few meters of sea level, such as Bangladesh, are likely to experience signiYicant climate change-related displacement due to increased exposure to storm surge, soil salination, Ylooding, erosion, and sea level rise. , 14 15 (iii) Climate change impacts on water availability will disproportionately affect geographic areas that are prone to drought or dependent on glacial melt for fresh water. 16 (iv) Climate change will also disproportionately affect human mobility in developing countries with populations that are highly dependent on natural resources/rain-fed agriculture to survive such as the Sahel region of West Africa and other parts of subSaharan Africa. 17 (v) The populations of fragile and conYlict-affected states is also at particular risk of displacement in the context of disasters and climate change. 18 (vi) Arctic communities, especially indigenous peoples, are also highly vulnerable to displacement due to the rapid increase in temperature and melting of sea ice in the Arctic region. In fact, in the United States, Native Alaskan communities are already undertaking measures to relocate inland. 19 d. Is there a knowledge gap? * While understanding of the causes, dynamics and magnitude of climate change-related displacement has been growing in recent years, these phenomena are still not fully understood and conceptualized. Therefore better data, concepts and evidence are needed to develop adequate policies. The development of tools and systems that allow for the systematic gathering and analysis of reliable data on displacement, and World Bank, Turn Down the Heat: Climate Extremes, Regional Impacts, and the Case for Resilience (2013) 14 h=p://www-wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/ 2015/07/17/090224b0828c0f20/1_0/Rendered/PDF/Turn0down0the00lience000full0report.pdf Chun, J. 2014. Migration, Environment and Climate Change: Policy Brief Series. IOM. http://www.environ 15 mentalmigration.iom.int/vulnerability-environmental-stress-household-livelihoods-assets-and-mobilitymekong-delta-viet-nam Report of the OfYice of the High Commissioner on Human Rights on the relationship between climate 16 change and human rights (A/HRC/10/61), 15 January 2009, p. 11 http://www.ohchr.org/EN/Issues/ HRAndClimateChange/Pages/Study.aspx Id. at 10. 17 "A New Climate for Peace: Taking Action on Climate and Fragility Risks," A New Climate For Peace, 2015, ac 18 cessed 25 May 2015, http://www.newclimateforpeace.org/ IPCC AR5, WG II, Chapter 28, at 1583. 19 human mobility more generally, in the context of disasters and the effects of climate change is particularly needed. * This is not an exhaustive list but it would be useful for example to determine to what extent men and women already rely on migration as a strategy to cope with the effects of natural hazards and the effects of climate change, and what lessons can be learned for improving the beneYits of migration and addressing related protection risks. It would also be useful to understand under what circumstances vulnerable 20 households chose to use different forms of mobility to manage climate risks, and what the outcomes were for their welfare as well as understanding vulnerable household characteristics. Another gap is the cost of implementing measures to prevent and address displacement. * Likewise the availability of tailored climate information and services for vulnerable population groups at risk of displacement, as well as ability to access and use such information/services, could contribute to their adaptation measures and have implications on their decisions on movement. Often population groups at risk for the adverse effects of extreme weather events or climate change do not have access to tailored climate information to make decisions in time that could ultimately prevent their displacement. While the need for strengthening climate services as part of DRR is recognised through the Global Framework for Climate Services (GFCS) and oth 21 er global initatives (such as the Global Facility for Disaster Risk Reduction (GFDRR) and the Climate Risk and Early Warning Systems (CREWS)), the link to displacement is not speciYically highlighted and could be developed further, including in areas such as impact based early warnings and disaster risk Yinancing and insurance . 22 23 II. Policy, normative and institutional challenges and opportunities associated with minimizing, averting and addressing both internal and cross-border displacement, including in the context of alternative climate change trajectories (e.g. 1.5°C, 2°C, etc.) including challenges of communities not in a position to migrate (so called "trapped populations"). 1. Policy, normative and institutional challenges Climate- and disaster-related human mobility is a cross-cutting issue that requires strengthened action at all levels and sectors, including humanitarian response, human rights protection, migration management, protection of refugees and other forcibly displaced people, disaster risk reduction and management, climate change adaptation, Nansen Initiative's Agenda for the Protection of Cross-Border Displaced Persons in the Context of Disasters 20 and Climate Change (Protection Agenda) h=p://www.gfcs-climate.org/disaster_risk_reducVon; 21 h=p://www.cop21.gouv.fr/en/launch-of-crews-climate-risk-early-warning-systems/ 22 h=ps://www.gfdrr.org/disaster-risk-ﬁnancing-and-insurance 23 land use planning, and development. Because different institutions deal with different aspects of human mobility in the context of disasters and climate change, inter-agency coordination is needed in order to avoid overlap and address gaps. , 24 25 a. Are people displaced in the context of climate change « climate refugees »? * The term climate refugee does not exist in international law since the word 'refugee', as set forth in the 1951 Refugee Convention normally describes people Yleeing war or persecution, and who have crossed an international border. In the case of crossborder climate-related displacement, there is no international protection instrument and hence, a legal gap to assist and protect people who cross borders in the context of disasters and climate change. 26 * Evidence indicates that most displacement in the context of climate change and disasters takes place within countries. People who are internally displaced in these contexts are in need of timely assistance and protection and lack durable solutions, otherwise, they are more likely to be forced to cross an international border to seek redress. , 27 28 b. What are the relevant global policy frameworks and processes of relevance for human mobility in the context of disasters and climate change? * The Sendai Framework for Disaster Risk Reduction 2015 – 2030 acknowledges that one of the most devastating effects of disasters in recent years is the large number of people who are displaced. , The Framework underlines, inter alia, the need to 29 30 prepare for "ensuring rapid and effective response to disasters and related dis- UNHCR, The Environment and Climate Change: An Overview, 2015, http://www.unhcr.org/540854f49.html 24 IOM Outlook on Migration, Environment and Climate Change (2014) : http://www.environmentalmigra 25 tion.iom.int/iom-outlook-migration-environment-and-climate-change-1 UNHCR Legal and Protection Policy, Protecting People Crossing Borders in the Context of Climate Change 26 Normative Gaps and Possible Approaches, 2012, http://www.unhcr.org/542e9abd9.html Nansen Initiative's Agenda for the Protection of Cross-Border Displaced Persons in the Context of Disasters 27 and Climate Change (Protection Agenda) - IOM, Glossary : Migration, Environment and Climate Change (2014) http://www.environmentalmigra 28 tion.iom.int/glossary-migration-environment-and-climate-change-evidence-policy-meclep-0 Population Mobility and Disaster Risk Reduction: Perspectives on human mobility and the HFA2 consulta 29 tion process (IOM2015) : http://www.environmentalmigration.iom.int/population-mobility-and-disasterrisk-reduction-perspectives-human-mobility-and-hfa2-consultation Key Advocacy Messages: Mobility and Disaster Risk Reduction / Messages clés de plaidoyer: Mobilité et 30 réduction des risques de catastrophe / Mensajes y recomendaciones clave: Movilidad y reducción del riesgo de desastres http://www.environmentalmigration.iom.int/key-advocacy-messages-mobility-and-disasterrisk-reduction-messages-cl%C3%A9s-de-plaidoyer-mobilit%C3%A9-et placement, including access to safe shelter, essential food and non-food relief supplies" and encourages States to adopt, at national and local levels, "policies and programmes addressing disaster induced human mobility to strengthen the resilience of affected people and that of host communities as per national laws and circumstances." It also calls for "transboundary cooperation [...] to build resilience and reduce disaster risk, including [...] displacement risk." 31 * The 2030 Agenda for Sustainable Development, also adopted in 2015, notes that the "forced displacement of people threaten[s] to reverse much of the development progress made in recent decades," and contains a commitment "to cooperate internationally to ensure [...] the humane treatment", inter alia, of "displaced persons," and to build the resilience of those in vulnerable situations to climate-related extreme events and other disasters. 32 * The Yirst World Humanitarian Summit (WHS) will be held in Istanbul on 23 and 24 May 2016 and will bring together governments, humanitarian organizations, people affected by humanitarian crises and other relevant stakeholders to develop a set of concrete actions aimed at enabling countries and communities to better prepare for crisis and emergencies, including preparing for increased frequency and intensity of natural hazards. It will be important to ensure the inclusion of human mobility challenges into such proposals and promote actions that can protect and prevent people from being displaced and ensure movement in dignity and safety when displacement is unavoidable. * The UN Conference on Housing and Sustainable Urban Development (Habitat III) will take place in Quito, Ecuador, on 17-20 October 2016. The goal of the conference is to secure renewed political commitment for sustainable urban development, assess accomplishments to date, address poverty, and identify and address new and emerging challenges. The Yirst implementing conference of the Post-2015 sustainable development and climate change agendas, Habitat III offers a unique opportunity to discuss the important challenge of urban areas vulnerability to climate change (especially informal settlements) and as destinations for those uprooted by climate change effects. * The Nansen Initiative is a State-led, consultative process launched in 2012 by the Swiss and Norwegian governments to build consensus on a Protection Agenda addressing the needs of people displaced across borders in the context of disasters and climate change. Over the course of three years, the Nansen Initiative conducted regional consultations in the PaciYic, Central America, the Horn of Africa, Southeast Asia and South Asia. During the process, various thematic areas including humanitarian action, human rights, migration, disaster risk reduction, climate change adap- UNHCR, Displacement and Disaster Risk Reduction http://www.unhcr.org/5665945e9.html 31 UN Resolution A/Res/70/1, "Transforming Our World: the 2013 Agenda for Sustainable Development," 15 32 September 2015, ¶¶ 14, 29 http://www.un.org/ga/search/view_doc.asp?symbol=A/RES/70/1&Lang=E tation, and development cooperation were addressed in an effort to improve cooperation and promote comprehensive and coherent solutions.‑ In October 2015, 33 over 100 governments endorsed the "Agenda for the Protection of Cross-Border Displaced Persons in the Context of Disasters and Climate Change," which identiYies a toolbox of effective practices and policy options to prevent, prepare for, and respond to climate-related displacement and migration. In 2016 and beyond, the Protection Agenda will require implementation (See Section 3b below). c. What is added value of addressing this issue within the UNFCCC? * Efforts to include human mobility in the UNFCCC framework are complementary to efforts to better factor climatic, natural hazard and environmental factors into human mobility initiatives and programmes. At the international level, the UNFCCC and its relevant bodies including the Adaptation Committee and the WIM ExCom provide a valuable venue for addressing the impacts of climate change on human mobility. National Adaptation Plans as well as INDCs and other UNFCCC instruments are relevant vehicles at the national level for preventing, minimizing and addressing displacement. 34 2. Opportunities associated with minimizing and averting both internal and cross-border displacement in the Context of Climate Change It is important to note that numerous opportunities exist – including through the UNFCCC and implementation of the Sendai Framework and the Sustainable Development Goals – to avoid and minimize displacement from disasters and other climate change-related effects. National governments are encouraged to take measures to mitigate and prevent displacement from extreme weather and other climate change-related adverse effects through climate change adaptation (e.g., as relate to land use planning and agricultural practices), disaster risk reduction and management, and the like. a. Increasing the resilience of affected populations to prevent and minimize displacement Increasing the resilience of affected populations through planning for, and implementing, climate change adaptation strategies and disaster risk reduction management is essential to enable them to remain where they live and avert displacement. 35 Strengthening the resilience of communities that are already displaced, as well as See www.nanseninitiative.org 33 - UNHCR Legal and Protection Policy, Climate Change Induced Displacement: Adaptation Policy in the Con 34 text of the UNFCCC Climate Negotiations, 2011 http://www.unhcr.org/542e9b3e9.html; UNU-EHS Publication series, Policy Brief, Integrating Human Mobility Issues within National Adaptation Plans,2014, http://www.unhcr.org/542e97229.html UNHCR, Displacement and Disaster Risk Reduction http://www.unhcr.org/5665945e9.html 35 the communities that host them, should also be a priority to avoid secondary and protracted displacement situations. 36 b. Migration as a measure to prevent and minimize displacement Well-managed migration, whether circular, temporary or undertaken with the intention to settle elsewhere, has the potential to increase the resilience of climate vulnerable populations by creating new livelihood opportunities and strengthening resilience and the adaptative capacity to future risks. Migration can also support 37 economic development in receiving areas, while supporting families back home through remittances. When not properly managed, however, migration can lead to signiYicant risks including trafYicking and exploitation. It is therefore essential to ensure that migration occurs in a manner that fully respects and protects the dignity and human rights of those who move and those who stay behind. b. Planned relocation as a measure to prevent and minimize displacement and move at-risk populations out of harm's way In some cases, the impacts of climate change may make life unsustainable or render certain areas uninhabitable owing to high exposure to extreme or frequent hazards or by severely limiting livelihoods options. In all cases, States must prioritize appropriate mitigation, adaptation and other preventative measures to allow populations at risk of displacement to remain in their homes. However, in some cases, 38 States will need to take measures to protect people who are at risk of displacement due to climate change-related hazards and permanently relocate them to safer areas. Planned relocation, if implemented in consultation with, and with respect for the rights of, the people and communities involved can protect vulnerable populations from climate risks and impacts through settling them in safer, more secure locations. However, where not properly planned and implemented, relocation can result in protracted or secondary displacement and related human rights violations. 39 Where planned relocation related to climate change cannot be avoided, its scale UNHCR, The Environment and Climate Change: An Overview, 2015, http://www.unhcr.org/540854f49.html 36 IOM Outlook on Migration, Environment and Climate Change (2014) : http://www.environmentalmigra 37 tion.iom.int/iom-outlook-migration-environment-and-climate-change-1 UNHCR Background document, Planned Relocation, Disasters and Climate Change: Consolidating Good 38 Practices and Preparing for the Future, 2014 http://www.unhcr.org/53c4d6f99.html; UNHCR Final report and preliminary guidance on Planned Relocation, Disasters and Climate Change: Consolidating Good Practices and Preparing for the Future, 2014 http://www.unhcr.org/54082cc69.html; UNHCR, Brookings and Georgetown Guidance on Protecting People From Disasters and Environmental change through planned relocation, 2015, http://www.unhcr.org/562f798d9.html; IOM 2016 Policy Brief Series Issue 6: Relocation as an adaptation strategy to environmental stresshttp://www.environmentalmigration.iom.int/policy-brief-series-issue-6-relocation-adaptation-strategy-environmental-stress See, e.g., Thomas, A. (2015). Philippines Post-Typhoon Resettlement Plan Carries Risks. Refugees In 39 ternational. http://reliefweb.int/report/philippines/philippines-post-typhoon-resettlement-plan-carriesrisks should be minimized and the process should always involve affected communities, fully protect their rights, and support them to fully restore their standard of living. 40 c. Inter-stakeholder coordination * The Advisory Group on Climate Change and Human Mobility shares the most recent, available knowledge with UNFCCC Parties in an effort to frame the issue, provide technical support, and contribute to the work of the WIM ExCom task force on climate displacement. * The The High-Level Committee on Programmes (HLCP) working group on climate change (WGCC). The One UN strategy of the WGCC has proved efYiciency in bringing together various stakeholders to collaborate on climate change and human mobility under the leadership of UNHCR and IOM. During the UNFCCC 2014 and 2015 COPs in Lima and Paris (COPs 20 and 21), UNHCR and IOM ran a joint exhibit booth to disseminate relevant publications and organized high level side events together with other UN and non UN partners to raise awareness and provide guidance on ways to avert, minimize and address climate-related displacement. * The Nansen Initiative is a bottom-up, state-led consultative process with multistakeholder involvement. Its consultative committee is made up of representatives from international organizations dealing with displacement and migration issues, climate change and development, researchers, think tanks and non-governmental organizations are informing and supporting the process through the experience of its members. 3. Opportunities associated with Addressing Displacement in the Context of Climate Change Those displaced by disasters and climate change should be entitled to protection and assistance and should be supported to return and rebuild/recover their homes and livelihoods as soon as possible. a. Strengthening Assistance, Protection and Durable solutions for IDPS in the context of disasters and climate change UNHCR Background document, Planned Relocation, Disasters and Climate Change: Consolidating Good 40 Practices and Preparing for the Future, 2014 http://www.unhcr.org/53c4d6f99.html; UNHCR Final report and preliminary guidance on Planned Relocation, Disasters and Climate Change: Consolidating Good Practices and Preparing for the Future, 2014 http://www.unhcr.org/54082cc69.html; UNHCR, Brookings and Georgetown Guidance on Protecting People From Disasters and Environmental change through planned relocation, 2015, http://www.unhcr.org/562f798d9.html; IOM 2016 Policy Brief Series Issue 6: Relocation as an adaptation strategy to environmental stresshttp://www.environmentalmigration.iom.int/policy-brief-series-issue-6-relocation-adaptation-strategy-environmental-stress * It is widely agreed that the vast majority of people displaced by disasters and the impacts of climate change will be internally displaced within their own countries. National governments bear the primary responsibility to protect people displaced within their territories. * The 1998 UN Guiding Principles on Internal Displacement, which are drawn from humanitarian, human rights, and analogous refugee law, spell out the protection and assistance obligations of national governments with respect to people forced to Ylee "natural or human-made disasters, and who have not crossed an internationally recognized state border." 41 * In addition, two regional instruments have been adopted by African nations that reinforce the protection obligations outlined in the Guiding Principles: the 2009 Kampala Convention for the Protection and Assistance of Internally Displaced Persons in Africa (Kampala Convention) and the 2006 Great Lakes Protocol on the Protection and Assistance to Internally Displaced Persons. The IASC Operational Guidelines on Human Rights and Natural Disasters also provide guidance for responding to displacement in natural disaster situations. * While numerous States have adopted laws and policies related to IDPs, en 42 forcement is often weak. States are encouraged to develop and implement improved laws and policies related to the assistance and protection of IDPs. * Where a disaster and related displacement overwhelm a national government's ability to respond, it may call on the international community for assistance. The primary mechanism for the coordination of humanitarian assistance for internally displaced persons is the Inter-Agency Standing Committee (IASC)'s cluster approach. * Under the "cluster approach", IOM and UNHCR co-lead the camp coordination and camp management (CCCM) cluster; UNHCR co-leads with the International Federation of the Red Cross and Red Crescent Societies (IFRC) the shelter cluster, and UNHCR leads the Global 1998 UN Guidelines on Internal Displacement, Introduction, para. 2. 41 See IDMC's IDP Laws and Policy Mapping Tool, http://www.internal-displacement.org/law-and-policy 42 Protection Cluster. 43 * It is widely assumed that most people displaced by sudden-onset weather-related disasters such as Yloods and storms return home relatively quickly. However, evidence shows that failure to receive timely shelter and livelihood assistance in the aftermath of disasters can lead to protracted or secondary displacement, especially of poor and marginalized groups. Other recent case studies show that in the after 44 math of disasters, numerous obstacles to return exist such as lack of access to land and discrimination against vulnerable and marginalized groups. Both national 45 governments and international agencies need to focus on measures to better protect and assist IDPs in the aftermath of disasters, to better support the most vulnerable groups to recover, and to ensure they achieve a durable solution to displacement. In addition, further research is needed both to better monitor and better understand the causes of protracted or secondary displacement in the aftermath of disasters. b. Protection and assistance for people crossing borders in the context of disasters and climate change * Rather than calling for a new binding international convention on cross-border disaster-displacement, States are encouraged to adopt an approach that focuses on the integration of effective practices by States and (sub-) regional organizations into their own normative frameworks and practices in accordance with their speciOic situations and challenges. * Members of the Advisory group contributed to the Nansen Initiative (2012-2015), a state-led, bottom-up consultative process intended to build consensus on key principles and elements to address the protection and assistance needs of persons displaced across borders in the context of disasters, including the adverse effects of climate change. A key outcome of this process is the Agenda for the Protection of Cross-Border Displaced Persons in the Context of Disasters and Climate Change (Protection Agenda) , which presents a comprehensive approach on how to both 46 https://www.humanitarianresponse.info/fr/coordination/clusters/what-cluster-approach; http://www. 43 globalprotectioncluster.org/_assets/Yiles/tools_and_guidance/IASC_Guidelines_Natural_Disasters_EN.pdf; IOM, 2015. The MEND Guide - Comprehensive Guide for Planning Mass Evacuations in Natural Disasters (Pilot Document) : http://www.environmentalmigration.iom.int/mend-guide-comprehensive-guide-planning-massevacuations-natural-disasters-pilot-document A. Thomas, "Rising Waters, Displaced Lives," Forced Migration Review 45, at p. 34, available at http:// 44 www.fmreview.org/sites/fmr/Yiles/FMRdownloads/en/crisis.pdf IDMC Global Estimates 2015 People Displaced by Disasters, Chapter 5, p. 47. 45 The Protection Agenda was endorsed by 109 Governmental delegations at an intergovernmental consulta 46 tion in Geneva, Switzerland in October 2015. prevent and address disaster displacement (both internal and cross-border). It highlights the need for policy integration and enhanced coordination across humanitarian, disaster risk reduction, climate change adaptation and development action areas. The Protection Agenda consolidates a broad set of effective practices and policy options that can be used by States and others to reduce and manage disaster displacement, and to better protect and assist disaster displaced persons. The new Platform on Disaster Displacement will replace the Nansen Initiative and will be launched at the WHS in May 2016. For more information, please contact Marine Franck : firstname.lastname@example.org
FINANCIAL STATEMENTS JUNE 30, 2015 TABLE OF CONTENTS Certiﬁed Public Accountants \| Business Consultants INDEPENDENT AUDITORS' REPORT To the Board of Directors of the United Way of the Southern Tier, Inc. Corning, New York We have audited the accompanying financial statements of the United Way of the Southern Tier, Inc. (a nonprofit organization), which comprise the statements of financial position as of June 30, 2015 and 2014, and the related statements of activities, functional expenses and cash flows for the years then ended, and the related notes to the financial statements. Management's Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error. Auditors' Responsibility Our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audits to obtain reasonable assurance about whether the financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditors' judgment, including the assessment of the risk of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity's preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity's internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion. Opinion In our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of the United Way of the Southern Tier, Inc. as of June 30, 2015 and 2014, and the changes in its net assets and its cash flows for the years then ended in accordance with accounting principles generally accepted in the United States of America. EFP Rotenberg, LLP Corning, New York September 22, 2015 8 Denison Parkway East, Suite 407 \| Corning, NY 14830 \| P 607.962.6891 \| TF 800.546.7556 \| F 607.973.2174 \| E email@example.com \|EFPRotenberg.com UNITED WAY OF THE SOUTHERN TIER, INC. Statements of Financial Position June 30, 2015 and 2014 - 2 - UNITED WAY OF THE SOUTHERN TIER, INC. Statements of Cash Flows For the Years Ended June 30, 2015 and 2014 Notes to Financial Statements Note 1. Summary of Significant Accounting Policies and Nature of Agency Nature of Agency - The United Way of the Southern Tier, Inc. (the "Agency") is a nonprofit fundraising, fund distribution and community service agency. The mission of the Agency is to effectively mobilize the caring power of the community to help people improve their lives. The Agency raises funds on an annual basis each fall through employee payroll deductions at the workplace and corporate contributions. A volunteer Board of Directors provides governance over the Agency. Method of Accounting - The Agency maintains its books and prepares its financial statements on the accrual basis of accounting. Estimates - The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Actual results could differ from those estimates. Basis of Presentation - Under ASC 958-205, Presentation of Financial Statements, the Agency is required to report information regarding its financial position and activities according to three classes of net assets: unrestricted net assets, temporarily restricted net assets and permanently restricted net assets. Net asset classifications used by the Agency are as follows: Unrestricted Net Assets - Unrestricted net assets represent resources over which the Board of Directors has discretionary control and are used to carry out the general activities and operations of the Agency in accordance with its by-laws. Certain unrestricted net assets have been appropriated for various operational activities by the Board of Directors and are listed as such in the statements of financial position. Temporarily Restricted Net Assets - Temporarily restricted net assets consist of contributions received in advance of the subsequent year campaign and other contributions restricted to specific uses or time periods by donors. When donor or grantor restrictions expire, temporarily restricted net assets are reclassified as unrestricted and reported in the statements of activities as net assets released from restrictions. Permanently Restricted Net Assets - The principal portion of the endowment fund consists of gifts from donors and is reported as permanently restricted because it cannot be used for operating purposes. The accumulated earnings of the endowment fund are temporarily restricted until appropriated for expenditure and reclassified as unrestricted resources in the statements of activities. Cash and Cash Equivalents - For the purpose of the statements of financial position and statements of cash flows, cash and cash equivalents include deposits and all highly liquid investments with an original maturity of three months or less. The Agency maintains cash and cash equivalents at financial institutions which may periodically exceed federally insured limits. Short-term Investments - These investments include certificates of deposit with original maturities greater than three months. Accounts Receivable - Accounts receivable are stated at the amount management expects to collect from balances outstanding at year-end. Based on management's assessment of the credit history with clients having outstanding balances and current relationships with them, it has concluded that realization losses, if any, on balances outstanding at year-end will be immaterial to the financial statements. Pledges Receivable – Pledges receivable represent contributions received from various campaigns held by the Agency. Contributions receivable are expected to be collected within one year. An allowance for uncollectible accounts is recorded based on management's evaluation of the average collections over the previous five years and an analysis of each individual account balance. Notes to Financial Statements Investments - Investments are presented in the statements of financial position at fair market value as determined by the related professional managers. The net increase or decrease in the fair market value of non-current investments is reflected as an increase or decrease in the appropriate statements of activities. ASC 820, Fair Value Measurement, defines fair value and establishes a framework for measuring fair value in accounting principles generally accepted in the United States of America, and expands disclosures about fair value measurements. The fair value of investments is disclosed in Note 3 to the financial statements. Property and Equipment - Property and equipment purchased in excess of $500 is capitalized and recorded at cost. Donated property and equipment are recorded at fair market value. Depreciation is computed on the straight-line basis over the estimated useful lives of the assets. Property and equipment have depreciable lives ranging from three to seven years. Allocations Payable - The Agency's Board of Directors has elected an allocation payable policy to make allocation commitments to participating agencies payable in the subsequent campaign year contingent upon the success of the subsequent year's campaign. Each year the Board identifies fifty percent of its funding allocations as allocations to be paid from the preceding year's fundraising effort. Due to Other Agencies - Under ASC 958-605, Revenue Recognition, a liability is reported for contributions received which have been donor designated for specific beneficiary organizations. When the designation is paid to the beneficiary organization, the corresponding liability is eliminated. Revenue Recognition - ASC 958-605, Revenue Recognition, requires that contributions received be recognized as revenues or gains in the period received. Such contributions include unconditional promises to give, in the form of pledges. Contributions made are recognized in the period made, and also include unconditional promises to give, in the form of allocations. Contributions received for subsequent year's campaigns are recognized as temporarily restricted in the year received. These amounts are released from restriction and recognized as unrestricted revenues in the applicable campaign years. Donated Facilities and Services - Donated services are recognized as contributions in accordance with ASC 958, Revenue Recognition, if the services (a) create or enhance nonfinancial assets or (b) require specialized skills, are performed by people with those skills, and would otherwise be purchased by the Agency. Volunteers also provided many services throughout the year that are not recognized as contributions in the financial statements since the recognition criteria under ASC 958 were not met. Functional Expenses - Expenses are charged to each program based on direct expenditures incurred. Any program expenditures not directly chargeable are allocated to programs based on units of service. Program expenses are categorized as either community building expenses or community investment expenses. Advertising - The Agency expenses all advertising costs as they are incurred. Income Taxes - The Agency is exempt from federal income taxes under Section 501(c)(3) of the Internal Revenue Code. However, income from certain activities not directly related to the Agency's tax-exempt purpose is subject to taxation as unrelated business income. In accordance with ASC 740-10-50, Accounting for Uncertainty in Income Taxes, the Agency recognizes the tax benefits from uncertain tax positions only if it is more likely than not that the tax position will be sustained upon examination by the taxing authorities. Management believes that the Agency is currently operating in compliance with the applicable requirements of the Internal Revenue Code. Therefore, no liability for unrecognized tax benefits has been included on the Agency's financial statements. The exempt Agency's informational returns are subject to audit by various taxing authorities and its open audit periods are 2012 through 2014. Subsequent Events – The Agency's management has evaluated subsequent events through the date of the report which is the date these financial statements were available to be issued. Notes to Financial Statements Note 2. Pledges Receivable Pledges receivable and the related allowance for uncollectible pledges consisted of the following at June 30: Provisions for uncollectible pledges consisted of the following for the year ended June 30: 2015 2014 Note 3. Investments The Agency has determined the fair value of investments through the application of ASC 820, which places assets into one of three levels. Financial assets valued using level 1 inputs are based on unadjusted quoted market prices within active markets. Financial assets valued using level 2 inputs are based primarily on quoted prices for similar assets in active or inactive markets. Financial assets using level 3 inputs are primarily valued using management's analysis about the assumptions market participants would utilize in pricing the asset. Valuation techniques utilized to determine fair value are consistently applied. Following is the description of the valuation methodologies used for assets measured at fair value. There have been no changes in the methodologies used at June 30, 2015 and 2014. Common stocks: Valued at the closing price reported on the active market on which the individual securities are traded. Corporate and foreign bonds: Valued using pricing models maximizing the use of observable inputs for similar securities. This includes basing value on yields currently available on comparable securities of issuers with similar credit ratings. Mutual funds: Valued at the daily closing price as reported by the fund. Mutual funds held by the Agency are open-end mutual funds that are registered with the SEC. These funds are required to publish their daily net asset value (NAV) and to transact at that price. The mutual funds held by the Agency are deemed to be actively traded. UNITED WAY OF THE SOUTHERN TIER, INC. Notes to Financial Statements Investments consisted of the following at June 30: Quoted Notes to Financial Statements Note 5. Endowment Fund Permanently restricted net assets at June 30, 2015 and 2014, consist of an endowment fund established in the early 1990's to support the Agency's operating expenses. The original contribution stipulates that the gift is to be held and invested by the Agency indefinitely and income, which is considered unrestricted, from the fund is to be expended on operating expenses of the Agency. As required by generally accepted accounting principles, net assets associated with endowment funds are classified and reported based on the existence or absence of donor-imposed restrictions. UNITED WAY OF THE SOUTHERN TIER, INC. Notes to Financial Statements The Agency has interpreted the New York Prudent Management of Institutional Funds Act (NYPMIFA) as requiring the preservation of the fair value of the original gift as of the gift date of donor-restricted endowment funds absent explicit donor stipulations to the contrary. As a result of this interpretation, the Agency classifies as permanently restricted net assets (1) the original value of gifts donated to the permanent endowment, (2) the original value of subsequent gifts to the permanent endowment, and (3) accumulations to the permanent endowment made in accordance with the direction of the applicable donor gift instrument at the time the accumulation is added to the fund. The remaining portion of the donorrestricted endowment fund that is not classified in permanently restricted net assets is classified as temporarily restricted net assets until those amounts are appropriated for expenditure by the Agency in a manner consistent with the standard of prudence prescribed by NYPMIFA. In accordance with NYPMIFA, the Agency considers the following factors in making a determination to appropriate or accumulate donor-restricted endowment funds: (1) the duration and preservation of the various funds, (2) the purposes of the donor-restricted endowment funds, (3) general economic conditions, (4) the possible effect of inflation and deflation, (5) the expected total return from income and the appreciation of investments, (6) other resources of the Agency, (7) alternatives to expenditure of the endowment fund, giving due consideration to the effect that such alternatives have on the Agency, and (8) the Agency's investment polices. The composition of endowment net assets for this fund and the changes in endowment net assets as of June 30, 2015 and 2014, are as follows: From time to time, the fair value of assets associated with individual donor-restricted endowment funds may fall below the level that the donor or NYPMIFA requires the Agency to retain as a fund of perpetual duration. In accordance with accounting principles generally accepted in the United States of America, losses on the investment of a donor-restricted endowment fund shall reduce temporarily restricted net assets to the extent that donor-imposed temporary restrictions on net appreciation of the fund have not been met before the loss occurs. Any remaining loss shall reduce unrestricted net assets. The loss of $539 for the year ended June 30, 2015, reduced the unrestricted net assets for the year then ended. Notes to Financial Statements Note 6. In-Kind Contributions Contributions of non-cash assets are recorded at their fair value in the period received. The following is a summary of in-kind contributions which are reported as revenue and related expense in the financial statements for the years ended June 30: Note 7. Concentration of Revenue The Agency's campaign success is heavily dependent on pledges from a local corporation and its employees. Pledges from this local corporation accounted for 52.03% and 52.11% of total campaign support for the fiscal years ended June 30, 2015 and 2014, respectively. Pledges receivable from the local corporation accounted for 45.40% and 46.59% of the gross pledges receivable at June 30, 2015 and 2014, respectively. Note 8. Pension Plan The Agency participates in a nationally sponsored defined contribution pension plan for nonprofit organizations. The non-contributory plan is available to all full-time employees with at least one year of service who have reached the age of twenty-one. 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See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/286479937 Subtotal Petrosectomy for Cochlear Implantation: Lessons Learned After 110 Cases Article in The Annals of otology, rhinology, and laryngology · December 2015 DOI: 10.1177/0003489415620427 CITATIONS 0 READS 54 10 authors, including: research-article 620427 2015 XXX10.1177/0003489415620427Annals of Otology, Rhinology & Laryngology AOR Polo et al Subtotal Petrosectomy for Cochlear Implantation: Lessons Learned After 110 Cases Annals of Otology, Rhinology & Laryngology 1–10 © The Author(s) 2015 Reprints and permissions: sagepub.com/journalsPermissions.nav DOI: 10.1177/0003489415620427 aor.sagepub.com Rubén Polo, MD 1 , María Del Mar Medina, MD 1 , Miguel Arístegui, MD 2 , Luis Lassaletta, MD 3 , Auxiliadora Gutierrez, BSLT 1 , Gracia Aránguez, MD 2 , Sampath Chandra Prasad, MS 4 , Antonio Alonso, MD 1 , Javier Gavilán, PhD 3 , and Mario Sanna, PhD 4 Abstract Objectives: The purpose of this study was to review the indications for subtotal petrosectomy for cochlear implantation, report our management of complications, as well as review those technical factors that are critical for successful implantation. Methods: Patients (n = 104) that underwent subtotal petrosectomy with closure of the external auditory canal and obliteration of the cavity with abdominal fat in combination with cochlear implantation were analyzed. Results: The most frequent indication for subtotal petrosectomy was the existence of a previous canal wall down technique. Postoperative complications occurred in 13 patients (11.83%). Extrusion of the device took place in 5 cases (4.55%). Conclusions: Subtotal petrosectomy in cochlear implantation permits obtaining a cavity isolated from the external environment, and when needed, it improves the access and visibility during the surgical procedure. Subtotal petrosectomy is a safe technique, with a low rate of complications. Keywords subtotal petrosectomy, middle ear obliteration, cochlear implants, chronic ear disease, cochlear implantation Introduction Subtotal petrosectomy (SP) is a surgical procedure that can be employed in difficult cases of cochlear implantation (CI). This procedure involves a closure of the external auditory canal (EAC) and the Eustachian tube and obliteration of the surgical cavity with abdominal fat. 1 The advantages of SP that make it an ideal procedure in difficult situations in CI are manifold. First, it allows isolation of the surgical cavity from the external environment, thereby leading to a low risk of postoperative infections. Second, it permits a better sealing of cerebrospinal fluid leaks, thereby reducing the risk of secondary meningitis. Third, SP provides an excellent exposure of the promontory and the round window, enabling the surgeon to perform additional procedures, if necessary, like a drill out in case of difficulty in insertion. In a pediatric population, there are also other indications that can be considered, including recurrent acute otitis media (RAOM) and otitis media with effusion (OME), which will be discussed in this study. The use of SP for CI is associated with a very low rate of complications, 2 which can be basically divided into 3 categories: (1) infection of the abdominal fat, (2) dehiscence of the EAC closure, and (3) development of cholesteatoma in the obliterated cavity. The aim of this study was to review the indications for SP for CI, report our management of complications, and review the technical aspects that are critical for a successful implantation. Material and Methods This multicenter retrospective study was conducted following the principles stated in the Declaration of Helsinki. All patients that underwent CI in combination with SP in 3 1 2 Otolaryngology Department, Hospital Ramón y Cajal, Madrid, Spain 3 Otolaryngology Department, Hospital Gregorio Marañón, Madrid, Spain 4 Otolaryngology Department, Hospital La Paz, Madrid, Spain Otolaryngology Department, Gruppo Otologico, Piacenza, Italy Subtotal petrosectomy is contraindicated in candidates who undergo CI with a residual hearing that is susceptible to electroacoustic stimulation, due to the fact that closure of the EAC impedes electroacoustic stimulation. Corresponding Author: Rubén Polo MD, Hospital Universitario Ramón y Cajal, Otolaryngology Department, Colmenar Road. Km 9,100. Madrid. 28034. Spain. Email: email@example.com by MARIO SANNA on December 15, 2015 tertiary referral centers and one quaternary referral center between April 2004 and October 2013 were included in the study. The surgical technique of CI in combination with SP is further described elsewhere. 1 Some of the patients in the study have been reported elsewhere previously. 2,3 Eligible patients were identified from the cochlear implant databases of each center. Data including clinical indication for SP, imaging findings, surgical features, and complications were collected. Complications were classified according to the consensus reporting proposed by Hansen et al. 4 All patients underwent otological examination and preoperative audiological assessment, including pure tone average (PTA; average of 0,5-1-2-4 KHz), speech discrimination score, and auditory brainstem responses. All patients underwent both gadolinium-enhanced magnetic resonance imaging (MRI) and high-resolution computed tomography (HRCT) of the temporal bone. A postoperative HRCT at 1, 3, 5, and 10 years was performed to detect the eventual development of entrapped cholesteatoma in the obliterated cavity. In addition, a systematic review of the English literature was conducted with the search engine Pubmed with the key terms subtotal petrosectomy, middle ear obliteration, and cochlear implant to identify all publications in which subtotal petrosectomy in combination with CI had been performed. Results Patients Demographics Between April 2004 and October 2013, 110 CI were placed in combination with SP in 104 patients. All implantations were performed simultaneously with SP except in 2 cases. There were 98 unilateral implantations and 6 bilateral implantations. Mean age was 52.2 years (range, 1-86 years). Sixty-five (62.5%) were males and 39 (37.5%) were females. In 55 cases (50%), the cochlear implant was placed in the right ear and in 55 cases (50%) in the left ear. Mean follow-up was 28.5 months (range, 12-108 months). Eight patients were lost in the follow-up; all of them had been implanted unilaterally. Indications for Subtotal Petrosectomy Indications for SP included a wide spectrum of pathologies as shown in Table 1. In this table, a review of the largest series published is presented as well, which will be discussed later. The most common indication for SP in combination with CI in our series was the performance of a previous canal wall down technique (33 cases, 30%). The second most frequent group was patients with middle ear disease (29 cases, 26.37%). Under the term middle ear disease, we have grouped all the entities that could affect the middle ear function and negatively influence the clinical outcome of the CI. These entities included RAOM, OME, tympanic membrane perforation or retraction, chronic supurative otitis media (CSOM), and cholesteatoma chronic otitis media (CCOM) (Table 1). All these cases were implanted simultaneously to SP, except for 1 patient with bilateral CCOM, who was bilaterally and sequentially implanted in a staged procedure. The third most common indication, with 13 patients (11.82%), was cochlear ossification. In 6 cases, a total ossification of the round window (RW) was encountered (Figure 1A), associated with a sclerotic mastoid. The remaining 7 patients presented with different degrees of ossification of the basal turn that required cochlear drill out techniques (Figure 1B). In all cases, complete insertion of the electrode array was achieved. Other indications for SP included temporal bone fracture, inner ear malformations, unfavorable anatomical conditions, Meniere's disease, and previous ear surgery. Intraoperative Problems Intraoperative problems took place in 7 cases (6.37%) and are detailed in Table 2. Postoperative Complications Postoperative complications occurred in 13 patients (11.83%). Seven patients experienced major complications (6.37%), and 6 patients had minor complications (5.46%). Details of patients with their complications are described in Table 3 and in a supplementary file. Discussion Cochlear implants are an effective method for rehabilitation of profound sensorineural hearing loss, with a low rate of complications. 4 In former times, CI was significantly limited by certain middle ear pathologies and anatomical variations. 5 In 1988, Fisch and Mattox 6 systematized the surgical steps of SP. Five years later, Parnes et al 7 were the first to employ this surgical technique simultaneously to CI, allowing for the first time hearing rehabilitation in cases considered non-candidates for CI before. In the past 2 decades, SP has been an essential tool in the field of middle ear surgery and implantology. Since the first CI in 1960, 8 indications for CI have extended progressively over the years both from an audiological and clinical point of view. Parallel to the constantly increasing audiological indications, the inherent advantages of SP have been the key to allow CI in special situations such as middle ear disease 2 or in combination with neurotological procedures. 9 The different clinical indications for SP for CI and their most critical aspects are detailed in the following. by MARIO SANNA on December 15, 2015 by MARIO SANNA on December 15, 2015 by MARIO SANNA on December 15, 2015 Indications Previous Canal Wall Down Technique The existence of a previous canal wall down technique has been the most frequent indication for SP in our series (30%). Subtotal petrosectomy is the preferred technique in these cases, widely supported by the experience of numerous groups. 2,10-14 The rationale for the use of SP in these cases is to obtain an isolated cavity with low risk of infections and diminish the risk of extrusions. In cases of open cavities with cochlear implants, the possibility of repeated infections in the cavity constitutes a high risk of meningitis and labyrinthitis 15 and secondary damage to the electrode array. In addition, there is an increased risk of electrode extrusion 14 and a higher probability of trauma to the electrode array if revision surgery is needed. 16 Thus, SP is strongly recommended to diminish the incidence of these complications in cases of a previous canal wall down technique. patient to the additional unnecessary risks of the craniotomy and temporal lobe compression. Thus, we do not recommend middle fossa approach for CI. Chronic Middle Ear Disease The second most common indication for SP in this series was the presence of chronic middle ear disease (26.37%). The problems derived from CI in patients with chronic middle ear disease are mainly infection involving the implant and extrusion of either the electrode or the receiver. The basic principles for safe implantation in these circumstances are to eradicate the disease and obtain a closed, clean, isolated cavity. 10 Subtotal petrosectomy makes feasible these objectives with an important decrease in the rate of recurrence of the primary disease and keeps isolated the electrode reducing extrusion rate. 15 In cases of CSOM, our philosophy is to perform CI and SP simultaneously; only in the presence of an active purulent infection we consider delaying CI to a second stage. Some groups 19,22,23 propose performing first a preliminary surgery (myringoplasty or tympanoplasty) to create a stable and dry middle ear, followed by CI 3 to 6 months later. These alternative techniques entail several drawbacks: first, the possibility of failure of the preliminary surgery, with the subsequent need for a revision surgery and delayed time to implantation; second, the risk of recurrence of the disease once the cochlear implant has been placed, with secondary extrusion of the electrode through the tympanic membrane and the risk of damage to the electrode if revision surgery is needed. Thus, in order to avoid these undesirable complications and shorten the time to implantation, we stand for treatment of the primary pathology with SP and CI in a single stage in the majority of the cases. Numerous techniques have been proposed as an alternative to SP in these cases. 14,17-21 Some authors 14,17 propose partial obliteration of the cavity to protect the electrode, employing the combination of different materials such as musculocutaneous flaps, periosteal flaps, or tragal cartilage. In other cases, the posterior wall of the EAC has been reconstructed and the cavity obliterated with a Palva flap. 18 These obliterative techniques are aimed to protect the electrode array but do not eliminate the risk of infections in the cavity and device extrusions and do not constitute an optimal alternative to SP. In cases of CCOM, many authors 10,11,15,16 advocate for routinely performing CI in a second stage after SP to reduce the risk of residual cholesteatoma. Given that SP provides a wide exposure, facilitating removal of all the disease, our recommendation is to perform CI and SP in a single stage. 12,24 Nevertheless, if an infiltrative cholesteatoma is encountered or there is any doubt about complete removal of the matrix, implantation should be postponed at least 12 months. From our series of 9 cases of CI in CCOM, only in 2 cases (same patient bilaterally) CI was performed in a second stage due to infiltrative cholesteatoma. No residual cholesteatoma has been found in our series to date. Colletti et al 20,21 proposed the classical middle fossa approach for CI in patients with an open cavity in order to bypass the middle ear cavity. This approach does not eliminate the risk of infections in the cavity and exposes the The use of SP in combination with CI as primary management of patients with RAOM or OME has not been clearly established in the literature. Several studies endorse the use of ventilation tubes in the management of pediatric patients with RAOM and OME candidates to CI. 25,26 However, the early use of SP with CI in children prone to by MARIO SANNA on December 15, 2015 Table 2.Summary of intraoperative findings and complications and their management. Abbreviations: CSF, cerebrospinal fluid; IAC, internal auditory canal; SP, subtotal petrosectomy. otitis media eradicates the disease definitively and solves the hearing problem in a single surgery, shortening the time to hearing rehabilitation. In addition, it eliminates the risk of middle ear disease in implanted ears and subsequent possible serious complications such as meningitis or labyrinthitis and the need for future surgeries with risk of damage to the electrode. 13 We have placed cochlear implants in a single stage together with SP in 2 patients of 1 and 9 years with RAOM refractory to ventilation tubes, with no further complications. Inner Ear Malformations In patients with inner ear malformations, anomalies in the trajectory of the facial nerve and middle ear malformations are not uncommon, which hampers the identification of the anatomical landmarks for implantation. 27 In addition, inner ear malformations are commonly associated with a CSF leak of perilymph gusher. 28,29 Besides, meningitis may arise with and without CI in this special group of patients since the high CSF pressure often produces a leak in 1 of the windows. 12,15,30 Because of the above mentioned factors, the use of SP is strongly recommended for implantation in malformed ears. First, it allows a better exposure of all the anatomical structures of the middle ear, facilitating implantation in cases with associated middle ear malformations or facial nerve trajectory anomalies. Second, Eustachian tube sealing and obliteration of the cavity with abdominal fat are the most effective way to isolate the inner ear from the external environment. As a result, the possibility of CSF leak and meningitis is significantly reduced. From our series of 10 CI in malformed ears, there was only 1 major complication (case No, 1), which consisted in the accidental insertion of the electrode array inside the IAC. This patient was surgically revised 1 week later, and the electrode array was repositioned, but 6 months later, the device failed and the patient was ipsilaterally reimplanted. From the remaining patients, an intraoperative CSF gusher was encountered in 5 cases (Table 2); among them, only 1 had further complications, which consisted of a subcutaneous CSF collection detected 1 week after implantation and successfully managed conservatively. No episodes of meningitis have arisen in this group to date. Cochlear Ossification/Fibrosis Although in mild to moderate cases drill out procedures may be performed through a posterior tympanotomy with or without transcanal approach combination, 31 the authors advocate the use of SP in most of these cases. Isolate RW ossification does not generally necessitate SP per se, yet we did employ this approach in 6 of our cases in which there was a difficult anatomical access due to a sclerotic mastoid (Figure 1A). The rationale for supporting the use of SP is mainly to avoid unnecessary risks that exist during drill out procedures done through a posterior tympanotomy like a damage to the facial nerve or other important structures. Subtotal petrosectomy provides an adequate approach to safely drill out the cochlea and to identify and control landmarks such as the internal carotid artery and the jugular bulb (JB). In the eventuality that CI was impossible with an SP, the procedure could then be easily switched to a translabyrinthine approach for an auditory brainstem implant (ABI) in the same sitting by merely enlarging the same approach. 32 Temporal Bone Fractures Temporal bone fractures affecting the otic capsule are invariably associated with a permanent risk of CSF leak by MARIO SANNA on December 15, 2015 by MARIO SANNA on December 15, 2015 and meningitis. It is known that the bone of the otic capsule does not heal with new bone formation but with a thin layer of fibrous tissue that constitutes the only barrier between the central nervous system and the middle ear. 33 Thus, a fracture involving the otic capsule creates a communication between the central nervous system and the middle ear with an increased risk of CSF leak and meningitis. 34 This risk can be minimized by using an SP in association with cochlear implant insertion. 2,6,12,15,34,35 Subtotal petrosectomy offers an optimal isolation of the inner ear spaces and the cochlear implant from the external environment. In fact, we did not have a single case of meningitis or CSF leak after CI in temporal bone fractures in this series. Unfavorable Anatomical Conditions In the presence of unfavorable anatomic conditions such as contracted or sclerotic mastoid and anterior sigmoid sinus, we support the use of SP as it provides wide exposure of the entire promontory. 10,12,13 We also recommend SP in cases of high JB in contact with the RW (Figures 2A, 2B), to avoid damage to the JB while performing the posterior tympanotomy or inserting the electrode. These cases, although very uncommon, represent a potential danger to the nervous and vascular structures of the middle ear and must be approached adequately. Some alternatives to SP in difficult anatomical situations have been proposed, such as the intact posterior meatal skin canal wall down technique 36 or the transattical approach. 37 These alternatives are not hassle-free but may have a role in cases of residual hearing. Contraindications Subtotal petrosectomy is not recommended in patients with residual hearing to electroacoustic stimulation as closure of the EAC precludes acoustic stimulation through the canal itself. 38 In case of an active middle ear infection, the surgery must be planned in 2 stages. 39 We recommend a first surgical time consisting of SP with eradication of the pathology and a second stage for CI 3 to 6 months later. Likewise, in the presence of a cholesteatoma wherein a complete excision of the matrix cannot be assured, the CI can be performed in a second stage. To detect residual cholesteatoma, we recommend a time interval of at least 12 months between the first and the second surgery. Entrapped Cholesteatoma and Followup Entrapped skin or matrix and possible long-term development of cholesteatoma are the main risks that need to be addressed on the long-term follow-up of these patients; it must also be considered that postoperative imaging using MRI gives artifacts and will make follow-up on the primary pathology more difficult. In our institutions, follow-up is performed with HRCT at 1, 3, 5, and 10 years to check entrapped cholesteatoma. The radiological interface created by the fat in the cavity increases the diagnostic efficacy of HRCT for residual and entrapped cholesteatoma. 2 If HRCT is not conclusive, MRI up to 1.5 T can be safely performed with the CI in place. 40 Ultimately, if distortions of the image hamper visualization of the area of interest, the magnet can be removed under local anaesthesia and replaced immediately after the MRI. In this series, we have not had a single case of residual or entrapped cholesteatoma after CI in combination with SP to date. Conclusions Subtotal petrosectomy with blind sac closure of the EAC and obliteration of the cavity with abdominal fat is a useful alternative technique in difficult cases of CI. In the past 2 decades, the introduction of SP has been instrumental in allowing CI in patients previously considered to be ineligible for implantation. The distinct advantages of SP are that it allows obtaining a cavity isolated from the external environment, thereby reducing the risk of infections, and when needed, it provides excellent exposure of the promontory and surrounding areas, improving the access and maneuverability during the surgical procedure. Overall, SP is a safe surgical technique associated with a low rate of complications. Follow-up with HRTC is mandatory to check entrapped cholesteatoma. by MARIO SANNA on December 15, 2015 Declaration of Conflicting Interests The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article. Funding The author(s) received no financial support for the research, authorship, and/or publication of this article. References 1. Sanna M. Middle Ear and Mastoid Microsurgery. New York, NY: Thieme; 2003. 2. Free R, Falcioni M, Di Trapani G, Giannuzzi A, Russo A, Sanna M. The role of subtotal petrosectomy in cochlear implant surgery—a report of 32 cases and review on indications. Otol Neurotol. 2013;34:1033-1040. 3. Medina M, Di Lella F, Di Trapani G, et al. Cochlear implantation versus auditory brainstem implantation in bilateral total deafness after head trauma: personal experience and review of the literature. Otol Neurotol. 2014;35(2):260-270. 4. 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Otol Neurotol. 2010;31(8):1215-1220. Donnelly MJ, Pyman BC, Clark GM. Chronic middle ear disease and cochlear implantation. Ann Otol Rhinol Laryngol Suppl. 1995;166:406-408. by MARIO SANNA on December 15, 2015
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Department of Homeland Security U.S. Citizenship and Immigra ALL parts of this f rm, except the " AP P LI CANT A TTE STATION" and "INTERPRETER'S CERTIFICATION" must be certif ed by a licensed medical pr o f ssional as pro vi de d i n t he i nstru c t ions for Form N-648. Bef re certif ing this f rm, the medical professional must conduct an in-perso n examin ation of the applicant. (See instructions for Form N-648 for additional infor mation which is also located in the "FORMS" section at www.uscis.gov. ) Reminder About Eligibility Requirements This form is intended for an a English and/or civics requirem developmental disability or m expected to last, 12 months or reasonable accommodations p limited to, sign language inter Type or print clearly in black ink. Part 1. APPLICANT INFORMATION US.PS.. ZIP Qode_ Looku11 certify that have examined: Address (Street Number and Na Completing and Certifying This Form abbreviations, that a person without medical training can understand. U.S. Citizenship and Immigration Services (USCIS) recommends N-648 located in the "FORMS" section www.uscis.gov. ssional completes the form by hand, then responses must be legible and appear in black ink. USCIS USE ONLY D D D ]Part 2. MEDICAL PROFESSIONAL INFORMATION □ D u need more space to complete an answer, use a separate sheet of pape r. Type or print the applicant's name and Alien Registration Number (A mber), at the top of each sheet of paper and indicate the part and numbe r of the ite m to which the answer refers. You must sign and date ea You must answer and complete each question since U not accept an incomplete Form N-648. You may, but are no ired to, attach to this completed form supportive medical diagnostic reports or records regarding the applicant. NOTE: Only medical doctors, doctors of osteopathy, or clinical psychologists licensed to practice in the United States (including the U.S. territories of Guam, Puerto Rico, and the Virgin Islands) are authorized to certif of the medical practice associated with the medical professional certif rm may assist in its completion, the medical professional is responsible for the accuracy of the f rm's content. Last Name Business Address (St Currently licensed as a D ame Zip Code or Postal Co Telephone Number E-Mail Address (ifany) D Doctor of Osteopathy D al Psychologist You can complete this form online at the link below to make it easier to read. Disability or impairment must have lasted or be expected to last 12 months or more. Applicants who can pass with reasonable accommodations do not qualify. N-648s cannot be completed by a representative for doctor' signature. It may be completed by the doctor's staff, but the doctor must sign it and is responsible for its accuracy. https://www.uscis.gov/n-648 For Training Purposes preters, ext PLICANT d in the i ended time fo r testing, and of f -site testing. I I Last Name First N ame Middle Name me) This N-648 is: USCIS A-Number Sufficient Insufficient Continued/RFE U.S. Social Securi ty Number Reviewer City State or Province Zip Code o r Postal Cod e Location & Date Telephone Number E-MailAddress (if any) Date of Birth Gender Male Female Type or print clearly in black ink. If yo -Nu ch co ntinuation sheet. SCIS will t requ y the foo orm. While staff o ofe n ing the fo First Name eet Numb er and Nam e) City License Number Licensing State 1. (Check all that apply): Medical Doctor Middle N State or Province de Clinic -------------------------------------------- 2. For m N-648 05/23/19 Applicant's Name USCIS A-Number A- Provide the clinical diagnosis of the applicant's disability and/or impairment, that form the basis for seeking an exception to the English and/or civics requirements. applicable, please provide the relevant medical code as accepted by the Department of Health and Human Services (HHS). This includes the Diagnostic and Statistical Manual of Mental Disorders (DSM) and the International Classification of Diseases (ICD). For example, DSM-V 318.1 Intellectual Disability (Severe) or 2015/16 ICD-10-CM F72 Severe intellectual disabilities. The description must be basic and general. You should define the condition for a non-medical audience. Avoid description that is specific to the patient. Words like "illiterate" or "uneducated" are red flags to USCIS and may cause the form to be denied, regardless of the patient's other diagnoses. Be sure to include the ICD-10 or DSM-V code! 1. Date (mm/ Date (mm/ Yes ( No (I th dd/ dd/ y y dd/ is fo yyy yyy )) If Location (if dif Location (if different from business address on Page I; other If"Yes," indicate duration of treatment.) Years rm instead of the regularly treating medical prof e ssional.) Months 1. erent from business address on Page I; otherwise type or print "same as business address") ise type or print "same as business address") ssional on the next page and explain why you ar jPart 3. INFORMATION ABOUT DISABILITY and/or IMPAIRMENT(S) 2. Provide a basic description of the disability and/or impairments, for example, Intellectual Disability (Severe) is a genetic disorder that causes lifelong intellectual disability, developmental delays, and other problems. 3. Date you first examined the applicant regarding the conditions listed in number 4. Date you last examined the applicant regarding the conditions listed in number 1, if different from above. 5. Are you the medical professional regularly treating this applicant for the conditions listed in Item Number 1? D D f"No," provide the name of the applicant's regularly treating medical prof Make sure the applicant's name and A-number are on every page. Form N-648 e certifying 05/23/19 Page 2 Applicant's Name USCIS A-Number A- Name of Regularly Treating Medical Professional and Address Explanation 6. Has the applicant's disability and/or impairments lasted, or do you expect it to last, 12 months or more? Is the applicant's disability and/or impairments the result of the applicant's illegal use of drugs? D What caused this applicant's medical disability and/or impairments listed in number 1, if known? If the cause is not known, you should write "unknown." COPY 7. 8. Last Name Business Address (Street Number and Name) Yes (If"Yes,"continue to complete this f D the "Medical Professional's Certification.") First Name City orm.) No (If "No," the applicant is not eligible f the "Medical Professional's Certificati Yes (If "Yes," the applicant is not eligible on.") State or Province or this exception and you need not complete for this exception and you need not complet If you are not the regularly treating medical professional, you must explain why you are the medical professional completing the form. No (If"No," continue to complete this for m.) Middle Name Zip Code or Postal Code Telephone Number the remainder of the questions. Please go directly to e the remainder of the questions. Please go directly to Form N-648 05/23/19 Page 3 Applicant's Name USCIS A-Number A- 11. In your professional medical opinion, does the applicant's disability or impairments prevent him or her from demonstrating the following requirements? If No specific tests are required for this section, but you must give a thorough explanation. You should describe the test(s), lay out the patient's results, and explain what those results mean and why they lead you to the diagnosis. You should use common language in describing the tests and results. One quick test that USCIS will accept for mental capacity is the Mini Mental State Examination. See minimental.com for more information. The causation is critical! USCIS will not approve the waiver without this explanation. You should: 1) Restate the disability and the symptoms 2) Explain how the symptoms make it impossible to learn new information 3) Affirmatively state the applicant is unable to take the test. If the patient's impairment would not prevent them from learning English or Civics, do not fill out this form. You can also use this space to discuss the applicant's medication(s) and how those medications affect the applicant's impairment. The ability to: Read English Write English Speak English (Check all that apply . none applies, the applicant is not eligible fo USCIS will not r this exception.) 9. What clinical methods did you use to diagnose the applicant's medical disability and/or impairments listed in number 1? 10. Clearly describe how the applicant's disability and/or impairments affect his or her ability to demonstrate knowledge and understanding of English and/or civics. D D 0 D Answer questions regarding United States history and civics, even in a language the applicant understands. Form N-648 05/23/19 Page 4 No (Optional) comp le tet he cert ificat For Training Purposes Only io n below. tion of the applicant guage spoken by this patient. Theref D America, that the information on this f USCIS, if requested to do so by USCIS, b 48 and related documents may also subje ction 1324c and Immigration and Nationa Interpreters, including family members and phone interpreters, must be listed. Applicant's Name 12. Was an interpreter used during your examination of the applicant? D Yes (If "Yes," the interpreter must complete the "Interpreter Certification" section.) 0 Additional Comments Complete the following if an interpreter was not used during your examina pertaining to the examinations that form the basis of this Form N-648. I am fluent in English and.....,.,---------------' the lan my examinations of this applicant. All medical professionals must D Permanent Resident Card D Other Identification (Indicate type and ID Number): I certify, under penalty of perjury under the laws of the United States of with it are all true and correct. I will furnish relevant medical records to I am aware that the knowing placement of false information on Form N-6 including under 18 U.S.C. section 1546, civil penalties under 8 U.S.C. se and civil license suspension or revocation by the appropriate authorities. between the applica State ID Number: nt and medical professional re, o an interpreter was not used during rm and any evidence submitted ased on the applicant's consent. ct me to criminal penalties lity Act (INA) section 274C, USCIS A-Number A- MEDICAL PROFESSIONAL' S CERTIFICATION I certify that this applicant's identity has been verified through the following United States or State government-issued photographic identity document: -------------------------------- Licensed Medical Professional Signature Date (mm/dd/yyyy) Date on N-648 must be within 6 months of the date the N- 400 is subm itted. Don't forget to sign! Form N-648 05/23/19 Page 5 Applicant's Name Applicant's Name INTERPRETER'S CERTIFICATION USCIS A-Number A- An interpreter must complete, and certify, the section below if an interpreter translated communications between the applicant and medical professional on the day of the examination that formed the basis of this Form N-648. Interpreter Information Last Name First Name Address (Street Number and Name) City Was a phone interpreter used? D Yes (If "Yes", the interpreter is not required to complete the information below.) D No (If "No", the interpreter is required to complete the information below.) Middle Name State or Province Interpreter Certification I am fluent as the interpreter, I certify that I am fluent in English and the following language: I further certify that I have accurately and completely translated all communications between the medical professional and the applicant that occurred on _____________ _, the dates of the examinations that form the basis of this certification. Interpreter Signature Date (mm/dd/yyyy) APPLICANT (PATIENT) ATTESTATION/RELEASE OF INFORMATION I, ________________________ , authorize ______________________ _ (Applicant's Name) (Licensed medical doctor, doctor of osteopathy, or clinical psychologist) to release to U.S. Citizenship and Immigration Services all relevant physical and mental health information related to my medical status for the purpose of applying for an exception from the English language and U.S. civics requirements for naturalization. I certify under penalty of perjury, pursuant to 28 U.S.C. section 1746, that the information I provided to the medical professional is true and correct. I am aware that the knowing placement of false information on Form N-648 and related documents may also subject me to civil penalties under 8 U.S.C. section 1324c and INA section 274C. I understand that if this form is not completely filled out or ifI fail to submit any required documentation, I may not be found eligible for the requested disability exception. Don't forget to sign! Zip Code or Postal Code (mm/dd/yyyy) (App licant's Name) place ment of f a lse information o ity exception. (mm/dd/yyyy) --- Applicant or Applicant's Authorized Representative Signature -tl' ___ Don't forget to sign! _______ ___.I Date COPY The date the interpreter and the applicant signed should be the same as the date you signed. Form N-648 05/23/19 Page 6
BRITISH WEST INDIES STUDY CIRCLE Affiliated to the British Philatelic Federation Hon. General Secretary: PETER G. BOULTON Acting Hon. Treasurer: RAY STANTON, Hon. Membership Secretary STEPHEN A. SHARP Hon. Editor: DENIS CHARLESWORTH Hon. Librarian: DEREK M. NATHAN Hon. Publications Officer PETER FORD Hon.Public Relations Officer DOUGLAS W. NOTTINGHAM Committee: S. GOLDBLATT, M. HAMILTON, D. MITTON Hon. Auditor: J.A.C. FARMER, F.C.A. North American Representative: W. CLARY HOLT OBJECTS 1. TO promote interest in and the study of the stamps and postal history of the islands that comprise the British West Indies and in addition BERMUDA, BRITISH GUIANA (GUYANA) and BRITISH HONDURAS (BELIZE) and the Postal History and markings of all other Caribbean territories during any period that they were under British administration or control, and those British Post Offices which operated in the Caribbean, and Central or South America. 3. TO loan books from the Circle library (home members only). Borrowers bear postage both ways. List supplied upon application to Hon. Librarian accompanied by an s.a.e. (9" x 6½") - 2nd Class postage for 150gm rate required. 2. TO issue a quarterly BULLETIN containing articles, items of interest and other features. 4. TO publicist 'wants' and furnish opinions on stamp(s) and/or cover(s) for a nominal fee. 5. TO encourage, assist or sponsor the authorship and publication of definitive handbooks, monographs or other works of reference appropriate to the aim in para 1 above. MEMBERSHIP & SUBSCRIPTION MEMBERSHIP - Is WORLD WIDE in scope and open to all whether they be new or advanced collectors. SUBSCRIPTIONS - The ANNUAL SUBSCRIPTION is £7.50 for members residing in the UK or Europe and £10 for members who reside elsewhere. Members residing in North America (Canada, USA, and the Caribbean) who do not pay their Subscription (dues) in sterling should pay by sending to the North American Representative (see above for address) a cheque for USA $15 made payable to "BWISC". Other overseas members who pay their subscription by cheque drawn in a foreign currency or on a foreign bank MUST add the equivalent of £3 sterling partially to cover exchange and bank charges. The overseas rates quoted include an element to cover postage of the Bulletin by Air Mail. Subscriptions (dues) are payable on 1st January each year and, subject to what is mentioned below, in sterling (by personal cheque or Standing Order drawn on a U.K. Bank, a Banker's Draft, International Money Order, Postal Order or local currency notes - no coins will be accepted - e.g. dollars, marks, francs etc.). IN THIS ISSUE 100 PROGRAMME 1999 Saturday 6th March - 10.15 to 12.15 International Stamp and Cover Show Venue: Royal Horticultural Hall, London. Speakers: Peter Baldwin - St. Kitts-Nevis 1938-50 Dennis Mitton - Bermuda Saturday 24th April - 2.15pm Annual General Meeting and Auction Venue: The Bonnington Hotel, Southampton Row, London. WC1 MATERIAL WANTED FOR THE MARCH AND ALL FUTURE BULLETINS PLEASE THE CONVENTION IN 1999 I understand that The Regent Hotel at Leamington is closing down on the 31st December 1998 and that the hotel will be demolished to make way for a different use. Our Hon. General Secretary Peter Boulton is making enquiries at other hotels in Leamington and, if necessary, in other parts of the Midlands. In the March 1999 bulletin there will be a further note as to the progress made in finding a new venue for our Convention. E. Victor Toeg 1999 SUBSCRIPTIONS Would Members please note that subscriptions for 1999 are due on the 1st January 1999 for those who have not already paid in advance. Those members for whom the 1999 subscription is due will find a subscription form enclosed with this Bulletin and I would be grateful if this could be returned to me with the payment (or to Clary Holt for those North American members who wish to pay in US dollars.) No form is enclosed if the 1999 subscription has already been paid. It would be much appreciated if all members could remember to pay their subscriptions on time to avoid the need to send out reminders wherever possible. Ray Stanton - Treasurer MEMBERSHIP LISTING New Members Andersen, F. Carmichael,P.D. Carter,l. Chandler,N.S. Cosentino,A.R. Davies,J.C. Ellis,R.M. Hancock,P. Johnson,R.I. McKinley,T.A. McMackin,H.J. Skeete,R. Taylor,B.W. Tweddell,E.T. Watkins,R. Wilkinson,A.L. Wynns,J.P. Change of Address and other membership information Our Hon Membership Secretary has stated that these details will be in the March 1999 bulletin. WIPEX MEETING - 26 th SEPTEMBER 1998 A most enjoyable meeting took place on Saturday 26th September at the Bonnington Hotel in London. As we do not count people through the door, we can only estimate the numbers visiting the WIPEX event. Fifty people seems about the right figure and included members from Europe, North America and New Zealand. Two new members joined the Study Circle on the day. In addition to Simon Goldblatt offering members material and Peter Ford selling our publications, the dealers present were David Druett, Michael Hamilton and Allan Leverton. Lower than usual sales were reported but this is understandable considering the quantity and quality of material at Pennymead's afternoon auction, where apparently realisations exceeded expectations. Few dealers and somewhat limited interesting material on sale, is surely a price worth paying for the opportunity of attending an exhibition in Central London with free admission and (for this year at least) unlimited coffee, at modest cost to the Circle. To provide more variety and, to be honest, reduce the workload of the helpers in transporting and constructing display frames we offered accompanied informal displays that are reported on by Dennis Mitton. During the afternoon session, Frank Deakin was presented with the Gilbert Collett award by Victor Toeg our President. Chris May, from a user's perspective, looks at the live Opinions session; the panel of experts being Simon Goldblatt, Allan Leverton and Charles Freeland. Steve Jarvis filmed the whole session and we must hope that the provider of the camcorder (not Steve) can transfer the record to video cassette and donate it to the library. Steve Sharp. Opinions Session The effectiveness of this part of the proceedings is very much dependent on the level of interest engendered by the material put forward for opinion. It is, after all, necessary to stimulate the interest of those present or they will consider the exercise not to merit their full attention. In this respect, it may be that an overhead projector and screen (which the Hotel could no doubt provide) would enable the audience to have a better grasp of the item being considered than is at present gained from Simon's undeniably very able verbal description. That said, the panel provides a convenient and very useful way (short of the formal opinion under the Study Circle's own arrangements) of obtaining an expert assessment and gaining valuable information as I was privileged to do in respect of the GB/Antigua EL that I put forward this year. My thanks go to all concerned including Michael Hamilton for additional information supplied subsequently. Chris May A Trophy for our Barbados Booklet. I duly took the 9 a.m. bus to London from Exeter that arrived at about 1 p.m. at Victoria, I then secured a cab to the Bonnington Hotel where, just before 3 p.m., Victor Toeg very kindly presented me with the useful Gilbert W. Collett Memorial Trophy, The trophy takes the form of a lovely Silver Dish, engraved with a rose in the centre and bearing on the rim "British West Indies Study Circle G.W. Collett Trophy - H.F. Deakin 1996 - 1997". I am delighted with it. Victor said a few kind words before he handed me the blue box from the "The Crown Jewellers", Garrard. He reminded those present that I had been a Circle Member for a long time, it must be about 40 years, and during that time I had built up an award-winning collection of Barbados, a small section of which I was invited to show in Claridge's Ballroom in 1995 and upon which I based much of the information in the booklet that was entitled "Advanced Barbados Philately". In my vote of thanks I thanked the members for their great generosity in giving me such a beautiful dish. A dish that I can not only display but also use as I have the pewter tankard that Stanley Gibbons gave me many years ago. Perhaps I am a little biased, but I think Peter Ford's illustrations in the booklet are really skilfully executed. I know he worked extremely hard on it over two years and I would like to thank him for all his advice and encouragement. He certainly deserves the thanks of all for his dedication and expertise in producing such a gem. Peter told me there was on this occasion more than one nomination for this particular award; let it be said that I won it "By a short head". I hope my 3 photos of the presentation come out all right. Frank Deakin Members Displays It has become a traditional feature at WIPEX for members to display a few pages on an informal basis. On behalf of the WIPEX committee I would like to thank those members who responded to my plea for display material. My descriptions of the displays is to give a general impression in order to wet the appetite of those members who did not attend. The following displays were shown in order of appearance:- BERMUDA - Dennis Mitton An almost complete display of QV stamps with many multiples plus some proof items. BRITISH GUIANA - Derek Nathan A beautifully presented display of postmarks that showed how a postmark collection should be displayed. LEEWARD ISLANDS - Michael Oliver Key plate varieties showing the development of flaws between QV and KGVI plus a display of the colours of stamps relating to the Universal Colour Scheme that included stamps of other countries. TRINIDAD & TOBAGO - Ron Wike As many of you are aware Ron is the co-author of the award winning book entitled "Machine Cancellations of Trinidad and Tobago 1923-97". This display showed the material that formed the basis of the book. BERMUDA - Charles Freeland It is rare in BWI circles to see a forgery collection of mainly QV issues. This display is probably the best Bermuda forgery collection around. TRINIDAD - Ron Wike The final display was of the censor marks of WWI and WWII that had in addition censor covers depicting instructional marks such as Return to Sender, Service Suspended, etc. In summary a very varied and interesting collection of displays with some unusual items. To the best of my poor recollection the following countries have yet to feature at WIPEX:- Antigua, Bahamas, Cayman, Dominica, Grenada, Montserrat, Nevis, St. Kitts, St. Lucia, Turks, Turks and Caicos. If you collect any of these countries would you please start preparing at least a dozen pages for next time. You only have to do one page every two months to be in time! Dennis Mitton BAHAMAS - Partial Removal of Marginal Rule on KGV 2d Value In Bulletin No.177 I illustrated a top corner margin example of the King George V 2d value from the centre of the sheet where the outer (duty plate) marginal rule was missing on the interpane gutter. I queried whether it was missing down the entire length of the gutter. Simon Kelly has since written to me and kindly enclosed a photocopy of a bottom marginal block (see Fig.1) which shows the same feature. It would therefore appear highly probable that the marginal rules were removed down the full length of the interpane gutter. Peter Fernbank Fig.1 BAHAMAS - Different Style of Sheet Number Imprint Also in Bulletin No.177 I showed that a different style of sheet number imprint had been employed on certain early printings of the King George V head issue, where the numerals were thinner than the normal style and had rather angular serifs. In this article I unfortunately omitted to mention which values were illustrated; these were the 4d (Sht. No. 086) and 1/- (Sht. No. 072) values. Both Simon Kelly and Graham Hoey have sent me details of further examples of the 4d value, and I now have sufficient examples to illustrate eight of the ten numerals of this thinner numeral style. For the 4d value five printings were made on Multiple Crown CA paper:- Two examples of the 4d provided by Graham Hoey, with normal and thin lettering styles, each shows a three digit sheet number greater than 100. These can only have emanated from the October and December 1912 printings, but at present it has not been possible to determine which is which. The 4d printing of December 1912 was accompanied by the 6d value and it is possible that this was also similarly numbered. Unfortunately neither of these two printings were accompanied by the 1/- value, the only other value so far encountered with the thin numeric font. A printing of this value was despatched in February 1913 and I consider it likely that this was sheet numbered using the thin numerals. If this is so then the period of use of this numbering machine would appear to be very small indeed, less than six months. Peter Fernbank BARBADOS - Bisects Re Peter Longmuirs useful article in the September bulletin, in which he described his pin perf, SG.15, bisected and used on a small piece. I would only say he is extremely fortunate to have located it in auction and I hope he did not have to pay too much for it. I am delighted to hear the Gibbons Catalogue Editor will be including a footnote reference to it after SG.16b in the 2000 edition. Some years ago Ritchie Bodily produced a rare bisect for me on a local cover, SG.66 issued 1874, the 1d bisected. The cover is not dated, but tied by a bootheel; in the 1948 B.P.A Cert there is the photo of the stamp on a piece of the cover. Bayley mentioned it on page 60 in his book, though Gibbons does not list it. I think the R.P.S are reluctant to certify these bisects on piece, even if they are dated. Frank Deakin BARBADOS - 1892 ½d on 4d Brown Provisional Further to Charles Freeland's interesting report in the September 1998 Bulletin I would agree that a single pane of red and black double surcharge seems improbable in light of the Burrus mint single showing both surcharges each without hyphen in the diagonal position. Charles's score of 17 examples 'PENNY HALF' is very impressive and as cancelled-toorder handstamps tend to overlap on to adjacent stamps one wonders whether a partial reconstruction is feasible. I have re-examined the misplaced "PENNY" cover to C.G. Weatherhead in Bridgetown, which bears 21 mm cds of AU 5 92 (i.e. not the JY 27 92 c-t-o late use of 19mm E2) and confirm that it is not with broken 'Y' (1st Printing, Position 42) as per below. Additionally the 'PENNY' stamp is on 4d pale brown whilst the previously illustrated used horizontal strip of three 'PENNY HALF' is on QV 4d deep brown. An Argyll non-illustrated advertisement of 21.12.78 (possibly in "Stamp Collecting") offered 2½d on 4d with local "SPECIMEN" described as being in purple at £1 25. I had presumed, perhaps incorrectly, that the panes of 60 had been stripped of their selvedge prior to surcharging. Should this have been the case I can report a 1st Printing single on cover to Nicholls at the Telegraph Office dated JY 11 92 (E2) with interpanneau margin attached at right. Lastly the QV 4d brown had diminished use when the rate to U.P.U. member countries was decreased to 2½d on, I think, January 1st 1891 although the QV 2½d ultramarine had been utilised from during 1882 for a special half ounce rate to Grenada, St. Lucia, St. Vincent, Tobago and Trinidad. With this in mind perhaps we should be looking for 1892 and later uses of the QV 4d brown, with their distinctive 21 mm and 19mm cancels, used at 4d postal duty but showing albino surcharging. One other longshot would be this provisional with CA INVERTED watermark as the basic QV 4d pale brown (SG.98) has been reported as such in the Freeland BWI Watermark Varieties inventory. Two articles have come to light - the first by an unknown author, the second from the London Philatelist 1908 that make interesting reading: 1892 July A provisional stamp of ½d made by surcharging the 4d brown of issue 14 with HALFPENNY in black Roman capitals in a horizontal line above the label containing the original value of the stamp. Wmkd Crown CA. Perf 14. VARIETIES 2. With double surcharge, first in red and than in black. 1. Without, hyphen between HALF and PENNY. When the stamps with the new design of "Arms" arrived in the Island, the authorities found that there was a considerable number of the 4d brown stamps of issue 14 remaining on hand. They thereupon determined that before issuing the stamps with "Arms" that this stock of 4d brown should be surcharged and used as ½d stamps. The surcharge was applied by the Colonial Government printer on panes of 60 stamps. A trial of the surcharge was made in red but only a single sheet is said to have been so printed, and this was afterwards surcharged in black. We have seen a specimen with this double surcharge that had a dated postmark of Ju.15-92. Five hundred sheets, that is 120,000 stamps, are stated to have been overprinted in black. The length of the surcharge varies from 17 to 17¾mm and the letters are 1½mm in height. The hyphen varies from almost a dot to ¾mm in length and numbers 7 and 50 of each pane of sixty have no hyphen. The surcharge on some of the sheets was printed very irregularly, and in place of being applied horizontally, is found either vertically or diagonally. In the last case pairs may be found, one stamp of which is surcharged and the other unsurcharged. The sheets with horizontal surcharge frequently have the surcharge out of register, so that the stamps only bear a portion of the words HALFPENNY. From the notices that appeared in the various magazines when this provisional made its appearance, it seems that speculators in the Island were allowed to get hold of the sheets, imperfectly surcharged, which in the ordinary course would have been placed on one side as spoilage; and the way in which the issue was managed altogether is, not calculated to throw credit upon the authorities concerned. London Philatelist Vol. XVII 1908 - J.A. Tilleard The overprinting of the ½d value on the 4d stamps in 1892 was, as in the case of the 1d on 5/- entrusted to Mr. Fraser, and executed in the West Indian Press. From the information given by him, it appears that the colour of the overprint was ordered by the Colonial Postmaster to be "red'. A trial sheet (pane) in this colour was struck off and was sent to the Postmaster, who considered that the colour was not sufficiently conspicuous, and accordingly returned the pane to Mr. Fraser with instructions to print off in "black" instead of "red". The pane returned was placed with the others and so went through the press again, and as Mr. Fraser had to account for every one at its full face value of £1, he was careful to return them all. The pane overprinted in the two colours was sold in the ordinary way with others, and it is quite certain, from Mr. Fraser's account that there was but one. The books of the West Indian Press show that some four or five weeks after the first printing a second small lot of 240 panes, or 14,400 stamps, were overprinted in black, and these can be distinguished by the heavier printing. Mr. Fraser denies that there was any intentionally careless printing, and he knew nothing of any vertical or diagonal surcharges. None of the stamps vertically overprinted are known to collectors in Barbados, while one or two copies only with diagonal overprint are found there, and these so slightly off the level as not to be worthy of notice as varieties of any importance. I have myself seen a portion of a sheet in which, the alignment being somewhat oft the level, some of the overprints on individual stamps could be called diagonal, but it so palpably arose from carelessness in inserting the sheets in the press, that in the ordinary way it would undoubtedly have been treated as printer's waste. A high price was asked for it, but I did not acquire it for H.R. Highness, who, I know, has a strong objection to encouraging the multiplication of varieties of this nature, by treating such "freaks" as worthy of the serious notice of collectors. Mr. Gregory, who has examined many sheets, gives the following as the varieties that he considers worthy of notice in the first setting: No.42 a broken "Y"; No.47 no bar to "H", or perhaps two "I"s have been used instead of "H"; No.50 hyphen missing. In the Barbados handbook No.7 is given also as without hyphen, but it is believed that this must have been due to a faulty impression in the stamp from which the description is give, as in all the sheets examined by Mr. Gregory the hyphen in No.7 show, although only faintly while he saw a portion of a sheet in which Nos.7, 13, and 19 were all without traces of the hyphen, although in other sheets traces of it are to be found. It is, of course, possible, where the bar is very faint or very small - and it varies considerably throughout the stamps - that it may often escape impression, although it may be in the "forme". It is not uncommon to see stamps in which, by a slight misplacement of the sheets in the printing process, the overprint does not read correctly, such as "Alf-Penny H", and one sheet was found reading "Penny Half", but I do not think that serious collectors are likely to attach much importance to such varieties. After a long search, Mr. Gregory found one stamp with "Penny" only upon it. It was No.42 with broken "Y", and was evidently the end stamp of the row in which the surcharge had been commenced too far to the left, no doubt on the margin. Being used and on the entire envelope, it had evidently served as 1d, or possibly even 4d as there is no ½d rate in Barbados for letters. In the second setting Mr. Gregory notices that the broken "Y" (No.42) has been corrected, and in No.50 a period has been inserted to serve for the missing hyphen. Michael Hamilton BARBADOS - Incorrect Day Book Index Entry Whilst looking through De La Rue's Private Day Books for the Bahamas entries recently I came across a mistake in the index to Book AC (July 1916 to March 1919). It was normal practice to make the index reference entry (hand-written in ink) at the time the invoice details were entered. In this case a Bahamas index entry, referring to page 98, turned out to be a Barbados invoice instead. Since the Barbados index line was immediately beneath that for Bahamas it is easy to see how the mistake occurred. I have no idea of the current state of knowledge on Barbados, or whether anyone has recorded the details of the various printings of this period, but for the record the details of the non-indexed Barbados invoice in Book AC page 98 are as follows.- 21st December 1916. Requisition 102/16 Postcards ½d - 50,808 1d - 6,132 Registration Envelopes 2d 'F' size - 3,170 2d 'G' size - 3,168 Advert FREDERICK P. SCHMITT Advert ARGYLL ETKIN LTD Advert CHRIS RAINEY Advert STAMP INSURANCES SERVICES Advert WILLARD S. ALLMAN Advert PETER SINGER Advert BRIDGER & KAY (GUERNSEY) LTD Advert Murray Payne Ltd BRITISH GUIANA - ELUSIVE NUMBERS Most of us, myself included, probably accept rather uncritically information about numbers of stamps printed, issued, surcharged or destroyed, once the figures have been recorded in writing. Browsing recently through some British Guiana Post Office statistics for the period 1891-1909 (these were published through Fred Melville three years later) I was brought up with a jolt. There are tables which carefully tabulate the denominations said to have been issued in each twelve-month period for which returns were available, and a "total value" entered for each year: yet the two sets of figures do not begin to balance, until the figures for the 1901 -2 accounting year are reached. After this the differences are not significant. In all the earlier years, the total recorded is materially higher than the individually recorded sales, as the following table shows - provided, of course, that my own totals have been calculated with reasonable accuracy. Curiously, in 1891-2 many rounded figures are used for stamp sales, whereas in all other years exact figures are ordinarily used - yet the discrepancy is much less in the earliest year. It is necessary next to consider what is said about the dollar values of the 1888 issue. Townsend & Howe quote an issue figure of 123,000 for each value other than the 2 cent, and then curiously attribute from a different source a figure of 121,800 for the $2 value only. T & H go on to record the following figures for surcharging, destruction, sales, and unattributed balance:- In fact the fourth column is unhappy: the figure for the $2 might as easily be 1895, and the $3 is 2844 as a matter of arithmetic. The suggestion is made that unattributed disposals would represent fiscal sales but the post office would have had no satisfactory way of distinguishing these. Indeed this point is borne out by the detailed figures, which include sales of the $2.40, $4.80, $9.60 and $12 values from 1899-1900 onwards. This is where the mystery begins to deepen. Total sales recorded are these:- $2 - 1279 (ending 1904-5) $1 - 144 (ending 1894-5) $3 - 7363 (continuing to 1908-9) $5 - 30652 (continuing to 1908-9) $4 - 655 (ending 1904-5) There can be no doubt that these figures relate to the 1888 issue because destruction of the $2 and $4 stamps was certified to have taken place in late January 1905, whereas the $3 and $5 values were not destroyed until February 1911. The sales individually recorded are open-ended to a degree, in the absence of returns for 1892-3. The period to 1891 may be less important, for the only sale recorded for 1891-2 was a single $1 dollar stamp! (imagine the sensation if you find a dated 1891 cancellation in your hands!). Now that the varying figures are in front of you, something has to give. The sales figures of the $5 stamp cannot live with the numbers certified as destroyed. In this instance the totals between 1894 and 1900 look suspect, both because sales for each year are - in this case only rounded to the nearest five, and because annual sales ranging from 2785 minimum to 5805 maximum compare with a subsequent peak figure of 2767 for not just the $5 but for all the new fiscal values as well. Yet if the postmaster was cooking the books he was making matters worse by widening the gap between sales as totalled and the values individually recorded. The $3 stamp causes fewer problems: sales were increasing towards the end of our period, and a total sale figure of around 12,000 would not have been impossible. In the case of the $2 value, it will be seen that recorded sales are inconsistent with the lower issue figure of 121,800, if the numbers surcharged and destroyed are to be accepted. The $1 and $4 stamps continue to cause problems. There is scope for additional sales in 1892-3, so that the figures which might have been returned could have reached around 250 and 700, respectively, but there is no way of explaining the non-inclusion somewhere of about 850 to 950 of each value, from the present statistics. I have not so far troubled to explain the tables for the cent values - some of which cannot be separated from other definitive issues - but it is worth noticing that of the 40c value, only about 250 are not accounted for (which the missing 1892-3 sales could easily explain) whereas with the 10c stamp it would seem that at least 14,000 more were destroyed than should ever have existed in the first place. It's a mess, isn't it! In practice, I believe the catalogue is right in viewing the $1 and $4 as the least available; if one lumps together copies that were unused, and were used either postally or fiscally, I doubt whether there is much to choose between the two. I have far more faith in the post office returns than the T & H statistics, when it comes to the $2 value; whereas the remaining two values ought to be pretty common when fiscally used, yet I do not believe that they are. One ought to find $5 stamps by the occasional packet, and I am not aware that one can. Meanwhile, how are we to interpret the sum of more than $63,000 that has apparently gone walkabout in the decade from 1891 ? If, for example, an uncounted 2,200 odd of the 20 cent stamp were duly sold (which is roughly the unattributed number in this case) we account for $440, and still leave $63,000 outstanding. So, if the solution lies in unattributed stamp sales, we need to look only at the high values; and we come back to the point that, for the most part, too many stamps seem to have been sold, rather than too few. What is more, the unexplained gap is huge. Suppose we treat all unaccounted stamps as belonging only to the period with which the returns under consideration deal, and assume them all as additional sales, these are my calculations - Something doesn't add up. Can anyone who has more knowledge of what was really going on in this period - not least of how post office statistics worked - begin to reconcile figures that have completely defeated me? Someone is going to suggest here that "Summary Jurisdiction" sales must be brought into account. I doubt it. My dated copies of the dollar values peter out in the late l870's. The separate Cents issues (up to 96c) go on into the present century, at least for the first few years. Several values, not all, correspond with values in the table. The stamps are not as plentiful as all that. Finally, were they obtainable at the Post Office, as opposed to the Court? Note, too, that the $3 and $5 values in the DLR ship type, unoverprinted were not issued until 1911. I am still stumped. Simon Goldblatt OVERSEAS MEMBERS RECENTLY SPOTTED IN LONDON Overseas members W. B. (Bill) Ashley of the USA and Mary Green from Barbados were spotted by members at the big postcard fair in London in September. I hope that they had a good time in this country and that they got some bargains at the fair. LEEWARD ISLANDS THE 1902 PROVISIONALS AN UNRECORDED VARIETY In the nineteenth and early twentieth centuries, it was not an uncommon occurrence in the British Colonies for the regularly used stamps such as the half penny and penny values to become exhausted before the arrival of fresh supplies from the printers in England. In such emergencies, stocks of little used stamps were overprinted locally with the missing values and sold at overprinted price pending receipt by the Postal Authorities of fresh stocks. This was not the case with the 1902 provisionals of the Leeward Islands. Following the death of Queen Victoria in 1901 there remained large unused stocks of the Queen Victoria 4d mauve and orange (SG.4), 6d Mauve and brown (SG.5) and 7d mauve and slate (SG.6) (used for the minimum parcel rate). The islands comprising the Leeward Islands were Antigua (including Barbuda and Redonda which in 1902 had no post offices on the islands), Dominica, Montserrat, St. Christopher (including Nevis and Anguilla) and the (British) Virgin Islands. The stamps of these individual islands were superseded by the general issue of stamps for the Leeward Islands on 31st October 1890. In 1898 the Leewards Executive Council approved the issue of Virgin Islands special stamps that appeared in January 1899. The 1902 Stamp Act allowed the Leewards Governor to authorise special stamps for the individual Presidencies, a move warmly welcomed by the islands who wished to preserve their individual identities and resulting in the issue of new stamps by the individual islands in 1903. The chances, therefore, of the Leeward Islands Queen Victoria issues of the 4d, 6d and 7d being sold for normal postage purposes within a reasonable time of Queen Victoria's death were fast diminishing by 1902. The choice was either to destroy the stamps or overprint them with a common value that would sell quickly. The latter option was chosen. These Queen Victoria stamps were printed in panes of sixty. The purpose for this was for ease of calculation of the values of the panes of stamps. There were 240 pence in the pound, so that for example, a pane of 60 4d stamps could easily be calculated as valued at £1. There were two settings of 60 subjects each, one for overprinting the 4d and 6d issues (figs. 1. and 2) and the other for overprinting the 7d issue in a different type (fig.3.). Of the stamps used for surcharging the 6d and 7d are known from Plate 1 (brown gum) and from Plate 2 (white gum) but the 4d is known from Plate 2 (white gum) only. Fig.2 Fig.3 The sheet margins were removed before the panes were overprinted. 37200 stamps (620 panes) of each of the 4d, 6d and 7d were overprinted and distributed in complete sets of three values, as to 16800 (280 panes) of each of the three stamps to Antigua; 12000 (200 panes) of each to St. Kitts; 6000 (100 panes) of each to Dominica; 1800 (30 panes) of each to Montserrat and 600 (10 panes) of each to the Virgin islands. They were issued on 11th August 1902 in St. Johns, Antigua and in the other Presidencies in the ensuing days. They quickly sold out to speculators and the general public had limited supplies of them. Quantities of philatelic covers were made and the suggestion is that some stamps were cancelled to order. Commercially used covers are rare. There are four known varieties of the "One Penny" overprint on the 4d and 6d stamps. There is a tall "O" in One (positions 1, 27, 29 and 40) (fig.4); a broken "e" in Penny (position 48); a broken "e" in One (position 55) and the bar underneath "One Penny" is missing on some panes only at positions 17 and 43. There are three known varieties of the "One Penny" overprint on the 7d stamp. The "nn" is raised in Penny (positions 56-58 and 55-59; the "e" in "One" is dropped (positions 51-53 55-58 and 56-58 and 60) and the second "n" in "Penny" is raised (position 54). I am writing to report a fourth variety of the One Penny overprint on the 7d stamp. To the naked eye "Penny" reads "Penay" with the "a" inverted but under high magnification the "a" in "Penay" is, in fact, a broken "n" (fig.5). The position is unknown; but it may be position 54 if the second "n" in "Penny" first became loose to form the raised second "n" in "Penny" variety and subsequently broke to form this new variety. The stamp in my possession is from plate 2. (white gum) and bears a Dominica postal cancellation. I have a copy of the one penny on 4d bearing a duplex type Nevis cancellation date stamp with the code letter A and dated JA 11 06 and an A 09 in an upright oval; the latter was used to cancel stamps by favour and it is not known used on cover (fig.6). Ian Jakes TRINIDAD AND TOBAGO From reports in the Trinidad Guardian of August 15th, 18th and 23rd, it has been announced that the New Zealand Post International Limited has been awarded the contract to manage and revamp the postal services for the next five years. The decision was announced in the House of Representatives by the Public Utilities Minister Ganga Singh. The New Zealand company was designated the preferred bidder for the management contract over other shortlisted firms, Canada Post, Deutsche Post and a British/Swiss Post alliance. Joe Chin Aleong B.W.I. AUCTION - No. 24 Material accepted for inclusion in the Auction will be offered for sale on the following terms..- 1 . All lots may be sold with or without reserve and the seller may participate in the bidding either himself or by an agent. 2. The buyer to be the highest bidder. 3. Wherever possible the description of a lot will include an estimate by the Circle of the price which it is expected to realise, and the lot will not be sold without the consent of the seller at substantially below 75% of estimate. 4. The Auctioneer will be appointed by the Auctions Sub-Committee designated by the Circle to organise the Auction Sale. The bidding shall be under the control and at the sole discretion of the Auctioneer, who shall have power to settle all disputes and to re-open the bidding in the event of dispute. He may withdraw lots or group two or more lots together without assigning a reason. 5. The Auctioneer reserves the right to bid on behalf of sellers and prospective buyers but shall not be liable for any errors or omissions in executing instructions to bid. 6. Lots will be sold with all faults, imperfections and errors of description and the Circle cannot be held responsible for the genuineness of any lot or of an individual item therein. Where however the buyer within 14 days after receipt of a lot (or such further time as the Auctions Sub-Committee may allow) satisfies the Auction SubCommittee that there is a substantial inaccuracy in the description and returns the lot in unaltered condition, the sale of that lot will be rescinded and the purchase price refunded to the buyer less any costs and expenses incurred by the Circle in connection with the sale. 7. The Circle will have a lien for all charges oh all lots sold or unsold. Payments for lots purchased (including collection charges where payment is made in local currency) shall be made by the buyer before delivery, which shall be at the risk of the buyer and shall include cost of postage and registration where sent by post. If the buyer does not pay for any lot within such period as the Auction Sub-Committee (in their sole discretion) may consider reasonable the lot may be re-sold by the Circle in any manner the Circle see fit and the buyer shall pay the difference between his bid price and the net realisation on re-sale (after deduction of commission and other attendant expenses) but the buyer shall not be entitled to any surplus arising on re-sale. A buyer resident in the dollar area must pay for lots bought either in dollars at the controlled rate of exchange with the addition of £1.50 to cover collection charges or by draft drawn on London. 8. Sale Commission charged to the seller will be:- On each lot sold: 10p on the first £1 or lower realisation, thereafter 10%. On each lot unsold: 10p. On each lot withdrawn by the seller: sale commission on 75% of the estimated value. On each lot unsold through failing to reach the sellers reserve: sale commission on the reserve price. These conditions apply as between buyer and/or seller and every officer member and agent of the Circle concerned on behalf of the Circle with any aspect of the Auction Sale. Further Information: a) All correspondence please to SIMON GOLDBLATT, 39 ESSEX STREET, LONDON WC2. b) Do not send any material for sale UNLESS it can be sent as an ordinary letter. For all bulkier items write to Simon Goldblatt first to find out whether these can be accepted. c) Stamps and Postal history items are equally welcome but, in the interest of both buyers and sellers, the Sub-Committee will not be accepting material for sale unless it has in their opinion some potential interest to members of the Circle. d) MATERIAL TO BE INCLUDED IN THE CATALOGUE FOR PUBLICATION IN THE MARCH 1999 BULLETIN MUST REACH SIMON GOLDBLATT BY 12TH JANUARY 1999 AT LATEST. e) The Auction Sub-Committee will be grateful for any specialised information that you include with your material for sale and for any personal assessment of its value, although no undertaking can be given that the Auction estimate will coincide with your own assessment. Remember that the more care you yourself take with the selection of items for sale, the better the realisation to be expected. f) The Auction Sub-Committee will not be responsible for the loss of or damage to items in their custody but unless you instruct to the contrary your material for sale will, if practicable, be held insured while in the hands of the Sub-Committee and the small cost will be divided rateably between the sellers. g) Please DO NOT write asking for lots to be sent for viewing by post, as the Auctions Sub-Committee are not equipped to offer this service. However, a 'Xerox' copy could be sent to you provided that with your request you enclose an S.A.E. together with an additional 32p stamp to cover cost. AROUND THE CARIBBEAN Further to the information about the Anguilla set of stamps detailed in the September bulletin and titled the "International Arts Festival Anguilla 1998". Some background information might be of use to members. During the summer of 1997 a group of international and local artists tested their prowess in the interpretation of their impression of Anguilla's uniqueness as a largely unspoilt region. The widely publicised event was held during January 1998 at the conference centre of the prestigious Sonesta Resort. The Anguilla Stamp Advisory Committee considered that such an event of international interest should form part of its stamp programme. 15c stamp Designer Valarie Alix. A native of France who now lives in St. Maarten as a professional painter. Designer Melsadis Fleming. 30c stamp Melsadis Fleming became interested in Ad as a subject during her initial teacher training course in Antigua before pursuing a course in ad and crafts at the MICO Teachers College in Jamaica. Beside being a professional artist in Anguilla, she is also employed as an Ads and Crafts teacher at the islands comprehensive school. $1.00 stamp Designer Juan Garcia - no personal details available. $1.50 stamp Designer Vema Hart An expressionist painter who lives in New York. She describes “Jazz” as the medium of her work. Studied at the Corcoran School of fine Arts in Washington D.C. and hold two master degrees in fine art and has received numerous awards for her work. $1,90 stamp Designer Ricky Racardo Edwards. A native of Antigua, Ricky Edwards is a self taught artist who has been painting for over fifteen years. He is an active member of the Antigua Art society and exhibits his work at the OECS building in Antigua FDC Designer George Sumner An internationally renowned artist who lives in Hawaii. JAMAICA - Commemorative stamp issue Release date: 31st July 1998 Values: $8.00, $10.00, $50.00 50th Anniversary of the University of the West Indies NEW PUBLICATION We have been notified by Larry Goldberg about a quarterly publication of which he is the Editor and Publisher. Entitled "George VI", it is for the specialist collector of the stamps of the reign of King George VI. Subscription is $10 for 4 issues and $17.50 for 8 issues for subscribers in the U.S.; elsewhere a subscription is $15 and $26.25 respectively. "George Vl" is a for-profit publication, and not associated with any society or study group. PUBLICATIONS FOR SALE The following are available from Peter Ford, 28 Orchard Close, Hail Weston, St. Neots, Cambs. PE1 9 4LF, Prices quoted are retail and include postage & packaging. Unless stated otherwise ALL despatches will be sent by SURFACE MAIL. All orders must be prepaid. Make sterling cheques / P.O's payable to "B.W.I.S.C." NOTE: U.S. members paying in U.S. dollar cheques MUST be made payable to "B.W.I.S.C." and sent with order to Clary Holt, P.O. Drawer 59, Burlington, NC27216. "BARBADOS POST OFFICE MARKINGS T0 1981" by Clarke, Radford & Cave. Price: UK - £17.00; Europe & Overseas - £18.00; US - $30.00 Members Discount - £2.00 US$4.00). DOMINICA - Its Postal History, Stamps & Postal Stationery to 1935 by E.V. Toeg, FRPSL Price: UK - £46.15; Europe & Overseas - £46.68; US - $81.69. No Members Discount. "THE LEEWARD ISLANDS ADHESIVE FEES STAMPS" by E.V. Toeg, F.R.P.S.L. Price: UK - £16.00; Europe & Overseas - £18.00; US - $30.00. Members Discount - £2.00 (US$4.00). "ENCYCLOPAEDIA OF JAMAICAN PHILATELY Vol.1 - The Postage Stamps to 1935 by APD Sutcliffe & S.P. Jarvis. Price: UK - £44.15; Europe & Overseas - £46.74; US - $85.00 CLASSIC COLLECTIONS - No. 1. "BARBADOS" by Frank Deakin Price: UK - £13.00; Europe & Overseas - £15.00; US - $24.00. Members Discount - £2.00 (US $4.00). BRITISH CARIBBEAN PHILATELIC STUDY GROUP RECENT MONOGRAPHS (All prices include surface postage) Leeward Islands: A Postal History Anthology (1997) 74p £13 Ludington, Postal History of Blockade Running Through Bermuda, 1861 - 1865 (1996) 51p £13 Forand & Freeland, Bermuda Mails to 1865 (1995) 124p £13 Devaux, Early Air Mails of Saint Lucia (1993) 26p £6.50 For details, please contact Cyril Bell 4445 Riverside Drive, Lilburn, GA 30347 USA Tel: 770 978 8948 Fax: 770 978 7547 Advert Pennymead Auctions Advert HARMERS of LONDON
USER MANUAL Amine Coupli ng Kit 1 for Proteins ( > 5 kDa) Functionalization o f 48mer nanolevers via amines (-NH CK-NH2-1-B48 Key Features - 2 - - Applicable for proteins (and peptides) (MW > 5 kDa) - Compatible with all Multi-purpose biochips - Suitable for parallel measurements via DNA encoded addressing with controlled quality of your product Includes reagents for five individual conjugation reactions (approx. 10-50 regenerations each; up to 500) Compatible with automated standard regeneration process pro www.dynamic-biosensors.com FIRE®purification for pure ligand-DNA conjugates Coupling of biomolecules with primary amines (e.g. NH -terminus, lysines) to modified nanolevers in a reaction tube Convenient standard chemistry switch SENSE® carrying sequence B48 2 ) Coupling of multiple ligands can be performed simultaneously Yields >95 % pure ligand-DNA conjugate Workflow Overview 3-Step Conjugation Workflow (in-vitro) 1. DNA Modification 2. Ligand Conjugation 3. Purification 4. Ready-to-use "complementary nanolevers" (cNL) are activated with amine reactive groups. After incubation the excess linker is removed by a spin column. The protein/peptide (ligand) is added to the functionalized cNL and incubated for at least 1 h. The ligand-cNL conjugate is purified using the proFIRE® system. After buffer exchange the conjugates are aliquoted and stored. The ligand-cNL conjugate stock solutions are ready for insertion in the DRX autosampler. 1. DNA Modification 2. Ligand Conjugation 3. Purification "complementary nanolevers" (cNL) are activated with amine reactive groups. After incubation the excess linker is removed by a spin column. The protein/peptide (ligand) is added to the functionalized cNL and incubated for at least 1 h. purified using the Time line: Hands on time < 1 h \| Incubation ~ 2 h \| Total ~ 3 h Measurement Workflow with ligand-cNL conjugates CK-NH2-1-B48_v6.0 www.dynamic-biosensors.comPage 2 of 12 ② Interaction measurement while flowing analyte solution (association) or buffer solution(dissociation) over the chip. ⓪ The ligand-cNL analyte complex is washed away from the surface by DNA denaturation under basic pH conditions, which ensures a complete removal of the analyte. ② cNL conjugate. ⓪ switch Functionalization of the ① → → → ① SENSE® biochip with ligands by automatic hybridization of ligandProduct Description Order Number CK-NH2-1-B48(nanolever sequence B48) TABLE 1 \| Contents and Storage Information \| Material \| Cap \| Amount \| Storage \| \|---\|---\|---\|---\| \| cNL-B48-01 \| blue \| 5 x \| -20°C \| \| cNL-A48 (1 µM) \| yellow \| 500 µL \| -20°C \| \| Buffer C (50 mM Na HPO /NaH PO pH 8.0, 2 4 2 4 150 mM NaCl) \| trans- parent \| 5 x 1.8 mL \| -20°C \| \| Buffer A (50 mM Na HPO /NaH PO pH 7.2, 2 4 2 4 150 mM NaCl) \| trans- parent \| 1.8 mL \| -20°C \| \| Buffer PE40 (10 mM Na HPO /NaH PO pH 7.4, 2 4 2 4 40 mM NaCl, 0.05 % Tween, 50 µM EDTA, 50 µM EGTA) \| trans- parent \| 5 x 1.5 mL \| -20°C \| \| ddH O 2 \| trans- parent \| 1.5 mL \| -20°C \| \| Crosslinker \| green \| 5 x \| -20°C \| \| Purification spin column \| red \| 10 x \| 2-8°C \| \| 2.0 mL Reaction tubes for Purification spin column \| \| 10 x \| r.t. \| \| Centrifugal filter unit (3 kDa MWCO)1 \| \| 5 x \| r.t. \| Material cNL-B48-01 cNL-A48 (1 µM) Buffer C (50 mM Na 2 HPO 4 /NaH 2 PO 4 150 mM NaCl) Buffer A (50 mM Na 2 HPO 4 /NaH 2 PO 4 150 mM NaCl) Buffer PE40 (10 mM Na 2 HPO 4 /NaH 2 PO 2 4 2 4 2 4 2 4 2 4 2 4 40 mM NaCl, 0.05 % Tween, 50 µM EDTA, 50 µM EGTA) ddH 2 O Crosslinker Purification spin column 2.0 mL Reaction tubes for Purification spin column Centrifugal filter unit (3 kDa MWCO) CK-NH2-1-B48_v6.0 1 Cap Amount Storage Comment blue 5 x -20°C yellow 500 µL -20°C pH 8.0, trans- parent 5 x 1.8 mL -20°C pH 7.2, trans- parent 1.8 mL -20°C pH 7.4, trans- parent 5 x 1.5 mL -20°C For conjugation of proteins with a molecular weight higher than 20 kDa: Centrifugal filter units with a MWCO of 10 kDa can trans- 1.5 mL -20°C be ordered for a faster concentration process (Please see page 10 for order number). parent green 5 x -20°C www.dynamic-biosensors.com Please check date of expiry on the kit. Products are shipped at ambient temperature. The kit contains reagents sufficient for 5 conjugations of approx. 50-200 µg biomolecule each. The resin slurry of the Page 3 of 12 Purification spin column contains 0.02 % sodium azide. For in vitro use only. Centrifugation collection tube red 10 x 10 x 5 x 10 x 2-8°C r.t. r.t. r.t. Additional Materials Required TABLE 2 \| Additional Materials. Material Comment Benchtop microcentrifuge Capable between 1,000 x g and 13,000 x g Vortexer 1.5 mL reaction tubes UV-Vis spectroscopy (e.g. Nanodrop) Concentration determination of the conjugate All necessary solutions and buffers are included in the kit. Important Notes Do not use any buffer containing primary amines (i.e. TRIS, glycine) during conjugation process. Dithiothreitol (DTT) can be used up to 1 mM during the conjugation process. Do not use 2-Mercaptoethanol or other thiol-based reducing agents during conjugation process. If a reducing agent is necessary, TCEP is recommended up to 1 mM. For reducing agents during interaction measurement, please refer to the switch SENSE® compatibility sheet (application area on www.dynamic-biosensors.com/switchsense 1 www.dynamic-biosensors.comPage 4 of 12 See page 10 for order no. firstname.lastname@example.org For more information, please email. email@example.com. . ). CK-NH2-1-B48_v6.0 Avoid using partially purified protein samples or protein samples containing carriers (e.g. BSA). To get highest reaction yields, the ligand should be dissolved in Buffer C. Buffer exchange is recommended prior to conjugation process 1 Before you begin, briefly centrifuge all tubes with blue, green, yellow and transparent caps to ensure that all material is at the bottom of the tubes. For molecules with a molecular weight around or lower than 5 kDa, special care during purification process shall be taken. A few peptides may not give a proper purification using the provided chromatographic column. For more information please email If the pI of the protein is < 6, it might be necessary to use CK-NH2-7-B48. 3-Step Conjugation of a Biomolecule to a Nanolever in a Reaction Tube a. Please read the entire protocol before starting and perform conjugation without interruption. b. TIP: the protocol can be performed simultaneously for multiple coupling reactions. c. I d. Nanolever Modification 1. Equilibrate two purification spin columns for one coupling reaction: e. Centrifuge at 1,500 x g for 2 min to collect the sample (flow-through). a. Remove column's bottom closure and loosen cap (do not remove cap). Discard Purification spin column after use. b. Place column in a 2.0 mL reaction tube. c. Centrifuge at 1,500 × g for 1 minute to remove the storage solution. d. Add400 µL of Buffer C on top of column´s resin bed. Centrifuge at 1,500 × g for 1 minute to remove buffer. e. Repeat step d once, discard buffer from the reaction tube. The Purification spin column should be in a dry state now. 2. Dissolve cNL-B48-01 (blue cap) in40 µL Buffer A prior to use and vortex until solids are completely dissolved and spin down shortly. CK-NH2-1-B48_v6.0 www.dynamic-biosensors.comPage 5 of 12 the resin bed. Remove cap of spin column number 2 and apply the sample from step c on top of Centrifuge at 1,500 x g for 2 min to collect the sample (flow-through). Discard Purification spin column after use. Remove cap of spin column number 1 and apply the sample from step 5 to the top of the resin bed. 2 Place columns from step 1 in new 1.5 mL reaction tubes. 4. 5. 6. 10 µL temperature. IMPORTANT 3. Add IMPORTANT completely dissolved and spin down shortly. Dissolve the crosslinker (green cap) by adding100 µLddH O and vortex until solids are : Always use fresh compounds. of the freshly prepared linker solution to one nanolever aliquot (cNL-B48-01, blue cap). Discard the remaining linker solution from step 3. 5 minutes Vortex the reactants for 10 sec, spin down and incubate them for at room : Do not exceed incubation time as the reaction yield will decrease. Sample loading II Ligand Conjugation c. 7. Add approx. 100 µg sample from step 6. For optimal conditions use a volume of approx. 50 µL. EXAMPLE: Adjust protein concentration to 2 mg/mL and use 50 µL for conjugation. IMPORTANT: Be sure that the storage buffer of the ligand does not contain any primary amines, e.g. TRIS buffers, glycine (please see page 4, Important Notes). d. 8. Mix the reaction by pipetting up and down and let it react at room temperature for e. (up to 200 µg) of the ligand (concentration approx. 0.5 – 50 mg/mL) to the 350 µL of PE40 (or TE40, HE40) buffer and centrifuge at 13,000 x g for PE40 10 minutes (or TE40, HE40), please check buffer compatibility with SENSE® compatibility sheet (Application area on). at least 1 hour. centrifugal collection tube (provided in the kit). IMPORTANT reaction time (e.g. overnight). III proFIRE®Purification Please refer to the 9. Perform a purification using the If the volume is less than 160 µL, add Buffer C. If it exceeds 160 µL, please perform two subsequent runs. CK-NH2-1-B48_v6.0 : Do not vortex. If necessary, the reaction can be carried out at 4 °C with a longer 2 minutes at 1,000 x g to transfer the sample to the tube. proFIRE®User Manual. proFIRE®. Please make sure that the sample volume is 160 µL. proFIRE® www.dynamic-biosensors.comPage 6 of 12 15 minutes (or TE40, HE40) buffer and centrifuge at 13,000 x g for.. switch 350 µL of PE40 10. 11. IV 12. b. 500 µL Add to identify which fractions contains pure conjugate. proFIRE® Purification of a Ligand-cNL Conjugate) an of the first fraction containing the ligand-DNA conjugate 10 minutes from the proFIRE® and discard flow-through. to o o Use the Data Viewer software of the On page 8 (Additional Information section: example chromatogram is shown. Take the recommended fractions out of the fraction collector. Buffer Exchange the centrifugal filter unit. Centrifuge at 13,000 x g (up to 14,000 x g) for Add the remaining fractions in the same filter unit and repeat the centrifugation step in order to collect all samples in one tube (Please check on page 9: Additional information for the right use of centrifugal filter unit). Add Discard the flow-through again. If the protein is not stable in the www.dynamic-biosensors.com/switchsense Add Discard the flow-through again. To recover the ligand-DNA conjugate, place the centrifugal filter unit upside down in a new Spin for V Optional: Concentration 13. Check ligand-DNA conjugate concentration after buffer exchange by using absorbance at 260 nm and the following equation: c (ligand-DNA conjugate)= A260 nm/(490,000 L mol d = optical path length (usually d = 1 cm, please check photometer manual for further information). VI Aliquots and Storage 14. Adjust the concentration to (including up to 10 % glycerol if needed) and prepare 15. Store between 8 °C and -86 °C as desired. IMPORTANT: Please add prior to an interaction measurement the appropriate reference cNL (e.g. cNL-A48) to the conjugate solution. CK-NH2-1-B48_v6.0 -1cm-1* d) 200 nM – 1 µMwithPE40(or TE40, HE40) buffer 20 µL aliquots. www.dynamic-biosensors.comPage 7 of 12 Additional Information IproFIRE®Purification of a Ligand-cNL Conjugate 1. To perform a size analysis during the measurement it has to be ensured that there is no free DNA on the chip and only 1:1 conjugates are present. Therefore crude ligand-cNL-B48 conjugates have to be purified by ion exchange chromatography. This quality control step gives you additional useful information about your sample purity. 2. We recommend using the provided pro FIRE®system equipped with an ion exchange column. For an example chromatogram, see figure below. Prepare 250 mL Buffer A (50 mM Na 2 HPO 4 / NaH 2 PO 4 pH 7.2 and 150 mM NaCl) 1 and 250 mL Buffer B (50 mM Na 2 HPO 4 /NaH 2 PO 4 pH 7.2 and 1 M NaCl) 1. 3. Collect the ligand-cNL conjugate fraction (here: 8-10), concentrate the conjugate and exchange buffer with your buffer of choice using a Centrifugal filter unit, as described in section II (Additional information, page 9). chromatogram of a ligand-cNL-B48 conjugate purification. /NaH PO Flow: pH 7.2, 150 mM NaCl; Buffer B: 50 mM Na 1 mL/min. HPO /NaH PO pH 7.2, 1 M NaCl. www.dynamic-biosensors.comPage 8 of 12 1 See page 10 for order no. CK-NH2-1-B48_v6.0 Column: DBS-Chromatographic column. Used program: DNA length 48,Type 1. Used buffers: Buffer A: 50 mM Na HPO proFIRE® II Buffer Exchange and Concentration with Centrifugal Filter Units 1. Take one centrifugal filter unit, add the appropriate volume of buffer in the filter device, and cap it. 2. Place capped filter device into the centrifuge rotor, aligning the cap strap toward the center of the rotor; counterbalance with a similar device. 3. Spin the device at 13,000 x g (or 14,000 x g) for the given time. 4. Remove the flowthrough and repeat the steps 1-3. 5. Remove the assembled device from the centrifuge and separate the filter device from the microcentrifuge tube. 6. To recover the conjugate, place the filter device upside down in a clean centrifugal tube, aligning open cap towards the center of the rotor; counterbalance with a similar device. Spin for 2 minutes at 1,000 x g to transfer the sample from the device to the tube. CK-NH2-1-B48_v6.0 www.dynamic-biosensors.comPage 9 of 12 Useful Order Numbers TABLE 3 \| Order Numbers. 4 Order Number kit 1 for proteins (>5 kDa); cNL-B48 and NHS Product name Amine coupl in g modifier, sufficient for 5 conjugation series Amine coupl in g kit 2 for proteins (>5 kDa); cNL-B48 and NHS modifier, suf fi ci ent for 5 conjugation series (spin column purification ) Amine coupl in g kit 7 for proteins (>5 kDa) with a low pI (< 6); cNL-B48 and NHS modifier, sufficient for 5 conjugation series Centrifugal fi lt er unit (3 kDa MWCO), 5 pcs. Centrifugal fi lt er unit (10 kDa MWCO), 5 pcs. Chromatographic column 10x Buffer A pH7.2 (50 mL of: 500mM Na 2 HPO 4 /NaH CK-NH2-1-B48_v6.0 CK-NH2-1-B48 CK-NH2-2-B48 CK-NH2-7-B48 CF-003-5 CF-010-5 TB-CC-1-1 , 1.5 M NaCl) BU-P-150-10 www.dynamic-biosensors.comPage 10 of 12 Yields 0.5 Lo 5x Buffer B p (50 mL of: 25 Yields 0.25 L 1x Buffer C p (12 mL of: 50f: 5 H 7 0 of: H 8.2 m.0 mM 0 mM Na M Na 50 mM Na HPO HPO 2 /NaH PO /NaH HPO PO /NaH PO , 150 mM NaCl , 5 M NaCl) PO , 1 M NaCl Na2HPO4/NaH2PO4, 150 mM NaCl) BU-P-1000-5 BU-C-150-1 My Notes CK-NH2-1-B48_v6.0 www.dynamic-biosensors.comPage 11 of 12 Contact Dynamic Biosensors GmbH Dynamic Biosensors Inc. Perchtinger Str. 8/10 300 Trade Center, Suite 1400 81379 Munich Woburn, MA 01801 Germany USA Phone: +49 89 89 74 544 0 Phone: +1 781 404 6126 Order Information Technical Support Phone: +49 89 89 74 544 0 Email: firstname.lastname@example.org Phone: +49 89 89 74 544 66 Email: email@example.com SENSE® is a proprietary measurement technology by Dynamic Biosensors GmbH. Instruments and biochips are engineered and manufactured in Germany. ©2023 Dynamic Biosensors GmbH \| Dynamic Biosensors Inc. All rights reserved. www.dynamic-biosensors.comPage 12 of 12 CK-NH2-1-B48_v6.0 switch
Sky Isla Sky Isla Sky Island Tours nd Tours nd Tours nd Tours Jeff Babson firstname.lastname@example.org www.SkyIslandTours.com Phone: 520-488-8551 August 2, 2015 The Sky Island News Vol. 6 No. 8 August 2015 Somehow it is August already. 'Fall' migration is already underway as evidenced by the number of shorebirds at Lake Cochise and the Western Tanager that are being seen outside of their pineland breeding grounds. Butterflies are conspicuous as their numbers swell with the continuing monsoonal moisture coming up from Mexico. Moths and beetles are covering blacklight sheets everywhere in southern Arizona. August also means it is time for the Tucson Bird and Wildlife Festival, from the 12 th to the 16 th . I hope to see you there! I hope that you all enjoy this month's issue of the newsletter. August Field Trips I also do private field trips for birds, butterflies, dragonflies, and general natural history. Give me a call (520)-488-8551 or visit www.SkyIslandTours.com for rates and more information. Cienega Creek and Davidson Canyon. Fri., 8/14. 5:30-11:00AM. Part of the Tucson Birding and Nature Festival. Trip repeated on Sun., 8/16. The perennial stream flow and lush riparian vegetation is an important nesting and migration corridor for a multitude of avian species. Home to Gray Hawk, Yellow-breasted Chats, Yellow-billed Cuckoos, Northern Beardless-Tyrannulets, Bell's Vireos, and Lucy's Warblers, the creek has also hosted of a number of vagrants. Under the shade of towering Fremont cottonwoods, we will explore this well-watered and increasingly rare habitat on a half-day outing. We will arrive back at the Riverpark Inn by 11:00am. Lake Cochise Shorebirds. Mon., 8/17. 8:00AM-12:00PM. Cost is $10/person. Call 488-8551 or email (email@example.com) to register. Black-necked Stilt, American Avocets, and Stilt Sandpipers at Lake Cochise. August offers the opportunity for some of the best shorebird watching of the year in southern Arizona. On this trip we head east to Lake Cochise in Willcox, where we hope to see Longbilled Curlew, American Avocet, Baird's Sandpiper, Wilson's Phalarope, and more. With shorebirds you never know what might show up! Bring water, hat, sunscreen, and snacks. We will meet at the carpool area at I-10 and State Route 83 and carpool to the lake. Monastery Mississippi Kite Trip. Wed., 8/19. 8:00AM-12:00PM. Cost is $10/person. Call 488-8551 or email (firstname.lastname@example.org) to register. Limit 10 participants. Mississippi Kites breed in only a few locations in southern Arizona. The monastery in St. David is the best spot to look for this acrobatic raptor. We will also search for riparian birds like Summer Tanager, Yellow-breasted Chat, and Tropical Kingbird, among August 2, 2015 others. Bring water, hat, sunscreen, and snacks. We will meet at the carpool area at I-10 and State Route 83 and carpool to the monastery. Pima County Classes and Trips These trips are offered by the Pima County Department of Natural Resources, Parks, and Recreation. They are all free. Call (520)615-7855 X3 for more information. Please note that some trips require reservations. For descriptions of these trips and other programs offered by the Environmental Education Division, visit http://www.pima.gov/nrpr/eeduc/environ.htm. Starting in September online reservations and a $5.00 fee will be required for all Pima County Natural Resources Programs. Registration will be through the Pima County NRPR website portal, which will go online this month. Wake Up With the Birds. Every Thurs. 7:30-9:00AM. Agua Caliente Park (12325 E. Roger Rd.). Birding Sweetwater Wetlands. Tues., 8/4. 7:30-9:30AM. (2667 W. Sweetwater Dr.). Nature Night: Bats in Flight. Fri., 8/7. 6:30-8:30PM. Rillito River Park (4200 N. Campbell Ave.). Dragons and Damsels of Agua Caliente Park. Tues., 8/11. 8:00-9:30AM. Agua Caliente Park (12325 E. Roger Rd.). Butterflies of Agua Caliente Park. Tues., 8/18. 8:00-10:00AM. Agua Caliente Park (12325 E. Roger Rd.). Birding the Santa Cruz River. Fri., 8/21. 7:30-9:30AM. Meet at Wheeler Taft Abbett Library (7800 N. Schisler Dr.) in Marana. RESERVATIONS REQUIRED. Nature Night: Desert Night Shift. Sat., 8/22. 7:00-9:00PM. Agua Caliente Park (12325 E. Roger Rd.). Nature Night: Desert Night Shift. Fri., 8/28. 7:00-9:00PM. Tucson Mountain Park Ironwood Picnic Area (1548 S. Kinney Rd.). August Classes North American Mammals Part 2: Hoofed Mammals. Mon., 8/10. 10AM-12PM. East Center (7 S. Abrego Dr. in Green Valley). Call 625-4641 to register. *NEW* This class looks into the biology, classification, and conservation of these familiar mammals. We look at the pronghorn, javalina, deer, elk, moose and wild sheep and goats of North America. Many of our hoofed mammals are famous for their grace and speed. They are also North America's most popular game mammals. Join us for a look into these wonderful mammals. Bounteous Beetles. Thurs., 8/13. 6-8PM. Cochise College (901 N. Colombo Ave. in SierraVista). Call 5155492 to register. Welcome to the amazing diverse world of beetles, the single largest group of insects on the planet. They are also full of contradictions. Beetles can be pests or beneficial predators of pests. They can be brightly colored or dull. They range in size from the head of a pin to half a foot. Live specimens will be brought to class. Caught in a Web: Amazing Arachnids. Thurs., 8/20. 68PM. Tucson Botanical Gardens (2150 N. Alvernon Way). Call 326-9686 X18 to register. Arachnids include such eight-legged creatures as spiders, scorpions, August 2, 2015 and daddy-long-legs. Many fear these remarkable animals, however this class seeks to dispel any such apprehensions while introducing participants to the curious world of arachnids. The Bizarre and Wonderful World of Flies. Mon., 8/24. 10AM-12PM. Las Campanas (565 W. Bell Tower Dr. in Green Valley). Call 648-7669 to register. Flies make up the insect order Diptera. They are second only to beetles in terms of number of species. Unfortunately, most people think of mosquitoes, horse flies, house flies, and other pests when they think of flies. However, other flies are important pollinators, predators and parasites that are important for maintaining ecosystems in balance. Do you like chocolate? Thank a fly. Join us for a different look at these abundant insects. In The Binoculars This section highlights upcoming events. Tucson Herpetological Society Monthly Meeting (8/12). Don Swann, biologist at Saguaro National Park, presents 'Herpetofauna of the Rincon Mountains, a northern Sky Island.' Meetings are held at the Ward 3 Office (1510 E. Grant Rd.) begin at 7:15PM. The Tucson Herpetological Society is a great local organization 'dedicated to the conservation, education, and research of the reptiles and amphibians of Arizona and Mexico.' THS also publishes the bimonthly newsletter, The Sonoran Herpetologist. Visit http://tucsonherpsociety.org/ for more information. Search for the Five-Striped Sparrow Trip Report One of the most sought-after birds in southern Arizona is the Five-striped Sparrow. I have seen estimates that only 10-20 pairs of Five-striped Sparrows occur in Arizona. Add to that the fact that the best place to see them is in California Gulch, a remote spot accessed by only one long dirt road that can be impassable if there have been heavy rains. Put it all together and you get a special bird! A group of adventurous birders joined me on a quest to California Gulch to try to find Five-striped Sparrows. On the road into the Gulch, we had a good omen- a Black Witch moth, one of the largest in the state, fluttered in front of the cars, before landing on a tree trunk and providing a photo opportunity. Always a good sighting! I was also encouraged as the road was in good shape with no standing water or wash outs. After arriving at the Gulch, we grabbed water bottles, cameras, and walking sticks and headed down. I had told the group that even though we were going to the most reliable site for the bird in the country, it was no guarantee that we would see it. I had been to the Gulch more than once and come back emptyhanded. So down we went, the group upbeat and optimistic. After a short hike, we reached the bottom of the Gulch. We quickly saw a pair of Brown-crested Flycatchers. But what was that sound we were hearing? At that same moment, we had a Five-striped Sparrow singing within 15 feet of our heads! The bird hung around for a couple of minutes, giving everyone great looks and photos. After more than an hour's drive and tempering expectations, we had our target within seconds of reaching the bottom of the Gulch! It would have been crazy to leave so quickly after finding our target, so we continued birding. Eventually, we would see Bell's Vireo, Rock, Canyon, and Bewick's Wrens, Blue Grosbeak, Black-tailed Gnatcatcher, and Ladder-backed Woodpecker, among others. August 2, 2015 Everyone was in good spirits as we headed back out of the Gulch to head home. At the parking area, we quickly added a gorgeous male Varied Bunting that put on quite a show, jauntily moving from perch-to-perch and posing for pictures! Shortly thereafter we spied an equally stunning male Hooded Oriole probing some ocotillo flowers. What a fantastic, and colorful, way to end the trip! I thank everyone who came out on the trip. It was a great group and a lot of fun to spend time in the field with you. And thanks also go to that Black Witch for sending some positive karma our way! National Moth Week Blacklight Nights Report As part of National Moth Week, I hosted two blacklight nights- one in Madera Canyon, the other at Middle Bear Picnic Area on Mt. Lemmon. As with all National Moth Week events, these two nights celebrated the 'beauty, life cycles, and habitats of moths'. The event at the Madera Picnic Area was, as things turned out, on a cool, damp evening that followed a rainy day. The rain had mostly stopped, however, by the time the festivities got started, so I decided to press on. Happily, I was joined by a dedicated group of moth-ers that wasn't about to let a little rain stop them from looking at moths! One of the first moths to come to the light was Scolecocampa atriluna, a straw yellow beauty with bold black spots and blotches on the forewings. Soon to follow was Dichagyris socorro, a dark brown and black beauty with striking buffy orbicular and reniform spots and blaze along the leading edge of the forewings. Both of these moths are in the Noctuidae, or owlet moth, family. It turned out that we got some good beetles, too- Chrysina gloriosa, a beautiful apple green and liquid gold scarab, and numerous Hammond's Lined June Beetles (Polyphylla hammondi). Virbia ostenta The second blacklight night was considerably drier than the first. In fact it was a perfect evening for bugging- temperatures in the mid-70s with the ponderosa pines bathed in the glow of a half moon. One of the most plentiful moths on this night was Virbia ostenta, a tiger moth with orange forewings that hide scarlet hindwings with a broad black terminal band. To see the colorful hindwings, though, you have to be quick because they rapidly conceal them upon landing. Also present were several Diathrausta reconditalis, a black, white, and orange beauty that always looks like its ready for Halloween. This moth is in the Crambidae, the snout moth family and is known as the Recondite Webworm Moth. We also had some Phaeoura perfidias, big geometers that look a lot like tree bark. They are among the largest geos in North America. A pair of Datana integerrima, a grayish-brown moth with paler lines that curve elegantly from the costa to the trailing edge of the wings, graced us with their presence. This is a moth in the Notodontidae, popularly known as prominents. There were many other moths, as well as, beetles including Chrysina lecontei, another sensational apple green scarab. Thanks go out to all who attended these events. It was fun celebrating National Moth Week with you! It's That Time of Year Again- the 2015 AOU Checklist Update Every July the American Ornithologists Union (AOU) Checklist Committee- North and Middle America publishes their annual supplement to the Checklist of North American birds. The 13 members of the committee review proposed changes to the checklist based on peer-reviewed research published in a variety of scientific journals. After review of the literature, committee members then discuss each proposal. Ultimately, each proposal is voted on and those changes that are accepted are published in the annual supplement. Each supplement is met with a certain amount of angst by some birders as these changes may require alteration of their life list. August 2, 2015 In the following paragraphs I discuss this year's supplement as it pertains to the birds of North America. Bear in mind that additional changes affect birds found in Mexico, Central America, and the Caribbean that I will not discussed here. Another important note for birders is that the AOU Checklist is not exactly the same as that of the American Birding Association (ABA), although in most cases the ABA follows the AOU decisions. Zino's Petrel (Pterodroma madeira) is added to the checklist based on a record off the coast of Cape Hatteras in 1995. Pelagic birds are also the subject of a couple of splits that affect the AOU checklist. The Herald Petrel (Pterodroma heraldica) is split from Trinidade Petrel (P. arminjoniana), due to assortative mating where the two species overlap. Trinidade Petrel, which breeds on islands in the South Atlantic and Indian Oceans, has been regularly recorded off of North Carolina. The Herald Petrel has been recorded in Hawaiian waters, but breeds in the tropical South Pacific. Newell's Shearwater (Puffinus newelli) has been recorded in waters off San Diego and breeds in Hawaii is split from Townsend's Shearwater (P. auricularis) based on differences in plumage, morphology, breeding timing, and feeding ecology. The Egyptian Goose (Alopochen aegyptiaca) is a non-native species but is added to the checklist based on the establishment of selfsustaining populations in Florida and California. This species is commonly exhibited at zoos, so it is not terribly surprising that it was able to get established. American Tree Sparrow The other changes in this supplement are more of the generic and family reassignment nature. Foremost is the movement of American Tree Sparrow from Spizella to its own monotypic genus, Spizelloides. Turns out that nuclear and mitochondrial DNA data indicate that the two groups are not closely related. After the removal of the genus Piranga from the tanager family (Thraupidae) to the cardinal family a few years ago, Western Spindalis (Spindalis zena) was the only North American representative in the family. New research has removed this species from the Thraupidae as well, leaving North America with no tanagers! This research did not, however, indicate what family the Western Spindalis belonged. Currently it is considered incertae sedis, which means of uncertain placement. That is the 2015 update from the AOU Checklist Committee. Nothing monumental in this year's supplement, but I thought that I would pass it on in any case. Butterfly Profile: Many-spotted Skipperling August is a great month for insects in Arizona. The monsoon rains bring with them the possibility of influx species from Mexico, species that are highly-sought after by insect aficionados. One of these is the Many-spotted Skipperling (Piruna aea). In fact, almost the entire flight period for the species in Arizona is this month. The upper wings of Many-spotted Skipperlings resemble their cousin, the Four-spotted Skipperling (P. polingi), dark brown with conspicuous white spots. The namesake white spots for each occur on the under side of the hind wings. A further distinction between the two is that the spots of Many-spotted are outlined with distinct black borders. A look at the underside of these skippers is usually all one needs to correctly identify them. Did you know? … that a recent study suggests that the diversity of European butterflies could be seriously underestimated? A team of researchers sequenced the mitochondrial DNA of all 228 species of butterfly that are found on the Iberian peninsula, compiling more than 3500 genetic sequences. They then compared these sequences with those of other European populations. The surprising results of the study suggest that up to 28% of the species could be totally new to science. This diversity was hidden by the fact that they are morphologically very similar and hard to distinguish from each other. This makes me wonder if the same thing is happening in North America?! Page 6 of 6 August 2, 2015 Many-spotted Skipperlings occur in grassy areas in oak woodlands. The larval food plant is side-oats grama, a common grass in southern Arizona. However, the caterpillars are seldom seen as they are green and closely match the leaves of the host plant. The adults frequently visit mud, but can occasionally be seen on nectaring at flowers. The species was named in 1912 by the American lepidopterist Harrison Dyar from specimens collected in the mountains of Oaxaca, Mexico. Mr. Dyar was independently wealthy and was an expert on the slug caterpillar moth family (Limacodidae). He also had a habit of digging tunnels in his neighborhood in Washington D.C. that were only discovered when a truck broke through into one in 1924. Almost the entire range of this species is in Santa Cruz County. It does spill over into Cochise and Pima Counties.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Genius Group Limited (Exact name of Registrant as specified in its charter) Not Applicable (Translation of Registrant's name into English) Singapore 8200 Not Applicable (State or other jurisdiction of incorporation or organization) (Primary Standard Industrial Classification Code Number) (I.R.S. Employer Identification number) 8 Amoy Street, #01-01 Singapore 049950 Tel: +65 8940 1200 (Address, including zip code, and telephone number, including area code, of Registrant's principal executive offices) Puglisi & Associates 850 Library Avenue, Suite 204 Newark, DE 19711 Tel: (302) 738-6680 (Name, address, including zip code, and telephone number, including area code, of agent for service) Copies of all communications, including communications sent to agent for service, should be sent to: Barry Grossman, Esq. Benjamin S. Reichel, Esq. Ellenoff Grossman & Schole LLP Benjamin A. Tan, Esq. Sichenzia, Ross, Ference, LLP 1185 Avenue of the Americas, 31 st Floor New York, NY 10036 1345 Avenue of the Americas, 11 th Floor New York, NY 10105 Tel: (212) 930 9700 Tel: (212) 370-1300 Fax: (212) 930 9725 Fax: (212) 370-7889 Approximate date of commencement of proposed sale to the public: As soon as practicable after this registration statement becomes effective. If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box. ¨ If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. x 333-257700 If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ¨ If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ¨ Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933. Emerging growth company x If an emerging growth company that prepares its financial statements in accordance with U.S. GAAP, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards† provided pursuant to Section 7(a)(2)(B) of the Securities Act. ¨ † The term “new or revised financial accounting standard” refers to any update issued by the Financial Accounting Standards Board to its Accounting Standards Codification after April 5, 2012. This registration statement shall become effective upon filing with the Securities and Exchange Commission in accordance with Rule 462(a) of the Securities Act of 1933, as amended. EXPLANATORY NOTE This Registration Statement on Form F-1 is being filed by Genius Group Limited, a Singapore public limited company (the "Registrant"), pursuant to Rule 462(b) under the Securities Act of 1933, as amended, and General Instruction V to Form F-1. This Registration Statement relates to the Registrant's Registration Statement on Form F-1 (File No. 333-257700) (the "Prior Registration Statement"), initially filed by the Registrant on July 6, 2021 and declared effective by the Securities and Exchange Commission (the "Commission") on March 31, 2022. This Registration Statement covers the registration of additional ordinary shares, no par value per share, of the Registrant with a proposed maximum aggregate offering price of $4,140,000 (including additional ordinary shares that may be issued upon exercise of the underwriters' over-allotment option), additional warrants to be issued to the representative of the underwriters (the "Warrants"), plus additional ordinary shares of the Registrant underlying the Warrants with a proposed maximum aggregate offering price of $258,750. The required opinions of counsel and related consents, accountants' consents, and registration fee-related information are attached hereto and filed herewith. Pursuant to Rule 462(b), the contents of the Prior Registration Statement, including the exhibits thereto, are incorporated by reference into this Registration Statement. CERTIFICATION The Registrant hereby certifies to the Commission that (1) it has instructed its bank to pay the filing fee set forth in Exhibit 107 hereto by a wire transfer of such amount to the Commission's account at U.S. Bank as soon as practicable (but no later than the close of business as of April 1, 2022), (2) it will not revoke such instructions, (3) it has sufficient funds in the relevant account to cover the amount of such filing fee and (4) it will confirm receipt of such instructions by its bank during regular business hours no later than April 1, 2022. PART II INFORMATION NOT REQUIRED IN PROSPECTUS Item 8. Exhibits and Financial Statement Schedules. (a) Exhibits. All exhibits filed with or incorporated by reference in the Prior Registration Statement are incorporated by reference into, and shall be deemed a part of, this Registration Statement, and the following additional exhibits are filed herewith, as part of this Registration Statement: * Filed herewith. II-3 Signatures Pursuant to the requirements of the Securities Act of 1933, as amended, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form F-1 and has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in Singapore, on March 31, 2022. GENIUS GROUP LIMITED Pursuant to the requirements of the Securities Act, this registration statement has been signed by the following persons in the capacities and on the dates indicated. Signature Title Date Patrick Grove /s/ Nic Lim Nic Lim /s/ Anna Gong Anna Gong /s/ Richard J. Berman Richard J. Berman II-4 Signature of Authorized Representative in The United States Pursuant to the Securities Act of 1933, the undersigned, the duly authorized representative in the United States of Genius Group Limited, has signed this registration statement or amendment thereto in Newark, Delaware on March 31, 2022. PUGLISI & ASSOCIATES By: /s/ Mr. Donald J. Puglisi Name: Mr. Donald J. Puglisi Title: Managing Director Director Director Director March 31, 2022 March 31, 2022 March 31, 2022 II-5 From : Leonard Ching email@example.com Our reference : LCTP/1021009701 Your reference : Genius Group Limited 8 Amoy Street #01-01 Singapore 049950 Board of Directors of Genius Group Limited DID : +65 6890 7730 Fax : +65 6302 3111 1 April 2022 Dear Sirs GENIUS GROUP LIMITED (THE "COMPANY") – REGISTRATION STATEMENT ON FORM F-1 OF THE COMPANY 1. We have acted as Singapore legal counsel to the Company in connection with the Offering (as defined below) and we refer to the Registration Statement on Form F-1 (Registration Statement No. 333-257700) (the "Registration Statement") and the related Registration Statement on Form F-1 filed pursuant to Rule 462(b) of the Securities Act (the " MEF Form") filed by the Company with the Securities and Exchange Commission (the " SEC") in connection with the registration under the Securities Act of 1933, as amended (the "Securities Act"), on the MEF Form of the public offering (" Offering") of (a) up to 654,545 additional ordinary shares in the capital of the Company ("Shares") being offered by the Company ("New Shares"), (b) up to 98,182 additional Shares which may be purchased by the Underwriter (as defined below) pursuant to an option to purchase additional Shares granted by the Company (the "Over-allotment Option Shares"), pursuant to the Underwriting Agreement (as defined below), and (c) up to 37,637 additional Shares which may be purchased by the Underwriter (as defined below) pursuant to a warrant to purchase additional Shares granted by the Company (the "Warrant Shares"), pursuant to the Underwriting Agreement (as defined below) . We have taken instructions solely from the Company. This opinion is being rendered solely to the Company in connection with the filing of the Registration Statement and the MEF Form. 2. For the purpose of rendering this opinion, we have examined: (a) the form of underwriting agreement (the " Underwriting Agreement") filed as Exhibit 1.1 to the Registration Statement, to be entered into between (i) the Company and (ii) Boustead Securities, LLC (the "Underwriter"); (b) a copy of the Registration Statement on Form F-1; Allen & Gledhill LLP One Marina Boulevard #28-00 Singapore 018989 Tel: +65 6890 7188 \| Fax: +65 6327 3800 allenandgledhill.com Allen & Gledhill LLP (UEN/Registration No. T07LL0925F) is registered in Singapore under the Limited Liability Partnerships Act (Chapter 163A) with limited liability. A list of the Partners and their professional qualifications may be inspected at the address specified above. (c) a copy of the MEF Form; (d) a copy of the Constitution of the Company; (e) a copy of the Certificate Confirming Incorporation of Company dated 2 July 2020 issued by the Accounting and Corporate Regulatory Authority of Singapore ("ACRA") confirming that the Company is a public company limited by shares; (f) copies of the resolutions in writing of the board of directors of the Company dated 27 November 2020, 24 March 2022 and 31 March 2022 (the " Board Resolutions"); (g) copies of the minutes of annual general meeting of the shareholders of the Company dated 29 April 2021 (together with the Board Resolutions, the "Resolutions"); and (h) such other documents as we have considered necessary or desirable in order that we may render this opinion. 3. Save as expressly provided in paragraph 5 of this legal opinion, we express no opinion whatsoever with respect to any agreement or document described in paragraph 2 of this legal opinion. 4. We have assumed: (a) the correctness of all facts stated in all documents submitted to us; (b) the genuineness of all signatures and seals on all documents and the completeness, and the conformity to original documents, of all copies submitted to us; (c) that copies of each of the Resolutions submitted to us for examination are true, complete and up-to-date copies and have not been modified, supplemented or superseded; (d) that the Resolutions have not been rescinded or modified and they remain in full force and effect and that no other resolution or other action has been taken which may affect the validity of the Resolutions; (e) that the appointment of each of the corporate representatives in relation to the Shareholders' approval for the allotment and issuance of Shares by the board of directors of the Company had been validly authorised; (f) that the Company was converted into a public company on 31 July 2019 in accordance and in compliance with Section 31(2) of the Companies Act 1967 of Singapore; (g) that, (i) the information disclosed by the electronic searches made on 31 March 2022 (the " ACRA Searches") of the electronic records of the ACRA against the Company is true and complete, (ii) such information has not since then been materially altered, and (iii) the ACRA Searches did not fail to disclose any material information which has been delivered for filing but did not appear on the public file at the time of the ACRA Searches; 2 (h) that where a document has been submitted to us in draft form, it will be executed in the form of that draft; and (i) the board of directors of the Company or, as the case may be, such person(s) as authorised by the board of directors of the Company shall, before the issue of the New Shares to be issued under the Underwriting Agreement, resolve to approve the allotment and issue of such number of New Shares to be sold to the Underwriter under the Underwriting Agreement at the offering price at which such New Shares will be offered. 5. Based upon and subject to the foregoing, and subject to any matters or documents not disclosed to us, we are of the opinion that the New Shares, the Over-allotment Option Shares, and the Warrant Shares to be issued under the final Underwriting Agreement will have been duly authorised by the Company for issuance and subscription thereof in accordance with the provisions of the final Underwriting Agreement and, when issued and delivered by the Company pursuant to the provisions of the final Underwriting Agreement against payment of the full consideration payable for such New Shares, the Over-allotment Option Shares, and the Warrant Shares will be validly issued, fully paid and non-assessable. 6. For the purposes of this opinion, we have assumed that the term "non-assessable" in relation to the New Shares, the Over-allotment Option Shares, and the Warrant Shares offered means under Singapore law that holders of such shares, having fully paid up all amounts due on such shares as to the issue price thereon, are under no further personal liability to contribute to the assets or liabilities of the Company in their capacities purely as holders of such shares. 7. This opinion relates only to the laws of general application of the Republic of Singapore as published at the date hereof and as currently applied by the courts of the Republic of Singapore, and is given on the basis that it will be governed by and construed in accordance with the laws of the Republic of Singapore. We have made no investigation of, and do not express or imply any views on, the laws of any country other than the Republic of Singapore. In respect of the Registration Statement and the MEF Form, we have assumed due compliance with all matters concerning the laws of all other jurisdictions other than the Republic of Singapore. 8. We hold ourselves out as only having legal expertise and our statements in this letter are made only to the extent that a law firm practising Singapore law in the Republic of Singapore, having our role in connection with the Offering, would reasonably be expected to have become aware of relevant facts and/or to have identified the implications of those facts. 3 9. Our opinion is strictly limited to the matters stated herein and is not to be read as extending by implication to any other matter in connection with the Offering or otherwise including, but without limitation, any other document signed in connection with the Offering. Subject to the foregoing, we consent to the use of this opinion as an exhibit to the Registration Statement and the MEF Form, and further consent to all references to us, if any, in the Registration Statement and the MEF Form, and any amendments thereto. In giving such consent, we do not hereby admit that we are within the category of persons whose consent is required under Section 7 of the Securities Act or the rules or regulations promulgated thereunder. Further, save for the use of this opinion as an exhibit to the Registration Statement and the MEF Form, this opinion is not to be circulated to, or relied upon by, any other person (other than persons entitled to rely on it pursuant to applicable federal securities laws in the United States, if applicable) or quoted or referred to in any public document or filed with any governmental body or agency without our prior written consent. 10. This opinion is given on the basis of the laws of the Republic of Singapore in force as at the date of this opinion and we undertake no responsibility to notify you of any change in the laws of the Republic of Singapore after the date of this opinion. Yours faithfully /s/ Allen & Gledhill LLP Allen & Gledhill LLP Genius Group Limited 8 Amoy Street, #01-01 Singapore 049950 Re: Registration Statement on Form F-1 Ladies and Gentlemen: We have acted as United States counsel to Genius Group Limited, a Singapore public limited company (the " Company"), in connection with the registration by the Company with the Securities and Exchange Commission (the "Commission") of a registration statement on Form F-1 (the "462(b) Registration Statement") for the purpose of registering with the Commission pursuant to Rule 462(b) under the Securities Act of 1933, as amended (the "Act"), the sale by the company of certain ordinary shares of the Company, no par value per share (the "Ordinary Shares", plus additional warrants to purchase Ordinary Shares (the "Warrants"). The 462(b) Registration Statement relates to the Company's Registration Statement on Form F-1 (Registration Statement No. 333-257700) initially filed with the Securities and Exchange Commission (the "Commission") under the Securities Act of 1933, as amended (the "Act"), on July 6, 2021 and declared effective by the Commission on March 31, 2022 (the " Registration Statement"), of Ordinary Shares plus Warrants. The Ordinary Shares are to be sold by the Company pursuant to an underwriting agreement (the " Underwriting Agreement") to be entered into by and between the Company and Boustead Securities, LLC, on behalf of themselves and as representative to the several underwriters to be named therein (the "Representative"). The securities are to be offered and sold in the manner described in the Registration Statement and the related prospectus included therein (the "Prospectus"). The Warrants are to be issued to the Representative. For purposes of rendering the opinions set forth below, we have examined such documents and reviewed such questions of law as we have considered necessary and appropriate for the purposes of our opinion. We have not independently established any of the facts so relied on. We have further assumed the legal capacity of natural persons, and we have assumed that each party to the documents we have examined or relied on has the legal capacity or authority and has satisfied all legal requirements that are applicable to that party to the extent necessary to make such documents enforceable against that party. Based on the foregoing, we are of the opinion that: 1. Warrants. When the 462(b) Registration Statement becomes effective under the Act and when the Warrants are issued and delivered, as contemplated by the Registration Statement and the 462(b) Registration Statement, such Warrants will be legally binding obligations of the Company enforceable in accordance with their terms except: (a) as such enforceability may be limited by bankruptcy, insolvency, reorganization or similar laws affecting creditors' rights generally and by general equitable principles (regardless of whether enforceability is considered in a proceeding in equity or at law); (b) as enforceability of any indemnification or contribution provision may be limited under the federal and state securities laws; (c) that the remedy of specific performance and injunctive and other forms of equitable relief may be subject to the equitable defenses and to the discretion of the court before which any proceeding therefor may be brought; and (d) we express no opinion as to whether a state court outside of the State of New York or a federal court of the United States would give effect to the choice of New York law provided for in the Warrant Agreement. We express no opinion as to matters governed by any laws other than the laws of the State of New York and the federal laws of the United States of America, as in effect on the date hereof. We hereby consent to the filing of this opinion as an exhibit to the 462(b) Registration Statement and to the references made to our firm in the Registration Statement and the 462(b) Registration Statement. In giving such permission, we do not admit hereby that we come within the category of persons whose consent is required under Section 7 of the Act, or the rules and regulations of the Commission thereunder. This opinion is expressed as of the date hereof, and we disclaim any undertaking to advise you of any subsequent changes in the facts stated or assumed herein or of any subsequent changes in applicable law. Very truly yours, /s/ Ellenoff Grossman & Schole LLP Ellenoff Grossman & Schole LLP INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM'S CONSENT We consent to the incorporation by reference in this Registration Statement on Form F-1 of Genius Group Limited of our report, dated July 3, 2021 except for the stock split described in Note 34 and the effects of the restatement described in Notes 2 and 35 and reflected in Notes 4, 8, 11, 12, 13, 21, 27, 28 and 33 as to which the date is December 30, 2021, with respect to our audits of the consolidated financial statements of Genius Group Limited and Subsidiaries as of December 31, 2020 and 2019 and for each of the two years in the period ended December 31, 2020, which report appears in Form F-1 Registration Statement (File No. 333-257700). /s/ Marcum LLP Marcum LLP Melville, NY March 31, 2022 Lightheart \| Sanders C E R T I F I E D P U B L I C A C C O U N T A N T S CONSENT OF INDEPENDENT ACCOUNTANTS We hereby consent to the inclusion of our Auditors' Reports, dated May 6, 2021 and December 14, 2020, on the financial statements of University of Antelope Valley, Inc. for the years ended December 31, 2020 and 2019, respectively, and Accountants' Review Reports, dated September 17, 2021 and February 4, 2021, on the financial statements of University of Antelope Valley, Inc. for the six months then ended June 30, 2021 and 2020, respectively, in Genius Group Ltd's registration statement on Form F-1 MEF. We also consent to application of such report to the financial information in the Report in Genius Group Ltd's registration statement on Form F-1 MEF, when such financial information is read in conjunction with the financial statements referred to in our reports. Lightheart, Sanders and Associates Certified Public Accountants Madison, Mississippi March 31, 2022 140 Fountains Blvd., Suite D, Madison MS 39110 ♦ 601-898-2727 ♦ www.lsacpafirm.com CONSENT OF INDEPENDENT ACCOUNTANTS We hereby consent to the inclusion of our Auditor's Report, dated 20 September 2021, on the financial statements of Property Investors Network Ltd, for the years ended December 31, 2020 and 2019, respectively and Accountant's Review Reports, dated December 23 2021 on the financial statements of Property Investors Network Ltd, for the six months then ended June 30, 2021 and 2020, respectively, in Genius Group Ltd's registration statement on the form F-1 MEF. We also consent to application of such report to the financial information in the Report in Genius Group Ltd's registration statement on Form F-1 MEF, when such financial information is read in conjunction with the financial statements referred to in our reports. SKS Bailey Group Ltd Chartered Accountants Peterlee, County Durham 31 March, 2022 CONSENT OF INDEPENDENT ACCOUNTANTS We hereby consent to the inclusion of our Auditor's Report, dated 20 September 2021, on the financial statements of Mastermind Principles Ltd, for the years ended December 31, 2020 and 2019, respectively and Accountant's Review Reports, dated December 23 2021 on the financial statements of Mastermind Principles Ltd, for the six months then ended June 30, 2021 and 2020, respectively, in Genius Group Ltd's registration statement on the form F-1 MEF. We also consent to application of such report to the financial information in the Report in Genius Group Ltd's registration statement on Form F-1 MEF, when such financial information is read in conjunction with the financial statements referred to in our reports. SKS Bailey Group Ltd Chartered Accountants Peterlee, County Durham 31 March, 2022 FORM F-1 (Form Type) Genius Group Limited (Exact Name of Registrant as Specified in its Charter) Not Applicable (Translation of Registrant's Name into English) Table 1: Newly Registered and Carry Forward Securities Filing Fee 1) In accordance with Rule 416(a), the Registrant is also registering an indeterminate number of additional ordinary shares that shall be issuable to prevent dilution resulting from share splits, share dividends or similar transactions. 2) Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(o) under the Securities Act of 1933, as amended. 3) Includes additional ordinary shares which may be issued upon exercise of the underwriters' over-allotment option. 4) No registration fee required pursuant to Rule 457(g). 5) We have agreed to issue to the representative of the underwriters warrants to purchase ordinary shares representing up to 5% of the ordinary shares issued in the offering. The representative's warrants are exercisable at a per share exercise price equal to 125% of the public offering price per ordinary share offered hereby. As estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(g) under the Securities Act, the proposed maximum aggregate offering price of the representative's warrants is $258,750, which is equal to 125% of $207,000 (5% of $4,140,000).
Journal of the Senate EIGHTY-EIGHTH LEGISLATURE THIRTY-EIGHTH DAY St. Paul, Minnesota, Thursday, April 18, 2013 The Senate met at 11:00 a.m. and was called to order by the President. CALL OF THE SENATE Senator Bakk imposed a call of the Senate. The Sergeant at Arms was instructed to bring in the absent members. Prayer was offered by the Chaplain, Rev. Dennis Morreim. The members of the Senate gave the pledge of allegiance to the flag of the United States of America. The roll was called, and the following Senators answered to their names: The President declared a quorum present. The reading of the Journal was dispensed with and the Journal, as printed and corrected, was approved. EXECUTIVE AND OFFICIAL COMMUNICATIONS The following communications were received. The Honorable Sandra L. Pappas President of the Senate April 15, 2013 Dear Madam President: Please be advised that I have received, approved, signed and deposited in the Office of the Secretary of State, Chapter 13, S.F. No. 166. Sincerely, Mark Dayton, Governor The Honorable Paul Thissen Speaker of the House of Representatives The Honorable Sandra L. Pappas President of the Senate I have the honor to inform you that the following enrolled Acts of the 2013 Session of the State Legislature have been received from the Office of the Governor and are deposited in the Office of the Secretary of State for preservation, pursuant to the State Constitution, Article IV, Section 23: Sincerely, Mark Ritchie Secretary of State April 16, 2013 The Honorable Sandra L. Pappas President of the Senate Dear Madam President: Please be advised that I have received, approved, signed and deposited in the Office of the Secretary of State, Chapter 12, S.F. No. 76. Sincerely, Mark Dayton, Governor April 16, 2013 The Honorable Paul Thissen Speaker of the House of Representatives The Honorable Sandra L. Pappas President of the Senate April 15, 2013 I have the honor to inform you that the following enrolled Act of the 2013 Session of the State Legislature has been received from the Office of the Governor and is deposited in the Office of the Secretary of State for preservation, pursuant to the State Constitution, Article IV, Section 23: Sincerely, Mark Ritchie Secretary of State MESSAGES FROM THE HOUSE Madam President: I have the honor to announce the passage by the House of the following House Files, herewith transmitted: H.F. Nos. 588 and 669. Albin A. Mathiowetz, Chief Clerk, House of Representatives Transmitted April 17, 2013 FIRST READING OF HOUSE BILLS The following bills were read the first time. H.F. No. 588: A bill for an act relating to health; requiring a hospital staffing report; requiring a study on nurse staffing levels and patient outcomes. Referred to the Committee on Finance. H.F. No. 669: A bill for an act relating to public safety; expanding and updating the authority of the Statewide Radio Board to include the latest emergency communication technologies; authorizing the Statewide Radio Board to elect to become a statewide emergency communication board; including tribal governments in regional radio board structure; providing comprehensive authority under board to address all emergency communications; providing for rulemaking; amending Minnesota Statutes 2012, sections 403.21, subdivisions 2, 13, by adding a subdivision; 403.37, subdivision 1; 403.38; 403.39; 403.40, subdivision 2; proposing coding for new law in Minnesota Statutes, chapter 403; repealing Minnesota Statutes 2012, sections 403.21, subdivision 6; 403.33. Referred to the Committee on Rules and Administration for comparison with S.F. No. 803, now on General Orders. REPORTS OF COMMITTEES Senator Bakk moved that the Committee Reports at the Desk be now adopted. The motion prevailed. Senator Bakk, from the Committee on Rules and Administration, to which was referred H.F. No. 19 for comparison with companion Senate File, reports the following House File was found not identical with companion Senate File as follows: Pursuant to Rule 45, the Committee on Rules and Administration recommends that H.F. No. 19 be amended as follows: Delete all the language after the enacting clause of H.F. No. 19, the second engrossment; and insert the language after the enacting clause of S.F. No. 84, the first engrossment; further, delete the title of H.F. No. 19, the second engrossment; and insert the title of S.F. No. 84, the first engrossment. And when so amended H.F. No. 19 will be identical to S.F. No. 84, and further recommends that H.F. No. 19 be given its second reading and substituted for S.F. No. 84, and that the Senate File be indefinitely postponed. Pursuant to Rule 45, this report was prepared and submitted by the Secretary of the Senate on behalf of the Committee on Rules and Administration. Amendments adopted. Report adopted. Senator Bakk, from the Committee on Rules and Administration, to which was referred H.F. No. 283 for comparison with companion Senate File, reports the following House File was found not identical with companion Senate File as follows: Pursuant to Rule 45, the Committee on Rules and Administration recommends that H.F. No. 283 be amended as follows: Delete all the language after the enacting clause of H.F. No. 283, the first engrossment; and insert the language after the enacting clause of S.F. No. 1108; further, delete the title of H.F. No. 283, the first engrossment; and insert the title of S.F. No. 1108. And when so amended H.F. No. 283 will be identical to S.F. No. 1108, and further recommends that H.F. No. 283 be given its second reading and substituted for S.F. No. 1108, and that the Senate File be indefinitely postponed. Pursuant to Rule 45, this report was prepared and submitted by the Secretary of the Senate on behalf of the Committee on Rules and Administration. Amendments adopted. Report adopted. Senator Bakk, from the Committee on Rules and Administration, to which was referred H.F. No. 369 for comparison with companion Senate File, reports the following House File was found identical and recommends the House File be given its second reading and substituted for its companion Senate File as follows: and that the above Senate File be indefinitely postponed. Pursuant to Rule 45, this report was prepared and submitted by the Secretary of the Senate on behalf of the Committee on Rules and Administration. Report adopted. Senator Bakk, from the Committee on Rules and Administration, to which was referred H.F. No. 450 for comparison with companion Senate File, reports the following House File was found identical and recommends the House File be given its second reading and substituted for its companion Senate File as follows: and that the above Senate File be indefinitely postponed. Pursuant to Rule 45, this report was prepared and submitted by the Secretary of the Senate on behalf of the Committee on Rules and Administration. Report adopted. SECOND READING OF HOUSE BILLS H.F. Nos. 19, 283, 369 and 450 were read the second time. INTRODUCTION AND FIRST READING OF SENATE BILLS The following bills were read the first time. Senators Franzen, Rosen, Wiklund, Metzen and Stumpf introduced– S.F. No. 1613: A bill for an act relating to education finance; establishing an early learning scholarship program; expanding access to quality early learning and care; appropriating money; proposing coding for new law in Minnesota Statutes, chapter 124D. Referred to the Committee on Education. Senator Dziedzic introduced– S.F. No. 1614: A bill for an act relating to tax increment financing and other publicly financed projects; modifying requirements for receipt of public funds. Referred to the Committee on Taxes. Senators Eaton and Skoe introduced– S.F. No. 1615: A bill for an act relating to taxation; sales and use; providing an exemption for a biopharmaceutical manufacturing facility; amending Minnesota Statutes 2012, sections 297A.71, by adding a subdivision; 297A.75. Referred to the Committee on Taxes. Senator Rest introduced– S.F. No. 1616: A bill for an act relating to Dakota County; authorizing Dakota County Community Development Agency to exercise additional powers with respect to housing improvement areas; amending Minnesota Statutes 2012, section 383D.41, by adding a subdivision. Referred to the Committee on State and Local Government. Senators Rest, Skoe, Eaton, Dziedzic and Koenen introduced– S.F. No. 1617: A bill for an act relating to taxation; making changes to individual income, corporate franchise, sales and use, tobacco, estate, local, and other taxes; changing provisions of the small business investment tax credit; creating a clothing sales tax credit; establishing a technology corporate franchise tax certificate transfer program; modifying additions, subtractions, and modifications to federal taxable income; modifying the corporate franchise minimum fee; modifying definition of sale and purchase and retail sale; expanding the sales tax base; providing exemptions; modifying taxes on tobacco products; indexing rates on cigarettes; imposing a floor stocks tax; providing definition for the Minnesota taxable estate; modifying definition of qualifying property for the estate tax; modifying city aid; modifying aviation excise taxes; imposing a sports memorabilia gross receipts tax; requiring reports; appropriating money; amending Minnesota Statutes 2012, sections 16C.03, subdivision 18; 116J.8737, subdivisions 1, 2, 5, 7, 9, 12, by adding a subdivision; 270C.03, subdivision 1; 270C.56, subdivision 1; 289A.08, subdivision 3; 289A.38, by adding a subdivision; 290.01, subdivisions 19b, 19c, 19d, 29; 290.06, subdivision 1, by adding a subdivision; 290.068, subdivision 1; 290.091, subdivision 2; 290.0921, subdivisions 1, 3; 290.0922, subdivision 1; 290.095, subdivision 2; 290.17, subdivision 4; 290.191, subdivision 5; 290.21, subdivision 4; 291.005, subdivision 1; 291.03, subdivisions 1, 8, 9, 10, 11; 296A.09, subdivision 2, by adding a subdivision; 296A.17, subdivision 3, by adding a subdivision; 297A.61, subdivisions 3, 4, 10, 17a, 25, 38, 45, by adding subdivisions; 297A.62, subdivisions 1, 1a; 297A.65; 297A.66, subdivisions 1, 3, by adding a subdivision; 297A.665; 297A.668, by adding a subdivision; 297A.67, subdivision 7; 297A.68, subdivisions 2, 5, 10; 297A.70, subdivisions 2, 4, 5, 13, 14, by adding subdivisions; 297A.75, subdivisions 1, 2, 3; 297A.815, subdivision 3; 297A.82, subdivision 4, by adding a subdivision; 297F.01, subdivision 19, by adding subdivisions; 297F.05, subdivisions 1, 3, 4, by adding subdivisions; 297F.24, subdivision 1; 297F.25, subdivision 1; 298.01, subdivision 3b; 325F.781, subdivision 1; 360.531; 360.66; 469.190, by adding a subdivision; 477A.011, subdivisions 30, 34, 42, by adding subdivisions; 477A.013, subdivisions 8, 9, by adding a subdivision; 477A.03, subdivision 2a; proposing coding for new law in Minnesota Statutes, chapters 116J; 290; 291; 295; 297A; repealing Minnesota Statutes 2012, sections 16A.725; 256.9658; 290.01, subdivision 6b; 290.0921, subdivision 7; 290.171; 290.173; 290.174; 297A.61, subdivision 27; 297A.66, subdivision 4; 297A.67, subdivision 8; 297A.68, subdivisions 9, 22, 35; 477A.011, subdivisions 2a, 19, 29, 31, 32, 33, 36, 39, 40, 41, 42; 477A.013, subdivisions 11, 12; 477A.0133; 477A.0134; Minnesota Rules, part 8130.0500, subpart 2. Referred to the Committee on Taxes. MOTIONS AND RESOLUTIONS Senator Rosen moved that her name be stricken as a co-author to S.F. No. 935. The motion prevailed. RECESS Senator Bakk moved that the Senate do now recess subject to the call of the President. The motion prevailed. After a brief recess, the President called the Senate to order. CALL OF THE SENATE Senator Sieben imposed a call of the Senate. The Sergeant at Arms was instructed to bring in the absent members. MOTIONS AND RESOLUTIONS - CONTINUED Senator Nelson moved that her name be stricken as a co-author to S.F. No. 745. The motion prevailed. SPECIAL ORDERS Pursuant to Rule 26, Senator Bakk, Chair of the Committee on Rules and Administration, designated the following bills a Special Orders Calendar to be heard immediately: S.F. No. 1016, H.F. No. 143, S.F. No. 380, H.F. Nos. 232, 75, S.F. Nos. 887, 745, H.F. No. 834 and S.F. No. 321. SPECIAL ORDER S.F. No. 1016: A bill for an act relating to nursing; modifying definitions in the Minnesota Nurse Practicing Act; amending Minnesota Statutes 2012, sections 148.171, subdivisions 14, 15, by adding subdivisions; 148.271; repealing Minnesota Statutes 2012, section 148.171, subdivision 12; Minnesota Rules, part 6321.0100. Was read the third time and placed on its final passage. The question was taken on the passage of the bill. The roll was called, and there were yeas 47 and nays 18, as follows: Those who voted in the affirmative were: JOURNAL OF THE SENATE Those who voted in the negative were: Anderson Brown Chamberlain Dahms Gazelka Hall Hann Ingebrigtsen Limmer Newman Ortman Osmek Petersen, B. Ruud Senjem Thompson Weber Westrom So the bill passed and its title was agreed to. CALL OF THE SENATE Senator Brown imposed a call of the Senate for the balance of the proceedings on Special Orders. The Sergeant at Arms was instructed to bring in the absent members. SPECIAL ORDER H.F. No. 143: A bill for an act relating to veterans; authorizing placement of a plaque in the court of honor on the Capitol grounds to honor American Indian veterans from this state. Was read the third time and placed on its final passage. The question was taken on the passage of the bill. The roll was called, and there were yeas 64 and nays 0, as follows: Those who voted in the affirmative were: So the bill passed and its title was agreed to. SPECIAL ORDER S.F. No. 380: A bill for an act relating to workforce development; adding a representative from adult basic education programs to the Workforce Development Council; amending Minnesota Statutes 2012, section 116L.665, subdivision 2. Was read the third time and placed on its final passage. The question was taken on the passage of the bill. The roll was called, and there were yeas 65 and nays 0, as follows: Those who voted in the affirmative were: So the bill passed and its title was agreed to. SPECIAL ORDER H.F. No. 232: A bill for an act relating to civil law; modifying the statutory short form power of attorney; authorizing certain judicial relief; modifying gift transaction amount; amending Minnesota Statutes 2012, sections 523.20; 523.23, subdivision 1, by adding subdivisions; 523.24, subdivisions 8, 14; proposing coding for new law in Minnesota Statutes, chapter 523. Senator Goodwin moved to amend H.F. No. 232, as amended pursuant to Rule 45, adopted by the Senate April 16, 2013, as follows: (The text of the amended House File is identical to S.F. No. 327.) Page 1, lines 12 and 13, delete the new language Page 1, line 14, delete the new language and after "(3)" insert "for a power of attorney executed on or after January 1, 2014, contains an acknowledgement that the attorney-in-fact has read and understood the notice to the attorney-in-fact required under section 523.23; (4)" Page 1, line 16, strike "(4)" and insert "(5)" Page 1, line 18, strike "(5)" and insert "(6)" Page 2, lines 7 to 9, delete the new language Page 2, line 20, before the period, insert "that appears after the signature lines in this form" Page 2, line 22, before the period, insert "that appears after the notice to the principal" Page 3, line 3, after "designated" insert "to act at the same time" Page 4, line 2, delete "financial" Page 4, line 3, before the period insert ", other than health care decisions under a health care directive that complies with Minnesota Statutes, chapter 145C" Page 4, delete lines 18 to 29 and insert: "THIRD: My attorney(s)-in-fact MAY NOT make gifts to the attorney(s)-in-fact, or anyone the attorney(s)-in-fact are legally obligated to support, UNLESS I have made a check or an "x" on the line in front of the second statement below and I have written in the name(s) of the attorney(s)-in-fact. The second option allows you to limit the gifting power to only the attorney(s)-in-fact you name in the statement. Minnesota Statutes, section 523.24, subdivision 8, clause (2), limits the annual gift(s) made to my attorney(s)-in-fact, or to anyone the attorney(s)-in-fact are legally obligated to support, to an amount, in the aggregate, that does not exceed the federal annual gift tax exclusion amount in the year of the gift. . . . . I do not authorize any of my attorney(s)-in-fact to make gifts to themselves or to anyone the attorney(s)-in-fact have a legal obligation to support. . . . . I authorize (write in name(s)), as my attorney(s)-in-fact, to make gifts to themselves or to anyone the attorney(s)-in-fact have a legal obligation to support." Page 5, line 18, delete "subdivision 1b," Page 5, after line 29, insert: "IMPORTANT NOTICE TO THE PRINCIPAL READ THIS NOTICE CAREFULLY. The power of attorney form that you will be signing is a legal document. It is governed by Minnesota Statutes, chapter 523. If there is anything about this form that you do not understand, you should seek legal advice. PURPOSE: The purpose of the power of attorney is for you, the principal, to give broad and sweeping powers to your attorney(s)-in-fact, who is the person you designate to handle your affairs. Any action taken by your attorney(s)-in-fact pursuant to the powers you designate in this power of attorney form binds you, your heirs and assigns, and the representative of your estate in the same manner as though you took the action yourself. POWERS GIVEN: You will be granting the attorney(s)-in-fact power to enter into transactions relating to any of your real or personal property, even without your consent or any advance notice to you. The powers granted to the attorney(s)-in-fact are broad and not supervised. THIS POWER OF ATTORNEY DOES NOT GRANT ANY POWERS TO MAKE HEALTH CARE DECISIONS FOR YOU. TO GIVE SOMEONE THOSE POWERS, YOU MUST USE A HEALTH CARE DIRECTIVE THAT COMPLIES WITH MINNESOTA STATUTES, CHAPTER 145C. DUTIES OF YOUR ATTORNEY(S)-IN-FACT: Your attorney(s)-in-fact must keep complete records of all transactions entered into on your behalf. You may request that your attorney(s)-in-fact provide you or someone else that you designate a periodic accounting, which is a written statement that gives reasonable notice of all transactions entered into on your behalf. Your attorney(s)-in-fact must also render an accounting if the attorney-in-fact reimburses himself or herself for any expenditure they made on behalf of you. An attorney-in-fact is personally liable to any person, including you, who is injured by an action taken by an attorney-in-fact in bad faith under the power of attorney or by an attorney-in-fact's failure to account when the attorney-in-fact has a duty to account under this section. The attorney(s)-in-fact must act with your interests utmost in mind. TERMINATION: If you choose, your attorney(s)-in-fact may exercise these powers throughout your lifetime, both before and after you become incapacitated. However, a court can take away the powers of your attorney(s)-in-fact because of improper acts. You may also revoke this power of attorney if you wish. This power of attorney is automatically terminated if the power is granted to your spouse and proceedings are commenced for dissolution, legal separation, or annulment of your marriage. This power of attorney authorizes, but does not require, the attorney(s)-in-fact to act for you. You are not required to sign this power of attorney, but it will not take effect without your signature. You should not sign this power of attorney if you do not understand everything in it, and what your attorney(s)-in-fact will be able to do if you do sign it. Please place your initials on the following line indicating you have read this IMPORTANT NOTICE TO THE PRINCIPAL: ....... IMPORTANT NOTICE TO THE ATTORNEY(S)-IN-FACT You have been nominated by the principal to act as an attorney-in-fact. You are under no duty to exercise the authority granted by the power of attorney. However, when you do exercise any power conferred by the power of attorney, you must: (1) act with the interests of the principal utmost in mind; (2) exercise the power in the same manner as an ordinarily prudent person of discretion and intelligence would exercise in the management of the person's own affairs; (3) render accountings as directed by the principal or whenever you reimburse yourself for expenditures made on behalf of the principal; (4) act in good faith for the best interest of the principal, using due care, competence, and diligence; (5) cease acting on behalf of the principal if you learn of any event that terminates this power of attorney or terminates your authority under this power of attorney, such as revocation by the principal of the power of attorney, the death of the principal, or the commencement of proceedings for dissolution, separation, or annulment of your marriage to the principal; (6) disclose your identity as an attorney-in-fact whenever you act for the principal by signing in substantially the following manner: Signature by a person as "attorney-in-fact for (name of the principal)" or "(name of the principal) by (name of the attorney-in-fact) the principal's attorney-in-fact"; (7) acknowledge you have read and understood this IMPORTANT NOTICE TO THE ATTORNEY(S)-IN-FACT by signing the power of attorney form. You are personally liable to any person, including the principal, who is injured by an action taken by you in bad faith under the power of attorney or by your failure to account when the duty to account has arisen. The meaning of the powers granted to you is contained in Minnesota Statutes, chapter 523. If there is anything about this document or your duties that you do not understand, you should seek legal advice." Page 5, delete section 3 and insert: "Sec. 3. Minnesota Statutes 2012, section 523.23, is amended by adding a subdivision to read: Subd. 6. Effective date of amendments. The amendments to the form under subdivision 1 and to section 523.24, subdivision 8, that are contained in this act are effective January 1, 2014, and apply to powers of attorney executed on or after that date. These amendments do not invalidate or impair a power of attorney executed before that date." Page 7, delete section 4 Page 8, line 14, delete the new language Page 8, line 15, delete "federal annual gift exclusion amount" and strike "to each recipient" and insert "the federal annual gift tax exclusion amount in the year of the gift" Page 9, lines 2 and 6, delete "financial" Page 9, line 7, after the period, insert "The language conferring general authority does not include any powers to make health care decisions for the principal." Page 9, line 9, before "The" insert "(a)" Page 9, line 10, delete the second "the" and insert "an" Page 9, line 11, delete "the" and insert "a" Page 9, line 16, delete everything after "the" and insert "duty to render an accounting arose." Page 9, after line 16, insert: "(b) This section is effective August 1, 2013, and applies to powers of attorney executed before, on, or after that date." Page 9, delete section 8 Renumber the sections in sequence and correct the internal references Amend the title accordingly Senator Goodwin moved that H.F. No. 232 be laid on the table. The motion prevailed. SPECIAL ORDER H.F. No. 75: A bill for an act relating to health; requiring continuing education hours for certification as a community paramedic; amending Minnesota Statutes 2012, section 144E.28, subdivision 9. Was read the third time and placed on its final passage. The question was taken on the passage of the bill. The roll was called, and there were yeas 66 and nays 0, as follows: Those who voted in the affirmative were: So the bill passed and its title was agreed to. MOTIONS AND RESOLUTIONS - CONTINUED Senator Goodwin moved that H.F. No. 232 be taken from the table. The motion prevailed. H.F. No. 232: A bill for an act relating to civil law; modifying the statutory short form power of attorney; authorizing certain judicial relief; modifying gift transaction amount; amending Minnesota Statutes 2012, sections 523.20; 523.23, subdivision 1, by adding subdivisions; 523.24, subdivisions 8, 14; proposing coding for new law in Minnesota Statutes, chapter 523. The Senate resumed consideration of the pending Goodwin amendment. The question was taken on the adoption of the Goodwin amendment. The motion prevailed. So the amendment was adopted. H.F. No. 232 was read the third time, as amended, and placed on its final passage. The question was taken on the passage of the bill, as amended. The roll was called, and there were yeas 66 and nays 0, as follows: Those who voted in the affirmative were: JOURNAL OF THE SENATE So the bill, as amended, was passed and its title was agreed to. SPECIAL ORDER S.F. No. 887: A bill for an act relating to health; classifying criminal history record data on Minnesota Responds Medical Reserve Corps volunteers; requiring radon education disclosure for residential real property; changing provisions for tuberculosis standards; changing adverse health events reporting requirements; modifying a poison control provision; providing liability coverage for certain volunteer medical personnel and permitting agreements to conduct criminal background studies; changing provisions for body art establishments and body art technicians; defining occupational therapy practitioners; changing provisions for occupational therapy; amending prescribing authority for legend drugs; providing penalties; amending Minnesota Statutes 2012, sections 13.381, by adding a subdivision; 144.1501, subdivision 4; 144.50, by adding a subdivision; 144.55, subdivision 3; 144.56, by adding a subdivision; 144.7065, subdivisions 2, 3, 4, 5, 6, 7, by adding a subdivision; 144A.04, by adding a subdivision; 144A.45, by adding a subdivision; 144A.752, by adding a subdivision; 144D.08; 145.93, subdivision 3; 145A.04, by adding a subdivision; 145A.06, subdivision 7; 146B.02, subdivisions 2, 8; 146B.03, by adding a subdivision; 146B.07, subdivision 5; 148.6402, by adding a subdivision; 148.6440; 151.37, subdivision 2; proposing coding for new law in Minnesota Statutes, chapters 144; 145A; 513; repealing Minnesota Statutes 2012, sections 144.1487; 144.1488; 144.1489; 144.1490; 144.1491; 146B.03, subdivision 10; 148.7808, subdivision 2; 148.7813; 325F.814; 609.2246. Senator Marty moved to amend S.F. No. 887 as follows: Page 3, line 1, delete everything after "person" and insert "negotiating or offering to acquire for value, legal or equitable title, or the right to acquire legal or equitable title to residential legal property." Page 3, delete line 2 Page 3, line 11, delete everything after "person" and insert "who owns legal or equitable title to residential real property." Page 3, delete line 12 Page 3, line 13, before "above" insert "at or" Page 3, lines 16, 17, and 26, delete "or transferor" Page 3, line 17, delete "or transferee" Page 3, line 19, before "property" insert "real" Page 3, line 26, delete "or transferee" and insert "with a copy of" Weber Wiger Westrom Wiklund Page 3, delete lines 28 to 34 and insert: "(c) The seller's radon disclosure requirements in this section apply to the transfer of any interest in residential real estate, whether by sale, exchange, deed, contract for deed, lease with an option to purchase, or any other option. (d) The seller's radon disclosure requirements in this section do not apply to any of the following: (1) real property that is not residential real property; (2) a gratuitous transfer; (3) a transfer made pursuant to a court order; (4) a transfer to a government or governmental agency; (5) a transfer by foreclosure or deed in lieu of foreclosure; (6) a transfer to heirs or devisees of a decedent; (7) a transfer from a cotenant to one or more other cotenants; (8) a transfer made to a spouse, parent, grandparent, child, or grandchild of the seller; (9) a transfer between spouses resulting from a decree of marriage dissolution or from a property settlement agreement incidental to that decree; (10) an option to purchase a unit in a common interest community, until exercised; i (11) a transfer to a person who controls or is controlled by the grantor as those terms are def ned with respect to a declarant under section 515B.1-103, clause (2); (12) a transfer to a tenant who is in possession of the residential real property; or (13) a transfer of special declarant rights under section 515B.3-104. (e) A seller may provide the written disclosure required under this section to a real estate licensee representing or assisting a prospective buyer. The written disclosure provided to the real estate licensee representing or assisting a prospective buyer is considered to have been provided to the prospective buyer. If the written disclosure is provided to the real estate licensee representing or assisting the prospective buyer, the real estate licensee must provide a copy to the prospective buyer." Page 4, line 13, delete everything after "(a)" and insert "A seller who fails to make a radon disclosure as required by this section, and is aware of material facts pertaining to radon concentrations in the dwelling, is liable to the buyer." Page 4, line 14, before "violation" insert "(b) A buyer who is injured by a" and delete "for damages and" and insert "and recover damages and receive" Page 4, line 16, after "purchase" insert "or transfer" Page 4, line 17, delete "(b)" and insert "(c)" Page 4, line 18, after "with" insert "a provision of" and delete "paragraph" and insert "section" Page 4, line 20, delete "an" Page 4, line 21, delete "agreement" and insert "agreements" The motion prevailed. So the amendment was adopted. Senator Marty moved to amend S.F. No. 887 as follows: Page 9, after line 27, insert: "Sec. 16. Minnesota Statutes 2012, section 144A.53, subdivision 2, is amended to read: i Subd. 2. Complaints. (a) The director may receive a complaint from any source concerning an action of an administrative agency, a health care provider, a home care provider, a residential care home, or a health facility. The director may require a complainant to pursue other remedies or channels of complaint open to the complainant before accepting or investigating the complaint. Investigators are required to interview at least one family member of the vulnerable adult identif ed in the complaint. If the vulnerable adult is directing his or her own care and does not want the investigator to contact the family, this information must be documented in the investigative f le. (b) The director shall keep written records of all complaints and any action upon them. After completing an investigation of a complaint, the director shall inform the complainant, the administrative agency having jurisdiction over the subject matter, the health care provider, the home care provider, the residential care home, and the health facility of the action taken. Complainants must be provided a copy of the public report upon completion of the investigation." Renumber the sections in sequence and correct the internal references Amend the title accordingly The motion prevailed. So the amendment was adopted. Senator Bonoff moved to amend S.F. No. 887 as follows: Page 1, after line 27, insert: "Sec. 2. Minnesota Statutes 2012, section 62Q.106, is amended to read: 62Q.106 DISPUTE RESOLUTION BY COMMISSIONER. (a) A complainant may at any time submit a complaint to the appropriate commissioner to investigate. After investigating a complaint, or reviewing a company's decision, the appropriate commissioner may order a remedy as authorized under chapter 45, 60A, or 62D. i (b) In investigating a complaint f led against a health maintenance organization regarding a vulnerable adult, upon request, the commissioner of health must interview at least one family member of the complainant or the subject of the complaint. If the complainant or the subject of the complaint does not want any family members to be interviewed, this information will be included in the investigative f le. " Renumber the sections in sequence and correct the internal references Amend the title accordingly The motion prevailed. So the amendment was adopted. S.F. No. 887 was read the third time, as amended, and placed on its final passage. The question was taken on the passage of the bill, as amended. The roll was called, and there were yeas 45 and nays 20, as follows: Those who voted in the affirmative were: So the bill, as amended, was passed and its title was agreed to. SPECIAL ORDER S.F. No. 745: A bill for an act relating to state government; classifying or modifying certain provisions concerning data practices; requiring informed consent; amending definitions; allowing disclosure of certain data; allowing access to certain records; making technical changes; modifying certain provisions regarding transportation and health data; modifying certain provisions regarding criminal history records, criminal background checks, and other criminal justice data provisions; extending for six years the sunset provision for the newborn screening advisory committee; providing for accreditation of forensic laboratories; repealing the McGruff safe house program; amending Minnesota Statutes 2012, sections 13.37, subdivision 1; 13.386, subdivision 3; 13.43, subdivisions 2, 14; 13.64, subdivision 2; 13.72, subdivision 10, by adding subdivisions; 144.966, subdivisions 2, 3, 4, by adding subdivisions; 171.07, subdivision 1a; 268.19, subdivision 1; 299C.11, subdivision 1; 299C.46, subdivisions 1, 2, 2a, 3; 299F.035, subdivisions 1, 2; 299F.77; 340A.301, subdivision 2; 340A.402; 626.556, subdivision 7; proposing coding for new law in Minnesota Statutes, chapters 13; 144; 299C; repealing Minnesota Statutes 2012, section 299A.28. Senator Hall moved to amend S.F. No. 745 as follows: Page 16, after line 14, insert: "Sec. 18. Minnesota Statutes 2012, section 241.065, subdivision 4, is amended to read: Subd. 4. Procedures. (a) The Department of Corrections shall adopt procedures to provide for the orderly collection, entry, retrieval, and deletion of data contained in the statewide supervision system. (b) The Department of Corrections shall establish and implement audit requirements to ensure that authorized users comply with applicable data practices laws governing access to and use of the data." Page 27, after line 24, insert: "Sec. 32. Minnesota Statutes 2012, section 611.272, is amended to read: 611.272 ACCESS TO GOVERNMENT DATA. The district public defender, the state public defender, or an attorney working for a public defense corporation under section 611.216 has access to the criminal justice data communications network described in section 299C.46, as provided in this section. Access to data under this section is limited to data necessary to prepare criminal cases in which the public defender has been appointed as follows: (1) access to data about witnesses in a criminal case shall be limited to records of criminal convictions , custody status, custody history, aliases and known monikers, race, probation status, identity of probation off cer, and booking photos ; and i (2) access to data regarding the public defender's own client which includes, but is not limited to, criminal history data under section 13.87; juvenile offender data under section 299C.095; warrant information data under section 299C.115; incarceration data under section 299C.14; conditional release data under section 241.065; and diversion program data under section 299C.46, subdivision 5. The public defender has access to data under this section, whether accessed via the integrated search service as defined in section 13.873 or other methods. The public defender does not have access to law enforcement active investigative data under section 13.82, subdivision 7; data protected under section 13.82, subdivision 17; confidential arrest warrant indices data under section 13.82, subdivision 19; or data systems maintained by a prosecuting attorney. The public defender has access to the data at no charge, except for the monthly network access charge under section 299C.46, subdivision 3, paragraph (b), and a reasonable installation charge for a terminal. Notwithstanding section 13.87, subdivision 3; 299C.46, subdivision 3, paragraph (b); 299C.48, or any other law to the contrary, there shall be no charge to public defenders for Internet access to the criminal justice data communications network." Renumber the sections in sequence and correct the internal references Amend the title accordingly The motion prevailed. So the amendment was adopted. Senator Benson moved to amend S.F. No. 745 as follows: Page 14, after line 3, insert: "EFFECTIVE DATE. This section is effective July 1, 2013." The motion prevailed. So the amendment was adopted. Senator Limmer moved to amend S.F. No. 745 as follows: Page 2, delete section 3 Page 9, delete section 11 Page 15, delete section 15 38TH DAY] Page 15, line 28, delete "9" and insert "8" Page 28, delete section 32 Page 29, delete section 33 Renumber the sections in sequence and correct the internal references Amend the title accordingly The question was taken on the adoption of the amendment. The roll was called, and there were yeas 27 and nays 38, as follows: Those who voted in the affirmative were: The motion did not prevail. So the amendment was not adopted. Senator Limmer moved to amend S.F. No. 745 as follows: Page 28, delete section 32 Page 29, delete section 33 Renumber the sections in sequence and correct the internal references Amend the title accordingly Senator Limmer moved to amend the second Limmer amendment to S.F. No. 745 as follows: Page 1, delete line 3 The motion prevailed. So the amendment to the amendment was adopted. The question recurred on the second Limmer amendment, as amended. The roll was called, and there were yeas 29 and nays 36, as follows: Those who voted in the affirmative were: Those who voted in the negative were: The motion did not prevail. So the second Limmer amendment, as amended, was not adopted. Senator Limmer moved to amend S.F. No. 745 as follows: Page 12, after line 8, insert: "Sec. 12. [144.193] INVENTORY OF BIOLOGICAL AND HEALTH DATA. By February 1, 2014, and annually after that date, the commissioner shall prepare an inventory of biological specimens, registries, and health data and databases collected or maintained by the commissioner. In addition to the inventory, the commissioner shall provide the schedules for storage of health data and biological specimens. The inventories must be listed in reverse chronological order beginning with the year 2012. The commissioner shall make the inventory and schedules available on the department's Web site and submit the inventory and schedules to the chairs and ranking minority members of the committees of the legislature with jurisdiction over health policy and data practices issues." Renumber the sections in sequence and correct the internal references Amend the title accordingly The motion prevailed. So the amendment was adopted. Senator Westrom moved to amend S.F. No. 745 as follows: Page 16, after line 14, insert: "Sec. 18. Minnesota Statutes 2012, section 171.12, subdivision 7, is amended to read: Subd. 7. Privacy of data. (a) Data on individuals provided to obtain a driver's license or Minnesota identification card shall be treated as provided by United States Code, title 18, section 2721, as in effect on May 23, 2005, and shall be disclosed only as required or permitted by that section. (b) An applicant for a driver's license or a Minnesota identification card may consent, in writing, to the commissioner to disclose the applicant's personal information exempted by United States Code, title 18, section 2721, to any person who makes a request for the personal information. If the applicant so authorizes disclosures, the commissioner shall implement the request and the information may be used. i (c) If authorized by an applicant for a driver's license or a Minnesota identif cation card, as indicated in paragraph (b), the An applicant's personal information may be used, rented, or sold solely for bulk distribution by organizations for business purposes, including surveys, marketing, or solicitatio n, only if the applicant consents, in writing, to the disclosure for these purposes and the organization uses the personal information solely for these purposes . (d) An applicant for a driver's license, instruction permit, or Minnesota identification card may request that the applicant's residence address be classified as "private data on individuals," as defined in section 13.02, subdivision 12. The commissioner shall grant the classification on receipt of a signed statement by the individual that the classification is required for the safety of the applicant or the applicant's family, if the statement also provides a valid, existing address where the applicant consents to receive service of process. The commissioner shall use the service for process mailing address in place of the residence address in all documents and notices pertaining to the driver's license, instruction permit, or Minnesota identification card. The residence address and any information provided in the classification request, other than the mailing address, are private data on individuals and may be provided to requesting law enforcement agencies, probation and parole agencies, and public authorities, as defined in section 518A.26, subdivision 18." Renumber the sections in sequence and correct the internal references Amend the title accordingly Senator Dziedzic moved to amend the Westrom amendment to S.F. No. 745 as follows: Page 1, line 6, delete the new language Page 1, line 7, reinstate the stricken language The motion prevailed. So the amendment to the amendment was adopted. The question recurred on the adoption of the Westrom amendment, as amended. The motion prevailed. So the amendment, as amended, was adopted. Senator Limmer moved to amend S.F. No. 745 as follows: Page 21, lines 19 and 26, after " data " insert " and Minnesota law governing the classif cation of the data " The motion prevailed. So the amendment was adopted. S.F. No. 745 was read the third time, as amended, and placed on its final passage. The question was taken on the passage of the bill, as amended. The roll was called, and there were yeas 41 and nays 24, as follows: Those who voted in the affirmative were: Those who voted in the negative were: So the bill, as amended, was passed and its title was agreed to. SPECIAL ORDER H.F. No. 834: A bill for an act relating to metropolitan planning activities; extending the sunset date of the Metropolitan Area Water Supply Advisory Committee; amending Minnesota Statutes 2012, section 473.1565, subdivision 2. Was read the third time and placed on its final passage. The question was taken on the passage of the bill. The roll was called, and there were yeas 45 and nays 20, as follows: Those who voted in the affirmative were: Those who voted in the negative were: So the bill passed and its title was agreed to. SPECIAL ORDER S.F. No. 321: A bill for an act relating to health; amending the duties and reporting dates for an existing task force on prematurity; amending Laws 2011, First Special Session chapter 9, article 2, section 27. Senator Benson moved to amend S.F. No. 321 as follows: Page 1, line 14, strike "15" and insert "seven" The motion prevailed. So the amendment was adopted. S.F. No. 321 was read the third time, as amended, and placed on its final passage. The question was taken on the passage of the bill, as amended. The roll was called, and there were yeas 54 and nays 10, as follows: Those who voted in the affirmative were: Bakk Benson Bonoff Carlson Chamberlain Champion Clausen Dahle Dahms Dibble Dziedzic Eaton Eken Fischbach Franzen Those who voted in the negative were: Anderson Brown Ingebrigtsen Kiffmeyer Limmer Newman Ortman Osmek So the bill, as amended, was passed and its title was agreed to. MOTIONS AND RESOLUTIONS - CONTINUED Without objection, remaining on the Order of Business of Motions and Resolutions, the Senate reverted to the Orders of Business of Reports of Committees and Second Reading of Senate Bills. REPORTS OF COMMITTEES Senator Bakk moved that the Committee Report at the Desk be now adopted. The motion prevailed. Senator Cohen from the Committee on Finance, to which was referred S.F. No. 1607: A bill for an act relating to state government; appropriating money for environment, natural resources, agriculture, commerce, energy, jobs, and economic development; modifying and providing for certain fees; modifying and providing for disposition of certain revenue; modifying pesticide control; modifying animal waste technician provisions; making technical changes; modifying certain permit requirements; providing for federal law compliance; providing for certain easements; modifying snowmobile registration provisions; modifying state trails; modifying State Timber Act; modifying certain park boundaries and expenditures; modifying reporting requirements; modifying Petroleum Tank Release Cleanup Act; providing for silica sand mining model standards and technical assistance; providing for wastewater laboratory certification; providing for product stewardship program; providing for discontinuance of Hennepin County Soil and Water Conservation District; providing for school forests; providing for county intermediate timber sales; authorizing recreation of Hall's Island; providing for certain interim ordinance extension or renewal; repealing certain pollution control rules; providing for solar energy production incentives; creating Office of Broadband Development; modifying certain environmental review; modifying public utility provisions; providing for sanitary districts; modifying labor and industry policy provisions; modifying employment and economic development programs; reducing unemployment insurance employer tax; creating pilot projects; authorizing issuance of bonds; modifying residential contract for deed requirements; providing penalties; requiring studies and reports; requiring rulemaking; amending Minnesota Statutes 2012, sections 13.7411, subdivision 4; 16B.122, subdivision 2; 17.03, subdivision 3; 17.1015; 18B.305; 18C.430; 18C.433, subdivision 1; 45.0135, subdivision 6; 60A.14, subdivision 1; 65B.84, subdivision 1; 84.027, by adding a subdivision; 84.415, by adding a subdivision; 84.82, subdivision 3, by adding a subdivision; 84.8205, subdivision 1; 85.015, subdivision 13; 85.052, subdivision 6; 85.053, subdivision 8; 85.054, by adding a subdivision; 85.055, subdivisions 1, 2; 85.42; 89.0385; 89.41; 90.01, subdivisions 4, 5, 6, 8, 11; 90.031, subdivision 4; 90.041, Ruud Thompson subdivisions 2, 5, 6, 9, by adding subdivisions; 90.045; 90.061, subdivision 8; 90.101, subdivision 1; 90.121; 90.145; 90.151, subdivisions 1, 2, 3, 4, 6, 7, 8, 9; 90.161; 90.162; 90.171; 90.181, subdivision 2; 90.191, subdivision 1; 90.193; 90.195; 90.201, subdivision 2a; 90.211; 90.221; 90.252, subdivision 1; 90.301, subdivisions 2, 4; 90.41, subdivision 1; 93.46, by adding a subdivision; 93.481, subdivision 3; 97A.401, subdivision 3; 115A.1320, subdivision 1; 115B.20, subdivision 6; 115B.28, subdivision 1; 115B.421; 115C.02, subdivision 4; 115C.08, subdivision 4, by adding a subdivision; 115D.10; 116.48, subdivision 6; 116C.03, subdivisions 2, 4, 5; 116J.8731, subdivisions 2, 3; 116U.26; 136F.37; 179.02, by adding a subdivision; 216B.16, by adding a subdivision; 237.012, subdivision 3; 237.52, subdivisions 4, 5; 239.101, subdivision 3; 245.4712, subdivision 1; 268.125, subdivisions 1, 3, 4, 5; 268A.13; 268A.14, subdivision 1; 275.066; 282.01, subdivisions 1a, 1d; 282.04, by adding a subdivision; 298.22, subdivision 1; 298.28, subdivisions 4, 9b; 326.02, subdivision 5; 326B.163, by adding subdivisions; 326B.184, subdivisions 1, 2, by adding a subdivision; 326B.187; 326B.33, subdivisions 19, 21; 326B.36, subdivision 7; 326B.37, by adding a subdivision; 326B.49, subdivisions 2, 3; 341.321; 473.846; 507.235, subdivision 2; 559.211, subdivision 2; Laws 2010, chapter 215, article 3, section 3, subdivision 6, as amended; Laws 2010, chapter 361, article 3, section 7; proposing coding for new law in Minnesota Statutes, chapters 84; 90; 93; 115; 115A; 116; 116J; 116L; 216C; 237; 326B; 383B; 559; proposing coding for new law as Minnesota Statutes, chapter 442A; repealing Minnesota Statutes 2012, sections 90.163; 90.173; 90.41, subdivision 2; 115.18, subdivisions 1, 3, 4, 5, 6, 7, 8, 9, 10; 115.19; 115.20; 115.21; 115.22; 115.23; 115.24; 115.25; 115.26; 115.27; 115.28; 115.29; 115.30; 115.31; 115.32; 115.33; 115.34; 115.35; 115.36; 115.37; 116W.01; 116W.02; 116W.03; 116W.035; 116W.04; 116W.05; 116W.06; 116W.20; 116W.21; 116W.23; 116W.24; 116W.25; 116W.26; 116W.27; 116W.28; 116W.29; 116W.30; 116W.31; 116W.32; 116W.33; 116W.34; 326B.31, subdivisions 18, 19, 22; 507.235, subdivision 4; Laws 2011, First Special Session chapter 2, article 4, section 30; Minnesota Rules, parts 1307.0032; 7021.0010, subparts 1, 2, 4, 5; 7021.0020; 7021.0030; 7021.0040; 7021.0050, subpart 5; 9210.0300; 9210.0310; 9210.0320; 9210.0330; 9210.0340; 9210.0350; 9210.0360; 9210.0370; 9210.0380; 9220.0530, subpart 6. Reports the same back with the recommendation that the bill be amended as follows: Page 2, line 36, delete "67,217,000" and insert "67,530,000" and delete "67,037,000" and insert "67,350,000" and delete "134,254,000" and insert "134,880,000" Page 2, line 41, delete "345,274,000" and insert "345,587,000" and delete "345,140,000" and insert "345,453,000" and delete "690,414,000" and insert "691,040,000" Page 3, line 12, delete "82,736,000" and insert "83,049,000" and delete "82,556,000" and insert "82,869,000" Page 3, line 18, delete "67,217,000" and insert "67,530,000" and delete "67,037,000" and insert "67,350,000" Page 6, line 9, after the period, insert "The commissioner, when selecting areas to monitor with the new mobile monitoring equipment, shall give priority to areas where low-income, indigenous American Indians, and communities of color are disproportionately impacted by pollution from highway traffic, air traffic, and industrial sources." Page 7, line 11, delete "26,825,000" and insert "27,138,000" and delete "26,775,000" and insert "27,088,000" Page 7, line 13, delete "25,985,000" and insert "26,298,000" and delete "25,935,000" and insert "26,248,000" i Page 8, delete line 3 and insert "$913,000 the f rst year and $913,000 the " Page 8, lines 10 and 11, delete "$499,000" and insert "$812,000" Page 8, line 33, delete "December 1, 2013" and insert "January 15, 2014" Page 25, after line 20, insert: "Sec. 4. Minnesota Statutes 2012, section 84.63, is amended to read: 84.63 CONVEYANCE OF INTERESTS IN LANDS TO STATE AND FEDERAL GOVERNMENTS. (a) Notwithstanding any existing law to the contrary, the commissioner of natural resources is hereby authorized on behalf of the state to convey to the United States or to the state of Minnesota or any of its subdivisions, upon state-owned lands under the administration of the commissioner of natural resources, permanent or temporary easements for specified periods or otherwise for trails, highways, roads including limitation of right of access from the lands to adjacent highways and roads, flowage for development of fish and game resources, stream protection, flood control, and necessary appurtenances thereto, such conveyances to be made upon such terms and conditions including provision for reversion in the event of non-user as the commissioner of natural resources may determine. (b) In addition to the fee for the market value of the easement, the commissioner of natural resources shall assess the applicant the following fees: (1) an application fee of $2,000 to cover reasonable costs for reviewing the application and preparing the easement; and (2) a monitoring fee to cover the projected reasonable costs for monitoring the construction of the improvement for which the easement was conveyed and preparing special terms and conditions for the easement. The commissioner must give the applicant an estimate of the monitoring fee before the applicant submits the fee. (c) The applicant shall pay these fees to the commissioner of natural resources. The commissioner shall not issue the easement until the applicant has paid in full the application fee, the monitoring fee, and the market value payment for the easement. (d) Upon completion of construction of the improvement for which the easement was conveyed, the commissioner shall refund the unobligated balance from the monitoring fee revenue. The commissioner shall not return the application fee, even if the application is withdrawn or denied. (e) Money received under paragraph (b) must be deposited in the land management account in the natural resources fund and is appropriated to the commissioner of natural resources to cover the reasonable costs incurred for issuing and monitoring easements. i (f) A county or joint county regional railroad authority is exempt from all fees specif ed under this section for trail easements on state-owned land. " Page 66, line 3, delete"the day following final enactment" and insert"July 1, 2013," Page 76, line 31, after "extend" insert "for one year an" and delete "ordinances" and insert "ordinance" Page 76, line 33, before the period, insert ", and extend the ordinance an additional year by resolution of the local unit of government" Page 80, line 15, delete "9,900,000" and insert "9,400,000" and delete "9,900,000" and insert "9,400,000" Page 80, line 16, delete "$7,000,000" and insert "$6,500,000" and delete "$8,200,000" and insert "$7,700,000" Page 83, line 19, delete "$9,900,000" and insert "$9,400,000" Page 83, line 21, delete "7,243,000" and insert "7,743,000" and delete "7,243,000" and insert "7,743,000" Page 83, line 23, delete "6,443,000" and insert "6,943,000" and delete "6,443,000" and insert "6,943,000" Page 85, line 18, delete "$500,000" and insert "$1,000,000" and delete "$500,000" and insert "$1,000,000" Page 93, line 29, delete the second "$500,000" and insert "$800,000" Page 110, line 2, delete "158,050" and insert "158,050,000" Page 110, line 5, delete the second "22,784,000" and insert "22,574,000" and delete "45,158,000" and insert "45,358,000" Page 110, line 6, delete "382,814,000" and insert "383,014,000" Page 119, line 11, delete "interpreters" and insert "communication access and employment support" Page 120, after line 35, insert: "(w) $1,070,000 the first year and $930,000 the second year are appropriated from the general fund for the publication, dissemination, and use of labor market information under Minnesota Statutes, section 116J.4011, and for pilot programs in the workforce service areas specified in article 7, section 20, to combine career and higher education advising." Page 122, line 15, delete "$.,...,000" and insert "$1,208,000" Page 124, line 27, delete "10,436,000" and insert "5,218,000" and delete "10,436,000" and insert "5,218,000" Page 125, after line 32, insert: "(d) Of this amount, $250,000 each year is for transfer to the capacity-building grants in subdivision 10." Page 125, line 33, delete "(d)" and insert "(e)" Page 126, line 1, delete "$7,313,000" and insert "$4,218,000" Page 126, delete lines 9 and 10 Page 126, line 20, delete ",000" and insert "2,772,000" and delete the second ",000" and insert "2,772,000" Page 126, line 23, delete "21" and insert "14" Page 126, after line 23, insert: "Subd.12. Transfers and Appropriations (a) The remaining balance of appropriations in Laws 2012, First Special Session chapter 1, article 1, section 7, for the economic development and housing challenge program that is unobligated to loans to homeowners or rental property owners as of June 30, 2013, estimated to be $3,000,000 is canceled to the general fund. By August 1, 2013, the commissioner of the Housing Finance Agency shall provide the commissioner of management and budget with the information necessary to determine the amount that is uncommitted and available for transfer. l (b) The amount canceled to the general fund under paragraph (a) is appropriated to the Housing Finance Agency from the general fund for transfer to the housing development fund for the rehabilitation loan program under Minnesota Statutes, section 462A.05, subdivision 14. Until August 1, 2014, priority in the use of these funds shall be given to assistance for eligible homeowners residing in the area included in DR-4069 whose homes were damaged as a result of the storms and f ooding that occurred June 14 to June 21, 2012. " Page 150, line 15, before the period, insert "effective December 31, 2013" Page 170, delete section 4 Page 177, line 33, delete "15.3" and insert "28.6" Page 178, line 9, delete "and" Page 178, line 10, delete "0.9" and insert "2.5" Page 178, line 11, delete the period and insert "and for parking lot repaving;" Page 178, after line 11, insert: "(6) 2.4 cents per ton to the city of Two Harbors for wastewater treatment plant improvements; (7) 0.9 cents per ton to the city of Ely for the sanitary sewer replacements project; (8) 0.5 cents per ton to the town of Crystal Bay for construction of the Claire Nelson transmodal facility; (9) 0.5 cents per ton to the Greenway Joint Recreation Board for the Coleraine Hockey Arena renovation; (10) 1.2 cents per ton for the West Range Regional Fire Hall and Training Center to merge the existing f re services of Coleraine, Bovey, Taconite Marble, Calumet, and Greenway Township; i (11) 2.5 cents per ton to the city of Hibbing for the Memorial Building; (12) 0.7 cents per ton to the city of Chisholm for Center Drive; (13) 2.1 cents per ton to the Crane Lake Water and Sanitary District for sanitary sewer extension and must be matched; and (14) 2.5 cents per ton for the city of Buhl for the roof on the Mesabi Academy." Page 178, delete section 11 Renumber the sections in sequence Amend the title as follows: Page 1, line 22, delete "authorizing issuance of bonds;" Amend the title numbers accordingly And when so amended the bill do pass. Amendments adopted. Report adopted. SECOND READING OF SENATE BILLS S.F. No. 1607 was read the second time. MEMBERS EXCUSED Senator Schmit was excused from the Session of today. Senator Lourey was excused from the Session of today from 1:00 to 1:15 p.m. Senator Bakk was excused from the Session of today from 1:10 to 1:20 p.m. Senator Latz was excused from the Session of today from 1:10 to 1:30 p.m. Senator Sieben was excused from the Session of today at 3:05 p.m. ADJOURNMENT Senator Bakk moved that the Senate do now adjourn until 11:00 a.m., Friday, April 19, 2013. The motion prevailed. JoAnne M. Zoff, Secretary of the Senate
Fordham Law School FLASH: The Fordham Law Archive of Scholarship and History Parole Administrative Appeal Decisions Parole Administrative Appeal Documents December 2020 Administrative Appeal Decision - Harris, Michael (2019-02-27) Follow this and additional works at: https://ir.lawnet.fordham.edu/aad Recommended Citation "Administrative Appeal Decision - Harris, Michael (2019-02-27)" (2020). Parole Information Project https://ir.lawnet.fordham.edu/aad/314 This Parole Document is brought to you for free and open access by the Parole Administrative Appeal Documents at FLASH: The Fordham Law Archive of Scholarship and History. It has been accepted for inclusion in Parole Administrative Appeal Decisions by an authorized administrator of FLASH: The Fordham Law Archive of Scholarship and History. For more information, please contact email@example.com. STATE OF NEW YORK - BOARD OF PAROLE ADMINISTRATIVE APPEAL DECISION NOTICE Name: Harris, Michael Facility: Gowanda CF NYSID: , • f\.ppeal · 08-027-18 B Control No.: · DIN: 93-A-9536 Appearances: Stephen Underwood, Esq. 1395Union Road West Seneca,"New York 14224' I Decision appealed: July 20 J.8 decision denying discretionary release and imposing a hold of 18-mo~ths. Board Member(s) Coppola, Demosthenes, Drake who participated: Papers considered: Appellant's Brief received December 7, 2018 Appeals Unit.Review: Statementof the Appeals Unit's Findings and Recommendation Records relied upon: Pre-Sent~nce ,:Uies{tg~tion Report, Parole Board Report, Interview Transcript, _Parole Board Release ·Decisfon Notice (Form 902'~) . COMPAS instrument, Offender Case Plan. rsigned determine that the decision appealed is hereby,: _. _Vacated, remanded for denovointerview _ . Modifiedto___ _ *r _Vacated, remanded for de novo interview _Modifiedto___ _ ~ _ Affirmed _Vacated, remanded for de novo interview _ Modifiedto___ _ Commissioner If the Final Determination is at variance with Findings and Recommendation of Appeals Unit, written reasons for the Parole Board's deter~ination must be annexed hereto. This Final Dete~ination , the rel~teq ; State~Cfnt of the Appeals U~it's Findin_g~ and the separaJ.e :fin~gs of ,, the Parole Board, if any, were ma1led'to;the:.jnmate and .the.Inmate's Counsel, if any, on r:Xj:l2 //9 £6. r i. •' ·; • :) "' : \ I j ' ' STATE OF NEW YORK – BOARD OF PAROLE APPEALS UNIT FINDINGS & RECOMMENDATION Name: Harris, Michael DIN: 93-A-9536 Facility: Gowanda CF AC No.: 08-027-18 B Findings: (Page 1 of 4) Appellant was sentenced to 17 and a half years to life upon his conviction of Murder in the second degree. In the instant appeal, Appellant challenges the July 2018 determination of the Board denying release and imposing a 18-month hold on the following grounds: (1) the decision was made in violation of lawful procedure because the Board failed to consider all statutory factors such as mitigating factors; (2) the decision was arbitrary and capricious because the Board denied parole based on the severity of instant offense without any aggravating circumstances or evaluating the likelihood that he presents a current danger to society based on his institutional record; (3) the decision constitutes an unauthorized resentencing and denies Appellant his legitimate expectation of release; (4) the decision is arbitrary and capricious because Appellant was denied parole for the same reasons set forth in prior appearances, namely, the severity of the instant offense; (5) the Board improperly failed to release him despite the fact that the COMPAS instrument was "low risk" overall; (6) DOCCS failed to develop a Transitional Accountability Plan (TAP); (7) the decision was made in violation of lawful procedure when the Board failed to state in detail the reasons for the denial of parole; and (8) Appellant was denied due process because the panel failed to provide a record of its deliberations. These arguments are without merit. As an initial matter, discretionary release to parole is not to be granted "merely as a reward for good conduct or efficient performance of duties while confined but after considering if there is a reasonable probability that, if such inmate is released, he will live and remain at liberty without violating the law, and that his release is not incompatible with the welfare of society and will not so deprecate the seriousness of his crime as to undermine respect for the law." Executive Law § 259i(2)(c)(A) (emphasis added); accord Matter of Hamilton v. New York State Div. of Parole, 119 A.D.3d 1268, 990 N.Y.S.2d 714 (3d Dept. 2014). Executive Law § 259-i(2)(c)(A) requires the Board to consider criteria which is relevant to the specific inmate, including, but not limited to, the inmate's institutional record and criminal behavior. People ex rel. Herbert v. New York State Bd. of Parole, 97 A.D.2d 128, 468 N.Y.S.2d 881 (1st Dept. 1983). While consideration of these factors is mandatory, "the ultimate decision to parole a prisoner is discretionary." Matter of Silmon v. Travis, 95 N.Y.2d 470, 477, 718 N.Y.S.2d 704, 708 (2000). Thus, it is well settled that the weight to be accorded the requisite factors is solely within the Board's discretion. See, e.g., Matter of Delacruz v. Annucci, 122 A.D.3d 1413, 997 N.Y.S.2d 872 (4th Dept. 2014); Matter of Hamilton, 119 A.D.3d at 1271, 990 N.Y.S.2d at 717; Matter of Garcia v. New York State Div. of Parole, 239 A.D.2d 235, 239, 657 N.Y.S.2d 415, 418 (1st Dept. 1997). The Board need not explicitly refer to each factor in its decision, nor give them equal weight. Matter of Betancourt v. Stanford, 148 A.D.3d 1497, 49 N.Y.S.3d 315 (3d Dept. 2017); Matter of Phillips v. Dennison, 41 A.D.3d 17, 21, 834 N.Y.S.2d 121, 124 (1st Dept. 2007). In the absence of a convincing demonstration that the Board did not consider the statutory factors, it must be presumed that the Board fulfilled its duty. Matter of Fuchino v. Herbert, 255 A.D.2d 914, 914, 680 N.Y.S.2d STATE OF NEW YORK – BOARD OF PAROLE APPEALS UNIT FINDINGS & RECOMMENDATION Name: Harris, Michael Facility: Gowanda CF Findings: (Page 2 of 4) DIN: 93-A-9536 AC No.: 08-027-18 B 389, 390 (4th Dept. 1998); Matter of McKee v. New York State Bd. of Parole, 157 A.D.2d 944, 945, 550 N.Y.S.2d 204, 205 (3d Dept. 1990). Here, the record as a whole, including the interview transcript, reflects that the Board considered the appropriate factors, including: the instant murder offense wherein Appellant stabbed an 80 year old friend of his mother's at least ten times and caused her death; Appellant's lengthy criminal history and record on community supervision; his history of substance abuse; his institutional record including completion of ART and educational efforts, and discipline reflecting four new infractions since his last appearance; and and work with a reentry program. The Board also had before it and considered, among other things, the sentencing minutes, Appellant's case plan, the COMPAS instrument, and Appellant's parole packet. There is no support for Appellant's claim that the Board was required to treat as mitigating circumstances that he was under the influence of drugs when he committed the instant offense, was addicted to crack cocaine, and does not know why he murdered his victim. After considering all required factors and principles, the Board acted within its discretion in determining release would not satisfy the standards provided for by Executive Law § 259-i(2)(c)(A). In reaching its conclusion, the Board permissibly relied on Appellant's lengthy history of criminal conduct in the community and the serious, brutal instant offense that represents a continuation and serious escalation of larcenous and violent behaviors. See Matter of Partee v. Evans, 117 A.D.3d 1258, 1259, 984 N.Y.S.2d 894 (3d Dept.), lv. denied, 24 N.Y.3d 901, 995 N.Y.S.2d 710 (2014); Matter of Singh v. Evans, 118 A.D.3d 1209, 987 N.Y.S.2d 271 (3d Dept.), lv. denied, 24 N.Y.3d 906, 995 N.Y.S.2d 715 (2014); Matter of Thurman v. Hodges, 292 A.D.2d 872, 873, 739 N.Y.S.2d 324 (4th Dept.), lv. denied, 98 N.Y.2d 604, 746 N.Y.S.2d 278 (2002). In addition, the Board expressed concern about Appellant's continued struggles with facility rules so far into his sentence. See Matter of Byas v. Fischer, 120 A.D.3d 1586, 1586-87, 992 N.Y.S.2d 813, 814 (4th Dept. 2014); Matter of Smith v. New York State Div. of Parole, 81 A.D.3d 1026, 916 N.Y.S.2d 285 (3d Dept. 2011). Thus, while the Board may emphasize the severity of the inmate's offense over other factors considered, see Matter of Robinson v. New York State Bd. of Parole, 162 A.D.3d 1450, 81 N.Y.S.3d 235 (3d Dept. 2018); Matter of Jones v. New York State Dep't of Corr. & Cmty. Supervision, 151 A.D.3d 1622, 57 N.Y.S.3d 265 (4th Dept. 2017); Matter of King v. Stanford, 137 A.D.3d 1396, 26 N.Y.S.3d 815 (3d Dept. 2016), the determination here was based on additional considerations, including Appellant's institutional record. Appellant's assertion that the denial of parole release amounted to an improper resentencing is without merit inasmuch as the Board fulfilled its obligation to determine the propriety of release per Executive Law § 259-i(2)(c)(A) and after considering the factors set forth therein. Executive Law § 259 et seq.; Penal Law § 70.40; Matter of Murray v. Evans, 83 A.D.3d STATE OF NEW YORK – BOARD OF PAROLE APPEALS UNIT FINDINGS & RECOMMENDATION Name: Harris, Michael DIN: 93-A-9536 Facility: Gowanda CF AC No.: 08-027-18 B Findings: (Page 3 of 4) 1320, 920 N.Y.S.2d 745 (3d Dept. 2011); Matter of Crews v. New York State Exec. Dept. Bd. of Parole Appeals Unit, 281 A.D.2d 672, 720 N.Y.S.2d 855 (3d Dept. 2001). The Board was vested with discretion to determine whether release was appropriate notwithstanding the minimum period of incarceration set by the Court. Matter of Burress v. Dennison, 37 A.D.3d 930, 829 N.Y.S.2d 283 (3d Dept. 2007); Matter of Cody v. Dennison, 33 A.D.3d 1141, 1142, 822 N.Y.S.2d 677 (3d Dept. 2006), lv. denied, 8 N.Y.3d 802, 830 N.Y.S.2d 698 (2007). The appellant has not in any manner been resentenced. Matter of Mullins v. New York State Bd. of Parole, 136 A.D.3d 1141, 1142, 25 N.Y.S.3d 698 (3d Dept. 2016). Moreover, an inmate has no Constitutional right to be conditionally released on parole before expiration of a valid sentence. Greenholtz v. Inmates of Nebraska Penal & Correctional Complex, 442 U.S. 1, 99 S. Ct. 2100, 2104 (1979); Matter of Russo v. Bd. of Parole, 50 N.Y.2d 69, 427 N.Y.S.2d 982 (1980); Matter of Vineski v. Travis, 244 A.D.2d 737, 664 N.Y.S.2d 391 (3d Dept. 1997). The New York State parole scheme "holds out no more than a possibility of parole." Matter of Russo, 50 N.Y.2d at 75-76, 427 N.Y.S.2d at 985; see also Barna v. Travis, 239 F.3d 169, 171 (2d Cir. 2001). Appellant objects to the fact that the Board decision is based on the same reasons given after his last appearance before the Board. Even assuming that were true, as the Board is required to consider the same statutory factors each time an inmate appears, it follows that the Board may deny release on the same grounds as relied upon in previous determinations. Matter of Hakim v. Travis, 302 A.D.2d 821, 754 N.Y.S.2d 600 (3d Dept. 2003); see also Matter of Siao-Pao v. Dennison, 51 A.D.3d 105, 110, 854 N.Y.S.2d 348 (1st Dept.), aff'd, 11 N.Y.3d 777, 866 N.Y.S.2d 602 (2008). Appellant's additional contention that the Board failed to comply with the 2011 amendments to the Executive Law is likewise without merit. The 2011 amendments require procedures incorporating risk and needs principles to "assist" the Board in making parole release decisions. Executive Law § 259–c(4). The Board satisfies this requirement in part by using the COMPAS instrument. Matter of Montane v. Evans, 116 A.D.3d 197, 202, 981 N.Y.S.2d 866, 870 (3d Dept. 2014); see also Matter of Hawthorne v. Stanford, 135 A.D.3d 1036, 1042, 22 N.Y.S.3d 640, 645 (3d Dept. 2016); Matter of Robles v. Fischer, 117 A.D.3d 1558, 1559, 985 N.Y.S.2d 386, 387 (4th Dept. 2014). However, the COMPAS is not predictive and was never intended to be the sole indicator of risk and needs as the Board gets risk and needs information from a variety of sources, including the statutory factors and the interview. Notably, the 2011 amendments did not eliminate the requirement that the Board conduct a case-by-case review of each inmate by considering the statutory factors. The amendments also did not change the three substantive standards that the Board is required to apply when deciding whether to grant parole. Executive Law § 259-i(2)(c)(A). Thus, the COMPAS cannot mandate a particular result. Matter of King, 137 A.D.3d 1396, 26 N.Y.S.3d 815. Rather, the COMPAS is an additional consideration that the Board STATE OF NEW YORK – BOARD OF PAROLE APPEALS UNIT FINDINGS & RECOMMENDATION Name: Harris, Michael DIN: 93-A-9536 Facility: Gowanda CF AC No.: 08-027-18 B Findings: (Page 4 of 4) must weigh along with the statutory factors for the purposes of deciding whether the three standards are satisfied. See Matter of Rivera v. N.Y. State Div. of Parole, 119 A.D.3d 1107, 1108, 990 N.Y.S.2d 295 (3d Dept. 2014); accord Matter of Dawes v. Annucci, 122 A.D.3d 1059, 994 N.Y.S.2d 747 (3d Dept. 2014); see also Matter of Gonzalvo v. Stanford, 153 A.D.3d 1021, 56 N.Y.S.3d 896 (3d Dept. 2017). In so doing, the Board may consider negative aspects of the COMPAS instrument. See Matter of Bush v. Annucci, 148 A.D.3d 1392, 50 N.Y.S.3d 180 (3d Dept. 2017); Matter of Wade v. Stanford, 148 A.D.3d 1487, 52 N.Y.S.3d 508 (3d Dept. 2017). That is exactly what occurred here. As for the Transitional Accountability Plan (TAP), the name of the TAP was changed to "Offender Case Plan." The existing regulations refer to and require consideration of the most current "case plan" that may have been developed by DOCCS pursuant to Correction Law § 71-a. 9 N.Y.C.R.R. § 8002.2(b). An Offender Case Plan was prepared for Appellant and considered by the Board. The Board's decision also satisfied the criteria set out in Executive Law § 259-i(2)(a) and 9 N.Y.C.R.R. § 8002.3(d), as it was sufficiently detailed to inform the inmate of the reasons for the denial of parole. Matter of Applegate v. New York State Bd. of Parole, 164 A.D.3d 996, 997, 82 N.Y.S.3d 240 (3d Dept. 2018); Matter of Kozlowski v. New York State Bd. of Parole, 108 A.D.3d 435, 968 N.Y.S.2d 87 (1st Dept. 2013); Matter of Little v. Travis, 15 A.D.3d 698, 788 N.Y.S.2d 628 (3d Dept. 2005); Matter of Davis v. Travis, 292 A.D.2d 742, 739 N.Y.S.2d 300 (3d Dept. 2002). The Board addressed many of the factors and principles considered in individualized terms and explained those that ultimately weighed most heavily in its deliberations: Appellant's lengthy criminal history, the serious instant offense and the senseless loss of life he caused, and his disciplinary record reflecting continued struggles. Finally, there is no due process requirement that the internal deliberations or discussions of the Board appear on the record. Matter of Barnes v. New York State Div. of Parole, 53 A.D.3d 1012, 862 N.Y.S.2d 639 (3d Dept. 2008); Matter of Borcsok v. New York State Div. of Parole, 34 A.D.3d 961, 823 N.Y.S.2d 310 (3d Dept. 2006); Matter of Collins v. Hammock, 96 A.D.2d 733, 465 N.Y.S.2d 84 (4th Dept. 1983). In conclusion, the appellant has failed to demonstrate the Board's decision was not made in accordance with the pertinent requirements or was so irrational as to border on impropriety. Parole release is a discretionary function of the Board, and the appellant has not demonstrated that any abuse in this regard by the Board has occurred. Recommendation: Affirm.
Privatization: Chicago Parking Meters, LLC Dr. Michael Tucker Professor of Finance Dolan School of Business Fairfield University, Fairfield, CT 06824 firstname.lastname@example.org Abstract In late 2008 a Morgan Stanley consortium submitted the winning bid for a 75 year concession on the revenues from Chicago's 36,000 parking meters. The sale of the parking concession was motivated by Chicago's need for money to close a budget gap. Privatization of Chicago's parking did not please everyone. Alderman Scott Waguespack calculated that the city was giving up $4 to $5 billion in projected revenues. Just what the future revenues would be and what discount rate to apply to them to calculate their present value were contentious issues. The analysis requires calculating gains to the winning bidder and second guessing Mayor Daly's decision to make the sale. Prologue On December 2, 2008 Chicago Mayor Richard Daly announced the winning bid in the second round of bidding for a 75 year concession for the revenues from Chicago's 36,000 parking meters. Morgan Stanley's consortium won with a bid $1.156 billion The deal holds the concessionaire responsible for upgrading the antiquated one meter one space parking with state of the art pay stations that accept credit and debit cards as well as coins and bills. Each pay station will monitor six or seven parking spaces by 2011 which could also mean more parking spaces per block. In the midst of a budget crisis, the city gets a onetime payment that Daly promises to partially invest in an annuity to cover losses of parking meter revenue. Parking meters will also be upgraded at a cost to Morgan Stanley and its partners of $10 million per year for three years. An equal number of meters will be installed each of the three years of the upgrade and each subsequent upgrade. Meters will be replaced by pay stations, an upgrade that has been too costly under Chicago's budget constraints. Coin operated meters partially explain why parking rates went unchanged for twenty years. Raising the rates would mean more coins, filling meter banks more quickly and jamming the mechanism unless the city hired more unionized meter collectors. The concessionaire, in exchange for over a billion dollars and the promised upgrade, gets to raise parking rates according to a schedule of substantial hikes through 2013 after which further increases are limited to inflation. In projecting the value of the deal, inflation is estimated to be 3% by the various analysts modeling the value of the concession. Is this a good deal for Morgan Stanley, holder of 50.1% of the concession and its two partners, Germany's Allianz Capital (25%) and Abu Dhabi Investment Authority (24.9%)? Some Chicagoans are outraged and think it was a revenue giveaway. It didn't help those with suspicions that the fix was in that the new spokesperson for Chicago Parking Meters (CPM), Avis Lavelle, was a former aide to Mayor Daly. Privatization Debate Privatization advocates assume market efficiency will drive down the cost of government services. In order for market efficiency to be effective there have to be a large number of potential bidders. Very large contracts frequently have few bidders and they are often national companies. These bidders may realize economies of scale unavailable to governments. In difficult economic times when tax increases are politically impossible and economically unwise even as budgets are squeezed, governments have been turning to selling off income producing assets. By August 2010, there were thirty-five privatization deals in various stages of agreement with an aggregate worth of over $45 billion. "There's probably $100 billion in domestic capital alone that's being raised to invest in these transactions, and when that's International Research Journal of Applied Finance February, 2012 Case Study Series leveraged with debt, you're probably looking at up to $400 billion in money that's ready to go to work," says Dana Levenson, Chicago's former chief financial officer and now an investment banker at Royal Bank of Scotland. Chicago is not new to privatizing public assets. Not everyone sees such sales as the solution to red ink. Moody's, a major bond rating agency, is not sanguine about the efficacy of asset sales: "We view these asset sales as 1-shots …that create structural budget imbalances in future years, but that may be necessary actions to bridge the time gap until revenue stabilization or growth returns," says Robert Kurtter, a managing director at Moody's. Elliot Sclar author of You Don't Always Get What You Pay For: The Economics of Privatization doesn't see privatization as much of a fix either; "At some point, you're going to run out of things to sell. And it's not a longterm solution. It'll get you through the next election cycle, and that's all it does." After the Revolutionary War private investors built a 66-mile toll road, Philadelphia-Lancaster Turnpike for $465,000. The first half of 19 th century saw 600 toll roads constructed. The second half of 19th century saw further construction with 100 toll roads in California alone. The toll road building boom ended with the advent of the automobile and stricter government safety regulations making construction unprofitable for private interests in the US. Private money was still welcome elsewhere. France passed legislation in 1955 that led to 3,400 miles of toll roads. Between 1820 and 1899 New York City went back and forth between public and private street cleaning. Public street cleaning kept the streets clean but was expensive. Privatized cleaning was less expensive but the streets were dirty. Each time cleaning was deemed too expensive, city councilors would want to try again to write the perfect contract. No one ever found a way to write that perfect contract. In 1892 Chicago concluded that "there are few if any redeeming qualities attached to the contract system." The US Department of Transportation estimates that worldwide there have been 1,100 publicprivate deals in the last twenty years for over $360 billion. Privatization in the US has lagged. Tax fee financing i.e., municipal bonds, is available, in the US but not in other countries prompting US states and municipalities to borrow and build. More recently, maintenance of infrastructure has taken a back seat to other rising expenditures such as Medicaid, education and pensions. Privatization while appearing to be selling out to some also offers a solution to decaying US infrastructure. Once in private hands, investors may be more likely to maintain assets than when they are public goods vying for limited public funds. Facing fiscal constraints, Indiana's governor Mitch Daniels auctioned off the 157 mile Indiana Toll Road for $3.8 billion in a 75 year leasing deal. Mayor Daly took notice and in turn auctioned of the Chicago Skyway, the Illinois road that leads to Indiana, for $1.8 billion on a 99 year lease to Cintra Concesiones de Transporte (Spanish) and Macquarie Infrastructure Group (Australian). Investors have been willing to pay high prices for government income generating assets. In part this derives from more optimistic private analysts' projections. The consortium that won the Chicago Skyway concession estimated 3% annual revenue growth while Chicago saw only 1% annual growth. That 2% difference led to a private valuation of $3.8 billion which made the $1.8 billion price a steal. Motivated to make their projections a reality, within three months of concluding the deal, electronic toll collection was installed along with additional toll booths reducing wait times and increasing traffic flow. International Research Journal of Applied Finance February, 2012 Case Study Series Privatization opponents fear asset sales will lead to price hikes and even price gouging. Concession agreements strictures typically place limitations on increases though there may be initial increases such as those built into the CPM deal. With private dollars at risk there is also incentive to increase traffic and reduce downtime by running operations efficiently since most toll roads or parking meters have alternatives. The alternative to privatization is taxes. Public opinion seems to tilt toward privatization and tolls versus gas taxes with 52% favoring tolls and only 21% higher fuel taxes for road construction according to an American Automobile Association survey. Use of proceeds from privatization is a major issue. Short term use of the money has been criticized, e.g., money to help the elderly pay current heating bills. Longer term use has also come under criticism when it has been used to fund public pension funds. Some opponents want the money raised from privatization dedicated to specific uses such as toll road money used to improve transportation for example. Selling assets may also distract from or postpone the need for public fiscal restraint. What's the CPM Concession Worth? According to Scott Waguespack, Alderman from Chicago's 32 nd Ward, Morgan got too of good a deal. He was one of just five of the fifty Aldermen on the City Council who opposed the parking meter concession sale. His December 3, 2008 analysis showed the city was giving up $4 to $5 billion in projected revenue. Cash flows from the perspective of the city exclude taxes and obviate depreciation. EBITDA is effectively cash flow for a municipality as long as capital expenditures are subtracted out when they occur. While Alderman Waguespack did subtract the initial $10 million per year to upgrade antiquated parking meter to pay stations in 2009-2011, he left out any subsequent upgrades. The parking stations' manufacturer estimates they have a life of seven years. Even with maintenance to extend their lives, the pay stations would need replacement every ten years beginning in 2019 with costs stretched out across three years in each case as with the first upgrade. Of course, each successive upgrade would also cost more under a 3% assumed annual inflation rate. Waguespack's analysis of revenue from the meters follows the city's assumptions (Table 2) which is a rough estimate at best but a good basis for comparing valuation from the city's perspective versus a private buyer. The parking meters are located in six zones with different rates. To calculate the revenue for 2008 from each zone first the cost of one hour of parking is multiplied by the meters employed then the total is summed and the percentage of this revenue by zone is calculated. For example, zone 6 generated 36.8% of 2008 parking revenue. A total of $23.8 million system wide was generated in 2008 which translates into $8.462 million in revenue for zone 6. Future revenues through 2013 can be calculated using rates by zones as shown in Table 1. Beyond 2013 further increases are limited to CPI, assumed to be 3%, by the concession agreement. In 2008, after operating costs the city had income from meters of $18.9 million exclusive of parking tickets. Compliance was at 75%. With the city's ten existing ticket writers motorists took more calculated risks. The city plans to add five more ticket writers which could bring compliance to 85% or higher. Under the concession agreement the city retains revenue from parking tickets. The concessionaire has the right to also issue tickets. The net effect of more tickets, besides a welcome addition to city revenue, will be to increase compliance. February, 2012 Case Study Series Competition from off street parking is limited since it is considerably more expensive particularly for short term parking and free parking spaces are few. Higher parking rates could motivate greater use of public transportation at the expense of inconvenience for short trips that would be more time consuming. Waguespack assumes some impact from the major price increases with loss of revenue shown as an elasticity factor at the bottom of Table 2. Zone 6, the more outlying areas of Chicago, would see parking meter utilization decline to 70% from 2008 levels under this likely conservative assumption. Determining an appropriate discount rate is an area of contention that depends on who is doing the analysis. Waugespack used a 3% discount rate, the same as the assumed inflation rate, and came up with a valuation billions greater than the Morgan Stanley consortium paid for the lease. He reasoned that the revenue flow was about as risky as a long-term US Treasury Bond. Considering Morgan Stanley's cost of debt capital (Table 3), Waugespack's discount rate may have been on the high side. Morgan Stanley however, indicated the lease purchase was financed with equity capital from investors in a private equity fund. On July 19, 2010 the CPM consortium floated a debt offering memorandum for $500 million in ten year financing which was later withdrawn. The anticipated rating on the debt was BBB- which would mean an interest rate of 5.6%. Chicago currently has outstanding tax free municipal revenue bonds supported by lakefront parking with 2021 maturity that have a yield to maturity of 2.426%. As a follow up to Waugespack's analysis, Chicago's Inspector General's office did its own study that was released in June of 2009. The IG estimated the value of the concession to be $2.13 billion. On June 30, 2009, Blair & Company, the firm hired by the Mayor's Office to advise the city on the lease of the parking concession disputed the IG's analysis noting that the analysis used revenues and not free cash flow combined with a low discount rate and an underestimation of future capital expenditures. In their 2008 analysis, Blair & Company had come up with multiple scenarios using free cash flow, assigned probabilities to them and arrived at a valuation of $650 million to $1.2 billion to the prospective bidders. The IG used a discount rate of 7.06% which was categorized as a very low risk discount rate even though the report from which the rate was obtained specifically suggested parking revenue should be categorized as low risk with a discount rate of 8.26%. Blair argues for a risk premium of 5.5% to 9.5% ending up with discount rates ranging from 10% to 14%. Since the parking meter approval many in media have condemned the lease as a giveaway. Some of these pundits simply added the 75 year stream of revenues to arrive at multi-billion dollar headlines while others came up with more conservative but still high differentials between value and the sale price. Chicago's 2011 budget as proposed has a $654.7 million deficit, 20% of total spending. In 2010 unpaid employee furloughs amounted to $520 million to staunch the red ink. The proceeds from the meter sale helped in 2010 but they will be insufficient for 2011 since they are now down to the $100s of millions. Chicago's Aldermen under fire for the CPM sale have vowed to go slow on any further sales of city assets. The media reaction could inhibit other deals as well. The New Jersey Turnpike and the Pennsylvania Turnpike sales seem to be dead at least for the time being. Any future asset sales will continue the valuation debate. Governments and private investors appear to be using different assumptions in coming up with valuation. Combine very real differences in analytical approaches with political agendas and valuations can vary a great deal. Table 1 Projected Rates through 2013 by Zones \| Year \| zones 4, 5, 6 \| zones 2, 3 \| \|---\|---\|---\| \| 2009 \| $ 1.00 \| $ 2.00 \| \| 2010 \| $ 1.25 \| $ 2.50 \| \| 2011 \| $ 1.50 \| $ 3.00 \| \| 2012 \| $ 1.75 \| $ 3.50 \| \| 2013 \| $ 2.00 \| $ 4.00 \| Table 2 Parking Meter Revenue for 2008 \| Zone \| 6 \| 5 \| 4 \| 3 \| 2 \| 1 \| \|---\|---\|---\|---\|---\|---\|---\| \| Rate per hour 2008 \| $ 0.25 \| $ 0.50 \| $ 0.75 \| $ 1.00 \| $ 1.50 \| $ 3.00 \| \| Number of Meters \| 23,877 \| 6,280 \| 558 \| 3,992 \| 12 \| 895 \| \| Single Use Rev (one time use one hour per year) \| 5969.25 \| 3140 \| 418.5 \| 3992 \| 18 \| 2685 \| \| Share of single rev use \| 36.80% \| 19.36% \| 2.58% \| 24.61% \| 0.11% \| 16.55% \| \| Share of proj $23m rev '08 \| $ 8,462,976 \| $ 4,451,773 \| $ 593,333 \| $ 5,659,706 \| $ 25,520 \| $ 3,806,691 \| \| Elasticity factor \| 70% \| 90% \| 95% \| 90% \| 95% \| 98% \| Table 3 Morgan Stanley Capital Structure and Cost of Capital Constituents \| Market Cap \| 32,424,000 \| \|---\|---\| \| S-T Debt \| 370,115,000 \| \| L-T Debt \| 182,810,000 \| \| Preferred \| 9,597,000 \| \| tax rate \| 19% \| \| pre-tax cost of s-t debt \| 0.76% \| \| pre-tax cost of l-t debt \| 3.55% \| \| pre-tax cost of preferred \| .1046 \| \| Rf \| 0.0253 \| \| Rm \| 0.1153 \| \| Beta \| 1.91 \|
* Mon 27 Sep: Memorial for St Vincent de Paul, priest. Born c 1580 southern France. Ordained 1600, devoting his life to works of charity, included relieving the sufferings of prisoners. Founded confraternities of charity for men and women. Congregation of the Mission founded to preach in the countryside and to help form the clergy; founded the Sisters of Charity, who worked with the sick and the poor and was the first congregation of women without enclosure. * Wed 29 Sep: Feast Day for Sts Michael, Gabriel and Raphael, Archangels. Bless the Lord, all you his angels, mighty in power, you obey his word and heed the sound of his voice. We pray for those who have died recently and for those with anniversaries at this time: Sep 25: Mary Wenzlick 1985, Hilda Nicholson 2001, Peter Oldham 2008 Sep 26: Rupert Calvert 2002, Shontelle Marks 2002, Isobel Lamont 2013 Sep 27: Mary Winders 1920, Inez Santo 1985 Sep 28: William Walsh 1960 Sep 29: Magdalena Manzano 1933, Joan Cann 1999, Patricia Reynolds 2001, Anthony Casey 2010 Sep 30: Christopher Costello 1923, Lynne Briscoe 2000 Oct 01: Catherine Graham 1978 * Fri 1 Oct: Memorial for St Thérèse of the Child Jesus, virgin & doctor of the Church. Born 1873. Entered Carmel at age 15. Achieved perfection through daily renunciation of little things, and through prayer and meditation on the life of Christ. Poor health made missionary work impossible, so offered her daily life for the mission of the Church. Died 1897, aged 24. Patron of the missions. Known by many as 'The Little Flower'. For some inspiring alternative reading, Tui Motu InterIslands Magazine has many articles online: www.tuimotu.org * Sat 2 Oct: Memorial for the Holy Guardian Angels. Bless the Lord, all you angels of the Lord. Sing his glory and praise for ever. "From infancy to death human life is surrounded by their care and intercession. 'Beside each believer stands an angel as protector and shepherd leading them to life.'"(Catechism of the Catholic Church, 336). 2a Albert Road, Devonport, Auckland 0624 (09) 4450078 of fi email@example.com Facebook: www.devonportcatholic.org.nz St Francis de Sales & All Souls www.facebook.com/groups/1077078918984007/ Parish Priest: Fr Neil Darragh Pastoral Assistant firstname.lastname@example.org : Stephen BellParish Secretary: St Leo's Catholic School: Principal: Corenna Rooke 4459339 Maureen Harris www.stleos.school.nz Parish-School Reps: Parish Of ce Hours : Steven Albrecht, Kath Petrie, Rachel Steel fi Mon—9:00am to 12:30pm; Tues to Fri—9:00am to 1:00pm (Deadline9am THURS.) Sunday Mass Times: Sat. Vigil: 5.30pm Sunday: 9.30am Weekday Times: Mon: 8amLiturgy,Wed & Fri 12pmHoly MassThurs & Sat: 9amHoly Mass Sacrament of Reconciliat on: Sat, after 9.00am Mass * Tue 28 Sep: Feast Optional for St Wenceslaus, martyr. Duke of Bohemia; a good man, murdered by his brother in 929, aged 24. \| Optional for St Lorenzo Ruiz & Companions, martyrs. First Filipino saint. Born about 1600, Manila. A layman who worked for the Church. Married with two children, forced into exile. Went to Japan where he was imprisoned during a persecution of Christians. Was tortured and killed along with 15 companions in 1637. * Thu 30 Sep: Memorial for St Jerome, priest and doctor of the Church. Born about 342. Studied and baptised in Rome. Lived for some years as a hermit in Syrian desert. Later ordained a priest. Preached asceticism and studying. Translated Bible into Latin, wrote biblical commentaries, and other works. Fought against heresies of Arianism, Palagianism and Origenism. Devonport Catholic Parish St Francis de Sales & All Souls 2a Albert Road, Devonport, Auckland 0624 (09) 4450078 www.devonportcatholic.org.nz TWENTY SIXTH SUNDAY ORDINARY TIME : 26 SEPTEMBER 2021 The Church in Lockdown Level 3 There are no public gatherings in Level 3 including Church services. In the Diocese of Auckland there are no Masses during alert level 3. For more information visit the Diocese Website www.aucklandcatholic.org.nz/thechurch-and-covid Our Church buildings are closed but we are the Living Church. We are still active, still bringing the Kingdom of God to life. Love your neighbour get the jab As we have shifted to level 3, the diocese would like to encourage more covid vaccinations within our communities. This short video https://youtu.be/ gMZxfXQFVh4 produced by the Nathaniel Centre opens with a statement of encouragement for people to be vaccinated by Bishop Pat which is supported by local health professionals and the director of the Nathaniel Centre John Kleinsman presenting the facts around the vaccine. Please share this video. Season of Creation 1 Sept. to 4 October (feast of St Francis of Assisi) The "Season of Creation" is observed each year by the international Christian community as a time of thanksgiving, prayer, reflection and growth of awareness about our personal and collective relationship with the natural world, our home on this planet, in the cosmos. A Prayer for Our Earth: All-powerful God, you are present in the whole universe and in the smallest of your creatures. You embrace with your tenderness all that exists. Pour out upon us the power of your love, that we may protect life and beauty. Fill us with peace, that we may live as brothers and sisters, harming no one. O God of the poor, help us to rescue the abandoned and forgotten of this earth, so precious in your eyes. Bring healing to our lives, that we may protect the world and not prey on it, that we may sow beauty, not pollution and destruction. Touch the hearts of those who look only for gain at the expense of the poor and the earth. Teach us to discover the worth of each thing, to be filled with awe and contemplation, to recognize that we are profoundly united with every creature as we journey towards your infinite light. We thank you for being with us each day. Encourage us, we pray, in our struggle for justice, love and peace. Amen. * Pope Francis Laudato Si' encyclical, 2015 Want to know more? There are many resources available, for example: seasonofcreat on.org/ Or Google "Season of Creation" St Vincent de Paul Do you know of families or individuals who may need our help. Please pass their details onto the office by email of email@example.com , or phone fi 4450078 and we will discretely contact them. The Second Vatican Council's Constitution on the Church reminds us that: "It is not only through the sacraments and ministries of the Church that the Holy Spirit sanctifies and leads the people of God…, but 'allotting his gifts to everyone according as He wills' (1Cor 12:11), He distributes special graces among the faithful of every rank...These charisms...are to be received with thanksgiving and consolation…" (#12). 26 th Sunday Ordinary Time Christ's Spirit In The World Numbers 11:25-29 Are you jealous on my account? If only the whole people of the Lord were prophets! Ps 19: The precepts of the Lord give joy to the heart. James 5:1-6 Your wealth is all rotting. Mark 9:38-43,45,47-48 Anyone who is not against us is for us. If your hand should cause you to sin, cut it off. 27 th Sunday Ordinary Time 3 Oct The Family Of God Genesis 2:18-24 They become one body. Ps 127: May the Lord bless us all the days of our lives. Hebrews 2:9-11 The one who sanctifies, and the one who is sanctified, are of the same stock. Mark 10:2-16 What God has united, people must not divide. Parish Rosary Group The Parish Rosary Group are meeting for an online rosary every Monday 6pm—6.30pm by TeamViewer . If you would like to join please contact Alan Light on phone 0211589306 or email firstname.lastname@example.org Thank you from De Paul House "Thank you to the parishioners of St Francis de Sales and All Souls. De Paul House and the families we are supporting are very appreciative of the wonderfully generous response to the call for donations of food. They have arrived in shopping bags and PALLET loads! We are supporting 54 adults and 90 children in our accommodation. Also vulnerable low income families in the community. Never truer than in these unusual times we live in… "Truly I tell you, whatever you did for one of the least sisters of of these brothers and mine, you did for me." ... Matt 25;40. We are truly blown away with the response of the local community, individuals and businesses." SACRED FOOTSTEPS – NGA TAPUWAE 6 – 9 January 2022 Come, share a catholic journey with us, share our stories and walk in the footsteps of Pompallier, a pilgrimage of sacred places in the far north. Celebrating the anniversary of the first Mass at Totara Point. For more information check out the information booklet or visit www.aucklandcatholic.org.nz or contact Stephen Fraser, email email@example.com We have Parishioners interested in this journey, if you are keen please contact the Parish Office so you can organise a group together. Some Useful Links: www.aucklandcatholic.org.nz Diocese webpage updated daily, www.aucklandcatholic.org.nz/liturgy/ liturgy links to help you pray at home Prayers of the Faithful : suggestions for use at home. For the Family : Great family and child resources on diocese site. Food For Faith : A good resource which includes daily reflections. Daily Mass Readings: https://nlo.cccb.ca/index.php/weekday-lectionary click on "Daily Readings" (Canadian, same as the Lectionary we use on Sunday) ht ps://universalis.com/mass.htm (Jerusalem Bible version, same as our weekday Lectionary) Sunday Mass Online and on TV A reminder Sunday Mass on Shine TV Sundays at 2.00pm Free-to-air TV Channel 25, Sky TV Channel 201. It is uploaded at 5.30pm Saturday night (as per a Vigil Project Lift Up / Whakapiki ake. Mass time) to the Youtube channel Auckland Catholic ht t ps://www.youtube.com/channel/ UCb7o1XYfQet-mOW1mJSzfow Ruakaka 30th Anniversary On Sunday 14th November 2021, the Ruakaka Holy Family Catholic Community is celebrating 30 years since moving into the new Church in Peter Snell Road, Ruakaka. Mass is at 10.30am followed by a shared luncheon, sausage sizzle and entertainment for young and old. We are specially reaching out to past members and friends who could be interested in coming along and sharing a few memories. Please contact Ray Timmins, firstname.lastname@example.org or 02102788867 Or Monica Johnson, 021382401 email@example.com Venerable Suzanne Aubert Mero Hōhepa Celebration Sunday 3 October— Mass with Cardinal John Dew October 3 is Suzanne Aubert Meri Hōhepa Celebration Sunday. As parish Masses are not possible under the current Covid-19 restrictions, Cardinal Dew will celebrate a special Mass in the Chapel beside the crypt at Island Bay where Suzanne Aubert Meri Hohepa lies. Mass will be broadcast at 2pm on Shine TV and available later on YouTube and Facebook. All parishioners are invited to send their personal prayer requests and intentions which will be offered by Cardinal John at this Mass, please email details to Sr Josephine The Auckland Diocese online programme is being updated all the time at and can be found at this link. Tuesday 28/09, 7pm Tuesday Night Formation // with Tim Wilson Looking for an evening of faith formation? This Tuesday, the Auckland Catholic Tertiary Chaplaincy team will be joined by Tim Wilson, Executive Director of the think tank, Maxim Institute. https://www.facebook.com/TheChaplains Wednesday 29/09, 7pm Livin' in Lockdown #6 // Sharing our Faith How do we share our faith when we're stuck in a bubble? Saint Paul did, and you can too! Join the ACYM team for a laid-back, radio talk-show style on Facebook Live and we talk about sharing our faith in lockdown. https://www.facebook.com/AKCYM Love Without Limits by Divine Renovation Australia Jesus taught us to both love our neighbour and to go make disciples. Join Cardinal Tagle, Nicky Gumbel and friends for an honest conversation around how we can live out this calling in the modern world. https://www.tfaforms.com/4927075 SESSION ONE: Thursday 30/09, 10pm or SESSION TWO: Friday 01/10, 10am Friday 01/10, 7pm Vocations Adoration Feast of St Therese of Lisieux. Join Bishop Michael Gielen for the monthly first Friday Adoration and Benediction live from St. Pat's Cathedral. https://www.facebook.com/BishopGielen/ Gorman firstname.lastname@example.org After Mass, all prayer requests and names of those who have asked to be remembered, will be placed on the tombstone of Suzanne Aubert Meri Hohepa and the Sisters will continue to pray for everyone during October. Please pray for the beatification and eventual canonisation of Meri Hōhepa /Suzanne Aubert . And, let us remember her constant prayer. "Thanks be to God for all He has done and is doing for us.” www.suzanneaubert.co.nz Saturday 02/10, 7pm Setting Hearts on Fire // Weekend Worship with Michael Mangan . Join Aussie Catholic singer/songwriter Michael Mangan for Weekend Worship on Saturday 2 October at 7.00 pm. 60 minutes of music, movement, fun and faith for the whole family. Sing along with some of Michael's well known classics and learn some of his newer songs. https://www.facebook.com/ bishoppatrick and https://www.youtube.com/c/ AucklandCatholic
Color Story Lesson 9: Monochromatic Color Scheme (Photoshop Elements) In this lesson, we'll explore and play with the Monochromatic Color Scheme. © Syndee Rogers Terms of Use Download the Mom's Typewriter font used in this lesson: https://www.dafont.com/moms-typewriter.font Installing fonts on a Mac: Open the moms_typewriter folder. Double-click the MomÆt___.ttf file in the Finder window, then click Install Font in the font preview window. Your Mac will then validate the font and open the Font Book app. The font is now installed and ready to use. Installing fonts in Windows: Right-click on the moms_typewriter.zip, and then select "Extract All" from the pop-up menu. Right-click on the MomÆt___.ttf font file and select Install. Your font should be installed and ready to use. Monochromatic Color Scheme The Monochromatic color scheme focuses on a single color and consists of different tints, tones and shades of that color. This color scheme provides variations in color value that can add interest and dimension to your project. It's extremely versatile, is easy on the eyes, and is a great way to let your photos stand out and shine on a page. A Monochromatic project can be either: 1- Projects that have varying values of one color. 2- Projects that are mostly neutral - such as black and white with spots of one color. Project 1: Grosgrain Ribbon Use monochromatic colors to help create a textured grosgrain ribbon. Set Up the Workspace * Begin in Advanced/Expert Mode of Photoshop Elements. * Create a new 12x12 inch document (File > New > Blank File) at 300 ppi with a white background. * Press the letter D to reset the Color Chips to the default of black and white. * In the Menu Bar, choose View > Snap To > Document Bounds. Make sure the other options are unchecked. Create the Ribbon Base * Click on the Foreground Color Chip, and in the Color Picker, choose a medium dark color. I used Hex# ff5c5c. Click OK. * Click on the Background Color Chip, and with the Color Picker open, click on the Foreground Color Chip to sample the color. In the Color Picker, choose a lighter version of the color. I used Hex# ffacac. Make sure there's a good contrast between the lightness and darkness (value) of the color. Click OK. * Get the Rectangle tool. * In the Tool Options, open the Geometry Options and choose Fixed Size. Set the Width to .7 in and the Height to 12 in. Uncheck From Center and Snap. Click on the Create New Shape Layer icon. * On the document, click and drag slightly at the top-left side to create the shape. * Get the Move tool. * Click on the shape and move it on the document so that the entire shape sits inside the document bounds. * Press Ctrl J (Mac: Cmd J) to duplicate the shape. * In the Layers panel, double-click on the name of the layer and rename it Ribbon. Press Enter/Return to commit the change. * Click on the Visibility icon of the original shape layer to hide it. * Right click (Mac: Ctrl click) on the Ribbon layer and choose Simplify Layer. Add a Filter * In the Menu Bar, choose Filter > Filter Gallery > Sketch > Halftone. If there are two Filter Galleries listed choose the second one. Set the Size to 3 and the Contrast to 20. Set the Pattern type to Line. Click OK. NOTE: If your result looks different than mine, make sure no previous filters are listed and turned on in the applied filters list at the bottom-right of the Filters dialog box. If there are other filters listed, click on the Visibility icons of all filters in the list, with the exception of the Halftone filter we just applied, to hide them. Rotate the Ribbon * In the Menu Bar, choose Image > Rotate > Rotate Layer 90° Right. * Get the Move tool. * On the document, holding down the Shift key, click and drag the ribbon to the right so that it sits inside the document bounds. Create the Ribbon Edges * In the Layers panel, Ctrl click (Mac: Cmd Click) on the thumbnail of the Ribbon layer to make a selection of the ribbon. * Click on the Create a New Layer icon. * Press Alt Backspace (Mac: Opt Delete) to fill the selection with the foreground color. * Press Ctrl D (Mac: Cmd D) to deselect. * In the Layers panel, double-click on the name of the layer and rename it Edges. Press Enter/ Return to commit the change. * Press Ctrl + (Mac: Cmd +) to zoom in, but make sure the entire ribbon is still visible. * Get the Rectangular Marquee tool. * In the Tool Options, click on the New Selection icon, set the Feather to 0 px, and the Aspect to Normal. * Starting on the left side of the ribbon, click and drag out a selection from the left to the right side of the document, leaving a thin border on the top and bottom edges of the ribbon. * Use the arrow keys to nudge the selection either up or down if needed. * Press the Backspace/Delete to delete the selection. * Press Ctrl D (Mac: Cmd D) to deselect. * In the Layers panel, change the Blend Mode to Overlay. Group the Ribbon Layers * With the Edges layer active in the Layers panel, hold down the Shift key, and then click on the Ribbon layer so both layers are active. Click on the Create a New Group icon. * Double-click on the name of the group and rename it Ribbon Master. Press Enter/Return to commit the change. Merge the Layers * Press Ctrl J (Mac: Cmd J) to duplicate the group. * Click on the Visibility icon of the original Ribbon Master group to hide it. * Right click (Mac: Ctrl click) on the duplicate group and choose Ungroup Layers. Both the Edges and Ribbon layers should be active. * Right click (Mac: Ctrl click) on one of the active layers and choose Merge Layers. * In the Layers panel, double-click on the name of the merged layer and rename it Ribbon. Press Enter/Return to commit the change. * Press the letter D to reset the Color Chips to the default of black and white. * Press the letter X to swap the color chips so that white is now the foreground color. Cut Out Ribbon Ends * Get the Eraser tool. * In the Tool Options, open the Brush Picker and choose the Ribbon Cut Out Left - SR brush from the class brushes (CLR-Class-Brushes). This brush has built-in settings so we can leave them as is. * Press Ctrl + (Mac: Cmd +) to zoom in on the left side of the ribbon. * On the document, on the left edge of the ribbon, click once with the Eraser to cut out a triangle. NOTE: You can achieve different looks depending on where you click and erase with the brush. It looks more realistic when the cut out area is not centered. * On the document, move over to the right edge of the ribbon. * In the Tool Options, open the Brush Picker and choose the Ribbon Cut Out Right - SR brush from the class brushes. Leave the settings as is. * On the document, move over to the right edge of the ribbon, and click once with the Eraser to cut out a triangle. * Press Ctrl 0 (Mac: Cmd 0) to fit the document on the workspace. Add Type to the Ribbon * Get the Horizontal Type tool. * Press Ctrl + (Mac: Cmd +) to zoom in making sure the entire ribbon is visible. * In the Tool Options, open the Font Picker and choose a font. I'm using the Mom's Typewriter font (You can find a link to this font on page one of this manual). Set the Size to 30 pt and press Enter/ Return so that it sticks. Set the Leading to Auto and the Tracking to 0. Click on the Left Align Text icon. * On the document, click once on the left side of the ribbon to place the cursor. Then type cherished memories. * Press the spacebar twice to leave space and then type cherished memories again. * Press the spacebar twice and type the first few letters of the word cherish until you run out of room on the ribbon. * Click the checkmark to commit the type. * Press Ctrl + (Mac: Cmd +) to zoom in between the words memories and cherished. * Click once under the previous type to place the cursor and type a period. * Click the checkmark to commit the type. * Get the Move tool * On the document, click on the period and move it so it's centered between the word memories and cherished. * Press Ctrl - (Mac: Cmd -) to zoom out. * Press Ctrl J (Mac: Cmd J) to duplicate the period layer. * Click on the duplicate period and move it to the right between the second memories and cherished words on the ribbon. Align the Layers * In the Layers panel, hold down the Shift key, and click on the ribbon layer so that all the ribbon layers are active. * In the Tool Options, click on the Align Center icon. * With the Ribbon layers still active, in the Layers panel, click on the Create a New Group icon. * Double-click on the name of the group and rename it Ribbon. Press Enter/Return to commit the change. * Click on the arrow on the left side of the group to open it. * Activate the type layer at the top of the group. * Change the Blend Mode to Overlay. * Follow the previous instructions to activate and change the Blend Mode of all the type layers. * Activate the cherished memories type layer. * In the Menu Bar, choose Layer > Create Clipping Mask. Add a Drop Shadow I've included some drop shadow styles in the class styles that you can add to the ribbon layer if you like. * In the Layers panel, open the Ribbon group. * Activate the Ribbon layer. * In the Styles panel, (Window > Styles) click on a shadow style icon from the CLR-Class-StylesBonus to apply the shadow. By using different values of one color we were able to create a realistic ribbon. Project 2: Fun Photo Trick Focus on one color in a photo or image using a Hue/Saturation adjustment layer. This is a great technique for photos that have a lot of colors that may not coordinate with your page, or you just want to focus on one color in the image. This also works for elements and papers. * Open the limor-zellermayer-1133093-unsplash.jpg (File > Open) from the class files. * Make a duplicate copy (File > Duplicate). * Close the original photo (File > Close). * In the Layers panel, click on the Create a New Fill/Adjustment Layer icon and choose Hue/Saturation. * In the Adjustments panel, open the Channel menu, and choose Reds. Move the Saturation slider all the way to the left. This eliminates the red hues in the image. * Open the Channel menu and choose Yellows. * Move the Saturation slider all the way to the left to get rid of the yellow hues in the image. * Follow the previous steps for the Greens, Cyans, and Magentas. That leaves us with just the Blue hues in the photo. This technique can give us a monochromatic color scheme as long as there are varying values of the color we are focusing on. Play time! Dig through your photos and focus in on one color in the image. Ideas and Suggestions for Monochromatic Color Schemes: * Revisit Lesson 2: Let's Play With the Color Wheel and follow the lesson using monochromatic colors. If you add the Pointillize filter to your starburst paper, you may want to set the Foreground and Background Color Chips to different colors than what's shown in the lesson. I set my Foreground Color Chip to the darkest blue value on my striped paper, and the Background Color Chip to the lightest blue value on the striped paper shown above. * Use monochromatic colors when your photos include a lot of colors or they have a very busy background. This will help keep your page and photos balanced. * Short on time? Monochromatic color schemes work great with layout templates! You can find this template (CLR-Monochromatic-Template-SyndeeR.psd) in the class files. It's perfect for pages featuring a monochromatic color scheme. Change the colors of the elements to match your page. * Create a book of colors using a monochromatic color scheme for each page. This could be a book of scrapbook pages or a book for children who are learning their colors. * Revisit Lesson 4: Let's Play With Color Value and use monochromatic colors to color in the flowers and add shading for a different look. * Revisit Lesson 7: Primary Colors - Comic Page and use monochromatic colors instead. * Revisit Lesson 8: Artist Inspired Template and recolor the colored mattes using monochromatic colors. Save the Documents * Save your documents (File > Save As) as layered PSD files. * Save the documents in the class folder for this lesson. Click Save. * Give the files a name. Page10of10
Who Is My Child? Understanding Temperament Understanding your child's temperament can help you be a better parent and teacher. Who Is My Child? Understanding Temperament In this workshop KBYU Eleven's Ready To Learn trainer, Stephanie Anderson, helps parents, grandparents, caregivers, and teachers answer the questions "What is temperament?" and "Why is it important to understand?" Temperament is how a person usually acts and is neither good nor bad. It has nothing to do with temper. Temperament consists of nine inherent traits: activity level, distractibility, intensity, regularity, sensory threshold, approach and withdrawal, adaptability, persistence, and mood. The unique combination of these traits forms your child's most basic self—it is their natural disposition. Understanding your child's temperament can help you be a better parent and teacher. This workshop, based on the research of Bruce Perry, MD, PhD, provides unique insights about children's temperaments. It was originally developed by KERA © 2003 and is used with permission. This workshop includes the following sections: Learning Triangle Activity Sheet What Can I Do for My Child? Activities Why Is This Important to My Child? Book List Additional Resources Special Thanks KBYU Eleven gratefully acknowledges the following individuals and organizations that contributed to the design and creation of this workshop and the thousands of workshop participants whose questions and suggestions inspired our work: Stephanie Anderson, Carrie Allen Baker, Barbara Leavitt, Aubrey McLaughlin, Theresa Robinson, Public Broadcasting Service, and United Way of Utah County. KBYU Eleven Ready To Learn ® FAQs What Is KBYU Eleven Ready To Learn? Children are born equipped for learning. Parents and caregivers can help children enter school with the essential skills and knowledge they need to be ready to learn. KBYU Eleven provides children and parents with three related services: 1. Quality educational television programs. Children who consistently watch these programs enter school better prepared to learn, and once in school they perform at a higher level. 2. A safe and fun online environment offering engaging activities, games, and videos that teach and reinforce key skills and concepts. 3. Online video workshops that provide insights into how children develop and demonstrate how to combine media with reading and hands-on activities to greatly enhance children's learning. What Is the Purpose of the KBYU Eleven Ready To Learn Workshops? The 12 KBYU Eleven Ready To Learn workshops help parents become their child's first and best teacher. The workshops were created over several years by experts in early childhood education and offered in partnership with schools, libraries, and community organizations throughout Utah. In creating these workshops KBYU Eleven built on the national Ready To Learn initiative sponsored by the U.S. Department of Education, the Corporation for Public Broadcasting (CPB), PBS, and the Ready To Learn Partnership (RTLP). You can learn more about the national Ready To Learn effort at pbskids.org/read/about. What Are the 12 KBYU Eleven Ready To Learn Workshops? 1. Benefits of Media and the Learning Triangle 2. Rhymers Are Readers: The Importance of Nursery Rhymes 3. Music Is a Must! 4. Storytelling: You Can Do It! 5. The Brain: How Children Develop 6. The FUNdamental Powers of Play 7. What Do You Do with the Mad That You Feel? 8. Who Is My Child? Understanding Temperament 9. Math Is Everywhere! 10. Learning Through the Early Years: The Benefits of Repetition and Variation 11. Shared Reading: Tools to Bring Literacy to Life 12. Building Blocks: The Sequence of Emergent Literacy Skills How Can I Participate in a KBYU Eleven Ready To Learn Workshop? Video versions of the workshops are available online at no charge. While they are sequentially based—with each workshop building on the previous one—they can also be viewed independently. To watch a workshop, visit kbyueleven.org and click on Ready To Learn under the Kids & Family section. What Are the Four Areas of Child Development? 1. Cognitive development includes thinking, information processing, problem solving, remembering, decision making, understanding concepts, and overall intelligence. 2. Physical development is rapid following birth as children learn to control large and then small muscle groups. The sequence of stages is important, and providing an environment children can physically explore while they are growing is critical to all ages. 3. Language development is most intensive during the first three years while the brain is developing rapidly and is stimulated most by exposure to sights, sounds, and being talked to. 4. Social/emotional development is critical to all other areas of development, because how children perceive their world (their ability to give and accept love, be confident and secure, show empathy, be curious and persistent, and relate well to others) affects how the brain physically develops and how they learn and process information. What Is the PBS Learning Triangle ® ? The Learning Triangle is a three-part learning pattern that helps reach all types of learners by teaching through a variety of activities. The three points of the Learning Triangle are View, Read, and Do. ® with your child an educational program that teaches a concept or skill. VIEW with your child age-appropriate books that reiterate the new concept or skill. READ DO an activity that reinforces a concept or skill that allows your child to practice what she or he has learned. As you use the Learning Triangle you will see how each point reinforces the others. The workshops provide suggested Learning Triangle activities, but more important, they teach you how to build your own learning triangles to best meet the needs of your child. How Do Children Learn? The Learning Triangle is built on how we learn. Using our senses we gather information and then process it into our memory. Some learners rely more on one sense than another. * Auditory learners use their sense of hearing. They process information better when they can hear the information. * Visual learners use sight as a key tool for processing information. * Kinesthetic (or hands-on) learners process information best by physically performing a task that incorporates the new information. While learners can have a strong affinity to one type of learning, it is more effective to teach using a combination of all three. As a parent or caregiver, it is important to understand what types of learning work best for your child so that you can guide them to become better learners. For young children, ages 0–3, learning is holistic, meaning that they use all three types of learning. PBS developed the Learning Triangle to help reach all types of learners and enhance their learning through repetition. According to Dr. Bruce Perry, repetition is key to the development of a child's brain. Repetition leads to skill mastery, which increases confidence and builds self‑esteem. Who Is My Child? Understanding Temperament Learning Triangle Activity Sheet Complete the All About Me! activity at www.pbs.org/parents/clifford/activities or sing "It's You I Like" with your child (words and music at www.pbskids.org/rogers/songLyricsItsYouILike.html). "Temperament describes the initial state from which personality develops and links individual differences in behavior to underlying neural networks. Temperament and experience together 'grow' a personality, which will include the child's developing cognitions about self, others, and the physical and social world, as well as his or her values, attitudes, and coping strategies. "From early infancy, children show considerable variability in their reactions to the environment. One child is fearful, has only a brief attention span, and cries even at moderately stimulating play; another child enjoys vigorous play, is not easily distracted, and seeks out exciting events. These reactions, together with the mechanisms that regulate them, constitute the child's temperament. Temperament is defined as individual differences in emotional, motor, and attentional reactivity measured by latency, intensity, and recovery of response, and self-regulation processes such as effortful control that modulate reactivity (Rothbart & Derryberry, 1981). These differences are biologically based and are linked to an individual's genetic endowment (Posner, Rothbart, & Sheese, 2007)." [Rothbart, M. K. (2007). Temperament, development, and personality. Current Directions of Psychological Science, 16, 207–212.] Who Is My Child? Understanding Temperament Book List Who Is My Child? Understanding Temperament Book List Title: Author: Subject: I Love You, Little One Nancy Tafuri Social/Emotional I Was So Mad Mercer Mayer Frustration/Upset If You're Angry and You Know It! Cecily Kaiser Frustration/Upset /Social/Emotional Is Your Mamma a Llama? Deborah Guarino Different Is Okay Jessica Kevin Henkes Crisis/Stress/Social/Emotional Julius, the Baby of the World Kevin Henkes Crisis/Stress/Social/Emotional Just the Two of Us Will Smith Social/Emotional Just the Way You Are (Sesame Street) Kara McMahon Love and Warmth Kisses Nanda Roep Love and Warmth Kissing Hand, The Audrey Penn Social/Emotional Koala Lou Mem Fox Social/Emotional Let's Go Visiting Sue Williams Social/Emotional Lilly's Purple Plastic Purse Kevin Henkes Crisis/Stress/Different Is Okay/ Social/Emotional Little Rocket's Special Star Julie Sykes Social/Emotional Love You Forever Robert Munsch Love and Warmth Make Way for Ducklings Robert McCloskey Social/Emotional Miss Moo Goes to the Zoo Kelly Graves Different Is Okay Mommy's Hands Kathryn Lasky and Jane Kamine Social/Emotional More Parts Tedd Arnold Social/Emotional Napping House, The Audrey Wood Social/Emotional New Baby, The Mercer Mayer Crisis/Stress No Matter What Debi Gliori Social/Emotional Owen Kevin Henkes Crisis/Stress Parts Tedd Arnold Social/Emotional Pigsty Mark Teague Crisis/Stress Pocket Full of Kisses, A Audrey Penn Social/Emotional Rain Came Down, The David Shannon Sequence of Bad Things Ruby in Her Own Time Jonathan Emmett Social/Emotional Sheila Rae, the Brave Kevin Henkes Crisis/Stress Skippy Jon Jones (any Skippy Jon Jones books) Judy Schachner Social/Emotional "Slowly, Slowly, Slowly," said the Sloth Eric Carle Different Is Okay Sometimes I'm Bombaloo Rachel Vail Frustration/Upset/Social/Emotional Stand Tall, Molly Lou Melon Patty Lovell Crisis/Stress/Social/Emotional/ Different Is Okay Tacky the Penguin Helen Lester Crisis/Stress/Social/Emotional These Hands Hope Lynne Price Love and Warmth/Social/Emotional Two Eyes, a Nose and a Mouth Roberta Grobel Intrater Social/Emotional Who Is My Child? Understanding Temperament Book List Title: Author: Subject: This is a small reference sample of books that can be found at your local library. understanding children’s temperaments My Expectations Write or draw two things you hope to learn about temperament in the space below: * Warn her ahead of time before going on a family outing or asking her to join a family activity. · Provide pictures and toys in her crib for her to enjoy. Learning, Childcare and School · Ask the teacher to remind her about toileting and water breaks. · Provide her with puzzles and activities with more pieces and · If she does not respond to you, go over and touch or face her to get her attention. websites books
International Research Journal of Applied Finance ISSN 2229 – 6891 Telecom Sector Financing in India: Case Study of Bombay Communications Limited (BCL) 1 Dr. Vikas Srivastava Associate Professor and Chairperson - PGPEX Indian Institute of Management Ranchi email@example.com 1. Industry Overview 1.1 Background The Indian Telecommunications network is the third largest in the world and the second largest among the emerging economies of Asia. Today, it is the fastest growing market in the world. The telecommunication sector continued to register significant success during the year and has emerged as one of the key sectors responsible for India's resurgent India's economic growth. What Is Included Under Telecommunication Industry The telecommunication sector includes all the components that are listed under the umbrella term of information and communication technology. Information and Communications Technology (ICT) is an umbrella term that includes any communication device or application, encompassing: radio, television, cellular phones, computer and so on, as well as the various services and applications associated with them, such as videoconferencing and distance learning. ICT's are often spoken of in a particular context, such as ICT's in education, health care, or libraries. The Organization for Economic Co-operation and Development's (OECD) definition makes a distinction between the manufacturing and service dimensions of the ICT. In 1998 OECD member countries agreed to define the ICT sector as a combination of manufacturing and services industries that capture, transmit and display data and information electronically. The important factor in this broad definition is that, as it breaks the traditional dichotomy between manufacturing and services, activities producing and distributing ICT products can be found everywhere in the economy. Due to the broad nature of telecommunication industry it becomes essential to focus on a particular aspect of ICT. 2. Industry Growth This rapid growth has been possible due to various proactive and positive decisions of the Government and contribution of both by the public and the private sector. The rapid strides in the telecom sector have been facilitated by liberal policies of the Government that provide easy market access for telecom equipment and a fair regulatory framework for offering telecom services to the Indian consumers at affordable prices. India's teledensity has improved from under 4% in March 2001 to around 71% by the end of March 2011. Cellular telephony has emerged as the fastest growing segment in the Indian telecom industry. The mobile subscriber base (GSM and CDMA combined) has grown from under 2 m at the end of FY00 to touch 812 m at the end of March 2011 (average annual growth of nearly 73% during this eleven year period). Tariff reduction and decline in handset costs has helped the segment to gain in scale. The cellular segment is playing an important role in the industry by making itself available in the rural and semi urban areas where teledensity is the lowest. The fixed line segment has actually seen a decline in the subscriber base. It has declined to 34.73 m subscribers in March 2011 from 36.96 m in March 2010. The decline was mainly due to substitution of landlines with mobile phones. As far as broadband connections (>=256 kbps) are concerned, India currently has a subscriber base of 11.9 m. It has grown at an average annual growth rate of 45% since 2008. The auction for broadband wireless license and spectrum was carried out. Once the operators complete their network rollouts, this will further boost the broadband penetration in the country. 3. Segment wise Status 3.1 Wireline Services With increasing penetration of the wireless services, the wireline services in the country are becoming stagnant. On the other hand, Broadband demand has picked up and promises to stabilise fixed line growth. 3.2 GSM Sector In terms of the Global System for Mobile Communication (GSM) subscriber base this now places India third after China and Russia. China had 401.7 million GSM subscribers. 3.3 CDMA Services CDMA technology was introduced in India as a limited mobility solution. The introduction of CDMA services has created competition, lowered tariffs and offered many citizens access to communication services for the first time. 3.4 Internet Services Internet services were launched in India on August 15, 1995. In November 1998 the government opened up the sector to private operators. A liberal licensing regime was put in place to increase Internet penetration across the country. The growth of IP telephony or grey market is also a serious concern. Government loses revenue, while unlicensed operation by certain operators violates the law and depletes licensed operators market share. New services like IP-TV and IP-Telephony are becoming popular with the demand likely to increase in coming years. The scope of services under existing ISP license conditions is unclear. 3.5 Manufacture of Telecom Equipment Rising demand for a wide range of telecom equipment, particularly in the area of mobile telecommunication, has provided excellent opportunities to domestic and foreign investors in the manufacturing sector. The last two years saw many renowned telecom companies setting up their manufacturing base in India. Ericsson has set up GSM Radio Base Station Manufacturing facility in Jaipur. Elcoteq has set up handset manufacturing facilities in Bangalore. Nokia set up its manufacturing plant in Chennai. LG Electronics set up plant of manufacturing GSM mobile phones near Pune. The Government has already set up Telecom Equipment and Services Export Promotion Forum and Telecom Testing and Security Certification Centre (TETC). A large number of companies like Alcatel, Cisco have also shown interest in setting up their R&D centers in India. With above initiatives India is expected to be a manufacturing hub for the telecom equipment. 4. Regulatory Framework The Telecom Regulatory Authority of India (TRAI) was set up in March 1997 as a regulator for Telecom sector. The TRAI's functions are recommendatory, regulatory and tariff setting in telecom sector. Telecom Disputes Settlement and Appellate Tribunal (TDSAT) came into existence in May, 2000. TDSAT has been empowered to adjudicate any dispute – * between a licensor and a licensee * between two or more service providers * between a service provider and a group of consumers * hear and dispose of appeal against any direction, decision or order of TRAI Tariffs for telecommunication services have evolved from a regime where tariffs were determined by Telecom Regulatory Authority of India to a regime where tariffs are largely under forbearance. TRAI intervenes by regulating the tariffs for only those services, the markets of which are not competitive. November, 2012 Case Study Series Universal Service Obligation Fund (USOF) exclusively for meeting the Universal Service Obligation was established in April, 2002. Indian Telegraph Act has been amended in October'2006 to provide support for all telegraph services including mobile and broadband to bridge the digital divide. With the introduction of the Unified Access Licensing Regime, operators can offer telecom access services to consumers in a technology neutral manner, subject to fulfilling certain conditions. Introduction of this regime has also broken the legal/regulatory impasse between the cellular and basic service providers. Issuance of IntraCircle Merger and Acquisition Guidelines provide investors an opportunity to take stakes in existing telecom operations. The case focuses on the financing of telecom sector by banks in India and looks into the risks that banks faced when the telecom sector was at a nascent stage in the country. 5. The Indian Telecom Sector: Structural Changes after Liberalization Development and provision of world class telecommunications infrastructure is the sine quo non for rapid economic and social development. Indian telecommunication network has been in operation since 1851. The Indian Telegraph Act of 1885 established the Government of India's monopoly in the sector and together with this act of 1933, provided the legal framework for the regulation of Indian telecom industry. Post liberalisation, the Government of India commenced a program to reorganize telecom industry. Department of Post and Telegraph has now been renamed as two separate departments that is Department of Telecommunications (DOT) and Department of Posts. DOT was brought under Ministry of Communications to oversee maintenance and development of telecom services. MTNL was incorporated in 1986 to takeover existing telecom networks in Delhi and Mumbai. Telecom Commission was established in 1986 under Ministry of Communications to make policy decisions. However in 1993, India had a relatively low teledensity ratio of 0.89 per 100 people compared to world average of 11 per hundred. The teledensity for some other developing countries in the region was 2 for China, 1.3 for Pakistan, 1.5 for Indonesia and 3.8 for Thailand. In 1994, National Telecom Policy was announced with an objective to provide availability of phone on demand, provision for world class services to ensure India's emergence as a major export base of telecom equipment and services. In the light of above policy, in order to expand and modernize telecom services throughout the country and considering the very significant capital costs associated with this expansion, the Government of India decided to have private sector participation to develop telecom services. It was decided to award licenses based on competitive bidding process to Cellular Mobile Telecom Services (CMTS) and Fixed Line Telecom Services (FTS) in various circles. Very small aperture Terminals (VSATS), Internet Service Providers (ISP), Global Mobile Personal Communications by satellite (GMPCS) was also opened for private sector participation. It was decided by DOT at that time to allow only one private operator in each circle to compete directly with DOT on the fixed line network. The DOT was to continue to be a monopoly provider of long distance services. Commercial operation started in four metro areas of Delhi, Mumbai, Kolkata and Chennai. DOT divided the country into 20 cellular telecom circles categorizing them into A, B and C circles based on geographical and demographic size. 6. Background BCL is a new company, established in 1996, that has been awarded licenses for providing cellular telephone services to the two telecom circles that is Gujarat and Maharashtra. The company proposes to operate a Global Systems for Mobile communications (GSM) digital November, 2012 Case Study Series cellular network. The company has paid the license fee aggregating Rs. 313.8 crores for the first year. Already some key activities in the project implementation such as purchase of office cum mobile switching centre space in Maharashtra, Gujarat and Goa have been completed. The company is in the process of leasing of sites for locating the equipment and microwave towers. It has spent Rs. 467.2 crores including license fee. The project cost is estimated to be Rs 1802 crores (For break up see cost of project, given later) that is to be incurred upto 1999. For funding the rupee component of Rs 525 crores, the company has approached the National Bank of India. The company has requested for non recourse cash flow funding. The present exposure of National Bank of India is Rs. 1690 crores and non fund based exposure is Rs. 1204 crores with total exposure of Rs. 2209 crores to various group companies of sponsors. The conduct of accounts is satisfactory. There is additional room for Rs. 521 crores as per RBI guidelines. 7. Project Promoters Bombay Communication Ltd (BCL) has been promoted by Bombay Company (BOMCO) and T & T C (Leading International Telecom Company) to establish and operate a cellular telephone network in circles of Gujarat and Maharashtra. 51% of equity is held by BOMCO and 49% by T &TC. BOMCO is a leading business house of India with presence in range of industries including aluminium, textiles, fibre, cement, sponge iron, industrial chemicals and gases, fertilizers, tyres etc. It has an international presence and has successfully set up greenfield projects in core sectors like cement, fertilizers and sponge iron etc. T&TC is one of the largest telephone companies of the world with turnover exceeding USD 79 billion. It offers a full range of long distance and international communication services. There were newspaper reports that the company is in some financial trouble and the change in management is on cards. 8. Technology The Government of India's policy mandated that licenses issued for cellular services would require the implementation of digital cellular networks using GSM standard. There are a number of alternate standards in analog (NMT, TACS, AMPS) and in digital ( GSM, DCS 1800, PCS AND PDC) depending on radio frequency spectrum used. GSM is an operating standard for cellular telephony and has gained acceptance particularly in Europe and Asia and is now being used for 130 lacs subscribers through 120 operators in 70 countries. The circle (operating area) is divided into cells which has a radio base station which is linked to mobile switch (an exchange for mobile phone calls). When a call is made, it is transmitted to the nearest radio base station. It travels via microwave or underground cable to mobile switch. This is directed by mobile switch to another radio base station or a public network (DOT) from where it is transmitted to the receiver. Mobile switch tracks position as mobile owner moves from one radio base station cell to another. A call out of cellular network has to pass through Public Switch Telephone network (PSTN) which is owned and managed by DOT. BCL is using the well proven and accepted GSM technology in its system. BCL has entered into a supply contract with Ericcson Radio systems. BCL has also entered into an installation training and services contract with Ericcson Telephone Corporation of India an affiliate of Ericcson Sweden which has a preeminent reputation as a leading Global supplier GSM equipment. BCL also proposes to enter into a support services agreement with T &TC Wireless Services Inc (TWS) for need based technical or operational support on an ongoing November, 2012 Case Study Series basis. However technological changes are fast and locking operational details for 10 -15 years may prove difficult. Also threat from substitute services like Voice over Internet Telephony is looming large. 9. Commercial Aspects BCL has concluded the equipment supply and installation contracts for USD 76.8 million with Ericsson Radio Systems. Ericsson will be supplying equipment over a period of 3 years. BCL has received 3 mobile switching centres ( MSC) and Base Station Controllers ( BSC) for Pune, Gandhinagar and Goa. BCL has finalized the license agreement for billing and customer care system software from SEMA, UK. The fact that telecom services industry does not require any raw material in the traditional sense makes it high value addition and high profit industry once the capital costs are recovered. According to DOT's demand projection, the growth in telephone connections in Gujarat and Maharashtra will be highest. Handset prices are coming down and internationally cellular markets grow exponentially, once critical point is reached. Gujarat, Maharshtra and Goa are widely accepted as most industrialized states in India. The two circles represent 14% of India's population. In particular, Goa, Maharashtra and Gujarat rank as second, fourth and fifth most wealthy states. BCL has arrived at cellular market potential from economic, demographic and demand data based on the following primary sources: 1. MARG and Monitors bottoms up analysis of potential commercial and individual subscribers involving a sample population. 2. A market study by Pro Data partners Ltd. Of UK was commissioned by BCL to evaluate cellular services market in Gujarat and Maharashtra. 3. Analysis of cellular penetration rates in other regions as well as international markets. 4. Telephone demand statistics from DOT regarding existing lines and demand for telephone services in cities in India. Based on this BCL expected to capture 50% of the market share. The penetration rates assumed by BCL, per hundred subscribers, assuming 50% of market share \| \| 1996 \| 1997 \| 1998 \| 1999 \| \|---\|---\|---\|---\|---\| \| Gujarat \| 0.01 \| 0.08 \| 0.15 \| 0.22 \| \| Maharashtra \| 0.01 \| 0.04 \| 0.08 \| 0.13 \| \| Ind. estimate by JP Morgan \| 0.04 \| 0.08 \| 0.12 \| 0.18 \| Considering Gujarat and Maharashtra (excluding Mumbai) are two highest revenue earners for DOT with potential for growth above national average, the penetration rates by BCL can be considered as reasonable. INFAC (an independent agency) has projected cellular demand of 1, 50, 000 and 80, 000 in Gujarat and Maharashtra which is lower than the subscriber base assumed by BCL which have assumed 279, 645 and 264,965 respectively. INFAC's assessment is based on number of cars while BCL's assessment seems to be more detailed. As DOT had a policy of allowing maximum 2 players in each circle BCL's competition is expected to be Fascel in Gujarat and TCL in Maharashtra. 10. Pricing The airtime charges to be levied were Rs. 1.40 per 10 second usage. Cell phone operators were allowed to charge double this rate during peak hours, which was capped at Four Hours per day. BCL will charge access installation security deposit etc. Based on T& TC experience November, 2012 Case Study Series bucket rates for corporate customers will be charged. BCL has developed a detailed marketing strategy based on experience gained by TWS which includes increasing consumer awareness, directing efforts to target markets of individual, business and government users, branding and customer price plans. 11. Government Regulations: 1. The Government decided to allot only two cellular licenses for each circle. The license have an initial ten year term and extendable by five years. 2. Performance bank guarantee of Rs. 20 crores per circle. Financial bank Guarantee of Rs. 50 crores per circle for the first year and an amount equal to license fee for the second year. 3. An escrow account where all operational revenues will be paid. DOT will have a lien of 30% subject to maximum of quarters levy plus any other amount due payable during following quarter. 4. The equity holding of the foreign partner should not fall below 10% for the first three years. The equity of the Indian promoter should not fall below 10% of the total equity of the company or the equity held at the time of bidding, during the first three years. 5. The penalty for delay in commencement of services shall be Rs. 5 lacs/week subject to a maximum of Rs. 1 crores. The license will be terminated if the delay is longer than 20 weeks. 6. DOT may terminate the agreement by giving notice of 30 days for failure to provide the service within the time specified or for failure to perform any other obligation including payment of license fee. DOT may revoke the license giving notice of 60 days if it deems such action is in public interest. However Government has announced formation of Telecom Regulatory Authority of India (TRAI for consumer protection. 12. Financial Details 1. For Maharashtra a total of Rs. 1658 crores is payable in ten installments ( Rs. 151 crores in the first five years and Rs. 181 crores in subsequent years) For Gujarat circle a total of Rs. 7794 crores is payable in ten equal installments ( Rs. 163 crores annually and Rs. 196 crores in subsequent years). (Please look at the cash losses in cost of project). Net funding requirements in the first four years were estimated to be Rs. 1802 crores to be funded by Debt Equity ratio 1.25: 1. Rupee component of loan sought was Rs. 525 crores. For balance international lenders were underwriting it. 2. The project feasibility report was prepared by Union Bank of Switzerland which is a reputed institution. 3. The company did not have loan facilities from any bank at that time (1996). As per requirements of DOT the company has furnished financial/performance guarantees as follows: Rs. In crores \| Bank \| Financial Guarantee \| Performance Guarantee \| Total \| \|---\|---\|---\|---\| \| Standard Chartered \| 50 \| 20 \| 70 \| \| BOA \| 35 \| 10 \| 45 \| \| Deutche Bank \| 15 \| 10 \| 25 \| \| Total \| 100 \| 40 \| 140 \| 4. The union budget in 1997 allowed 50% of the project cost to be funded through ECB's in telecom projects; the requirement for rupee term loan was reduced from Rs. 525 crores to Rs. 91.7 crores. Consequently two major foreign banks have underwritten the entire foreign currency loan and a substantial portion of Rupee term loan. Now the demand for rupee term loan was only Rs. 30.8 crores. November, 2012 Case Study Series 5. The project cost has been estimated on the basis of the net fund operations of the 4 years after which the project is expected to generate sufficient internal cash flows to meet the ongoing capital expenditure and license fees payments. The project costs include funding of capital expenditure for the first four years, funding of debt service reserve in the fourth year and escrow account reserve and funding of cash losses. 13.1 Cost of Project Ericcson has provided BCL with a bridge loan of 85% of the first year equipment supplied for a six month period. Political Insurance guarantee from worth Rs. 2385 crores is raised from leading European Financial institutions. 6. DOT has not agreed for transferability /assigns ability of license on the grounds that it violates tender conditions, so license at the time of appraisal is not a lendable asset. License fee is through bidding and there were grossly different perceptions, so even if it is financial asset, future businesses that may accrue is debatable. However projected net cash generation need to meet the license fee component of the relevant year. 14. Financial Projections The following details are given: Rs. In lacs \| \| 1997 \| 1998 \| 1999 \| 2000 \| \|---\|---\|---\|---\|---\| \| Av. Subscribers \| 32600 \| 97200 \| 165235 \| 242850 \| \| Av. Revenue per subscriber / minute \| 10.66 \| 10.65 \| 12.06 \| 12.06 \| \| Minutes of usage / subscriber \| 270 \| 270 \| 256 \| 243 \| \| Revenue \| 13192 \| 39067 \| 73625 \| 102852 \| \| Total Op. Expenses \| 12210 \| 16619 \| 23691 \| 32265 \| \| Op. PBIT \| 982 \| 22448 \| 49664 \| 70587 \| \| Other Investment \| 0 \| 534 \| 1142 \| 2063 \| \| PAT \| -12852 \| 660 \| 17669 \| 28894 \| International Research Journal of Applied Finance ISSN 2229 – 6891 November, 2012 Case Study Series The following assumptions have been taken a) The subscriber base has been estimated by the company based on the projections made by Prodata Partners and its own internal study. The growth rates assumed are comparable to those in other countries. The growth rates assumed are 2.12 % pa for Gujarat and 2.57% pa for Maharashtra with a churn percentage of 15%. b) The revenue includes outbound calls, inbound calls, access revenue, features revenue and interconnect expenses. The average tariff amounts to Rs. 10.66 per minute with an increase of 12% every 3 years. The tariff in metros are lower than this, but the company is of the view that tariff in circles have to be higher than metros in view of the license fees paid. MOU has been estimated at 270 in base case. This appears slightly optimistic. 15. Key Ratios and Sensitivity Analysis Project D/E: 1.25 TOL/TNW: 1.51 Gross Average DSCR: 3.36 Terms of Repayment: 9 years. The project is sensitive to reduction in factors influencing revenues namely minutes of usage, subscriber base and tariffs. The impact is on the Project cost and also the debt service coverage ratio \| \| Minimum DSCR \| Average DSCR \| Increase in Project cost ( Rs. Crores) \| \|---\|---\|---\|---\| \| Decrease in revenue by 10% \| 1.44 \| 2.42 \| 164 \| \| Decrease in revenue by 20% \| 1.02 \| 1.68 \| 342 \| Opinion Reports and Network Rollout Opinion reports have been sought from Duff and Phelps and Dun and Bradstreet which are satisfactory. BCL has based its rollout plan with a focus on areas with large urban population, high population density, high level of industrial development, large potential of users of telecommunication services and having a strategic location near major road /railway thorough fares. BCL has acquired more than 73 base stations that are currently operational and has an additional 107 in various stages of completion. Security Package Company has proposed the following security package a) Assignment of license as and when permitted by DOT. b) Pledge of the shares by the sponsors c) A lien on all fixed assets and Project accounts d) Assignment of insurance policies e) Assignment of all material contracts 16. Terms and Conditions 1. The loans have to be repaid in 12 backended semi annual installments commencing from June 30, 2000 2. The interest rate will be BPLR+2.5% 3. BCL will maintain a DSRA funded with balance equal to all principal repayments under the facilities and accrued interest thereon which will be due and payable over the next 6 months. 4. The maximum funded D/E will be 1.25 International Research Journal of Applied Finance ISSN 2229 – 6891 November, 2012 Case Study Series 5. DSCR will be tested periodically and will not be less than 1.1 in year 2000, 1.2 in 2001 and 2.0 in the successive years. 6. Debt to EBIDTA should not be greater than 6 in 200, 4.5 in 2001 and 3 in successive years. 7. Maximum Debt is limited to USD 350 million. Minimum Airtime revenue test: Actual Airtime revenue for the most recently completed quarter times four will exceed the minimum required percentage of base projected. Airtime revenue for the preceding 12 months perusal to the following grid The appraisal note is being presented to Central Credit Committee of National Bank of India for approval in 1997. Issues to be discussed 1. If you were to appraise this project, what would be the major aspects you would look into as a lender? Are you satisfied by the assumptions therein? 2. What, according to you would be the risks involved in financing this project? How do you think these risks can be mitigated? Telecom Sector Financing in India Case Study of Bombay Communications Limited (BCL) (B) 1. The Credit committee approved the sanction. Three tranches of loan were syndicated –Rupee tranche (Rs 91.5 crores) Foreign Currency Loan (USD 173 million) and Political Insurance Loan worth USD 65 million. 2. Although till 1999, BCL has been meeting interest obligations, the project like other cellular projects is not doing well. Several studies undertaken particularly by a leading private sector bank have pointed out that with existing regulatory and license fee structure, the industry itself may not be viable. The generally high license fee committed by operations at the time of bidding of licenses and the rosy demand projections were based on the experience of other countries and have since failed to materialize. 3. License fee and demand projections made by BCL are highest as they had licenses for two of the most prosperous states of the country. 4. However, there is a wide gap between the business plan projections and actual achievements under most of the critical heads. At the end of financial year in 1999, Average subscribers, Minutes of Usage, Airtime Traffic/minute and total revenue recorded negative variances of 47%, 57% and 82% respectively. In place of net profit of Rs. 43.12crores at the end of Year 4, net losses of Rs. 333 crores has been incurred. Foreign currency loan which had a latter drawdown schedule than Rupee Term Loans have been put under a drawstop. Debt/equity stands at 0.84 against 1.20 projected. 5. The company's license fee arrears amounted to Rs. 370.44 crores. DOT had demanded 20% of license fee to be paid immediately. Instead of paying up the license fee BCL and a few other operators filed a suit against DOT, but the court decided in favor of DOT and the financial guarantee was encashed. All the cellular operators paid arrears to DOT. 6. However a new telecom policy envisages a fixed entry fee and a revenue sharing agreement 7. However one of the issues of immediate concern to the lenders has been the event of default arising from BCL's failure to attain the performance level under performance milestone based covenants like the MAR test. In it a shortfall of Rs. 166.79 crores in actual airtime revenue has been recorded. The company has now informed that the sponsors would not be able to cure this default leading to a doubt about the interest of the sponsors in the project. 8. For the last 8 months, BCL has been advising lenders that once the license fee imbroglio is amicable sorted out, the company will submit a revised business plan, which according to company official is now ready. To implement this, the company has now put forward a standstill agreement, whereby the lenders would agree to a standstill period, to begin with upto September 1999, during which lenders would not declare neither any amount International Research Journal of Applied Finance ISSN 2229 – 6891 November, 2012 Case Study Series drawn under the loan as payable nor enforce the default rights. The borrower would make all scheduled interest and principal installment payments to the lender as a part of the bargain and would give them at the beginning and end of the standstill period a cash budget showing it has adequate cash commitments available to carry business. However license fee dues will not be included in the cash statement. The National Bank of India's credit committee has called for a fresh meeting to take a view on the borrowers' proposal.
Summary of Report Initial findings indicate that from 1990 to 2002 India failed to achieve any noteworthy progress in the management and development of its energy sector, especially in the areas of cleaner and renewable energy. The absence of a holistic energy policy and the increasingly reliance on road transportation are further worsening the situation. More funds need to be allocated towards rapid upgrading and expanding India’s railway infrastructure and improved road taxes for transport vehicles need to be applied. To promote the effective use of renewable energy sources strong, committed leadership is urgently required. Preface The findings of this report are based on the analysis of secondary data, mostly supplied by the government and other reliable sources. The main problem faced was in collecting appropriate data on investment and the actual production pertaining to renewable energy. Moreover, time series data on air pollution for all major cities of India were not available. Statistical figures in India are presented against a financial year calendar, i.e. for the period between April and March. In order to compare data supplied by international sources, normally presented in calendar year, i.e. January to December, figures had to be adjusted to correspond to the financial year. The most recent data for the majority of the indicators were for 2002-03. Beyond that reliable data across all the indicators could not be collected despite of best efforts. Verified data for Indian GHG emission was only available for 1994. The Report has been prepared by Dipankar Dey. Ms.Karabi Mitra Dey assisted it the collation and tabulation of data. Mr.Partha Chowdhury helped in typing tables and manuscript. Their contributions are acknowledged. Prof Sujay provided feedback on the initial findings. However any mistake in the report, are solely the responsibility of the author. Author The Report has been prepared by Dipankar Dey (b.1964). Dr. Dey has a PhD in Business Management from the University of Calcutta and a Master in Business Management from the same university. His PhD dissertation was on ‘State and Foreign Involvement in the Development of Indian Petroleum Industry Between 1970 and 1989’. His present areas of research interest are: WTO regulations, FDI movement, renewable energy, global trade in services, regional and sub-regional trade blocks and impact of globalization on social sector. Prior to joining ICFAI Business School (IBS), Kolkata in December 2002 as a Faculty, he worked with corporate sector for over twelve years in very senior positions. For a brief period he was also associated with a leading NGO. Dr Dey’s main areas of teaching are International Finance and Trade, International Marketing, Marketing Research and International Business Environment. He is the Co-ordinator of PhD Programme and Member of the Doctoral Advisory Committee (DAC) of IBS Kolkata. He conducts Management Development Programs (MDPs) on trade policy and social sector management on a regular basis. Currently, he is attached to the Department of Business Management, University of Calcutta as a Guest Faculty in the area of International Marketing. Dr Dey has participated as delegate and resource person in different national and international seminars including the Conference of Parties-8 (CoP -8) of United Nations Framework Convention of Climate Change (UNFCCC) and ‘International Seminar on Environmental Regulations and Market Access’ organized by OECD and UNCTAD. He was a member of the Advisory Group (Energy) formed by Stakeholder Forum (UK) during the Johannesburg Earth Summit 2002. Dr. Dey has produced numerous publications. His research article and commentaries have been published in the Economic and Political Weekly, The Hindu Business Line and The Statesman. Dipankar is also associated with ‘Kolkata Green Earth’ – a small voluntary organization of a few social activists who work for a nuclear free greener earth. Dipankar Dey, PhD Faculty ICFAI Business School Block –GP, Sector V Salt Lake Kolkata –700 091 India Phone:91-33-23577124/125 email@example.com, firstname.lastname@example.org. ## Glossary ### Abbreviations \| Abbreviation \| Description \| \|--------------\|-------------\| \| ADB \| Asian Development Bank \| \| CDM \| Clean Development Mechanism \| \| CERC \| Central Electricity Regulatory Commission \| \| CMIE \| Centre for Monetary Indian Economy \| \| CNG \| Compressed Natural Gas \| \| CO \| Carbon monoxide \| \| CPCB \| Central Pollution Control Board \| \| DSM \| Demand Side Management \| \| GDP \| Gross Domestic Product \| \| GHG \| Green House Gases \| \| GOI \| Government of India \| \| IGCC \| Integrated Gasification Combined Cycle \| \| IMF \| International Monetary Fund \| \| INR \| Indian Rupees \| \| IREDA \| Indian Renewable Energy Development Agency \| \| koe \| Kg. of Oil Equivalent \| \| MMT \| Million Metric Tone \| \| MNES \| Ministry of Non conventional Energy Sources \| \| MoEF \| Ministry of Environment & Forests \| \| MT \| Metric Tone \| \| MTOE \| Million Tone of Oil Equivalent \| \| MW \| Mega watt \| \| NABARD \| National Bank for Agriculture and Rural Development \| \| NIPM \| National Integrated Pest Management \| \| Nox \| Oxides of Nitrogen \| \| PLF \| Plant Load Factor \| \| Rs \| Indian Currency \| \| Sox \| Sulphur Oxides \| \| SPM \| Suspended Particle Matter \| \| T & D \| Transmission and Distribution \| \| TERI \| Tata Energy Research Institute \| \| TNC \| Trans National Corporation \| ### Conversion Factors \| Conversion \| Value \| \|------------\|-------\| \| 1 Kilowatt Hour \| 12.14 BTU, 3.6x10^6 Joules \| \| 1 BTU \| 252 Kilo Cal, 1.055 Kilo Joules \| \| 1 BkWh Hydro or Wind Electricity \| 0.086 MTOE \| \| 1 lakh \| 10 Million \| \| 1 Crore \| 100 Million \| \| 1 Billion \| 1000 Million \| # Table of Contents Summary of Report ................................................................. 1 Preface .................................................................................. 2 Glossary .............................................................................. 4 Abbreviations ..................................................................... 4 Conversion Factors ............................................................ 4 Table of Contents ................................................................. 5 Executive Summary ............................................................... 8 General Discussion of the Country ........................................... 9 Land area .......................................................................... 9 Animal Husbandry ............................................................ 9 Table 1: Production of Major Livestock Products and Fish .... 10 Population ....................................................................... 10 Table 2: Percentage of Literates & Literacy Rates 2001 ........ 10 Economic Conditions ....................................................... 10 Table 3: Growth in GDP ............................................... 11 Principal Imports and Exports (energy and non-energy) .......... 11 Table 4: Major Imports and Exports (US $ Million) ............ 12 Impact of Globalization .................................................... 12 Income and Equity ........................................................... 13 Table 5: Human Development Index (HDI) ....................... 13 Energy Usage ................................................................... 13 Table 6: Share of Different Fuel-Mix ................................ 13 Table 7: Production and Consumption of Energy (2003-04) by Sector and Source ........................................ 14 Figure 1: Electricity Production and Consumption (2003-4) .. 14 Principal Environmental Pressures ....................................... 15 Table 8: Greenhouse Gas .............................................. 15 Case Study 1: Clemenceau ............................................. 15 Case Study 2: Vedanta Alumina Company .......................... 17 Case Study 3: Mitsubishi Chemicals in India ..................... 17 Transport System ............................................................ 18 Table 9: Indian Railway ............................................... 19 Table 10: Indian Roadways ............................................ 19 Overview of the National Sustainable Development Strategy ........ 21 Indian Philosophy .......................................................... 21 Table 11: India’s Development Indicators .......................... 22 MoEF the Nodal Body for SD ............................................ 22 Concerns ........................................................................ 24 Energy Related Developments .............................................. 25 Current Situation ................................................................. 25 Figure 2: Fuel Mixes (2001-02) and Projected Scenario (2021-22) .............. 26 Power Sector Reform ......................................................... 28 New Energy Policy ............................................................. 31 Table 12: Scenario for Fuel Mix in Year 2031-32 (MMTOE) ....................... 32 Concerns ........................................................................... 38 Environmental Sustainability ............................................ 39 Indicator 1: CO2 Emission kg/capita ........................................... 39 Table 13: CO2 Emission kg/capita ........................................... 40 Indicator 2: Most Significant Energy-related Local Pollutants ............... 40 Table 14: Air Pollution μg/m3 (Residential) .................................. 41 Social Sustainability ......................................................... 42 Indicator 3: Household Access to Electricity ................................. 42 Table 15: Household Access to Electricity ................................. 42 Table 16: Distribution of Households by Source of Lighting 2001 ....... 43 Case Study 4: Low-cost Lamps for Rural India ............................. 44 Indicator 4: Investment in Clean Energy ...................................... 45 Table 17: Investments 1990-91 and 2002-03 ............................... 45 Economic Sustainability ..................................................... 45 Indicator 5: Energy Resilience: Energy Trade Benefits ..................... 45 Table 18: Consumption and Imports of Petroleum and Petroleum Products (million tones) ................................................................. 46 Table 19: Non-renewable Commercial Energy (including hydro from big dams) (mtoe) ................................................................. 47 Indicator 6: Burden of Public Energy Investments ............................ 47 Table 20: Public Investment in Non-renewable Energy .................... 47 Technological Sustainability .............................................. 50 Indicator 7: Energy Intensity (Energy Consumption/GDP) .................. 50 Table 21: Energy Intensity ......................................................... 50 Indicator 8: Renewable Energy Deployment ................................. 51 Table 22: Total Primary* Energy Consumption (MTOE) .................. 52 Table 23: Total Primary Commercial Energy Consumption (MTOE) .... 52 Table 24: Net Geothermal, Solar, Wind, Wood and Waste Electric Power Generation (billion kwh) ......................................................... 52 Table 25: Electricity from Renewable Sources ............................. 52 Table 26: Electricity Generation (billion kwh) ............................. 53 Table 27: Renewable Energy* as % of Primary Commercial Energy .... 53 Indicators Results ............................................................. 54 Table 28: Indicators ............................................................. 54 Presentation of Country Star ............................................. 55 Figure 3: Star with scale 0 → 5 .................................................. 55 Figure 4: Star with scale 0 → 3 .................................................. 56 Conclusions and Policy Recommendations .................................................. 57 Bibliography ........................................................................................................... 57 Annex 1 .................................................................................................................... 60 Table 29: Rates of Energy Consumption (Mj per pkm) and Emission of Pollutants (in g per pkm) for Passenger Traffic (2000-01) ............................................. 60 Table 30: Rates of Energy Consumption (Mj per pkm) and Emission of Pollutants (in g per pkm) for Freight Traffic (2000-01) .................................................. 61 Annex II .................................................................................................................. 61 Table 31: Capital Costs and Typical Cost of Generated Electricity from Renewable Options .............................................................................................................. 61 India is the 7th largest country of the world with an area of 3.29 million sq km. It is one of the densely populated countries of the world with a population of over 1 billion. Though agriculture contributes less than 24% of the GDP, it employs the maximum working population of the country. The economy is growing at a rate of over 8%. India – a nuclear power – is considered as one of the fastest growing markets of the world. The Ministry of Environment and Forest (MoEF) is entrusted with the issues relating to sustainable development. Although the Planning Commission of India has outlined human development goals for the next five to ten years, that are more ambitious than the UN Millennium Development Goals (MDG), it is unlikely that the government will meet the associated objectives. The demand for energy is growing very fast. Dependence on imported petroleum is also very high. To meet the increasing energy demand and to ensure energy security the government, in 2005, formed a high level Energy Co-ordination Committee (ECC). The committee recently issued a draft report with specific recommendations for how to meet future energy demands. For the first time since India’s independence the draft report tried to address the country’s energy issues from a holistic perspective and develop an energy policy that reflected the aspiration of an independent country. The study reveals that from 1990 to 2002 India failed to achieve any noteworthy progress in the management and development of its energy sector, especially in the areas of cleaner and renewable energy. Moreover, water, air and land pollution has increased significantly. The absence of a holistic energy policy and increasingly greater reliance on road transportation are worsening the situation. More funds need to be allocated to rapid upgrading and expansion of India’s railway infrastructure. Imposition of increased road taxes for transport vehicles appears necessary. To ensure the effective use of renewable energy sources, which has tremendous potential in a vast country like India, a ‘passionate intent’ from the leadership is urgently required. The public sector oil distributing companies such as Indian Oil Corporation Ltd. and Hindustan Petroleum Corporation Ltd., which have huge distribution network all over the country including in the remotest villages, should be asked to distribute renewable energy items like solar lanterns, solar panels etc. In line with the Telecommunication Mission of 1980s, Energy Technology Missions on (i) coal technology; (ii) solar technology; (iii) bio fuels; (iv) biomass plantation; and (v) community biogas plants should be implemented immediately. General Discussion of the Country Land area India is the seventh largest country in the World with an area of 3.29-million sq.km. It is surrounded by three oceans to the east, west and south. The Himalayan mountain range guards the north. Apart from its 7000 km coastline, India shares the longest land border with Bangladesh China, Pakistan, Nepal, Burma and Bhutan. India is also a land of rivers. Twelve major rivers cover 75% of the catchment’s area of the country.$^1$ India is richly endowed with mineral resources including fossil fuels, ferrous and non-ferrous ores, and industrial minerals. There are approximately 20000 known mineral deposits in the country and as many as 87 minerals (4 fuels, 11 metallic, 50 non-metallic, 22 minor minerals) are being exploited. The country has abundant reserves of bauxite, coal, dolomite, iron ore, manganese, limestone, magnesite and adequate reserves of chromite, graphite, lignite, and rock salt. Arable land More than 54% of India’s total land mass is arable and has 590,000 sq km under irrigation. Principal crops include paddy, wheat, and pulses. Forests India’s has 63.73 million forested ha (19.39 of geographical area), including 37.74 million ha (11.48%) dense forest, 25.5 million ha (7.76%) open forest and 0.49 million ha (0.15%) mangroves. 16 major groups comprising 221 forest types are found. Biodiversity 45,000 plant species (including 6% of the world's flowering plants) have been identified. Of these, a third of the 15,000 flowering plants are endemic to India. Of the 81,000 identified species of animals in the country, 14% of its 1,228 bird species, 32% of its 446 reptiles and 62% of its 204 amphibians are native. The country also has 330 species of mammals. Two of 18 internationally recognized biodiversity hotspots are the Eastern Himalayas and Western Ghats.$^2$ Animal Husbandry The growth in this sector in the last two decades, as Table 1 illustrates is very impressive. --- $^1$ MoEF, 2002 $^2$ MoEF, Agenda 21 Table 1: Production of Major Livestock Products and Fish \| Year \| Milk (Million tones) \| Eggs (Million tones) \| Fish (Thousand tones) \| \|------------\|----------------------\|----------------------\|------------------------\| \| 1980-81 \| 31.6 \| 10060 \| 2442 \| \| 1990-91 \| 53.9 \| 21101 \| 3836 \| \| 2002-03 \| 86.7 \| 39823 \| 6200 \| Source: MoF (GOI), the Economic Survey, 2004-05. Population As of November 2005 India’s population is 1.08 billions. Of this, 31.2% is aged below 14 years, 63.9% is between 15-64 years and the remaining 4.9% are senior citizens (65 years and older). Unlike some developed countries where the percentage of senior citizens are relatively higher, India has a greater number of people in the working age group with a strong numbers of younger group ready to join the working population. The estimated current growth rate of the population is 1.4%. Urbanization As per 2001 (the latest) Census Report, 25.73% population of India lives in urban towns and cities; the remaining 74.27% live in villages. Literacy and Education By 2003, only 59.3% of the population could read and write; of this 70.2% was male and 48.3% female. Apart from indicating a very low level of literacy, the above figures also reveal the gender and rural-urban divide in Indian society. Table 2: Percentage of Literates & Literacy Rates 2001 \| \| Persons \| Males \| Females \| \|------------\|---------\|---------\|---------\| \| Total \| 52.21% \| 64.13% \| 39.29% \| \| Rural \| 44.69% \| 57.87% \| 30.62% \| \| Urban \| 73.08% \| 81.09% \| 64.05 \| Source: Census of India, 2001 Economic Conditions After economic reform in early 1990s, the economy has grown at faster rate of approximately 6%. Currently the growth rate stands at just over 7%. Increased economic performance has reduced the incidence of poverty by raising over 10% of the population above the poverty line. (The percentage of the population below the poverty line declined from 44.48% in 1983 to --- 3 Office of the Registrar General, GoI 4 HDR, 2005 35.97% in 1993-94 and to 26.10% between 1999 and 2000.). However, nearly 25% of the population, which in absolute terms exceeds 250 million people, are still below the poverty line meaning that they are unable to meet the basic requirements of food, cloth and shelter. The public distribution system, which is now managed through the open market mechanism, has failed in the distribution of food grains. Though food has increased substantially over the last four decades, death by starvation, mainly in tribal areas, is frequently reported in newspapers. India’s GDP in 2002 was: Agriculture (23.6%), Industry (28.4%), Services (48%).$^5$ Table 3: Growth in GDP \| Year \| GDP at factor cost (at 1993-94 price) (Rs.in billion) \| Population (Nos. billions) \| Per Capita GDP (Rs.) \| \|------------\|------------------------------------------------------\|-----------------------------\|-----------------------\| \| 1990-91 \| 6928.71 \| 0.839 \| 8258.29 \| \| 2002-03 \| 13183.62 \| 1.055 \| 12496.32 \| Source: The Economic Survey, 2004-05, CMIE, and Monthly Review of Indian Economy, June 1999, and September 2005. Principal Imports and Exports (energy and non-energy) Despite immense media hype regarding export potential, India’s share (2005) in the global trade was less than 1% (0.8%). Though India now enjoys a positive balance of payments, its trade balance is still negative. However, in percentage terms, this gap is narrowing (see Table 4). Among the principal imports, petroleum-crude accounts for the largest share. With regards to exports, manufactured goods enjoy the maximum share. In a global production system dominated by transnational corporations (TNCs), much of these manufactured exports are intra-subsidiary transfers. Among the other export items, software exports showed remarkable growth; between 1993-04 and 2003-04, the average growth rate of software export was 40%.$^6$ --- $^5$ CIA, 2005 $^6$ The Economic Survey, 2004-05, http://www.sed.manchester.ac.uk/idpm/research/is/isiexpt.htm visited on 19.2.06 Table 4: Major Imports and Exports (US $ Million) \| Principal Items Imported \| 1990-91 \| 2002-03 \| \|--------------------------\|---------\|---------\| \| Petroleum, oil and lubricant \| 6028 \| 17640 \| \| Edible Oil \| 182 \| 1814 \| \| Fertilizers \| 984 \| 542 \| \| Chemicals Elements and compounds \| 1276 \| 3477 \| \| Plastic Material etc. \| 610 \| 782 \| \| Pulp and Waste paper \| 255 \| 343 \| \| Pearls, precious and semi-precious stones, \| 2083 \| 6063 \| \| Iron and Steel \| 1178 \| 888 \| \| Non-ferrous metals \| 614 \| 5621 \| \| Capital Goods \| 5833 \| 7405 \| \| Total Import (includes all items) \| 24075 \| 61412 \| \| Principal Items Exported \| 1990-91 \| 2002-03 \| \|--------------------------\|---------\|---------\| \| Agricultural and allied products \| 3521 \| 6962 \| \| Ores and minerals (excl.coal) \| 834 \| 1568 \| \| Manufactured goods \| 13229 \| 41070 \| \| Mineral fuels and lubricants (incl. Coal) \| 528 \| 2707 \| \| Software \| 131 \| 7550 \| \| Total Export (includes all items) \| 18143 \| 52719 \| http://www.sed.manchester.ac.uk/idpm/research/is/isi/isiexpt.htm visited on 19.2.06 Source: The Economic Survey, 2004-05, The exchange rate over the past few years was by and large stable. The average exchange rates of Indian rupees per US dollar in 2000 were Rs 44.942 in 2000 and had an average rate of Rs 45.317 in 2004. Impact of Globalization The Indian economy has never been a closed economy. It has had strong links with the global economy for over two thousand years. Before British colonial rule, India enjoyed a dominant share in global trade. Indian spices and textiles earned premium price in the international market. In post-British India the globalization process was accelerated after 1991. It coincided with the structural adjustment process, i.e. the liberalization process that the country had to initiate as a precondition of the IMF loan that the government had to negotiate to avoid a foreign exchange crisis due to sudden increase in crude price after the gulf war of 1990. The impacts of globalization has been mixed. Some sectors of the economy and a few sections of the population have benefited from it. Though the economy has grown at 4% per annum during from 1990 to 2003 (compared to 3.3% from 1975 to 2003), a large section of population has suffered. A key features of India’s economic growth in the 1990s was the decline of “employment elasticity” (employment generated per unit growth of output). While the employment elasticity of the 1980s and early 1990s was 0.5, it --- 7 CIA, 2005 decreased to 0.16 in the late 1990s. The higher capital intensity of economic growth due to globalization and competitive pressure were responsible for this.$^8$ The net effect was increased layoffs and closure of uncompetitive production units. Pressure on the government to privatize public utilities has been increased. Income and Equity* Though the GDP growth rate has been impressive, the HDI rank has deteriorated despite scoring a better HDI value. Table 5: Human Development Index (HDI) \| HDI \| 1990 \| 2002 \| 2003 \| \|-------\|------\|------\|------\| \| Value \| 0.297\| 0.595\| 0.602\| \| Rank \| 121 \| 127 \| 127 \| Source: Human Development Report, 1992, 2004, 2005. Inequality in India exists in many forms. In addition to the economic and rural urban divide, gender discrimination is a social evil that still persists. In 1999 the share of income enjoyed by 20% of the poorest and the 20% of the richest Indians were 8.9% and 43.3% respectively. Previous year data (1998) on maternal and child health indicates a worsening situation. In 1998 alone in only 16.4 % cases did skilled health personnel assist at childbirth of those women were in the poorest 20% section of the population. The corresponding figures were 84.4% for the richest 20% of the population. The ratio of the estimated female and male earned income was 0.38.$^9$ Energy Usage The share of oil and gas has declined during over the past decade; the share of non fossil fuel has increased (see Table 6). Table 6: Share of Different Fuel- Mix \| Energy Type \| 1960-61 \| 1990-91 \| 2001-02 \| \|-----------------\|---------\|---------\|---------\| \| Coal \| 74.1 \| 39.0 \| 34.65 \| \| Oil & Gas \| 20.9 \| 43.4 \| 30.65 \| \| Non –Fossil Fuel\| 5.0 \| 17.6 \| 34.70* \| * The major components of the non-fossil fuel are: nuclear (1.18%) and renewable total (33.52%). The later consists of hydro (1.73%); biomass (31.76%); wind (0.03%); solar and bio fuel (negligible). Source: GOI, Planning Commission, 8th Five Year Plan, Vol2; MNES New and Renewable Energy Policy, Draft II, 2005 --- $^8$ Venkitaramanan, 2002 $^9$ HDR, 2005 Table 7: Production and Consumption of Energy (2003-04) by Sector and Source \| Sector/Source \| Availability (MMTOE) \| Consumption (MMTOE) \| \|---------------------\|----------------------\|---------------------\| \| \| Domestic \| Net Import \| Total \| Power Generation \| Loss/Self Consumption \| Household \| Agriculture \| Transport \| Industry (includes Non-energy uses) \| Services \| \| Fuel (Commercial) \| \| \| 328.00 \| \| \| \| \| \| \| \| \| Coal & Lignite \| 170.35 \| 14.00 \| 184.35 \| 131.61 \| 0.00 \| 0.55 \| 0.00 \| 0.00 \| 52.19 \| 0.00 \| \| Oil & Products \| 33.38 \| 82.62 \| 116.00 \| 6.96 \| 8.24 \| 19.37 \| 7.76 \| 34.02 \| 19.75 \| 19.90 \| \| Gas \| 27.65 \| 0 \| 27.65 \| 10.02 \| 4.38 \| 0.08 \| 0.12 \| 0.52 \| 12.53 \| 0.00 \| \| Non-fuel (Commercial)\| \| \| 8.29 \| \| \| \| \| \| \| \| \| Hydel \| 6.47 \| \| \| \| \| \| \| \| \| \| \| Wind \| 0.29 \| \| \| \| \| \| \| \| \| \| \| Nuclear \| 1.53 \| \| \| \| \| \| \| \| \| \| \| Non Commercial \| \| \| 155.89 \| \| \| \| \| \| \| \| \| Fuel wood \| 115.44 \| \| \| \| \| 92.57 \| \| \| \| 22.87 \| \| Agro Waste \| 17.12 \| \| \| \| \| 17.12 \| \| \| \| \| \| Dung Cake \| 22.62 \| \| \| \| \| 22.62 \| \| \| \| \| \| Bio-gas \| 0.71 \| \| \| \| \| 0.71 \| \| \| \| \| \| Grand Total \| 395.56 \| 96.62 \| 492.18 \| \| \| \| \| \| \| \| Source: Planning Commission, 2005. Electricity During 2003-04, 45.63 MTOE of electricity were generated in India. Figure 1 graphically illustrates this generation and consumption. Figure 1: Electricity Production and Consumption (2003-4) - Generation - Thermal: 70% - Hydel: 14% - Oil: 11% - Gas: 1% - Wind: 3% - Nuclear: 1% - Consumption - Self Consumption/Loss: 9% - Household: 17% - Agriculture: 23% - Transport: 16% - Industry: 33% - Services: 2% Source: Planning Commission, 2005 The Economic Survey, 205-06, reveals that the power shortage that occurs around 12% in peak and 8% on average is equivalent to Rs 15,000 crores of foregone generation and associated GDP loss of Rs 300000 crores.$^{10}$ Principal Environmental Pressures Deforestation, soil erosion, desertification, air pollution from industrial effluents and vehicle emissions, water pollution from arsenic, raw sewage runoffs of agricultural pesticides are some of the important environmental issues which demand immediate attention. Table 8: Greenhouse Gas \| GHG(CO2 equivalent) 1994 \| 1,228,540 Giga gram Per Year (Gg) \| \|--------------------------\|-----------------------------------\| \| Per capita GHG (1994) \| 1.3 tones \| \| Main Constituent of GHG (1994) \| CO2 (65%), CH4 (31%), N2O (4%) \| \| Main Contributors of GHG \| Energy Sector 61%, Agriculture 28%, Industrial Process 8%, Waste 2%, Land Use and Land Use Change and Forestry (LULUCF) 1% \| Source: MoEF, (June 2004). India’s Initial National Commitments to the United Nations Framework Convention on Climate Change, Govt. of India. Electronic waste has become a new environmental menace. India generates around 1,050 tones of electronic scrap each year. A Silicon Valley Toxics coalition report predicts that 500 million computers will become obsolete by 2007 resulting in 6.32 billion pounds of plastic and 1.58 billion pounds of lead. 50% to 80% of US e-waste collected for recycling is sent to Asia—mainly to China, India, and Pakistan. A recent report on this suggests that e-waste recycling has become a lucrative business. However toxic materials like lead, cadmium, mercury etc., make e-waste a health hazard.$^{11}$ Case Study 1: Clemenceau In February 2006, the Indian government under pressure from toxic waste disposal lobby and ship breaking industry failed to take any categorical stand against allowing the condemned French warship Clemenceau to enter Indian waters. The ship allegedly carrying toxic waste was heading towards a ship-breaking yard on the Indian shore. Though the Indian government failed to take any bold stand, environmental activists across the globe including India protested against such move by the French government. The European Union has also started an investigation regarding France’s decision and is considering legal proceedings. Under global protest, the French government has recalled the war ship. Source: Bidwai, 2006; [http://www.expressindia.com/fullstory.php?newsid=62908#compstory](http://www.expressindia.com/fullstory.php?newsid=62908#compstory) $^{10}$The Times of India, 28.2.06 $^{11}$The Economic Times, 14.12.2004 Industrial Accidents and Natural Calamities Two major accidents in oil fields in the mid 2005 - one at offshore platform of Bombay High, the major source of indigenous crude and another in an abandoned oil field in Dibrugarh district of the State of Assam. Both accidents have seriously polluted the environment. In December 2004, a major natural calamity struck the coasts of South-east Asia. This devastating tsunami killed nearly 11,000 lives in India while over 6,000 remain missing. It destroyed worth $1.2 billion worth of property. Several hundred fishing fleets were also destroyed.$^{12}$ Water and Sanitation In 1990, only 12% population of India had sustainable access to improved sanitation. In 2002, this figure rose to 30%. During the same period, the percentage of the population with sustainable access to improved water source was 68% and 86% respectively.$^{13}$ The per capita availability of fresh water in the country has dropped from an acceptable 5,180 cubic meters in 1951 to 1,820 cubic meters in 2001. It is estimated that this will drop to 1,340 cubic meters by 2025 and to 1,140 cubic meters by 2050. This is alarming as the threshold per capita value for water stress is 1,000 cubic meters. India, with 16% of world’s population has only 2.5% of the world’s land resources and 4% of the fresh water resources. Agriculture has emerged as the worst depleter and polluter of water as new methods of farming with hybrid seeds and high usage of chemical fertilizer increases regulated water use by a factor of ten, leading to groundwater withdrawals beyond recharge capacity, thus driving the push for large dams and intensive irrigation projects. Arsenic contamination of ground water is another major problem. Pollution by agrochemicals has contaminated many drinking water sources. The recent scandal of pesticide residues in soft drinks highlights the scale of water contamination$^{14}$. The combination of overuse and pollution has caused a severe crisis.(Shiva, 2004) Between 1970-71 and 2002-03, application of pesticide in agriculture increased from 24,320 MT to 48,350 MT. In this period the total pesticide used in India amounted to 18, 39,121.62 MT a portion of which polluted both ground and surface water.$^{15}$ Social Resistance As awareness about protecting the environment has increased among the citizens there has been an increase of organized resistance against degradation of environment (see Case Study 2) and clandestine dumping of hazardous wastes (see Case Study 1) around the country. $^{12}$ CIA $^{13}$ HDR, 2005 $^{14}$ www.cseindia.org $^{15}$ Directorate of Plant protection and Quarantine, Faridabad, India; Ref web site of NIPM Case Study 2: Vedanta Alumina Company Vedanta Alumina Company developed a $800 million project at Niyamgiri bauxite reserves (in remote Orissa) to dig for high quality bauxite, used in the manufacturing of aluminum. The project site was the home of several vulnerable animal species. In addition, this area was inhabited by the critically endangered Dongaria Kondh tribe. The area is part of Kalahandi- India’s poorest district, infamous for starvation deaths. The local people along with few environmental groups protested against bauxite mining and in response the Indian Supreme Court, in 2002, set up a Centrally Empowered Committee (CEC), a quasi-judicial body, to look into forest and environment issues. Recently CEC submitted their report to the Supreme Court. In the report the CEC called the MoEF to task for granting environmental clearance for the project in September 20004 on the assumption that no forestland was involved in the project, which proved untrue. Source: The Telegraph, 27/11/2005, Kolkata Relocation of Dirty Industries As environment-related regulations in developed countries are becoming more stringent, many transnational firms are now shifting their dirty industries to capital-starved, developing countries like India (see Case Study 3) Case Study 3: Mitsubishi Chemicals in India In the late 1990s Mitsubishi Chemical Corporation (MCC) decided to open in China or in India a new plant for the production of purified teraphthalic acid (PTA) – a highly toxic chemical. India was selected for the expansion of their PTA production capacity. MCC PTA India Corporation Pvt. Ltd. (MCPI) - the subsidiary of MCC - started its Indian operation in April 2000. The plant has been set up at Haldia a port town in the state of West Bengal with an initial production capacity of 3.5 lakh tpa. As the raw materials for the Haldia PTA plant were sourced from Singapore and Thailand, logistically it made sense to locate the plant on the east coast. The factors influencing the choice of Haldia as a destination were easy availability of land and industrial water, good port facilities for handling liquid cargo and availability of skilled resources. There was also strong support from the State Government. The plant was set up with an investment of Rs.1, 475 crores making it one of the biggest Japanese investments in the country. MCC holds a 66% stake in the Indian outfit while Mitsubishi Corporation has 9 per cent stake. Four other Japanese firms – Nissho Iwai Corporation, Tomen Corporation, Marubeni Corporation and Sumikin Bussan Corporation – hold 8%, 5%, 5% and 2% respectively. It operates on MCC licensed technology. Due to increased demand, MCC PTA had increased the production capacity within two years from 3.5 lakh tpa to 4.70 lakh tpa. MCC had also planned to set up a 5 lakh tpa plant in China by 2005. In January 2006, the Board of Directors of Mitsubishi Chemicals Corporation (MCC) approved an expansion of the company’s pta production facility at Haldia. This new line entails an investment of Rs.1665 crore, creating an annual capacity of eight lakh tones. Once the expansion project is completed (targeted date is June 2008), the Haldia facility will become a major pta production center in the world. In 2004, MCPI was awarded with the Environment Excellence Award for Industry sector. The West Bengal Pollution Control Board (WBPCB) and Indian Chamber of Commerce (ICC) jointly instituted the Award in 2002. Source: The Hindu, 10.1. 2006; The Hindu Business Line, 7.8.2002; The Financial Express, 23.11.2004; Business Week on line, 8.1. 2001 Transport System Rail and roadways (almost entirely managed by the state) are the backbone of transport system for both passenger and cargo movement in India. These systems are supplemented by aviation and water transport systems. The aviation sector is growing while the water transport system, although very cheap in comparison to air, is declining. Twelve major rivers and hundreds of canals and small rivers crisscross India. Prior to the British raj, waterways were the backbone of India’s transport system. Rail bridges destroyed the system as larger boats could not negotiate the columns used to construct the rail bridges and which span the breadth of the river. Unlike in Europe and other Western countries where hanging bridges were built across the rivers to facilitate the movement of boats and steamers, in India huge columns were used. The only exception was the famous bridge on the river Hoogly connecting Howrah with Kolkata. This was mainly done to allow movement of big ships, which entered the Calcutta port. Shift from Rail to Road In India, the British built the primary railway infrastructure to rapidly transport their raw material to the nearest seaport for outward shipment to Europe to feed the fast growing manufacturing sector. Though it permanently destroyed the traditional time tested water transportation system, an efficient railway network was developed in India. Unfortunately the governments of the independent India have not capitalize on it. Instead they had shifted their priority from low-cost, low-polluting railway transportation to high-cost, high-polluting roadways. In 1980, the National Transport Policy Committee noted the cost and energy efficiencies of the rail mode and recommended measures to increase its share in total traffic. However, road-based transportation in India had continued to grow at the expense of rail. The national modal split between rail and road (in percentage terms) in 2000-01 was estimated at 26:74 for freight movement and 18:82 for passenger movement. The share of rail is projected to decline further still. Tables 9 and 10 support this observation. Table 9: Indian Railway \| \| 1970-71 \| 1980-81 \| 1990-91 \| 2002-03 \| \|------------------------\|---------\|---------\|---------\|---------\| \| Route Kilometers (000')\| 59.8 \| 61.2 \| 62.4 \| 63.1 \| \| Electrified (000) \| 3.7 \| 5.3 \| 10.0 \| 16.3 \| \| Goods carried (billion tonne-km) \| 110.7 \| 147.7 \| 235.8 \| 353.2 \| Table 10: Indian Roadways \| \| 1970-71 \| 1980-81 \| 1990-91 \| 2001-02 \| \|------------------------\|---------\|---------\|---------\|---------\| \| Total length of Road (000') \| 915.0 \| 1485.4 \| 1998.2 \| 2483.3 \| \| National Highways (000) \| 24.0 \| 31.7 \| 33.7 \| 58.1 \| \| Number of Regd. Vehicles (000) \| 1865.0 \| 5391.0 \| 21374.0 \| 58863.0 \| Excluding around 9 lakhs km of Rural Roads. Source: The Economic Survey 2004-05 The above tables show that between 1970 and 2002, negligible kilometers were added to the railway system while the highways and vehicles grew by over 125%. Super-highways are being built across India as part of the globalization agenda. However the price people are paying for expressways and super-highways in terms of the social and ecological costs outweigh the benefits a handful of elite are gaining by speedier road travel. The government has amended the Land Acquisition Act for acquiring land for highways; this land is then privatized. Legislation on the Control of National Highways for prevention of encroachment, traffic regulation etc., on national highways has been enacted. Highways encourage the shift from sustainable methods of transport such as water and rail to non-sustainable movement of goods and people via roads. The Golden Quadrilateral is a major initiative in this road to progress initiative. Dedicated in December 2003 this mammoth project attempts to fulfill the quest for connectivity. Combined with the North-South, East-West corridors (due to be completed in December 2007) the project, christened the National Highways Development Project (NHDP) has a budget of Rs.54,000 cr. and will extend 13,151 km. Impact on Environment A study was carried out at J. N University, New Delhi, to compare the energy and environmental impact of the rail and road transportation. The result of the base year 2000-01 was presented (see Annex I) as an indication of the relative impact of the two modes. The findings were: - if freight movement and passenger movement via road by a combination of car and bus were considered, the rail mode was always superior in terms of energy efficiency; for almost all greenhouse gases (the exception being CO2), rail exhibited a lower emission rate. Emissions of SO2/SOX were lower for rail vis-à-vis passenger movement by car/bus combination; and, rail was the superior form of transport for the movement of freight. An additional exercise was carried out to look into the effects of substitution of gas for coal at thermal power plants. Emissions attributable to the consumption of electricity by the rail come down drastically and rail became environmentally less damaging vis-à-vis emissions from road travel. The policy recommendation resulting from the study promoted transportation via rail mode over road especially in the interests of sustainable intercity transport.$^{16}$ Fuel Savings A recent study by Planning Commission revealed that transporting commodities through railways saves substantial amount of fuel. In addition to cutting transportation cost and reducing dependence on crude imports, reduced fuel consumption means reduced toxic gas emissions as well. The share of railways in total tonne kilometer of goods traffic fell from 70% in 1970-71 to 39% in 2003-04. Had the railway carried 70 percent of the goods traffic, it would have carried 300 btkm of additional traffic. Assuming that diesel was used and that rail carried all of these goods, the diesel saved from 2003 to 2004 would have been approximately 5 MMT out of a total consumption of 40 MMT in the country that year. Thus significant savings of diesel is possible if railways operations can be upgraded to win back the haulage lost to road traffic.(Planning Commission, 2005, Draft Report of the Expert Committee on Integrated Energy Policy, New Delhi.) Safety Issues Road transport is 20 times more accident prone than rail transport.$^{17}$ Road accidents have emerged as “Killer No.1” in India accounting for 37% of all accident-related deaths. In US two people per 100,000 die due to road accidents, in Pakistan the figure is 32.5 and in India 140 per 100,000. According to the Institute of Road Traffic Education around 230 deaths and 3,5000 injuries occur daily on India’s roads.$^{18}$ In a Asian Development Bank (ADB) sponsored study, it is noted that if Southeast Asian nations don’t start taking road safety seriously, there will be 385,000 road deaths and 24 million injuries over the next five years, incurring more than US$88 billion in economic losses. Some 75,000 persons were killed and more than 4.7 million were injured in road crashes in Southeast Asian countries during 2003, with many victims being severely disable. Annual economic losses from road crashes are estimated to be around $15 billion, or 2.2% of the region’s total gross domestic product. The $^{16}$ Chaudhury, 2003 $^{17}$ Shiva, 2004$_a$ $^{18}$ Shiva, 2004$_b$ percentage of GDP lost annually through road accidents ranges from 0.5% in Singapore to 3.21% in Cambodia, averaging out at 2.23% for the region. Indonesia loses the most in money terms, amounting to $6.03 billion per year (or 2.91% of annual GDP), followed by Thailand at $3 billion (2.1% of GDP). Road crashes are a growing problem worldwide, resulting in around 1 million deaths and more than 23 million injuries annually, the draft strategy says. Around 85% of these deaths occur in developing countries.\footnote{ADB, 2004} In the budget session of the parliament (February 16, 2006), India’s President mentioned about Rs 20,000 crores investment for rail freight corridor in his address. The corresponding figures for investment in national highways were Rs 1, 75,000 crores. When the above high social and ecological costs are taken into account, the exclusive and obsessive focus on building super highways is not in the nation’s interest. What India needs is pluralism in transport and mobility with the pedestrian, the cyclist, the bullock cart, the rickshaw, the two wheeler given equal ecological space and democratic space for ensuring mobility for all, not just the car owning elite. \section{Overview of the National Sustainable Development Strategy} \subsection{Indian Philosophy} The notion of ‘sustainable development’ is not new to India. Through the preaching of great saints like Mahavir, Buddha, Ashoka\footnote{Ashoka was the great emperor who left his kingdom after winning the Kalinga war and became a disciple of Buddha.} and Gandhi, the concept of sacrifice for others became the integral part of the oriental philosophy. The Sufis and Moulanas (Muslim religious leaders) have also contributed to this Indian (and oriental) philosophy of overcoming greed and desire. The inherent strength of this philosophy has helped the Indian civilization survive and thrive over five thousand years without invading or colonizing other countries. Though in its long history although being invaded many times, only the British – via the introduction of western science – were able to impact the lifestyle and production system of this old civilization. Western science taught key sectors of the Indian population how to exploit and dominate nature; pre-British India believed in co-existence with nature where agriculture, production system, transportation, social and religious events were all planned as per the weather cycles. Oriental science respected nature. But modern science has taught how to mine coal and crude, build bridges and dams, pump out underground water to produce hybrid grains during off-season, genetically modify plants etc. Within two hundred years of the application of these forms of new knowledge, a country with five thousand years of sustainable existence (without any record of large scale famines prior to British rule) is now desperately searching for a viable model of sustainable development to rescue itself from the current environmental (also economic) mess. Table 11: India’s Development Indicators \| Indicator \| Value \| \|------------------------------------------------\|----------------------------------------------------------------------\| \| Human Development Index 2003 (rank) \| 0.602 (127) \| \| Human Poverty Index 2003 (rank) \| 31.3% (58) \| \| Environmental Sustainability Index, 2005* \| 45.2 (101) \| \| GHG Emissions 1994 \| 1,228,540 Giga gram (Gg) per year; 1.3 tons per capita \| \| GDP and GDP per capita (2002-03) \| Rs 13183.62 billion, Rs12496.32 \| * Source: http://www.yale.edu/esi/ MoEF the Nodal Body for SD The Ministry of Environment and Forests, Government of India (MoEF), is primarily concerned with the implementation of policies and programmes relating to conservation of the country’s natural resources including lakes and rivers, its biodiversity, forests and wildlife, ensuring the welfare of animals and prevention and abatement of pollution. While implementing these policies and programmes, the Ministry is guided by the principle of sustainable development and enhancement of human well being as outlined in Agenda 21. Agenda 21 (which emerged from the Earth Summit in 1992) reflects a global consensus and political commitment at the highest level about development and environment cooperation. It also provides a major reaffirmation of a number of traditional values inherent in the Indian culture. The Ministry serves as the nodal agency in the country for the United Nations Environment Programme (UNEP), South Asia Co-operative Environment Programme (SACEP), International Centre for Integrated Mountain Development (ICIMOD) and for the follow-up of the United Nationals Conference on Environment and Development (UNCED). The Ministry is also entrusted with the issues relating to multilateral bodies such as the Commission on Sustainable Development (CSD), Global Environment Facility (GEF) and of regional bodies such as the Economic and Social Council for Asia and Pacific (ESCAP) and the South Asian Association for Regional Cooperation (SAARC) on matters pertaining to environment.$^{21}$ The broad objectives of the Ministry are: 1. conservation and survey of flora, fauna, forests and wildlife; prevention and control of pollution; 2. afforestation and regeneration of degraded areas; $^{21}$ MoEF 2002 3. protection of the environment; and, 4. ensuring the welfare of animals. These objectives are well supported by a set of legislative and regulatory measures aimed at the preservation, conservation and protection of the environment. Besides legislative measures, a National Conservation Strategy and Policy Statement on Environment and Development and Development (1992), National Forest Policy (1988), a Policy Statement on Abatement of Pollution (1992); Biodiversity Act (2002) and a National Environment Policy (2005) have also been developed. In addition to these, to conserve petroleum products, the Petroleum Conservation Research Association (PCRA) was set-up in 1978 by Ministry of Petroleum and Natural Gas (MOPNG). The Bureau of Energy Efficiency was established under the Energy Conservation Act in 2001 and effective 1st March 2002 is now under the Ministry of Power (MOP). The mission of BEE is to develop policies and strategies on self-regulation and market principles within the overall framework of the energy Conservation Act with primary objective of reducing energy intensity of the Indian economy. The Seventh Conference of Parties (COP-7) to the UNFCCC decided that Parties participating in CDM should designate a National Authority for the CDM. Accordingly the Central Government has constituted the National Clean Development Mechanism (CDM) Authority$^{22}$ for the purpose of protecting and improving the quality of environment in terms of the Kyoto Protocol.$^{23}$ Goals In the Tenth, Five Year Plan (2002-2007), the Planning Commission has outlined India’s human development goals and targets. Most of these are related to and are more ambitious than the UN Millennium Development Goals (MDG). These are: - to reduce the poverty ratio by 5 percentage points by 2007 and by 15 percentage points by 2012; - to provide gainful and high-quality employment at least to the addition to the labour force over the Tenth Plan period; - to ensure that all children are in school by 2003 and that by 2007 all children complete 5 years of schooling; - to reduce the gender gaps in literacy and wage rates by at least 50 per cent by 2007; - to reduce the decadal rate of population growth between 2001 and 2011 to 16.2 per cent; - to increase in literacy rates to 75 per cent within the Tenth Plan period (2002-03 to 2006-7); - to reduce infant mortality rate (IMR) to 45 per 1000 live births by 2007 and to 28 by 2012; --- $^{22}$ National CDM Authority, Web: [http://envfor.nic.in/cdm/cdm_india.htm](http://envfor.nic.in/cdm/cdm_india.htm) $^{23}$ MoEF, Annual Report 2004-05 • to reduce maternal mortality ratio (MMR) to 2 per 1000 live births by 2007 and to 1 by 2012; • to increase in forest and tree cover to 25 per cent by 2007 and 33 per cent by 2012; • to provide all villages with sustained access to potable drinking water within the Plan period; and, • to clean all major polluted rivers by 2007 and other notified stretches by 2012.\textsuperscript{24} \section{Concerns} 78\% of the rural people and 30\% of the urban population of India are still dependent on fuel wood and chips as their main fuel source. The dependence on fuel wood in rural areas implies that carbon sequestration or conservation cannot be achieved in isolation without fuel wood or integrated land use management or energy substitution policies. In CDM projects, if the use of common property resources is curtailed so as to ensure carbon conservation, it can have negative implications on the rural communities.\textsuperscript{25} Analyzing two CDM projects undertaken in India, Down to Earth (2005) commented that ‘sustainable development was not an important goal’ to such projects. The CDM Auditors put a high importance on proper ‘documentation of benefits’ rather than on the ‘actual benefit to the environment achieved through such projects’.\textsuperscript{26} Bio-piracy of genetic resources from India has become a reality. Although the Biodiversity Act 2002 aimed to check bio-piracy through regulating access to genetic resources and traditional knowledge by foreign institutions, it failed to protect biological resources from pirates. The granting of patent (May 2003) by the European Patent Office to seed TNC Monsanto on a hybrid Indian wheat variety is a case in point. Monsanto had patented a wheat invented by crossing a traditional Indian variety ‘Galahad’ with the ‘Nam Hal’ variety. Monsanto named the ‘new’ patented variety as ‘Galahad 7’. The patent also covered the dough made from the flour and all edible products made by cooking such dough. Gene scientists termed this act as a clear case of theft with the potential to block further breeding of high –quality varieties utilizing this heritage wheat seed. Condemning this, in a strongly worded statement, International Greenpeace said, ‘Monsanto is targeting and stealing from Indian farmers who have cultured this specific variety of wheat for centuries. This patent demonstrates the urgent need for a general legal ban on the patenting of genes, live organisms and seeds.’\textsuperscript{27} In summary, it is unlikely that the government will meet the development objectives outlined above. Three additional reasons support this claim. \textsuperscript{24} UNDP, 2005 \textsuperscript{25} Gundimeda, 2005 \textsuperscript{26} Down to Earth, 2005 \textsuperscript{27} Srinivas, 2003 1. Between 1990 and 2002, India’s rank in human development has deteriorated from 121 to 127. In 1990-91, per capita consumption of cereals was 161.2 kg per year, which fell to 144.9 kg by 1998. Per capita availability of pulses too declined between 1991 and 2001 from 15.2 kg per year to 10.6 kg per year a drop of 30 percent.$^{28}$ Interestingly, during this period, the production of food grain increased in India. This indicates a casual approach of the government to address the starvation and malnutrition problems. 2. In 1991, prior to the Earth Summit (1992), the government had introduced an environment friendly labeling scheme – Eco-Mark – for sixteen different product categories. Indian firms did not bother to comply with those standards. There was also no government implementation. 3. Public expenditure on health as percentage of GDP in 1990 was as low as 1.3%. After over a decade, in 2002 the figure remained same. 4. BEE was established in 2002 with noble mission and objectives. But BEE does not have a fulltime director and its staff strength as of September 2005 was only 4 professionals! Energy Related Developments* Current Situation Per capita consumption of energy in India is one of the lowest in the world. India consumed 520 kg. of oil equivalent (kgoe) per person of primary energy in 2003 compared to 1090 kgoe in China and to the world average of 1,688 kgoe. The consumption in the US was 7835 kgoe per person. The per capita electricity consumption is also very low at 435 kwh. As the level of economic development is positively co-related to per capita energy consumption, the energy consumption figures in India are in line with its low per capita income.$^{29}$ The total primary energy consumption in 2001-02 was 437.69 MTOE and the projected consumption in 2021-22 is 890 MTOE. The fuel mix for 2001-02 was: - coal (34.64%); - oil (24.55 %); - gas (6.10%); - nuclear (1.18%), - hydro (1.73%); $^{28}$ RUPE, 2004 $^{29}$ Planning Commission, 2005; MNES, 2005 • Biomass (31.76%); • solar, wind and bio-fuel (0.03%). The corresponding projected figures for the year 2021-22 are: • coal (28.09%); • oil (24.72%); • gas (14.04%); • nuclear (2.25%); • hydro (3.37%), • biomass (26.74%); • solar, wind, bio-fuel (0.78%)$^{30}$ Figure 2: Fuel Mixes (2001-02) and Projected Scenario (2021-22) ![Graphs showing fuel mix percentages for 2001-02 and 2021-22] Source: MNES, 2005 Primary Sources Consumption of petroleum products increased at the rate of 3.8% per annum during 2002-04. In 2003-04, excluding exports, India consumed 116.01 MMT of crude oil products including refinery fuel. Domestic production of crude oil was between 30.3 MMT and 33.86 MMT. 72.2% of consumption was met through imports. In 2003-04, the proven reserve to production (R/P) ratio was only 22. In January 2005, India signed a long term deal for 7.5 million, metric tones/annum LNG from Iran, based on an indexed price (with a ceiling at oil of $31/barrel brent crude), which at today’s oil prices comes to the ceiling of $3.21/MMBTU FOB. Critics contend this to be expensive, especially when compared to Qatari gas, which was sold for some years at $2.53/ MMBTU FOB.$^{31}$ --- $^{30}$ MNES, 2005 $^{31}$ Tongia, 2005 Coal consumption increased from 140 million tonne in 1984 to over 400 million tonne in 2004 with the growth rate of 5.4%. Thermal power plants using coal account for 60% of India’s total generation capacity. Although ash content of Indian coal is high, sulphur content is low. Thus, Indian coal is relatively clean. Coal accounts for over 50% of India’s commercial energy consumption and some 78% of domestic coal production is dedicated to power generation. Since prices were de-regulated the sector has become profitably primarily as a result of price increases and the rising share of open cast production. Despite large reserve, low domestic production will increase the share of imports, which is negligible at present. The majority of Indians use traditional fuels such as dung, agricultural wastes and firewood as cooking fuel. These fuels cause indoor pollution. The National Sample Survey (NSS) 55th round (1999-2000) revealed that for 86% of rural households the primary source of cooking energy was firewood and chips of dung cake. In urban areas no more than 20% households relied on firewood and chips. Only 5% of rural households verses 44% of urban households use LPG. 22% of urban households and only 2.7% of rural households use kerosene for cooking. Other sources of cooking energy used by urban and rural households include coke and charcoal, gobar gas (gas produced out of cow dung), electricity and other fuels.$^{32}$ Secondary Sources Over the last 25 years, India’s power capacity has risen at the rate of 5.87% per annum. The total supply of electricity has risen at the rate of 7.14% over the same period. In 2004-05 the average plant load factor (PLF) was 74.8%. Power shortage and low quality of power continue to plague the country. For the country as whole, aggregate technical and commercial losses, which include theft, billing & collection inefficiency, transmission and distribution losses, exceeds 40%. The Ministry of Power has set a target of adding a 100,000 MW of generation capacity by 2012. This capacity addition programme includes the 41,110 MW$^{33}$ proposed to be added in the 10th Five Year Plan (2002-07). During 2004-05, the Central Electricity Authority completed preparations of the pre-feasibility reports of 162 schemes with an aggregate installed capacity of over 47000 MW under the 50000 MW hydroelectric initiatives.$^{34}$ Nuclear power contributes a very nominal percent of energy to the total energy mix. But the latest deal$^{35}$ with the US will help India gain international market access to uranium for its energy programme. The US business community has estimated a $100-billion worth new opportunities in India’s --- $^{32}$ Planning Commission, 2005 $^{33}$ Revised to 34,024 MW (The Economic Times 28.2.06) $^{34}$ Planning Commission 2005 $^{35}$ On March 2, 2006, India and USA have entered into a civilian nuclear deal where India promised to separate its civilian and military installations in return for uninterrupted supply of uranium and access to advanced nuclear technology to fuel growing energy needs. energy sector. The Indo-US deal would likely to reduce India’s dependence on hydrocarbon.\textsuperscript{36} \section{Power Sector Reform} The State Electricity Boards (SEBs) were formed through the Indian Electricity [Supply] Act of 1948. The Boards have been charged to meet the social obligations of the party. However, the alteration of how revenue was collected in order to garner key political support in elections as well as certain trade-union activities have made a mockery of the administration. The overall effect had been a creeping sickness, which has become more serious over the years. In 1998, the central government finally passed a Regulatory Commission Act to restore the economic viability of the Boards. The Electricity Regulatory Commission, theoretically independent of the government, was entrusted to fix the tariff in a rational manner so as to preserve/restore the financial health of the Boards. The Act permits aggrieved parties such as consumer associations or Chambers of industries to bring issues before the High Court or Supreme Court. At length after nearly three years of debate and deliberations and final revisions by the Parliamentary Standing Committee, the new Electricity Act, 2003 had been enacted in June 2003. The present Act is a comprehensive one and replaces all the three previous Acts of 1910, 1948, and 1998 governing the electricity industry in the country. This Act is intended to bring in a market-oriented approach to the traditional regulated monopoly character of the electricity supply industry by incorporating certain conceptual changes (already in practice in some countries in Europe) such as power trading, open access, and even parallel distribution networks. These will make the generation totally deregulated, transmission partly regulated, and distribution fully regulated. The proclaimed long-term objectives are (i) lower prices due to competition, (ii) better quality of power, and (iii) wider consumer choices. As per the new Act, power trading within the state and interstate can be done directly between producer and consumer or through a third party. On the question of subsidy, there is a strong disapproval of cross-subsidy but if a state government wishes to grant subsidies, it has to be paid in advance and not later. The Act permits multiple distributors operating in one area even with parallel lines. In promoting rural electrification, the Act has made rural electricity supply free from any licensing process. Anybody can produce and sell electricity in rural areas, and the state does not have any major say in this supply business. \textsuperscript{36}The Economic Times, 3.2.06 A Critique A study had shown that T&D losses, covering the usual technical losses and the unusual thefts, were higher in the states where law and order were inferior. Thus the parties in power are corrupt and run the Board administration accordingly. The systemic problems with the SEBs have stemmed from the corrupt political system. Under such a situation no amount of legislation can help – Electricity Act, 2003 is no exception. A strong political will and the proper enforcement of the existing electricity rules can improve the situation decidedly. Reforms are being introduced to bring in competition and to lower prices. Trading of power is also being introduced. But the reform experience in other countries – both in developed and developing – has established one simple fact; private operators are intent on maximizing profits and with the kind of regulatory mechanism that does not include strong public participation, consumers will have to pay higher prices. The commodification of electricity and its trading is the result of the global trend of increasing control of speculative capital and trade. The deregulation of generation is expected to bring in many private generators, most of them small. Being small in size, the cost of generation will be higher. A network or consortium of the generators will eventually result and if the distributors also extend their ownership, re-integration or re-bundling will be the most likely result. This had been the process in the early state of electrification in the US, in India and elsewhere. The unbundling of the SEBs in the country has lead to huge losses and consumer sufferings. The Act will give it an official stamp.$^{37}$ The Economic Survey for 2005-06 informs that despite various reformist measures, the power sector is in mess. The growth rate of power generation has slowed down to 4.7% in 2005 from 6.5% in 2004. The commercial loss of SEBs’ has gone up to Rs.22, 569 crores in 2005-06 from Rs.22, 558 in 2004-05$^{38}$. Alternative People’s Plan for Power Sector Reform* In a recent article published in The Economic and Political Weekly (October 5, 2002), T L Sankar (TLS)$^{39}$ – an eminent energy expert proposed a People’s Plan for Power Sector Reform. This proposal was a ‘conceptual and methodological breakthrough and an outstanding example of strategy and policy formulation based on creative analysis’, as commented by Prof Amulya Reddy – a renowned energy expert. According to him, the power sector reforms were a failure because of “inadequate appreciation of the objectives of power sector reform”. Hence, to get it right, TLS adopted a normative goal-oriented approach with the objectives of availability, accessibility and --- $^{37}$ Basu, 2004 $^{38}$ The Economic Times, 28.2.2006. $^{39}$ Shankar, 2002 affordability. The focus on poor households and irrigation pump sets was TLS’s starting point for re-designing power sector reform. According to the proposed plan, from a purely socio-economic perspective, the ‘availability’ objective could be achieved by arranging supplies through three streams of generation: 1. the cheapest power generating stations meet agricultural and other socially relevant demands; 2. the demand of existing consumers (poor households and agriculture) above their entitlement would be met from the pooled power of utilities; and, 3. the emerging large demand would be met by new private/public/captive power stations through mutually arranged commercial contracts using the transmission/sub-transmission lines of utilities bearing pre-announced wheeling charges. In effect, such consumers would pay the marginal cost of power. This end-use/user orientation is the key to achieving the expansion of ‘accessibility’. It makes the People’s Plan for Power Sector Reform a fundamentally different approach compared to conventional frameworks. Traditionally, pump sets and poor households were the pariahs of the power sector to which the major financial problems of the sector are traced. By ignoring the needs of these pariahs, current World Bank-led reforms have become politically unviable with the result that they are unable to address the financial problems that they were implemented to solve. A crucial part of this partitioning of power generation is the assignment of separate generation systems for each sector. But this assignment is not random. The oldest and cheapest plants are dedicated to the below-entitlement agricultural pump sets and domestic connections, the remaining plants for the above-entitlement agricultural pump sets and domestic connections and for other existing consumers and the expensive yet-to-be built/completed plants are intended to meet the emerging large demands. By sorting the generation in this manner and dedicating it to the end-users/uses as mentioned, the below-entitlement agricultural pump sets and domestic end users/uses have the lowest average generation cost, the above-entitlement agricultural pump sets and domestic connections and other existing consumers have the next highest average cost, and the emerging large demand has the highest and rising cost of new plants, i.e. the marginal cost. Coining the word ‘demander’ as one who/which demands, in effect, what is being proposed is a ‘demander pays principle’ – analogous to the ‘polluter pays principle’ in environmental policy – so that those who exert small demands for power pay less than those who generate large demands. --- 40 Reddy, 2002 41 Shankar, 2002 42 Reddy, 2002 The current pattern of World Bank-led reforms stresses the importance of partitioning or unbundling the integrated power sector into separate generation, transmission and distribution entities. In contrast, TLS has maintained the integration of generation, transmission and distribution, but separated the so-called ‘fuel cycles’ (for the flow of electricity from sources to end-users) so that the fuel cycle for agricultural pump sets and the domestic power needs of the poor is ‘insulated’ from the fuel cycles for the other existing customers and for the emerging demand of the ‘affluent consumer’ categories. In effect, what is proposed is a partitioning of the power sector into three separate power sectors that share a common transmission system: (i) a power sector A consisting of those agricultural pump sets and domestic connections of the poor and consume less than certain specified entitlements, (ii) a power sector B for the above-entitlement agricultural pump sets and domestic connections and all the other existing consumers, and (iii) a power sector C for emerging large demands. To demonstrate the feasibility of his people’s plan, TLS had taken the case of Andhra Pradesh and provided prima facie calculations that showed that a people’s plan is feasible and requires a lower government subsidy.$^{43}$ New Energy Policy The spiraling price of crude has prompted the government and the industry to focus on integrating energy policy and energy security. In 2005, the Prime Minister set up an Energy Coordination Committee (ECC) to formulate an integrated energy policy as different fuels can substitute each other in both production and consumption. As Alternative technologies are available there is substantial scope for exploiting synergy for energy system efficiency to meet requirement for energy services. If the energy system is to be efficient, policies have to look at it as an integrated system. As there are currently five separate Ministries (Coal, Petroleum and Natural Gas, Atomic Energy, Power and Non-Conventional Energy Sources) each concerned with its own mandate, policies are not always consistent, opportunities for inter-linkages and synergy are missing and sub-optimal solutions emerge. In December 2005, The Expert Committee on Integrated Energy Policy (noted hereafter as the Expert Committee) have submitted, a draft report on the same.$^{44}$ The final report is expected within next few weeks. The major findings of the draft report are: - In order to ensure sustained growth of 8% through 2031, India would, at a minimum, need to grow its primary energy supply 3 to 4 times $^{43}$ ibid $^{44}$ Planning Commission 2005 and electricity supply 5 to 7 times in comparison to today’s consumption. - By 2031-32 power generations’ capacity would have to increase to 778095 MW and annual cost requirement would be 2040 MMT. Meeting this vision would require that India pursues all available fuel options and forms of energy, both conventional and non-conventional, as well as new and emerging technologies and energy sources. Assuming an 8% growth rate, the Expert Committee has made ten different projections with varied energy mix combinations for the year 2031-31. In all the projections, the share of coal ranged between 65% and 42%, share of oil varied between 34% and 28%, gas had a share ranging between 12% and 7% while nuclear’s share could rise up to a maximum of 6%. See Tables 12 and 13 for two such projections. Table 12: Scenario for Fuel Mix in Year 2031-32 (MMTOE) (assuming 8% GDP growth) \| Scenario Description \| Coal Dominant Case \| % \| Renewable Dominant Case \| % \| \|----------------------\|--------------------\|---\|-------------------------\|---\| \| Oil \| 467 \| 28% \| 406 \| 29% \| \| Natural Gas \| 114 \| 7% \| 163 \| 12% \| \| Coal \| 1082 \| 65% \| 659 \| 42% \| \| Hydro \| 5 \| 0% \| 50 \| 4% \| \| Nuclear \| 3 \| 0% \| 89 \| 6% \| \| Solar \| \| 0% \| \| 0% \| \| Wind \| 1 \| 0% \| 0 \| 1% \| \| Fuel wood \| \| 0% \| \| 5% \| \| Ethanol \| \| \| \| 0% \| \| Bio-diesel \| \| \| \| 1% \| \| Total \| 1672 \| 100%\| 1383 \| 100%\| Source: Planning Commission, 2005. It is clear that coal shall remain India’s most important energy source until 2031-32 and possibly beyond. India will need to take a lead in seeking clean coal technologies and, given its growing demand, new coal extraction technologies such as in-situ gasification in order to tap its vast coal reserves that are currently difficult to extract (from an economic perspective) using conventional technologies. The committee has concluded that imported coal is far more cost-competitive than imported gas for power generation especially along the western and southern coasts of India. This preference for coal over gas is likely to continue for a while. Relative prices play the most important role in the choice of fuel and energy form. They are thus the most vital aspect of an integrated energy policy that promotes efficient fuel choices and facilitates appropriate substitution. Lowering energy intensity of GDP growth through higher energy efficiency is also key to meeting India’s energy challenge and ensuring its energy security. India’s energy intensity has been decreasing and is about half what it used to be in the early seventies. Relative Prices for Efficiency Relative prices play the most important role in the choice of fuel and energy form. They are a vital aspect of integrated policy that aims to promote efficient fuel choices and facilitate fuel substitution. Prices of different fuels cannot be set independently of each other. However, this is the current practice and the domestic energy prices are not only uncompetitive but suffer from a number of pricing distortions. Energy Pricing Based on purchasing power parity comparisons, the Indian consumer pays the highest tariffs in the world for its energy supplies/services. Petroleum products are priced at international parity without any competition among incumbents and then loaded with taxes and levies. Access to petroleum products including subsidized kerosene meant for the Public Distribution System is limited. There is a need to examine (a) why the so called import parity price is used for oil products which are not imported, (b) rationale for not using trade parity prices, (c) the basic data on which import parity is calculated and (d) the leakage in subsidized products namely kerosene and LPG. Natural gas supplies are well below current demand levels and multiple prices prevail in the market. Coal has been deregulated under a monopoly supplier and the import and transportation infrastructure for moving coal is both deficient and managed by natural monopolies. Supplies of coal barely match demand. Power, a secondary form of commercial energy is grossly overpriced (for the paying industrial, commercial and large domestic consumers) since less than 50% of the energy through-put is paid for and collected by the State utilities. Indian uranium fuel for its nuclear plants is at least five times costlier compared to international prices due to very poor country deposits. Wind power in India delivers on average only 17% of its capacity, India’s hydro sector has been plagued with significant delays. Non-commercial energy is practically free since opportunity costs of labor spent in collecting firewood or cow dung and preparing the same is rarely factored in. Taxes on petroleum products are a key source for government revenue and are not uniform across products. Varying state taxes and custom duties on crude and products introduce further distortions in energy pricing in India. (Contributions from petroleum oil and lubricants to central government revenues have gone up from Rs33806 crore in 2002/03 to Rs 41386 crore in 2004/05, registering a 22% increase. In 2004/05, 68% of this came from two products: petrol and diesel.\textsuperscript{45}) The main recommendations of the Expert Committee are:\textsuperscript{46} - promote coal imports; - accelerate power sector reforms; - cut the cost of power; - rationalize fuel prices to mimic free market prices that promote efficient fuel choice and substitution promoting energy efficiency and conservation; - augment energy resources and supply, encouraging renewable and local solutions; - enhance energy security; - promote and focusing energy R&D; - promote energy security through entitlements for the poor, gender equity and empowerment; and, - create an enabling environment and regulatory oversight for competitive efficiency. The Ministry of Non-conventional Energy Sources (MNES) has also come out with a New and Renewable Energy Policy Statement 2005.\textsuperscript{47} It has identified the following drivers of new and renewable energy technologies products and services: - lesser dependence on energy imports through a diverse and sustainable fuel mix in furtherance of the aim of National Energy Security; - sustaining accelerated deployment of renewable energy systems/devices through indigenous design, development and manufacture apart from creating new sources of energy in furtherance of the aim of Energy Independence; - expand cost-effective energy supply for achieving per capita energy consumption level at par with global average through increasing share of new and renewable energy in the fuel mix in furtherance of the aim of ‘equity’; - augment energy supply to remove and deficient areas to provide normative consumption levels to all sections of the population across \textsuperscript{45} Mishra et al, 2005 \textsuperscript{46} Planning Commission, 2005 \textsuperscript{47} MNES, 2005 the country through new and renewable energy sources in furtherance of the aim of Accessibility; and, - fuel-switching through new and renewable energy system/device deployment in furtherance of the aim of conventional Energy Conservation. The New and Renewable Energy Policy, 2005 has prepared a detailed study on the indicative time frame for commercial viability of various new and renewable energy sources. As per that time frame, between 2005 and 2010 only two forms of renewable energy (photovoltaic and energy efficient stoves) are expected to be commercially viable. Thus, in the short-term substantial contribution from renewable energy sources cannot be expected. Climate Change The draft report on integrated energy policy refrained from making any such assessment of future GHG emission due to increased energy use. Rather it spoke for a sustainable development policy by promoting energy efficiency, renewable energy, changing the fuel mix to cleaner sources, introducing relative energy pricing, enforcing pollution abatement, implementing afforestation, and encouraging mass transport. It also included promoting higher growth rates of less energy-intense services sectors to ensure a relatively GHG benign growth path. The report also pointed out that any constraints on the emissions of GHGs by India, whether direct, by way of emissions targets, or indirect, would reduce growth rates, and impair pollution abatement efforts. The 2005 new and renewable energy policy has outlined three different fuels-mix projections for 2051-52. In these projections the share of fossil fuels, nuclear energy and renewable sources ranged between 65.79% and 46.88%, 5.52% and 5.26%, and 47.66% and 28.95% respectively. As per the report, the likely carbon emission for the years 2020-21 and 2051-52 are fully “climate change” complaint. For the year 2021-22, the projected carbon dioxide emission related to energy is: 2.7 MT per capita. For 2051-52, the projected value ranged between 3.4MT per capita to 4.1 MT per capita. By comparing Box 2 and Table 12, it is clear that there exists a huge difference in the fuel mix projections in the above two reports. The report prepared by the Expert Committee has given much more weight to coal in the future fuel mix compared to the other report prepared by MNES. Conservative estimates on the usage of coal in the later report might have resulted in a moderate per capita carbon emission figure in 2051-52. However, it is expected that technological breakthrough would make every form of energy much cleaner in the future. --- 48 MNES, 2005 Energy Security The World Energy Outlook, published by the International Energy Agency (IEA), projects that India’s dependence on oil imports will grow to 91.6% by the year 2020. Concerned about its growing reliance on oil from the Persian Gulf – over 65% of its energy is imported from the region – India is seeking other oil sources$^{49}$. In 2004/05 the share of the Middle East oil in India’s total oil imports was 67.43%. The remaining 32.57% was divided as follows: Saudi Arabia was the major supplier with a share of 24.96%, followed by Nigeria (15.73%). Other major suppliers were Kuwait 11.85%, Iraq 8.69%, Iran 10.03%, and UAE 6.71%$^{50}$. The Expert Committee has studied the security perspective from different angles and came up with the following suggestions. - reduce energy requirements through application of better technology to improve fuel efficiency, reliance on rail transport etc.; - substitute imported energy with domestic alternatives such as the use of bio diesel etc. Coal can be converted into oil as is being done in South Africa. The technology is well developed and in use for years. Sasol is routinely available at filling stations along with petrol and diesel; - diversify supply sources; - diversify supply mode such as importation of gas through pipelines, importation of hydro power through Nepal/Bhutan; - expand the resource base and develop alternative energy sources; and, - increase the country’s ability to withstand supply shocks. Many countries maintain a strategic oil reserve of 90 days and India could use this as a rule of thumb. R&D Energy related R&D did not get the resources it needed. The Expert Committee strongly felt the need to focus on research on energy generation, distribution and conservation. Claude Mandil, Executive Director, International Energy Agency, France, in his keynote address at Delhi Sustainable Development Summit, DSDS 2006 (2 – 4 February) commented “To meet the energy demand and stabilize carbon dioxide concentrations, unprecedented technology changes must occur in this century...No single technology or policy can do it all.”$^{51}$ --- $^{49}$ Institute for the Analysis of Global Security [www.iags.org/n0121043.htm](http://www.iags.org/n0121043.htm) $^{50}$ Planning Commission 2005 $^{51}$ TERI, Summit Bulletin, February 2006) The Expert Committee recommended a comprehensive R&D plan to make India self-sufficient by making breakthroughs in clean energy. The expert group has recommended five technology approaches.$^{52}$ 1. Coal technology: (i) recovering coal bed methane and mine mouth methane; (ii) in-situ coal gasification; (iii) carbon capture and sequestration; and (iv) integrated gasification combined cycle (IGCC) 2. Solar: A technology approach should be initiated to bring down the cost of solar photovoltaic or solar thermal by a factor of five as soon as possible. 3. Bio-fuels: (i) A bio-fuel mission to plant Jatropha or other appropriate oil plants on half a million hectare of wasteland within two years should be undertaken; (ii) biomass plantation and wood gasification,; and (iii) community biogas plants run on commercial basis. In addition to this, coordinated research efforts were suggested for the development of: 4. nuclear technology including fusion power 5. battery and hydrogen technology The Expert Committee has also recommended the formation of a National Energy Fund (NEF) by imposing a tax of 0.1% of the turnover of all energy firms whose turnover exceeds Rs.100 crores a year. As per 2004-05 turnovers, this will collect Rs.500 to Rs.600 crores per year and will increase overtime. In order to encourage the firms to do their own R&D a rebate of up to 80% of this tax may be given to firms for R&D carried out by them. An Independent Board should govern the fund with representatives from the department of Science and Technology (DST), Planning Commission and Energy Ministries. However, the majority of representatives should be outside experts. The idea is to support all stages of R&D from basic research to diffusion with appropriate policies, resources and institutions. Conservation There exists a huge potential for saving energy in India. A study done for the Asian Development Bank in 2003 estimated an immediate market potential of energy saving of 54,500 Million Units and a peak savings of 9240 MW, totaling an investment potential of Rs14,000 crores. The cost-effective saving potential is at least 10% of the total generation through Demand Side Management. Additional savings are possible by auxiliary reduction in $^{52}$ The technology approach to telecommunications (C-DoT) undertaken in late 1980s that changed the entire telephony system of India within a span of ten years. It is hoped that these focused and targeted technology approaches will result in drastic changes in India’s fuel mix of India and perhaps assist other countries to do the same. generation plants. The expert committee has suggested the following recommendations: - Energy efficiency and conservation programmes and standards should be established and enforced. The Bureau of Energy Efficiency (BEE) should develop such standards for all energy intensive industries and appliance and develop modalities for a system of incentives/penalties for compliance/noncompliance. These standards should be levels equal to or near current international norms. - The BEE should be made autonomous and independent of the Ministry of Power. It should be funded by a contribution from all energy Ministries or from a tax on fuels and electricity and an adjusted tax on fuels for generating electricity. BEE staffing should be substantially strengthened. - Existing national energy efficiency organizations like the Petroleum Conservation Research Association (PCRA) should be merged with BEE. This will ensure that BEE is responsible for energy efficiency for all sectors and all end uses. Participation of Civil Society To date civil society’s involvement in the energy sector has been limited to organizing awareness creation campaign on the role and need for new and renewable energy systems/devices in everyday life. The draft report on renewable energy has recommended the participation of civil society to assist in identifying opportunities for diffusion of renewable energy and to support the diffusion of renewable energy within the country’s infrastructure and other socio economic sectors. Concerns For the first time in independent India, the Draft Report of the Expert Committee on Integrated Energy Policy has tried to address the energy issues of the country from a holistic prospective and tried to evolve an Energy Policy that reflects the aspiration of an independent country. Over the past six decades India has failed miserably to formulate an energy policy that integrates all available energy options. The previous two major policy statements (the Fuel Policy Committee, 1974 and the Working Group of Energy Policy, 1979) were full of policy recommendation, most of which were not implemented. There are concerns about the latest report origins as, in the case of the previous two committees, this committee was also formed at a time when the international price of crude oil was increasing. This report, like its predecessors, is a reaction to an eminent crisis. Should the crisis be resolved quickly, it is more than likely that the recommendations on self-reliance, security, technology mission etc., will remain on paper only. The above report was prepared when Mani Shankar Aiyar was the Minister of Petroleum, Oil and Natural Gas. He initiated the negotiation process for Trans-Asia energy cooperation, joint ventures with China, and Iran-Pakistan-India pipeline. Analyst claimed that due to his independent attitude he earned the wrath of few western energy lobbies. A plan to pipe gas from Iran to India via Pakistan has particularly worried US policymakers. The Prime Minister M M Singh acted to allay their concerns to some extent by removing this high profile and independent-minded petroleum minister from his position in a reshuffle in January 2006. A pro-US right wing politician has replaced him. As the trans-Asia gas pipeline was central to Mr Aiyar's energy policy his sudden removal from the Ministry of Petroleum has raised suspicions within India about Mr Singh's willingness to align his economic and foreign policy more closely with US interests.$^{53}$ Recently India, under pressure from US, has voted against Iran - its long trusted friend and major supplier of crude. All these factors reinforce the apprehension that the strong policy recommendations on energy security will be watered down in the final report, expected April 2006. Moreover, the India –US deal on civilian nuclear programme would accelerate the growth of nuclear energy. Despite recommendations of the Expert Committee, imported uranium may replace indigenous coal as a feedstock for power generation. Environmental Sustainability Indicator 1: CO2 Emission kg/capita By global standard carbon emission per capita is relatively low in India due to low energy consumption which has led to a low GDP per capita. However CO2 emissions have increased marginally 1990 to 2002 for the following reasons: 1. The number of registered vehicles has increased by over 250% between 1991 and 2001-02. The corresponding figures are 21.37 million and 58.86 millions. 2. During the same period, the consumption of coal and production of petroleum products increased steeply. The refinery throughput increased from 51.8 million tons to 112.6 million tons. India today is largely self-sufficient in its petroleum product production. Major imports are LPG while diesel, petrol and STF are exported. As refinery throughput has increased, the environmental pollution has increased. India bore an increased pollution burden by importing and processing high levels of crude oil in its refineries. $^{53}$ EIU Viewswire Via Thomson Dialog NewsEdge COUNTRY BRIEFING, http://www.tmcdn.com/ussubmit/2006/02/27/1412052.htm 3. Consumption of coal increased from 225.5 million tons to 367.2 million tons. 70% of the consumed coal was used for generating electricity. The New and Renewable Energy Policy 2005$^{54}$ document indicates that, of the total emission of 1572 MMT in 2001-02, CO2 emission from energy sector was 60%. The sector-wise contributions to the total energy related carbon-dioxide emissions in 1997-98 were as follows: Power (36.51%); industry (19.47%); transport (7.84%); residential 34.92%; agriculture (0.87%), and commercial (0.97%).$^{55}$ 4. GDP and manufacturing sector grew at a faster rate during this period. Electricity consumption (kwh) per capita has also increased from 173 kwh in 1980 to 569kwh in 2002.$^{56}$ Table 13: CO2 Emission kg/capita \| 1990 \| 2002 \| \|------\|------\| \| 1194 \| 1200 \| Source: MoEF, (June 2004), India’s Initial National Commitments to the United Nations Framework Convention on Climate Change; HDR, 2004. Indicator 2: Most Significant Energy-related Local Pollutants The ambient air quality has deteriorated all over the country, especially in the semi-urban and urban areas. Three anthropogenic activities are the major sources of air pollution: stationary sources (use of fossil fuels in industries and thermal power plants), mobile sources (vehicles) and in-door sources (burning of bio-mass). The relative contribution of the 3 sources varies across the country depending upon various factors. The National Human Development Report 2001 (Planning Commission) mentioned that the ambient air quality recorded for India’s 23 major cities revealed that the Suspended Particulate Matter (SPM) levels were critical in many cities. What is more startling is that in smaller and medium towns the SPM levels were far higher than the larger metropolitan cities. In addition to common air pollutants such as sulphur dioxide and the nitrogen oxide several toxic and carcinogenic chemicals have also been detected in the air. --- $^{54}$ MNES, 2005 $^{55}$ Reddy, Balachandra, 2002. $^{56}$ HDR, 2005 Table 14: Air Pollution µg/m3 (Residential) \| Place \| SPM (1990) \| SPM (2002) \| SO2 (1990) \| SO2 (2002) \| \|----------------\|------------\|------------\|------------\|------------\| \| Delhi (Nizamuddin) \| 294 \| 329 \| 7.4 \| 13.1 \| \| Delhi (Ashoke Vihar) \| 339 \| 425 \| 6.6 \| 6.4 \| \| Delhi (Janakpur) \| 317 \| 442 \| 6.5 \| 13.7 \| \| Delhi (Siri Fort) \| 317 \| 378 \| 8.7 \| 11.8 \| \| Delhi Average \| 316.75 \| 393.5 \| 7.3 \| 11.25 \| Source: Website Central Pollution Control Board, Govt. of India. A nation-wide programme was initiated in 1984 to measure the extent of pollution in different parts of the country. On March 31, 1995, the network comprised 290 stations covering over 90 towns/cities distributed over 24 States and 4 Union Territories. As of June 30, 2000, the Central Pollution Control Board (CPCB) has identified a total of 1551 medium and large industrial units under the seventeen highly polluting industrial sectors. Of these, about 77% were responsible for water pollution, 15% contributed to air pollution and the remaining 8% of the industries were potentially polluting both air and water. Out of 1551 units, 1324 have installed requisite pollution control facilities, 165 units have closed and 62 units defaulted.$^{57}$ One estimate shows that in 2000, about 3,000 metric tones of air pollutants were emitted everyday in Delhi. The major sources of air pollutants were: - emissions from vehicles (67%); - coal based thermal power plants (13%); - industrial units (12%); and, - domestic (8%). During 1991 air pollutant emission were 1,450 metric tones per day. Emissions have more than doubled in less than ten years. The transportation sector contributes most of the pollution load (27% NOx, 74% carbon monoxide [CO], 11% volatile organic compound and 100% lead) in urban areas.$^{58}$ In 2000, public sector oil companies introduced low benzene petrol and low sulphur diesel. Armed with a Supreme Court order, the Delhi administration introduced CNG in the capital city in 2001. In the rural areas, the burning of unprocessed cooking fuels in homes is a major source of pollution. Rural households rely mostly on bio fuels such as cow dung, fuel wood, and crop residues and in some cases low grade coal to meet their fuel needs.$^{59}$ $^{57}$ Ghosh S, undated $^{58}$ ibid $^{59}$ The primary focus in the rural energy work of the 1970s was on cooking. Research, development and dissemination were devoted to stoves and particularly fuel wood stoves. There was some initial success in improving the fuel wood stove efficiency and making them less smoky. The emphasis now has turned to Social Sustainability Indicator 3: Household Access to Electricity In 2002, the household access to electricity was only 57.35%. As per the 1991 Census Report, the percentage of electrified rural and urban households was 30.5% and 75.8% respectively. The corresponding figures in 2001 were 43.5% and 87.6%. Table 15: Household Access to Electricity \| Year \| 1990 \| 1991 \| 2001 \| 2002 \| \|------------\|------\|------\|------\|------\| \| Household electrified (%) \| 41.25 \| 42.4 \| 55.8 \| 57.35 \| Compound Annual Growth Rate: 2.784% Source: Ministry of Power, Govt. India, and Census Report 1991, 2001, The Ministry of Power has defined a series of major policy initiatives in 2004-05 to accelerate electrification in general and rural electrification in particular,$^{60}$ the National Electricity Policy. This policy aims to accelerate the development of power sector by providing supply of electricity to all areas while protecting the interests of consumers and other stakeholders. The National Rural Electricity infrastructure and Household Electrification Programme was launched to provide access to electricity to all households in five years. The Centre will provide 90% capital subsidy under this scheme. The Rajiv Gandhi Gram Vidyutikaran Yojana (RGGVY) aim’s to electrify the 1,25,000 villages, connect all the estimated 2.34 crore unelectrified households below the poverty line (BPL) with 90% subsidy for connecting costs and augmenting by 2010 the network in all the already electrified 4.62 lakh households. For the approximately 5.46 crore households that are currently not electrified but are above the poverty line, they will not receive any subsidy to help them establish an electricity connection. The figures in Table 16 illustrate the low level of rural electrification. The failure of rural electrification highlights that existing policies should be critically re-assessed. --- $^{60}$ MoP, Annual Report, 2004-05 Table 16: Distribution of Households by Source of Lighting 2001 \| Source of lighting \| Total \| Rural \| Urban \| \|-------------------\|-------\|-------\|-------\| \| Total \| 100 \| 100.0 \| 100.0 \| \| Electricity \| 55.8 \| 43.5 \| 87.6 \| \| Kerosene \| 43.3 \| 55.6 \| 11.6 \| \| Solar energy \| 0.3 \| 0.3 \| 0.2 \| \| Other oil \| 0.1 \| 0.1 \| 0.1 \| \| Any other \| 0.2 \| 0.2 \| 0.1 \| \| No lighting \| 0.3 \| 0.3 \| 0.4 \| Source: Table H-9: Census of India 2001 In the past, Indian energy planners have equated rural electrification with village electrification. Even one pole near a village qualified it as an electrified village. Moreover, agricultural consumers dominated the priority list of electricity end-users with their demand for energizing irrigation pump sets. Home electrification was not seen as a challenge by the electricity boards and the political parties. On the supply side, rural electrification was understood as grid electrification as was to follow centralized generation from mega projects. The whole challenge of off-grid decentralized generation from local sources has not been part of the electrification agenda. From the mid nineties onwards, solar photovoltaic has been receiving top priority by rural energy planners not only in India but also globally although the initial high capital investment in solar power has made it too costly for most of the rural poor. The government has a long history of subsidizing kerosene and LPG with the assumption that kerosene is the poor man’s fuel. The 2001 census survey clearly revealed that only 1.62% of the households in rural areas use kerosene as the primary fuel for cooking. LPG penetration is higher at 5.6%. Most of the kerosene consumed is for lighting purposes where the quality of light generated is extremely poor. A study by The Energy and Resources Institute reveals that if the government would decide to subsidize solar lanterns instead of providing kerosene at a subsidized rate, the net savings to the government could increase substantially. Even if the government provided a free solar lantern to each of the households comprising the 57% population with no access to electricity, the annualized subsidy burden would amount to only few thousand crore rupees. The report also demonstrates that the benefit of the LPG subsidy has gone primarily to the richer segments of society (40% of the subsidy goes to the top 6.75% of households). Such numbers reveal that there is no rationale for continuing with the LPG subsidy – both for the rural and urban affluent consumers. --- 61 Reddy, 1999 62 Mishra et al, 2005 Instead, the LPG subsidy should be provided to targeted households – both rural and urban. Even after providing a free solar lanterns to the 57% non-electrified households AND extending targeted subsidies to LPG to the poorer section of the population, the government would still be revenue positive compared to the huge subsidy provided now towards kerosene and LPG. Moreover, by converting kerosene into higher value products the earnings of the refineries would be higher. The government also would be able to raise a higher tax from the higher value product. Case Study 4: Low-cost Lamps for Rural India The Grameen Surya Bijli Foundation (GSBF), a Bombay-based nongovernmental organization focused on bringing light to rural India, have introduced an innovative low-cost solar lighting system. The GSBF lamps use LEDs - light emitting diodes - that are four times more efficient than an incandescent bulb. After a $55 installation cost, solar energy lights the lamp free of charge. LED lamps, or more specifically white LEDs, are believed to produce nearly 200 times more useful light than a kerosene lamp and almost 50 times the amount of useful light of a conventional bulb. LED lighting, like cell phones, is another example of a technology whose low cost could allow the rural poor to leapfrog into the 21st century. "This technology can light an entire rural village with less energy than that used by a single conventional 100 watt light bulb," says Dave Irvine-Halliday, a professor of electrical engineering at the University of Calgary, Canada and the founder of Light Up the World Foundation (LUTW). The rural markets would be able to afford the initial expenses if they had access to micro-credit. LUTW is in the process of creating such a micro-credit facility for South Africa. "Then more than 4 million homes in South Africa will be able to afford this lighting system," he says. Founded in 1997, LUTW has used LED technology to bring light to nearly 10,000 homes in remote and disadvantaged corners of some 27 countries like India, Nepal, Sri Lanka, Bolivia, and the Philippines. The technology, which is not yet widely known in India, faces some skepticism. "LED systems are revolutionizing rural lighting, but this isn't a magic solution to the world's energy problems," says Ashok Jhunjhunwala, head of the electrical engineering department at the Indian Institute of Technology, Madras. At $55 each, the lamps installed in nearly 300 homes by GSBF cost nearly half the price of other solar lighting systems. Jasjeet Singh Chaddha, the founder of the NGO, currently imports his LEDs from China. He wants to set up an LED manufacturing unit and a solar panel manufacturing unit in India. If manufactured locally, the cost of his LED lamp could plummet to $22, as they won't incur heavy import duties. "But we need close to $5 million for this," he says. "And investments are difficult to come by." The lamps provided by GSBF have enough power to provide just four hours of light a day. But that's enough for people to get their work done in the early hours of the night, and is more reliable than light generated off India's electrical grid. Source: Chopra A, Correspondent, The Christian Science Monitor) Circulated via email by: Antony Froggatt [mailto:email@example.com], 04 January 2006 05:26, http://www.eu-energy.com Indicator 4: Investment in Clean Energy Indian industry has not shown much enthusiasm in investing in cleaner energy and on energy saving technology. Probable reasons are the low level of per capita energy consumption and carbon emissions, relatively low price of energy compared to investment cost in energy saving process and cleaner energy system. However, through the formation of PCRA and BEE (discussed earlier) awareness for the need about energy saving technologies is increasing. Table 17 shows government sector investments. Data pertaining to private investment in clean energy is not available. (Not all investments in renewable are not necessarily ‘clean investment’). Table 17: Investments 1990-91 and 2002-03 \| Investment in Energy \| 1990-91 \| 2002-03 \| \|----------------------\|-----------\|-----------\| \| Total (Rs.in billion)\| 171.011 \| 447.09.99 \| \| Clean (Rs.in billion)\| 1.364 \| 17.12.24 \| \| Clean as a % of total\| 0.80% \| 3.83% \| Source: The Economic Survey, 2003-04, Govt. of India. The 8th Five Year Plan (1992-97) made a provision of Rs.1, 000 crores for energy efficiency to provide projected energy savings of 5000 MW and 6 million tones in the electricity and petroleum sectors respectively. However this money was not explicitly spent for this purpose. The 10th Five Year Plan (2002-07) proposed benchmarking the hydrocarbon sector against the rest in the world. It also suggested demand side management specifically in the transport sector. The target for energy savings in the 10th Plan is 95,000 Million Units. However, unlike generation targets, there was no specific allocation to meet. It is also likely that the performance review will not indicate the actual savings realized.$^{63}$ Economic Sustainability Indicator 5: Energy Resilience: Energy Trade Benefits Many countries like India are highly dependent on imported fuels. The threat of supply interruption is real, primarily for unforeseeable political reasons, pipeline accidents, system vulnerabilities, embargoes, terrorism, and civil strife. The more universal threat is price fluctuations that can destabilize both importing and exporting nations. Over dependence of imports and exports, especially for energy sources like petroleum make a country vulnerable. $^{63}$ Planning Commission, 2005 Looking at the production and import statistics of petroleum products, between 1990 and 2002, though the import of crude increased the import of petroleum products declined and India became net exporter. India is today largely self-sufficient in its petroleum product production. Major imports are LPG while exports consist of diesel, petrol, and ATF. Table 18: Consumption and Imports of Petroleum and Petroleum Products (million tones) \| Year \| Consumption \| Net Import \| \|----------\|-------------\|------------\| \| \| \| Crude \| Petroleum \| \| 1990-91 \| 55 \| 20.7 \| 6.0 \| \| 2002-03 \| 104.1 \| 82.0 \| -3.6 \| Source: The Economic Survey, 2004-05. Although between 1990 and 2002, India was a net exporter of petroleum products, its dependence on imports increased substantially mainly in crude oil, making it increasingly vulnerable to oil price hike and supply shocks. From 2004-05, India’s dependence on imported crude stood at 77% of its crude processing requirement. While the total quantum of crude imports by the country grew at a CAGR (compounded annual growth rate) of 15.72% during the period 1997/1998 to 2004/05, the total import bill, during the same period, increased by more than double this rate (33.03%). The net-import dependency of India is declining. It has decreased from 86% in 1999/2000 to 70% in 2004/05. This is due to increase in the refining capacity resulting in a reduction in import of petroleum products and the export of some products. During 2004-05, the country exported 17.53 MT of petroleum products against an import of 8.83 MT. There has been an upsurge in the export market of diesel, petrol, naphtha, ATF (aviation turbine fuel), and fuel oil. In the last four years, the export market for diesel, petrol, and ATF has grown at a CAGR of 40.30%, 26.41%, and a whopping 97.37% respectively. On the import front, over the last four years, LPG imports have increased at a CAGR of 27.65%, standing at 2.33 MT in 2004/05 while kerosene imports have declined at a rate of 43.19%. --- 64 Mishra et al, 2005 65 ibid Table 19: Non-renewable Commercial Energy (including hydro from big dams) (mtoe) \| Year \| 1990-91 \| 2002-03 \| \|------------\|---------\|---------\| \| Production \| 166.7 \| 246.9 \| \| Import \| 32.1 \| 100.1 \| \| Available \| 191.5 \| 334.7 \| \| Export* \| 7.3 \| 9.3 \| \| Net Import \| 24.8 \| 90.8 \| * Computed by deducting ‘production’ and ‘import’ figures from ‘available’ data (4th row). By deducting the export figures from the corresponding years’ import figures, ‘net imports’ have been computed. The ‘available’ figures as above are considered equal to the amount of non-renewable commercial energy consumed in the corresponding years. Source: CMIE, Energy, May 2005 Indicator 6: Burden of Public Energy Investments Production and distribution of commercial energy was under state control. Recently privatization has occurred but the government still maintains major control. Only in case of renewable energy is the government’s participation negligible. Table 20 demonstrated that public investment in terms of GDP has increased during last one decade. Table 20: Public Investment in Non-renewable Energy \| \| 1990-91 \| 2002-03 \| \|----------------------\|--------------\|-------------\| \| Public Investment (Rs billion) \| 169.64.7 \| 429.9775 \| \| GDP (Rs crore) \| 6928.71 \| 13183.62 \| \| Investment as percentage of GDP \| 2.448 \| 3.26145 \| Source: The Economic Survey, 2003-04; CMIE, Energy, May 2005 Privatization of the energy sector started in the 1990s. During last few years this process has accelerated. However, on key issues government still maintains its control. Coal Sector The coal sector is dominated by Public Sector Undertakings (PSUs). Central PSUs which is engaged in production of coal and lignite contributes nearly 90% and 73% of total production of coal and lignite respectively. In 1993, limited private participation was permitted in the coal sector, essentially in captive mining for self-use. Now, foreign direct investment (FDI) in coal mining has been allowed and coal mining by joint venture companies is permitted. The Coal Mines Nationalization (Amendment) Bill 2000 was introduced in Parliament for bringing in suitable legislative amendments to permit private sector entry into coal sector. However, its passage is still awaited.\textsuperscript{66} Recently the Expert Committee has recommended that the coal blocks held by Coal India Limited (CIL) which CIL cannot bring into production by 2016-17, either directly or through joint ventures, should be made available to other eligible candidates for development and bringing into production 2011-12. Ideally, the Coal Mines (Nationalization) Act, 1973 should be amended to facilitate (a) private participation in coal mining for purposes other than those specified and (b) offering of future coal blocks to potential entrepreneurs. Oil Sector The oil sector remains largely in the hands of the Central Public Sector Units (CPSUs). The exception is in refining where some 26% of capacity is now in private hands. In 1987, the Government allowed private participation in refining through joint ventures, which was eventually de-regulated in 1998. The country’s largest refinery, a 27 MMTPA facility at Jamnagar, Gujarat is run by a private sector company. Parallel marketing of LPG and kerosene was permitted in 1993. Under the scheme, imports of these products were decanalized and private parties were allowed to import and market these at market-determined prices. Over the years parallel marketers have developed facilities for imports, storage tanks and LPG bottling plants as well as setting up their own distribution and marketing networks. Until 1997, public sector firms concentrated mainly on oil and gas exploration. Progressive liberalization of exploration and licensing policies have attracted some private and foreign firms. Despite this the success of the explorations has been marginal in enhancing oil reserves. However, some sizeable gas reserves amounting to 680 MTOE (176 MTOE claimed by Reliance and 504 MTOE claimed by Gujarat’s State Petroleum Corporations (GSPC)) has been recently reported. More work is needed to estimate the extractable potential. Despite one of the most liberal exploration licensing regimes, India has failed to attract any oil majors to explore in India. Exploration blocks were put on offer under the New Exploration Licensing Policy (NELP) in 1999, under radically different terms and conditions in order to try and attract private investment. NELP was fairly successful in attracting investments to the upstream sector – 25 blocks were awarded under the first round, while another 23 blocks were awarded later. So far, India has offered 110 oil and gas blocks and 16 coal bed methane blocks for exploration in its attempt to raise domestic energy production to \textsuperscript{66} Min of Coal, Annual Report, 2004-05 reduce import dependence. An indication of global interest in India’s energy deposits, is illustrated by major firms snapping up seismic data worth Rs 200 million ($4.5 million) for 55 oil and gas blocks and 10 coal bed methane blocks offered for exploration on 22nd February, 2006. This is expected to translate into aggressive bidding for the blocks offered under the sixth round of the New Exploration Licensing Policy (NELP) and third round of coal bed methane exploration. Of the 55 oil and gas blocks offered in the sixth round of NELP, 24 are in the deep sea, six in shallow offshore and 25 are on land blocks. Power Sector The sector is dominated by large state monopolies both at the national and state level. Over 88.44% of the utility-based generation is in the public sector with transmission almost entirely in the public sector. In the power sector, institutional changes introduced over the past few years have removed the legal barriers to create an environment favorable for private sector participation. As a result of these measures, the contribution of the private sector to installed capacity in the first four years of the Ninth Plan (97-01) was 4174 MW – 26.5% of the total in comparison to the 1262 MW (7.7%) in the eighth plan period (92-97). Simultaneously executive action has been taken to allow foreign investment into the sector – in 1998; foreign investment was almost 100% of equity in almost all activities of the power sector. The Electricity Act 2003 has encouraged private sector investment worth Rs 58,000 crore in projects worth 16,432 MW generation capacities. A loan agreement for US$400 million to finance the upgrading of India’s national power transmission grid was signed in November 2005 between the Asian Development Bank (ADB) and Power Grid Corporation of India Limited (POWERGRID). This project aims to strengthen and expand the capacity of the national transmission grid which comprises of 765-kilovolt (kv) and 400 kv transmission lines as well as substations operated by POWERGRID. Its National Transmission Development Plan (NTDP) entails an investment program of about US$12.6 billion up to year 2012. Including this loan, ADB has approved 15 loans totaling about US$3 billion to India’s power sector, accounting for about 23% of its total public sector loans to India. In 2005-06, the Ministry of Power has launched an initiative for setting up of ultra mega power projects (4000 MW or above) on ‘build, own and operate (BOO)’ basis. --- 67 The Hindustan Times, 23.2.06 68 Planning Commission 2005 69 The Economic Times, 28.2.06 70 ADB, 2005 71 The Economic Times, 28.2.06 Renewable Energy The renewable sector is primarily dependent on private entrepreneurs with the Indian Renewable Energy Development Agency Ltd. (IREDA) acting as the financing agency. The Experts Committee has recommended that the IREDA be converted into a national refinancing institution for the renewable energy sector along the lines of the National Bank for Agriculture and Rural Development (NABARD)/National Housing Bank (NHB). IREDA’s own equity base could then be expanded by the financial institutions of the country instead of being supported by the government as is currently the case. As per the new renewable policy, renewable energy technologies and projects will be allowed 100 percent foreign equity through automatic approval route to attract FDI to this sector.$^{72}$ Technological Sustainability Indicator 7: Energy Intensity (Energy Consumption/GDP) India’s energy intensity of growth has been falling and is about half what it used to be in the early seventies. Currently India consumes 0.19 kilogram of oil equivalent per dollar of GDP expressed in purchasing power parity terms. This is equal to the energy intensity of the OECD and better than the 0.21 kilograms of China, 0.22 kilograms of the US and the world average of 0.21. However, there are several countries in Europe at or below 0.12 with Brazil at 0.14 and Japan at 0.15. Thus, clearly there is room to improve and energy intensity can be brought down significantly in India with commercially available technologies.$^{73}$ Table 21: Energy Intensity \| Primary Energy Consumption \| 1990 \| 2002 \| 2003 \| \|----------------------------\|--------\|--------\|--------\| \| India: Per capita (Million Btu) \| 9.6 \| 13.1 \| 13.2 \| \| Total Primary Energy consumption per $ of Gross GDP (Btu per US$ using market exchange rate for Y2000) \| 29447 \| 26955 \| 25460 \| \| Total Primary Energy consumption per $ of Gross GDP (MJ per US$ using market exchange rate for Y2000) \| 31.066 \| 28.437 \| 26.8603\| $^{72}$ MNES, 2005 $^{73}$ Planning Commission, 2005 Indicator 8: Renewable Energy Deployment The Ministry of Non-Conventional Energy Sources (MNES) is the central ministry of the Indian government for all matters relating to new and renewable energy. Although it has a very well defined mission, its performance to date has not been impressive. MNES’s mission is as follows: 1. Energy Security: Development and deployment of alternate fuels (hydrogen, bio-fuels and synthetic) to help bridge the gap between domestic crude oil demand and supply; 2. Development and Deployment: Renewable (bio-energy, wind, hydro, solar, geothermal & tidal) energy to supplement fossil fuel based electricity generation; 3. Technology Ladder for Traditional Biomass: More efficient and cleaner conversion of biomass to meet the energy needs of cooking, lighting and motor power in rural areas; 4. Availability, Accessibility, Affordability: Normative levels of energy supplies to energy deficient sections of the population; and 5. Per-capita Energy Consumption: Consumption to be at par with the global average level by 2050, through a sustainable fuel-mix. The Indian Renewable Energy Development Agency Ltd. (IREDA) was established in 1987 as a public sector non-banking company under the Ministry of Non-Conventional Energy Sources (MNES) with the objective of providing loans for new and renewable sources of energy (NRSE). The exact production figures of Indian renewable energy are very difficult to find. MNES mainly focuses on installed capacity thus how much of this installed capacity is productive is not known. Moreover hydro-electricity produced by constructing big dams cannot be considered as renewable sources. The President of India in his Independence Day speech mentioned that the current share of renewable in the total primary energy is around 5%. Again the figures on primary energy provided by different sources vary widely. The BP Energy statistics - mentioned below - probably do not considered the non-commercial (traditional) source of renewable energy such as biomass etc., that as per MNES calculation constitutes more than 31.78% of total primary energy supply. In 2001-02, the major components of the non-fossil fuel were: nuclear (1.18%) and renewable (33.52%). The later consists of hydro (1.73%); --- 74 The Economist, Sept 24, 2005 biomass (31.76%); wind (0.03%); solar and bio fuel (negligible). During the course of this year the total primary energy consumption in India amounted to 437.69 MTOE, much higher than the figures mentioned by the BP Energy Statistics. The difference in the statistics is mainly due to existence of large traditional source like biomass in the total primary energy mix. If the contribution of animal and human energy is added the contribution of traditional source would be higher. *Table 22: Total Primary Energy Consumption (MTOE)** \| Year \| 1990 \| 1991 \| 1996 \| 1997 \| 2002 \| 2003 \| \|------\|------\|------\|------\|------\|------\|------\| \| India \| 193.4 \| 205.3 \| 271.5 \| 285.6 \| 338.7 \| 350.4 \| \| World \| 8119 \| 8136.4 \| 8791.7 \| 8876.7 \| 9487.9 \| 9800.8 \| Source: BP Energy Statistics.* Should be interpreted as primary commercial energy Table 23: Total Primary Commercial Energy Consumption (MTOE) \| Year* \| 1990-91 \| 2002-03 \| \|-------\|---------\|---------\| \| India \| 196.37 \| 341.62 \| Computed from above table Source: BP Energy Statistics Table 24: Net Geothermal, Solar, Wind, Wood and Waste Electric Power Generation (billion kwh)* \| Year \| 1990 \| 1991 \| 2002 \| 2003 \| \|------\|------\|------\|------\|------\| \| India \| 0.03 \| 0.04 \| 4.09 \| 4.24 \| \| World \| 131.54 \| 140.32 \| 292.15 \| 310.10 \| Source: International Energy Annual, 2003, EIA Table 25: Electricity from Renewable Sources \| Year \| Billion KwH* \| MTOE \| \|------------\|--------------\|--------\| \| 1990-91 \| 0.0325 \| 0.0026 \| \| 2002-03 \| 4.1275 \| 0.3302 \| 1 blKwh≈ 0.08 MTOE * Computed value Source: International Energy Annual, 2003, EIA --- 75 MNES, 2005 Table 26: Electricity Generation (billion kwh) \| Year \| Commercial source \| Renewable Source \| Grand Total \| \|--------\|-------------------\|------------------\|-------------\| \| \| Hydro \| Coal \| Oil \| Gas \| Nuclear \| Total \| \| \| 1990-91\| 71.64 \| 178.32 \| 0.11 \| 8.11 \| 6.14 \| 264.33 \| 0.0325 \| 264.362 \| \| 2002-03\| 64.01 \| 389.55 \| 7.05 \| 52.68 \| 19.39 \| 532.69 \| 4.1275 \| 536.817 \| Source: CMIE, Energy, May 2005, International Energy Annual, 2003 Table 27: Renewable Energy* as % of Primary Commercial Energy \| Year \| Renewable (MTOE) \| Total Primary Commercial Energy Consumption (MTOE) \| % of Total \| \|--------\|-------------------\|-----------------------------------------------------\|------------\| \| 1990-91\| 0.002 \| 196.37 \| 0.00101 \| \| 2002-03\| 0.330 \| 341.62 \| 0.09659 \| Electricity generated from renewable energy Source: Calculated from above tables In annex II, the unit costs of different types of renewable energy are shown. Solar, although having tremendous potential, is still expensive. However, focused R&D may reduce the cost at an affordable level. ## Indicators Results ### Table 28: Indicators \| Indicators \| Value in India \| Indicators \| I(1990) \| I (2002) \| \|-------------------------------------------------\|---------------\|------------\|---------\|----------\| \| \| 1990 \| 2002 \| \| \| \| CO2 emission kg/capita \| 1194 \| 1200 \| 1.081 \| 1.088 \| \| Local emission (Delhi) (µg/m3) \| \| \| \| \| \| SPM \| 316.75 \| 393.5 \| 7.669 \| 9.588 \| \| SO2 \| 7.3 \| 11.25 \| -0.098 \| -0.016 \| \| Average – I \| \| \| 3.785 \| 4.786 \| \| Household Access to electricity (%) \| 41.25 \| 57.35 \| 0.588 \| 0.427 \| \| Investments in clean energy (%) \| 0.7976 \| 3.82965 \| 1.000 \| 0.968 \| \| Energy resilience (%) \| 16.8 \| 29.9 \| 0.168 \| 0.299 \| \| Burden of energy investments (%) \| 2.448 \| 3.26145 \| 0.245 \| 0.326 \| \| Energy productivity MJ/US$ \| 31.066 \| 28.437 \| 3.132 \| 2.858 \| \| Renewable energy (%) \| 0.00101 \| 0.09659 \| 1.100 \| 1.099 \| Ratio between total import and total consumption (availability) Presentation of Country Star Two stars have been presented here using two different scales. Figure 3: Star with scale $0 \rightarrow 5$ Eight Sustainability Indicators 1) CO2 emissions 2) Ambient pollutants 3) Access to electricity 4) Investments 5) Vulnerability 6) Public sector investment 7) Energy productivity 8) Renewables - Current Year - Base Year Figure 4: Star with scale $0 \rightarrow 3$ Eight Sustainability Indicators 1) CO2 emissions 2) Ambient pollutants 3) Access to electricity 4) Investments 5) Vulnerability 6) Public sector investment 7) Energy productivity 8) Renewables - Current Year - Base Year Conclusions and Policy Recommendations Initial findings indicate that from 1990 to 2002 India failed to achieve any noteworthy progress in the management and development of energy sector especially in the areas of cleaner and renewable energy. The absence of a holistic energy policy and the increasingly reliance on road transportation are further worsening the situation. More funds need to be allocated towards rapid upgrading and expanding India’s railway infrastructure. The application of improved road taxes for transport vehicles is necessary. In order to promote the effective use of renewable energy sources, which has tremendous potential in a vast country like India, strong, committed leadership is urgently required. The public sector oil-distributing companies such as the Indian Oil Corporation Ltd., and the Hindustan Petroleum Corporation Ltd., which have huge distribution network all over India including in the remotest villages, should be asked to distribute different renewable energy items such as solar lanterns, solar panels etc. The existing retail pump outlets and kerosene/lubricant depots can be used as sales and service centers for such items. Basic engineering skill pertaining to the servicing of solar panels and small windmills can be taught to local students through workshops and training. The public sector oil companies with their massive, nation-wide infrastructure could organize this educational component on a regular basis in different locations. The training and promotional expenses towards this would be less compared to the amount of subsidy the companies pay each year to sell kerosene to the underprivileged section of the rural and urban India. Similar to the Telecommunication Initiative of 1980s, Energy Technology initiatives on (i) coal technology (ii) solar technology (iii) bio fuels, (iv) bio mass plantation (v) community biogas plants should be implemented immediately. An alternative power sector reform as proposed by TL Sankar deserves due attention from energy planners. Bibliography ADB, 2004, Road Crashes Costing Southeast Asian Countries US$15 Billion Per Year, ADB Studies say, November 22, New Release No.155/04. ADB, 2005, Signs $400 Million Loan to Upgrade India’s Power Transmission Card, November 3, New Release No.11/05. BP Plc, ‘BP Statistical Review of World Energy 2005’. Bidwai Praful 2006, India: Sacrificing sovereignty, Frontline, February 16. Central Pollution Control Board (CPCB), GoI, website; http://www.cpcb.nic.in Chaudhury P.D., 2003, Rail and Road in Intercity Transport – Energy and Environmental Impact, Economic and Political Weekly, October 13 CIA, The World Fact Book- India, (11,/26/2005) CMIE, Energy, May 2005 CMIE, Monthly Review of Indian Economy, June 1999, September, 2005. Down To Earth, 2005, Vol.14 No.12, Nov, 07 http://www.downtoearth.org.in/fullprint.asp (visited on 12.11.05) EIA, Country Analysis Briefs, India, October 2004. Environmental Performance Measurement (EPM) Project (Yale University) and The Center for International Earth Science Information Network (Columbia University), 2005 Environmental Sustainability Index: Benchmarking National Environmental Stewardship, http://www.yale.edu/esi/ Ghosh S., Sustainable Energy Policies for Clean Air in India, CII, New Delhi. 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MoEF, Agenda 21- An Assessment National CDM Authority, Web: http://envfor.nic.in/cdm/cdm_india.htm NIPM, http://www.ncipm.org.in/asps/DisplayPesticides.asp visited on 24.2.06 Office of the Registrar General (GoI), Census of India, 2001 Planning Commission (GoI), 2005, Draft Report of the Expert Committee on Integrated Energy Policy, New Delhi, December. Reddy A, 2002, In Support of a People’s Plan for Power Sector Reform, November 2-9, The Economic and Political Weekly. Reddy S, Balachandra P, 2002, A Sustainable Energy Strategy for India Revisited, December 28, The Economic and Political Weekly, Mumbai. Reddy A K N, 1999, Goals, Strategies and Policies for Rural Energy, December 4, The Economic and Political Weekly, Mumbai. RUPE, 2004, Aspects of India’s Economy, No.36 & 37, Mumbai. Shankar T L, 2002, Towards a People’s Plan for Power Sector Reform, October 5, The Economical Political Weekly, Mumbai Shiva V, 2004a, Super Highways – Lines on the palm or tattoos of dictatorship on the land, Znet, February 19. Shiva V, 2004b, The impact of globalisation on India’s environment - Global Ecology, May 7. Srinivas N.N. (2003), Monsanto Patents Indian Wheat Gene http://www.indiaresource.org/raw/news/2003/4486.html (visited on 12.11.05) The Human Development Report (HDR), 1992, 2004, 2005 Tongia R, 2005, Revisiting Natural Gas Imports for India, May 14, Economic and Political Weekly. UNDP, 2005, Indian Human Development Goals. Venkitaramanan S, 2002, Unemployment Problem: Bitter Remedies, July 22, The Hindu Business Line, Chennai. Annex 1 Table 29: Rates of Energy Consumption (Mj per pkm) and Emission of Pollutants (in g per pkm) for Passenger Traffic (2000-01) \| Type of Section \| Energy \| CO2 \| CO \| NOX \| NMVOCs \| SO2/SOX \| TSP \| \|----------------------------------\|--------\|-------\|-------\|-------\|--------\|---------\|-------\| \| Rail sections with electric traction \| 0.19 \| 25.57 \| 0.002 \| 0.13 \| Na \| 0.09 \| 2.56 \| \| Corresponding road sections \| \| \| \| \| \| \| \| \| - Car and bus \| 0.33 \| 23.26 \| 1.69 \| 1.11 \| 0.57 \| 0.10 \| 0.10 \| \| - Car only \| 0.63 \| 1.69 \| 2.24 \| 0.35 \| 1.17 \| 0.03 \| not appl \| \| - Bus only \| 0.16 \| 2.24 \| 1.00 \| 1.61 \| 0.15 \| 0.14 \| 0.20 \| \| Rail sections with diesel traction \| 0.18 \| 13.41 \| 0.11 \| 0.34 \| 0.02 \| 0.08 \| 0.02 \| \| Corresponding road sections \| \| \| \| \| \| \| \| \| - Car and bus \| 0.30 \| 21.35 \| 1.60 \| 1.22 \| 0.50 \| 0.11 \| 0.12 \| \| - Car only \| 0.64 \| 44.57 \| 2.28 \| 0.37 \| 1.19 \| 0.03 \| not appl \| \| - Bus only \| 0.17 \| 12.48 \| 1.04 \| 1.62 \| 0.16 \| 0.14 \| 0.20 \| Source: Chaudhury P.D., 2003, Rail and Road in Intercity Transport – Energy and Environmental Impact, Economic and Political Weekly, October 13 Notes: na – not available; not appl – not applicable; Carbon dioxide (CO2); Carbon Monoxide (CO); Nitrogen Oxides (NOX); Non-Methane Volatile Organic Compounds (NMVOCs); Total Suspended Particulate Matter (TSP); Passenger kilometre (pkm); and net tonne kilometre (ntkm). Table 30: Rates of Energy Consumption (Mj per pkm) and Emission of Pollutants (in g per pkm) for Freight Traffic (2000-01) \| Type of Section \| Energy \| CO2 \| CO \| NOX \| NMVOCS \| SO2/SOX \| TSP \| \|----------------------------------\|--------\|-------\|-------\|-------\|--------\|---------\|------\| \| Rail sections with electric traction \| 0.18 \| 24.25 \| 0.002 \| 0.12 \| na \| 0.09 \| 2.43 \| \| Corresponding road sections \| 1.35 \| 99.98 \| 4.64 \| 6.50 \| 1.30 \| 0.53 \| 0.57 \| \| Rail sections with diesel traction \| 0.25 \| 18.46 \| 0.15 \| 0.47 \| 0.03 \| 0.11 \| 0.03 \| \| Corresponding road sections \| 1.11 \| 78.72 \| 3.65 \| 5.12 \| 1.02 \| 0.42 \| 0.45 \| Source: Chaudhury P.D., 2003, Rail and Road in Intercity Transport – Energy and Environmental Impact, Economic and Political Weekly, October 13 Notes: na – not available; not appl – not applicable; Carbon dioxide (CO2); Carbon Monoxide (CO); Nitrogen Oxides (NOX); Non-Methane Volatile Organic Compounds (NMVOCs); Total Suspended Particulate Matter (TSP); Passenger kilometre (pkm); and net tonne kilometre (ntkm). Annex II Table 31: Capital Costs and Typical Cost of Generated Electricity from Renewable Options \| Sl.No. \| Source \| Capital Cost (Crores of Rs/MW) \| Estimated Cost of Generation Per Unit (Rs/kWh) \| Total Installed Capacity (MW) \| \|--------\|-------------------------------\|--------------------------------\|-----------------------------------------------\|-------------------------------\| \| 1 \| Small Hydro-Power \| 5.00-6.00 \| 1.50-2.50 \| 1601.62 \| \| 2 \| Wind Power \| 4.00-5.00 \| 2.00-3.00 \| 2483.00 \| \| 3 \| Bio-mass Power \| 4.00 \| 2.50-3.50 \| 234.43 \| \| 4 \| Bagasse Cogeneration \| 3.5 \| 2.50-3.00 \| 379.00 \| \| 5 \| Bio-mass Gasifier \| 1.94 \| 2.50-3.50 \| 60.20 \| \| 6 \| Solar Photovoltaic \| 26.5 \| 15.00-20.00 \| 2.54 \| \| 7 \| Energy from Waste \| 2.50-10.0 \| 2.50-7.50 \| 41.43 \| Source: MNES, 2005
International Finance from Macroeconomics to Econophysics Sergio Da Silva a,* , Raul Matsushita b , Iram Gleria c , Annibal Figueiredo d Pushpa Rathie e a Department of Economics, Federal University of Rio Grande Do Sul, 90040-000 Porto Alegre RS, Brazil b,eDepartment of Statistics, University of Brasilia, 70910-900 Brasilia DF cDepartment of Physics, Federal University of Alagoas, 57072-970 Maceio AL dDepartment of Physics, University of Brasilia, 70910-900 Brasilia DF Abstract This paper surveys the developments in the field of international finance, in particular the research of economists on foreign exchange rates. That might be of interest to physicists working on econophysics. We show how the econophysics agenda might follow naturally from the economists´ research as well as present our own work on the subject. PACS: 05.40.+j;02.50.-r Keywords: Econophysics; Lévy distributions; Foreign exchange rates 1. Introduction Economists working on the field of international finance traditionally felt uneasy with the ideas in modern finance theory, in particular with its notion of efficient markets. Instead, foreign exchange markets are widely believed to behave like the unstable and irrational asset markets described by Keynes [1]. Even the efficient markets assumption itself has been challenged recently by studies in behavioral finance. One argument, for instance, against the role of mass psychology in speculative markets is that since real returns are nearly unpredictable, the real price of stocks is close to the intrinsic value, i.e. the present value with constant discount rate of optimally forecasted future real dividends. Shiller [2], however, remarked that "this argument for the efficient markets hypothesis represents one of the most remarkable errors in the history of economic thought". International finance has thus been in practice open economy macroeconomics. As it happens, macroeconomics seems to have failed as well to satisfactorily address exchange rate behavior, as this paper will show briefly. That circumstance makes international finance economists more prone to welcome the new ideas coming from physics. In so- * Corresponding author. called econophysics, the behavior of exchange rates and other financial assets are seen as complex. In complex systems with many interacting units, everything depends on everything else. Section 2 discusses the role of expectations in macroeconomics. Section 3 focuses on the failure of modeling attempts in the framework of open economy macroeconomics. Section 4 shortly presents the econophysics agenda. Sections 5 and 6 introduce the Lévy distributions and show some algebra behind them. Section 7 displays our previous results on the econophysics of exchange rates. Section 8 shows our work on exchange rate multiscaling. And section 9 concludes. 2. Macroeconomics and expectations Macroeconomics is the study of the economy as a whole by focusing on the forest and abstracting the trees. The discipline was practically single-handed launched by Keynes [3]. Contrary to the view of classical economists like Adam Smith, Keynes' basic insight was that a market economy is inherently unstable, and that the source of instability lies in the logic of financial markets. According to Keynes, market capitalism should be neither left alone nor abolished, but stabilized. After the developments that took place in macroeconomics after Keynes, what still arguably survives of Keynesian economics today is the above insight [4]. Keynes' book was greatly simplified in a paper by Hicks [5]. The original ideas collapsed to a graph which is standard in macroeconomics textbooks for undergraduates— the so-called IS-LM model. For tractability, the IS-LM model assumed stationary expectations, i.e. people forecast no change for future prices. Stationary expectations is a reasonable assumption in a stable zero-inflation environment, but it is not when inflation departures from nil. Adaptive expectations came up to take the possibility of a non-zero inflation into account. Here people forecast by looking at previous inflation. Adaptive expectations is a fair assumption if prices are growing up at a constant rate. However, it is not if prices accelerate. Even if prices accelerate at a constant rate, people with adaptive expectations will make systematic forecast errors. So rational expectations is the assumption that people also consider an accelerating inflation together with all past and current information, including what a government is doing. But rational expectations assumes, too, that people behave as if they have the "true model" of the economy in their minds, and that is too demanding. As Shiller [6] observed, our (economists') economic models require their (the people in the economy) economic models, models that they use to generate their expectations. Rational expectations collapses the two models into one: to assume that people know (or behave as if they know) the true model that describes the economy. Collapsing two models into one is quite convenient an insight that helped to solve complicated models analytically. After all, these can be studied without collecting any data about the models in people's minds. Rational expectations (which is a mere stochastic version of perfect foresight) is then a wonderful theory, but unfortunately for the wrong species. One must seriously accept that the models used by real world people ("popular models") are not the rational expectations one. Economic modeling has thus no choice but collecting data on the popular models themselves. By using questionnaires to evaluate the popular models among US and Japanese (institutional and individual) investors during the stock market crash of 1987, Shiller [6] and colleagues concluded that "the suggestion we get of the causes of the crash is one of people reacting to each other with heightened attention and emotion, trying to fathom what other investors were likely to do, and falling back on intuitive models like models of price reversal or continuation. There appears to be no recognizable exogenous trigger for the crash. With such popular models, a feedback system is created with possibly complicated dynamics, and we do not need to refer to a trigger to explain a crash". That rational expectations is a quite restrictive particular case can be illustrated with reference to the El Farol bar problem put forward by Arthur [7, 8]. Suppose that one hundred people must decide independently each week whether to show up at their favorite bar (El Farol in Santa Fe). If someone predicts, say, that more than 60 will attend, he will avoid the crowds and stay home. If he predicts fewer than 60 he will go. Surely, predictions of how many attend depend on others' predictions of how many attend because that determines their attendance. But others' predictions depend in turn on their predictions of others' predictions. Deductively there is an infinite regress. No "correct" expectational model can be assumed to be common knowledge. If all use an expectational model (say, rational expectations) that predicts few will go, all will go, invalidating that model. If all believe most will go, no one will go, invalidating that belief. Expectations will be forced to differ, i.e. expectations should be necessarily heterogeneous. The example above shows that people cannot assume or deduce expectations but must discover them. As people visit the bar, they act inductively, i.e. they act as statisticians, each starting with a variety of subjectively chosen expectational models (the popular models above). Each week they act on their currently most accurate model. People's beliefs compete for use in an "ecology" these beliefs create. By employing a computer simulation, Arthur showed that the mean attendance quickly converges to 60. The predictors "selforganize" such that 40 per cent on average are forecasting above 60, and 60 per cent below 60. So predictors split into a 60/40 average ratio that keeps changing in membership forever. At the end of the day, one finds himself too far from the uniform forecasting models with rational expectations that are on average validated by the prices these forecast. In a sense, expectations were thus "endogenized". Arthur and colleagues [9] extended the El Farol economy with endogenous expectations for an artificial financial world and generated out-of-equilibrium outcomes, of which the equilibrium with rational expectations is just a possible particular outcome. Since mainstream economists feel somehow uneasy with "out-of-equilibrium" stories, it is worthwhile to illustrate their plausibility with reference to an example from behavioral finance. Out-of-equilibrium decisions are likely to be the norm in the initial public offering (IPO) market, for instance. Stockbrokers in such markets seem to behave like impresarios (who manage musicians and entertainers) [6]. The public interprets empty seats as a signal of low quality. The impresarios then price tickets below equilibrium to create excess demand and long queues, and that will lead to greater demand the next days. People thus manifest "shortage illusion". Likewise, underpricing IPOs creates the high initial returns that leave the impression that a stockbroker is giving good investment advice. Underwriters then let the high initial returns run for a while to generate publicity for an IPO. Arthur and colleagues have designed artificially intelligent computer programs to generate and discard expectational hypotheses, and to make bids or offers based on their currently most accurate hypothesis. Endogenous expectations compete in the ecology the expectations create. The stock price forms from bids and offers, and thus ultimately from expectations. They have found two possible regimes: (1) if parameters are set so that the artificial agents update their hypothesis slowly, the diversity of expectations collapses quickly into the homogeneous rational expectations one; (2) if the rate of updating of hypotheses is turned up, the artificial market displays several of the "anomalies" observed in real markets, such as unexpected price bubbles and crashes, random periods of high and low price variation, and the presence of technical trading. These anomalies are thought of as out-of-equilibrium phenomena. It has to be said that mainstream macroeconomics and finance have also developed some equilibrium stories for such anomalies [10, 11]. But although "rational expectation bubbles" might still be useful as a limiting case, from the above discussion it would not be sensible to assume rational expectations from the start. From the discussion above one can too infer that if expectations are endogenous they also have to be heterogeneous. One can also infer that international finance economists are likely to welcome the notion of complexity (the issue of complexity is exhaustively discussed elsewhere [12]). Indeed, preliminary attempts have already been made [13]. A reason good enough for that to happen is the failure of modeling attempts in the framework of open economy macroeconomics. In what follows, that will be discussed in some detail. 3. Open economy macroeconomics In the open economy macroeconomics field, nominal and real exchange rate volatility of the floating period following Bretton Woods was explained by "overshooting" in the Dornbusch [14] model. In such a benchmark model of the field, output is exogenous and goods price stickiness is the critical reason for the exchange rate to overshoot its long run value in response to monetary shocks. However, overshooting is possible in other models, and empirical evidence for it is thin [15-17]. In particular, one empirical regularity inconsistent with overshooting is the well documented [15, 18] tendency for spot and forward exchange rates to move in tandem. Despite the fact that its empirical performance is not very successful [19], the Dornbusch model played a dominant role in shaping the literature on exchange rate dynamics through the early nineties [20]. That demonstrates "undeniable time-tested appeal of the traditional sticky price Keynesian model" [21]. Its prominence might also be related to the analytic simplicity of the model. For macroeconomists, however, the Dornbusch model presents limitations related to its lack of microfoundations. The model provides a specification of the price determination process that they call "ad hoc", and ignores the current account in the exchange rate determination [22]. The quest for microeconomic foundations for macroeconomics is an almost consensus among macroeconomists, and is reminiscent of the so-called reductionism in physics. Wolfram [12] observed that "in the existing sciences much of the emphasis over the past century or so has been on breaking systems down to find their underlying parts, them trying to analyze these parts in as much detail as possible. And particularly in physics this approach has been sufficiently successful that the basic components of everyday systems are by now completely known. But just how these components act together to produce even some of the most obvious features of the overall behaviour we see has in past remained an almost complete mystery". The research on microfoundations has begun when rational expectations stepped in. But reductionism is not useful when complexity is involved, as seen in the paragraph above. So microfoundations are not the issue if macroeconomic phenomena are complex. Other criticisms on the model of Dornbusch by macroeconomists are as follows. The model disregards the intertemporal budget constraints needed to describe the current account and fiscal policy consistently, provides no clear description of how monetary policy affects production decisions, and has no meaningful welfare criteria, which may mislead policy prescriptions [15]. There are a number of reasons why open economy macroeconomists still continue to research using the Dornbusch model, though. First, most of the stories appearing in media reports on exchange rates are consistent with the Dornbusch model [21]. Also, despite its general empirical collapse, evidence is also emerging that data provide support for some of the long run relationships suggested by the model, an example being long run purchasing power parity [22]. The empirical evidence supportive of other macroeconomic models that are traditional alternatives to the Dornbusch model, namely the monetarist model and the portfolio balance model, is thin as well. Despite some initial success, the monetarist model has failed empirically (reference [19] presents a discussion). In particular, estimates of equations for the US dollar-Deustche mark rate in the late seventies and beyond often produce coefficients implying that increases in Germany's money supply during this period caused its currency to appreciate. That has been called "the mystery of the multiplying marks" [19]. Although less empirical work had been carried out on the portfolio model, the supportive evidence has notwithstanding been weak (reference [19] shows details). The traditional flexible price models of the exchange rate have been developed theoretically by the so-called intertemporal approach to the current account [23-25]. A widely accepted standpoint by international macroeconomists is, however, that most important problems—such as the effects of macro policies on output and exchange rates—cannot be satisfactorily addressed in the framework of perfect price flexibility. That is another reason why empirical macroeconomists and policymakers have continued to use the traditional aggregative Dornbusch model [15]. Overall, it can thus be said that modeling with the standard macroeconomic models has failed empirically. Such a poor performance was highlighted when studies demonstrated that a random walk predicts exchange rate behavior better than models based on the fundamentals of the economy. The studies of Meese and Rogoff [26-28] showed that the traditional open economy macroeconomics models could not outperform a simple random walk in out-of-sample regressions. Since then, the inability to beat the random walk has been regarded as the standard by which to judge the empirical failure of the models of the open macroeconomy. Usually the random walk hypothesis is tested by considering the exchange rate dependent on its past value plus white noise. In such a first order autoregressive process, a coefficient equaling one means that there is a unit root, i.e. the exchange rate series is nonstationary. Several empirical studies found that exchange rate data do exhibit unit roots, but the error term does not have a constant variance [29-32]. The series is thus non-stationary and the error term shows time dependent heteroskedasticity. To revive the standard macroeconomic models, Koedijk and Schotman [33] estimated an "error-correction" real exchange rate equation and showed that it is superior, in-sample, to a random walk. The bilateral real exchange rates between the US, the UK, Germany, and Japan for the period February 1977 to June 1987 were considered in an econometric model (based on the Dornbusch model) and a significant mean reversion component was found. However, despite the fact that the major trends of the non-dollar exchange rates could be explained by macroeconomic fundamentals, Koedijk and Schotman also discovered that the dollar bubble between March 1984 and February 1985 cannot be understood by appealing to fundamentals. Also using dynamic error-correction techniques, Mark [34] considered an equation (derived from the Dornbusch model) to investigate the performance of the monetary exchange rate models concerning long run predictability. In forecasting tests over long horizons for several quarterly dollar exchange rates, evidence was found that macro fundamentals help to predict the nominal exchange rate, particularly at the four-year horizon. The study by Chinn and Meese [35] also suggested that over long enough periods there is indeed a stationary relationship between the exchange rate and the fundamentals of the open macroeconomy models. The revival of fundamentals is sometimes also associated with the rebirth of long run purchasing power parity (reference [22] presents a comprehensive discussion on that). Despite the revival of the standard fundamentals of macro models, the hypothesis that the exchange rate follows a random walk is still to be taken seriously. An interesting development that makes it possible to conciliate the apparent divergence between random walk and fundamentals is the model of De Grauwe and Dewachter [36], and De Grauwe, Dewachter, and Embrechts [37]. De Grauwe and colleagues' model gives supplementary speculative dynamics to the Dornbusch model by considering chart rules concerning forecasting, and explains exchange rate movements by chaos. An advantage of chaotic models is to mimic the random walk pattern of the exchange rate with the "stochastic" behavior produced by deterministic solutions. The models above have been extended to show that massive foreign exchange intervention can remove the chaos [38]. In the mid 1980s the general sentiment among open economy macroeconomists was that the research into exchange rate economics appeared to have grown tired of searching for new macro models [39]. As a result, attention shifted from examination of macro models toward work related to the foreign exchange market as a financial market per se. That trend was reinforced by the studies pointing out that the nominal exchange rate shows much greater variability than the important fundamental variables of the structural models [40-44]. Accounts of short run exchange rate movements based solely on fundamentals were then believed not to prove successful, owing exactly to the presence of speculative forces at work in the foreign exchange market. Speculation was not reflected in the usual set of fundamentals of the macro models [19]. Thus the literature on foreign exchange market microstructure focused on the behavior of agents and market characteristics rather than on the influence of macro fundamentals. One motivation for such work has been to understand the mechanisms generating deviations from fundamentals. A survey on that is provided by Flood [45], and another useful reference is Frankel, Galli, and Giovannini [46]. Other studies adopted the modeling strategy of reducing all structure of a model to just one single variable. This was intended to focus analysis on the effect of "news", i.e. unexpected changes in the exchange rate resulting from changes in the fundamentals that come as a surprise. The news approach thus relied on the existence of unexpected shocks to explain every exchange rate movement. It was shown however that only a small proportion of movements of the spot exchange rate is caused by news [47]. A survey of the papers dealing with news is provided by Frankel and Rose [48]. If compared with the news approach, an advantage of chaotic models is that they do not rely on random shocks to explain shifts in the exchange rate. Indeed currency crashes can happen in these models with no change in their exogenous variables. As an offshoot of the closed economy macro literature on real business cycles, the equilibrium exchange rate model [21, 49-53] gives a full account of the supply side. At this stage it is not possible to draw any firm conclusions concerning the empirical validity of the equilibrium model [19]. The emerging challenger of the equilibrium model is that of Obstfeld and Rogoff [15, 16]. The studies collected together in Van Der Ploeg [54] allow a general appreciation of other new developments. The model of the exchange rate developed by Obstfeld and Rogoff—the "redux" model—is a dynamic intertemporal two country model that assumes monopolistic competition and sticky nominal prices in the short run. While preserving the sticky price feature of the Dornbusch model, it provides a more rigorous framework than the latter model by incorporating the intertemporal approach to the current account. That allows for evaluating the welfare effects of macro policies on output and the exchange rate, a possibility not contemplated by the flexible price intertemporal approach. The results of Obstfeld and Rogoff sometimes differ sharply from those of either the Dornbusch model or the flexible price intertemporal approach to the current account. In particular, the model gives a different view of the international welfare spillovers due to monetary and fiscal policies. The testable results of the redux model—such as whether the distortions affecting the welfare effects of international monetary policy are empirically significant [16]—still have to stand up to empirical scrutiny. If they succeed, macroeconomists might claim that lack of microfoundations partly explains the bad empirical performance of the Dornbusch model. The wave of research initiated by the redux model is sometimes labelled "new open economy macroeconomics". Lane [55] and Sarno [56] present surveys. Lane questions the relevance of this literature for policymaking because many welfare results are highly sensitive to the precise denomination of price stickiness and the specification of preferences. But the widespread commitment with microfoundations and the many unanswered questions that remain should ensure that the literature is likely to grow yet further in the coming years among macroeconomists. It is still worthwhile to mention that the speculative dynamics side of the model of De Grauwe and colleagues has also been blended with the model of Obstfeld and Rogoff to produce a chaotic nominal exchange rate [57]. Where do we then stand in the open economy macroeconomics literature? The Dornbusch model demonstrates undeniable time-tested appeal. But the redux model comes up to update the Dornbusch model as regards microfoundations and a supposed breakthrough is to allow an explicit welfare analysis as far as policy is concerned. The welfare results of the new open economy macroeconomics literature are highly sensitive to the precise denomination of price stickiness and the specification of preferences, though. For that reason, the literature is of only limited interest in policy circles. Notwithstanding, the lack of welfare criteria of the Dornbusch model is claimed to yield misleading policy prescriptions; and that will encourage macroeconomists to further research on the new open economy macroeconomics. 4. The econophysics agenda Like economists, physicists also use models—which they call "artificial worlds". Unlike economists, however, physicists are fundamentally empirical in their approach to science. Indeed, when doing their everyday research some physicists never make reference to models at all. Unlike mainstream economists, physicists usually think of the macroeconomy as a complex system with many interacting subunits. They also have decided to examine empirical economic and financial facts prior to the building up of models. For the physicist's eye, the economy is a collection of interacting units where everything depends on everything else. The problem is then how does everything depend on everything else? Here physicists are looking for empirical laws that will describe this complex interaction. In particular, they are mostly interested in fluctuations [58]. For a start, take the biased random walk model of Bachelier [59], which is somewhat like a drunk with a coin and a metronome. Here a biased coin is one that has a tendency to go up. One might think of heads meaning one step to the right, and of tails as one step to the left. By adapting the biased random walk for the S&P500 data which encompass the crash of 19 October 1987, Stanley and colleagues [58] showed that the huge drop of Black Monday is virtually impossible in the model. They observed that the probability that a walk will move two steps in the same direction is p 2 , three steps is p 3 , and the probability of many steps in the same direction is exponentially rare. The biased random walk has a probability density function that is Gaussian. With returns (fluctuations) normalized by one standard deviation, the probability of having more than 5 standard deviations is essentially zero. However, there are many shocks in the S&P500 returns that exceed 5 standard deviations (30 or 40 hits on the positive side). And Black Monday is more than 34 standard deviations [58]. Research on econophysics that take empirical data into account aims at showing that catastrophic, rare events like Black Monday must be considered as part of the overall picture; they are not (in a sense) "anomalies". Even the great stock market crashes would be simply ordinary (although infrequent) events. Black Monday was the largest single-day free fall in market history. The crash was nearly twice as severe as the stock market collapse of 1929, although that time it did not trigger a depression. What made the Dow Jones industrial average sink? It is difficult to believe that there could be a sudden change in the fundamentals which would lead people simultaneously within half a day to the view that returns in the future had gone down by over 20 per cent. A dubious explanation is that the crash was caused by portfolio insurance computer programs which sold stocks as the market went lower. In an efficient market, when supply matches demand, prices have their proper values, i.e. values that correspond to the underlying fundamentals. Market prices could still bounce up and down erratically, but huge fluctuations could not be accounted for. Price changes would behave like the bell curve. Greater than some typical size, price changes ought to be extremely rare. Prices would somewhat follow a gentle random walk. As observed [58], almost everything in nature, including disordered things, has scale. We can find the scale of even raindrops on a road by zooming in or out. Most functions in physics have a characteristic scale and almost all physics comes down to solving a differential equation. Once the scale is determined, a function can be expressed in an exponential form whose derivative is also an exponential. Solutions to this look like tractable Gaussian functions. But some systems in nature lack a scale. In particular, systems with many interacting units (like the macroeconomy) generally do not have scales, i.e. they exhibit scale invariance that can be expressed by power laws. Indeed price fluctuations in the S&P500 were found to become about sixteen times less likely each time the size is doubled [60]. A scale-invariant power law has also been found for financial market volatility: the market does not have a typical wildness in its fluctuations [61]. Mandelbrot [62] looked at how random changes in cotton prices were distributed by size and did not find a bell curve. Instead, he discovered that price changes do not have a typical size, thereby being governed by a non-Gaussian power law. That allows one to see large fluctuations in market prices as a result of the natural, internal workings of markets; they can strike from time to time even if there are no sudden alterations of the fundamentals. Mandelbrot suggested a stable Lévy distribution [63] to model the cotton prices. Financial asset prices are also unlikely to follow Gaussian distributions [64]. Skyhigh peaks and fat tails are pervasive in financial data. Although leptokurtosis could be accounted for by stable Lévy distributions, these have never been established in mainstream finance. One reason is related to their property of infinite variance. Since volatility is a central concept to finance, it is useful for the variance to be finite. (The debate in the early days of modern finance can be appreciated in reference [65]). To remedy such a deficiency, a truncated Lévy distribution has been put forward [66, 67]. A truncated Lévy flight aims at modeling financial series through a non-stable distribution which features non-normal scaling power laws and finite variance. The truncated Lévy flight is then a candidate to satisfactorily model financial data. Indeed, that has been shown for the S&P500 [67] and other stock markets [68-70], as well as foreign exchange rates [71]. An earlier study that found power laws in foreign exchange markets is that of Müller et al. [72]. Non-Gaussian power laws are expected to coexist uneasily with mainstream finance theory, which is built on the efficient market hypothesis. However, econophysics does not clash with mainstream finance. Overall physicists see the efficient market as an idealized system and real markets as only approximately efficient. They think the concept of efficient markets is still useful to model financial markets. But rather than simply assuming normality from the start, they try to fully characterize the statistical properties of the random processes observed in financial markets [73]. 5. Lévy distributions As observed, early attempts to collapse the Gaussian distribution as a special case include the suggestion of a stable Lévy distribution to model cotton prices. Ordinary stable Lévy distributions have fat power-law tails that decay more slowly than an exponential decay. Such a property can track extreme events, and that is plausible for financial data. But it also generates an infinite variance, which is implausible and undesirable. As also observed, a sharply truncated Lévy flight has been put forward. But it is still possible to define a TLF with a smooth cutoff that yields an infinitely divisible characteristic function [74]. In a smoothly truncated Lévy flight (STLF), the cutoff is done by asymptotic approximation of a stable distribution valid for large values [75]. Yet the STLF breaks down in the presence of positive feedbacks [76, 77]. But the cutoff can still be alternatively combined with a statistical distribution factor to generate a gradually truncated Lévy flight (GTLF) [76, 77]. Nevertheless that procedure also brings fatter tails. The GTLF itself also breaks down if the positive feedbacks are strong enough. That apparently happens because the truncation function decreases exponentially. We have ourselves put forward what we call an exponentially damped Lévy flight (EDLF) [78], in which the gradually truncated Lévy is modified and then combined with the smoothly truncated one. In the presence of increasing and positive feedbacks, our distribution smoothly and gradually deviates from the Lévy. The truncation parameters are estimated by nonlinear least squares to provide an optimized fit for the tails. Our EDLF seems to fairly fit data on daily exchange rates. Section 7 will discuss that in some detail. Whether scaling is single or multiple depends on how a Lévy flight is broken. While the abruptly truncated Lévy flight (the TLF itself) exhibits mere single scaling, the STLF shows multiscaling [75, 79]. When employing the abruptly TLF [71] to fit the exchange rate data we have realized that the such data set might be fitted by an EDLF as well [78]. That is interesting because we can focus on the exchange-rate multiscaling properties stemming from the EDLF. Not surprisingly, and in accordance with the previous literature [80-85], we find multiscaling to be pervasive among exchange rates. This will be shown in section 8. 6. Some algebra behind the Lévy distributions Let Sn be the sum of n independent and identically distributed random variables Xt, where ∆t is a time lag. Now consider the symmetric Lévy distribution where 0 < α < 2, and γ > 0 is a scale factor. The characteristic function of (3),) (K ϕ , is such that ln[ ϕ (K)] = –γ∆t\|K\| α which satisfies ∆t ln[ϕ (K)] = ln[ϕ (∆t 1/ α K)]. That means that the corresponding probability distribution is (4) where s Z=∆t –1/α Z ∆t is a scaled variable at∆t. where η is a normalizing constant, and f(Z∆t) is the change carried out on the distribution. The abruptly truncated Lévy flight (TLF) is an extension to which where lmax is the step size at which the distribution begins to departure from the ordinary Lévy. The TLF is not stable and has finite variance, thereby converging to a Gaussian equilibrium according the central limit theorem. The characteristic function of the TLF is no longer infinitely divisible. Nevertheless approximate scaling can still occur for a finite time interval [73]. But scaling must break down for longer time intervals. Now consider the STLF [74, 75]. The cutoff parameter λ 0 > 0 is introduced into Eq. (6) as Function ) ( t smooth Z f ∆ is based on the asymptotic approximation of a stable distribution of index α valid for large values of \|Z∆t\| when γ = 1. It exhibits a power law behavior. For 0 < α < 1, the first term of the expansion of ) ( t Z L ∆ can be approximated by By taking into account the particular case of the Lévy where a = b, we get where ) / arctan( 0 λ θ K = , and ) ( α γ − Γ = C . Now the characteristic function ends up infinitely divisible. The GTLF [76, 77] is defined as where lc is the step size at which the distribution starts to deviate from the Lévy. Here β 0 and β 1 are the constants related to the truncation. When using the currency data to be presented in section 7, we have realized that their distributions deviate from the Lévy in a smooth and gradual fashion after \|Z∆t\| > lc. Sometimes the deviations were also caught increasing. Such a class of deviations was already found to be positive [76, 77], which means even fatter tails. It has been argued [76, 77] that, since the physical capacity of a system is limited, the feedback begins to decrease exponentially (and not abruptly) after a certain critical step size. In contrast, in the presence of our previously found increasing deviations, we think that an abrupt truncation is necessary still. In such cases, using the truncation approaches as in Eqs. (7), (8), and (11) might prove not to be appropriate. For that very reason we have suggested [78] the broader formulation for f(Z∆t) dubbed EDLF. The EDLF encompasses the previous TLF, STLF, and GTLF. Our EDLF is defined as where and ϑ , λ 1, λ 2 ≤ 0, λ 3 ≤ 0, τ 1, τ 2, and τ 3 are parameters describing the deviations from the Lévy, lc is (as before) the step size at which the distribution begins to deviate from the Lévy, and lmax is the step size at which an abrupt truncation is carried out. Note that when l → ∞, we have By setting ϑ = 0, τ 1 = – 1 – α, lc = 0, and τ 3 = 1 in Eqs. (12), (13), and (14), the resulting function is thus equivalent to the smooth case given by Eq. (8). When lmax → ∞, the similar function for the gradual case can be found by setting ϑ = λ 1 = λ 2 = τ 1 = 0. The abrupt case is given by setting lc = 0 and choosing the appropriate parameters such that H(Z∆t) → – ∞. 7. Illustration with exchange rate data Now we turn to review our own work on the dollar prices of 30 currencies plus a fake euro. The data sets for the 30 currencies were taken from the Federal Reserve website. They are a currency value in US dollar terms. As standard, here we ignore "holes" from weekends and holidays; analysis thus concentrates on trading days. Since the series for the real euro is too short, we have decided to take a false euro instead in order to get a longer series. We build the fictitious series for the euro by following a methodology put forward by Ausloos and Ivanova [86]. Table 1 shows the 31 currencies, historical time period, and number of data points. Fig. 1 displays the logarithm of the probability density functions (PDFs) of currency returns for selected countries in Table 1, namely Australia, Britain, Canada, Belgium, India, Brazil, China, and South Africa. Increases in time horizons range from ∆t = 1, 2, and 5 trading days (a week) to 240 trading days (a year). A spreading of the PDFs characteristic of any random walk is observed. Fig. 2 shows a log-log plot of the "probability of return to the origin" P(0) against ∆t [67]. Roughly, scaling power laws emerge for the currencies within the time window of 1 ≤ ∆t ≤ 100; and that fact is at first consistent with the presence of a TLF. Table 2 presents parameters α and γ for the currencies in Table 1. Parameter α is greater than two for six countries, namely Canada, China, Malaysia, South Africa, Thailand, and Venezuela; the currencies of these countries may (or may not) be outside the Lévy regime. For all the other currencies, a TLF might describe the data within a time window of (generally) 100 trading days (not shown). Thus a Lévy PDF could model the modal region of such processes within a finite time interval. Thus we have made a case for the presence of such TLFs (with finite second moments) to be pervasive in daily time series of currency returns. We have also moved up to assess how our EDLF adjusts to the same data. But here estimation of parameters α and γ departures from our previous approach, which is standard in this type of literature. Such parameters are usually estimated by plotting the probability of return to the origin against ∆t. Our new hybrid estimation process takes a maximum likelihood approach for α and γ , and nonlinear least squares for the other parameters. The maximum likelihood estimates are obtained by minimizing Eq. (15) as a function of the distribution parameters. Note that (15) is composed of three parts. For ∆t = 1, the first part depends only on α and γ , and the second one depends on the other parameters. As a result, the estimation process can be carried out separately for ∆t = 1. The maximum likelihood estimates of α and γ are the same as those obtained if the process were a Lévy. Such a practice is discussed elsewhere [87, 88], and a computer program for implementing it (called Stable.exe) is available online at http://academic2.american.edu/~jpnolan/. With α ˆ and γ ˆ being the maximum likelihood estimates of α and γ , let ) ( ˆ s z P be the sample probabilities of the scaled variable at ∆t, i.e. t s z t z ∆ − ∆ = α ˆ / 1 = ∆t –1/ α Z∆t. Also let ) ( ˆ 1 z L be the Lévy distribution using α ˆ , γ ˆ for ∆t = 1. The difference ) ( ˆ ln ) ( ˆ ln 1 z L z P s − shows how data deviate from the original Lévy process. Assuming that ) ( ˆ ln ) ( ˆ ln 1 z L z P s − = ln ) ( t damped z f ∆ , which equals then the parameters describing the deviations from the Lévy can be estimated by a nonlinear least squares procedure. Results are displayed in Table 3. The sample probabilities of a scaled variable at ∆t, ) ( ˆ s z P together with a Lévy distribution using α ˆ and γ ˆ were then calculated. The differences ) ( ˆ ln ) ( ˆ ln 1 z L z P s − are shown in Fig. 4. The resulting curves are shown as the continuous lines in Fig. 4. Their parameter estimates obtained by the nonlinear least squares method are also presented in Table 3. In all cases, parameters λ 3 and β 3 were dropped from the model. Here zero estimates for λ 3 and β 3 mean that the scaled PDFs exhibit heavy tails with increasing and positive feedbacks. The examples in Fig. 5 show that our EDLF fits the exchange rate data reasonable well. It is worth emphasizing that the data in Fig. 4 show log differences ) ( ˆ ln ) ( ˆ ln 1 z L z P s − that are increasing. And that is why fatter tails with increasing (instead of decreasing) and positive feedback emerge. 8. Multiscaling Our suggested EDLF has been employed to study the multiscaling properties of the exchange rates above [89]. Here we briefly discuss our contribution on this subject. By scaling Z∆t together with the truncation parameters, a distribution can be collapsed onto ∆t = 1. We thus have where t s Z t Z ∆ − ∆ = α / 1 , and ) ( s s Z f is a truncation function defined by the scaled parameters max / 1 l t l ms α − ∆ = , c cs l t l α / 1 − ∆ = , and 3 / 3 3 λ λ α τ t s ∆ = . Power laws for both the K th absolute moment and norm of the characteristic function of the EDLF can be derived as follows. By scaling Z∆t and using max / 1 l t l ms α − ∆ = , c cs l t l α / 1 − ∆ = , and 3 / 3 3 λ λ α τ t s ∆ = , the K th absolute moment ] \| [\| K t Z E ∆ can be reckoned as ] \| [\| K t Z E ∆ = ∆t K / α ] \| [\| K s s Z E (18) Note that such a power law depends on α and lmax, lc, and λ 3. If it were dependent only on α , multiscaling could not emerge because ln ] \| [\| K t Z E ∆ would be given by a linear function K/α . Now let and be the K th sample mean of the lagged absolute values of St at the time interval ∆t and 1 respectively. For moments which are low enough (such as 0 < K < α ), ) ( P t Z ∆ is expected to be approximated by ) ( t Z L ∆ , which in turn does not depend on the truncation parameters [75]. The reason why that might occur is that tails differ, and thereby they do not contribute a great deal to the low moment case [75]. Thus we expect <\|Z∆t\| K > ≈ ∆t K / α <\| Z ~ \| K > to hold for lower moments. That means that the ratio R(K, ∆t) = <\|S∆t\| K >/<\| S ~ \| K > scales with ∆t as R(K, ∆t) = ∆t K / α . By considering the case with K > α, lmax finite, ϑ = 0, and λ 3 = 0, it can be shown [89] that where and max / 1 l t l ms α − ∆ = , c cs l t l α / 1 − ∆ = , and ) , 1( 1 2 τ α τ + − + K j B u is the incomplete Beta function with 1 + jτ2 > 0, K – α + τ1 > 0, and u = 1 – lc/lmax. Thus the ratio ] \| [\| K t Z E ∆ / ] \| [\| 1 K Z E is approximately given by In such a situation, the ratio R(K, ∆t) scales as R(K, ∆t) = ∆t K / α if the ratio of (23) equals one. Nakao [75] previously noted that the self-similarity of ] \| [\| K s s Z E breaks down if K > α . If K < α then ] \| [\| K s s Z E ≈ ] \| [\| 1 K Z E ; otherwise, ] \| [\| K s s Z E ≠ ] \| [\| 1 K Z E . In practice the power law is of type R(K, ∆t) = ν∆t K / α for some time interval ∆t, where ν is a constant describing quasi-stable processes [71]. In such situations, ratio (23) gets approximately equal to ν for 2 1 t t t ∆ ≤ ∆ ≤ ∆ . By depending solely on how the truncation parameters are set, a number of distinct scaling patterns can be uncovered. For example, if lc = 0 then ] \| [\| K t Z E ∆ / ] \| [\| 1 K Z E ≈ α τ / 1 1 − ∆t . By assuming that ln[ϕ (K)] ≈ –γ∆t\|K\| α for 0 < K < α , the "estimated" norm in logs of the characteristic function is ln\|\|ϕ (K)\|\|, and then we can expect that ln\|\| ) (ˆ K ϕ \|\| = –γ∆t\|K\| α . Fig. 6 displays sample ratios R(K, ∆t) for several values of K in log-log plots of the exchange rates. Some ratios exhibit power law dependence on ∆t. Pictures with lines which are dependent on K emerge in some of the plots. By fitting logR(K, ∆t) = ξ log∆t for every K, we get the corresponding scaling exponents shown in Fig. 7. Some curves show linear dependence on K, for 0 < K < α . However scaling breaks down after K > α , and a nonlinear behavior steps in. Fig. 8 displays the sample logarithm of the absolute characteristic function versus ∆t for several values of K. A power law dependence on ∆t seems again to emerge from the pictures. By fitting ln\|\| ) (ˆ K ϕ \|\| = ζ ∆t for every K, the estimated values of ζ versus α ˆ \| \| K are plotted in Fig. 9. Britain, Brazil and Canada show a linear dependence for all K < 3. For all the other cases, the linear dependence on the initial values of K are followed by nonlinear patterns. Table 4 shows results for all the currencies, where either single scaling or multiscaling is displayed in connection with both (ξ and ζ ) exponents. As can be seen, multiscaling is pervasive among foreign exchange rates. 9. Conclusion This paper is a survey of the work of economists in the field of exchange rates called international finance. It is also a presentation of our own previous work on the econophysics of exchange rates. That might be of interest to physicists working on the general subject of econophysics. Overall the paper is intended to show how the econophysics agenda might follow naturally from the economists´ research as far as international finance is concerned. Our own work on the subject focuses mainly on the Lévy distribution and its applications to exchange rate data. Among other things, we present our suggested method to break the Lévy tails and show the multiscaling properties of actual exchange rates in connection with our exponentially damped Lévy flight. Acknowledgements We are grateful to Aline De Almeida, Aline Gandon, and Martha Scherer for research assistance. Table 1 Description of data sets. Table 2 Parameters α and γ for the currencies in Table 1. Table 3 Parameter estimates for selected currencies. Estimates α ˆ and γ ˆ are obtained by the maximum likelihood method for ∆t = 1. 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NECTAR LIFESCIENCES LIMITED Regd.Office:Vill.Saidpura,Tehsil Derabassi,Distt.Mohali,(Punjab) Part I - Statement of Unaudited Financial Results for the Quarter and Nine Months ended 31.12.2012 (Rs in Lacs) S. No 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16.i 16.ii \| PARTICULARS \| Quarter ended 31.12.2012 \| Quarter ended 30.09.2012 \| Quarter ended 31.12.2011 \| 9 Months ended 31.12.2012 \| 9 Months ended 31.12.2011 \| \|---\|---\|---\|---\|---\|---\| \| \| Unaudited \| Unaudited \| Unaudited \| Unaudited \| Unaudited \| \| Income from Operations (a) Gross Sales Less : Excise Duty Net Sales (b) Other Operating Income Total Income from Operations (net) \| 38095.64 1207.10 36888.54 18.85 36907.39 \| 50582.52 1108.49 49474.03 52.77 49526.80 \| 41711.79 719.24 40992.55 164.47 41157.02 \| 129091.37 3373.80 125717.57 133.47 125851.04 \| 93556.36 2656.77 90899.59 643.60 91543.19 \| \| Expenses (a) Cost of Materials consumed (b) Purchase of Stock in Trade (c) Changes in inventories of finished goods, work-in-progress and stock-in-trade (d) Employee benefits expense (e) Depreciation and amortisation expense (f) Other expenses Total Expenses \| 30121.56 845.34 (6041.24) 1137.2 1922.39 3649.36 31634.61 \| 36940.47 990.62 (331.98) 1149.93 1919.59 3678.50 44347.13 \| 27029.73 1616.37 530.37 1221.82 1663.36 3288.82 35350.47 \| 91328.65 5335.82 (4892.21) 3362.19 5634.58 10384.16 111153.19 \| 58268.36 4387.95 (84.60) 3696.56 4497.27 7593.74 78359.28 \| \| Profit from Operations before Other Income,finance costs and exceptional Items (1-2) \| 5272.78 \| 5179.67 \| 5806.55 \| 14697.85 \| 13183.91 \| \| Other Income \| 412.72 \| 412.71 \| 412.18 \| 1237.42 \| 862.83 \| \| Profit before finance costs and exceptional Items (3+4) \| 5685.50 \| 5592.38 \| 6218.73 \| 15935.27 \| 14046.74 \| \| Finance costs \| 2817.41 \| 2767.91 \| 2542.82 \| 8078.09 \| 6610.95 \| \| Profit after finance costs but before exceptional Items (5-6) \| 2868.09 \| 2824.47 \| 3675.91 \| 7857.18 \| 7435.79 \| \| Exceptional Items \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| \| Profit from ordinery activities before tax (7+8) \| 2868.09 \| 2824.47 \| 3675.91 \| 7857.18 \| 7435.79 \| \| Tax Expense \| 723.46 \| 569.53 \| 436.94 \| 1854.84 \| 944.54 \| \| Net Profit from ordinery activities after tax (9-10) \| 2144.63 \| 2254.94 \| 3238.97 \| 6002.34 \| 6491.25 \| \| Extraordinary Item (net of tax expense) \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| 0.00 \| \| Net Profit for the period (11-12) \| 2144.63 \| 2254.94 \| 3238.97 \| 6002.34 \| 6491.25 \| \| PPaaiidd uupp EEqquuiittyy SShhaarree CCaappiittaall ((FFaaccee VVaalluuee ppeerr sshhaarree :: RRee..11//- )) \| 22,,224422..6611 \| 22,,224422..6611 \| 22,,224422..6611 \| 22,,224422..6611 \| 22,,224422..6611 \| \| Reserves excluding Revaluation Reserves \| - \| - \| - \| - \| - \| \| Earnings per Share (EPS) (before extraordinary items) a) Basic b) Diluted Earnings per Share (EPS) (after extraordinary items) a) Basic b) Diluted \| 0 .96 0 .96 0 .96 0 .96 \| 1.01 1.01 1.01 1.01 \| 1 .44 1 .44 1 .44 1 .44 \| 2.68 2.68 2.68 2.68 \| 2.89 2.89 2.89 2.89 \| A Part II Select Information for the Quarter and Nine month ended 31.12.2012 12,47,92,970 Year ended 31.03.2012 Audited 134173.78 3845.02 130328.76 981.84 131310.60 99060.46 6302.74 (13466.91) 4765.86 6072.94 11018.76 113753.85 17556.75 1289.40 18846.15 10299.51 8546.64 0.00 8546.64 1221.64 7325.00 0.00 7325.00 2,242.61 76,212.05 3.27 3.27 3.27 3.27 55.65 - - - 9,94,68,000 100.00 44.35 \| Particulars of shareholding \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| Public Shareholding - Number of Shares - Percentage of Shareholding \| 1 2,47,92,970 55.65 \| 12,47,92,970 55.65 \| 1 2,48,56,970 5 5.67 \| 12,47,92,970 55.65 \| 12,48,56,970 55.67 \| \| Promoters and Promoter Group Shareholding a) Pledged/Encumbered - Number of Shares - Percentage of Shares ( as a % of the total shareholding of promoter and promoter group) - Percentage of Shares ( as a % of the total share capital of the company b) Non-encumbered - Number of Shares - Percentage of Shares ( as a % of the total shareholding of promoter and promoter group) - Percentage of Shares ( as a % of the total share capital of the company \| - - - 9 ,94,68,000 1 00.00 44.35 \| - - - 9,94,68,000 100.00 44.35 \| - - - 9 ,94,04,000 1 00.00 4 4.33 \| - - - 9,94,68,000 100.00 44.35 \| - - - 9,94,04,000 100.00 44.33 \| \| Investor Complaints \| \| \| \| \| \| \| Pending at the beginning of Quarter \| \| \| \| \| \| \| Received During the Quarter \| \| \| \| \| \| \| Disposed Off During the Quarter \| \| \| \| \| \| 1. 2. B Notes: 1 The above financial results were reviewed by Audit Committee on 13.02.2013 and approved by the Board in its meeting held on even date i.e. 14.02.2013 and further limited reviewed by the Statutory Auditors of the Company. 2 The company is exclusively in the pharmaceutical business segment. 3 Previous year figures have been regrouped and reclassified wherever necessary to make them comparable with current period. 4 The above financial results are on stand alone basis. Dated: 14 02 2013 Dated 14 02 2013 Dated: 14 02 2013 Dated: 14.02.2013 Place: Place: Place: Place: Chandigarh Chandigarh Chandigarh Chandigarh By Order of the Board of Directors By Order of the Board of Directors By Order of the Board of Directors By Order of the Board of Directors of Nectar Lifesciences Limited of Nectar Lifesciences Limited of Nectar Lifesciences Limited of Nectar Lifesciences Limited sd/- sd/- sd/- sd/- (Sanjiv Goyal) (Sanjiv Goyal) (Sanjiv Goyal) (Sanjiv Goyal) (Sanjiv Goyal) (Sanjiv Goyal) (Sanjiv Goyal) (Sanjiv Goyal) Chairman & Managing Director Chairman & Managing Director Chairman & Managing Director Chairman & Managing Director
行政院國家科學委員會專題研究計畫期中進度報告二維無序或關聯電子系統狀態之理論研究(2/3) 計畫類別：個別型計畫計畫編號： NSC94-2112-M-032-001- 執行期間： 94 年08 月01 日至95 年07 月31 日執行單位：淡江大學物理學系計畫主持人：何昌明報告類型：精簡報告處理方式：本計畫可公開查詢中華民國 95 年6 月21 日 Project Progress Report Chang-Ming Ho Dept. of Physics, Tamkang University May 31, 2006 What we have achieved this year in our two papers, one just submitted to Phys. Rev. Lett. and one appeared in J. Phys. Chem. Solids, and other on-going work will be discussed in this report. This year, we focus on understanding the phenomena observed in applying spectroscopy probesscanning tunneling spectroscopy (STS) on high Tc cuprates in terms of the many-particle trial wave functions (TWFs) [see section (I) below]. The published paper is a summary of our continuous efforts in comparing the trial-wave–function approach with the results of angle-resolved photoemission spectroscopy (ARPES) [see section (II) below]. Working with my assistants, we have also started to investigate other 2-dimensional systems, such as the recently made graphene and a Manganite thin film, , showing colossal magneto-resistance (see section (III) below). In the following, we discuss the work in more detail. 3 1 MnO Zr La x x − (I) Understanding the recent STS on cuprates- numerical and analytic study: To understanding the nature of the superconducting state in cuprates, we have been concerning about phenomena seen in the STS which provides information for the electronic states in real space. While ARPES probes, in short, the spectral function ) ,k ( ω A , the STS, by measuring the derivative of the tunneling current, dI/dV, at each position, r, probes the properties of the same function at each position on the sample surface [1], i.e. where 0 is the ground state of the system at some particular doping. Recent scanning tunneling microscopy/spectroscopy (STM/STS) results have shown that there are all varieties of phenomena existed in different high Tc cuprates with easily-cleaved surfaces- e.g. inhomogeneous distribution of gaps (in between the tunneling peaks) [2] and quasi-particle scattering at low energy in Bi2212 [3], checker-board like patterns in dI/dV at low sample bias in Ca2-xNaxCu2OCl2 [4], asymmetry of dI/dV at positive (electron injected) and negative (hole injected) bias [5], and so on. The attempt to understand the features seen in STM/STS hitherto is mainly on the effects of the inhomogeneous dopant induced SC order parameters to the local density of states (LDOS) of gap sizes is indeed found there, the strong correlation between electrons which should be important in underdoped cuparets is completely neglected [7]. Recently, Anderson proposed that the asymmetric tunneling conductance is closely related to the strong correlations inherent in the Gutzwiller projection of the resonating-valence-bond wave function (RVB WF) [8]. However, there have been controversy whether the asymmetry is accounted for by the coherent quasi-hole (-particle) excitations of the projected state treated by the usual approximation scheme of the renormalized mean-field theory (RMFT) [9] or rather by the incoherent part dictated by the spectral sum rule [10]. Also, the correlation between gap sizes and peak heights has not yet been examined properly with the strong correlation explicitly included. Motivated by the work of Anderson [8], we examine exactly the effects of strong correlation by numerically investigating the low-energy spectral weights of the d-wave RVB (d-RVB) state on finite square lattices. More precisely, we calculate the spectral weights (with N the total electron and which correspond to adding and removing one electron to and from the ground state with particular doping of holes, respectively, where 0 k 1 N d N c P Ψ ≡ Ψ + + is the trial WF for the quasi-particle excitation for momentum ] ) , ( [ k y x k k ≡ and 0 2 k - 1 − + − Ψ ≡ Ψ N d N c P for the quasi-hole excited states. The ground state 0 ) ( 2 / q q q q 0 N d N d N c c a P P + − + ∑ ≡ Ψ = Ψ which is the variationally optimized d-RVB state. Here, the usual coherent factor ) /( / 2 k 2 k k k k k k Δ + + Δ = ≡ ε ε u v a , where ) cos (cos k y x v k k − Δ = Δ the d-wave pairing amplitude and μ ε − + − − + − = ) 2 cos 2 (cos '' 2 cos cos ' 4 ) cos (cos 2 k y x v y x v y x v k k t k k t k k t the electron dispersion. The operator projects out the double-occupied sites in the system with finite number of doped holes. We have four variational parameters in which and are associated with the long-range hopping in the t-t'-t''-J model Hamiltonian, d P ) , , , ( '' ' v v v t t μ Δ ' v t '' v t, where hopping amplitude t, t' and t'' for sites i and j being the nearest, the next-nearest and = j i t , the third-nearest neighbors, respectively. i S r the spin operator at site i and <i,j> means that the interaction between spins occurs only for nearest-neighbor sites. Applying the identities for projection operator, we can relate exactly to the momentum distribution function as , where x is the density of doped holes and + k Z k n k k ] 2 /) 1 [( n x Z − + = + N N N N c c n Ψ Ψ Ψ Ψ = + / k k k . While there is no exact relation like this for , we find an interesting relation between which represents the off-diagonal long-range order in the pairing correlation and the d-wave pairing order parameter − k Z − + − ≡ k k k Z Z P op Δ by We computed both the spectral weights numerically and found the doping dependence of indeed has the dome-like shape, similar to the T c versus doping determined experimentally. (See Fig.1 at the end of this report. The lattice size is op Δ 12 12 × there.) Actually, the peak positions shown in Fig.1 are almost the same as what have been obtained previously by studying the d -wave long-range pair-pair correlation [11]. The reduction of SC order parameter after that doping level is mainly caused by around the anti-nodal region, reminiscent of the decreasing of long-range correlation due to the Fermi surface geometry in the same momentum space [11]. Hence the relation we found provides another way to evaluate the strength of the pairing amplitude. -Z k We then recognize that the strong correlation effects becomes apparent only in the electron removing spectral weight at low doping, reminiscent of what have been shown previously by analytic approach [12]. The effects due to strong correlations are examined by comparing the coherent spectral weights averaged over all momenta, i.e. N Z Z ave / k k ∑ − − ≡ and the incoherent part defined by the relation obtained by exact treatment of the projection and RMFT. Here is the average momentum distribution function which should be given always by the electron density of the system. The exact results for the lattice and that by RMFT are shown in Fig.2. As is shown there, while numerical (solid circles) is − − ≡ ave ave incoh ave Z n n N n n ave / k k ∑ ≡ 12 12 × ave n indeed equal to the electron density, the exact incoherent spectral weights for electron removal is less than the RMFT result. The difference becomes more significant as hole doping level is reduced. Interestingly, this behavior is independent of the values (represented by solid and empty symbols in Fig.2) which correspond to very different doping dependence of the Fermi surface shape and also the DOS. By contrast, the average values of electron adding spectral t t t /)'' ,' ( weights calculated exactly (not shown) and by RMFT are identical due to the exact relation k k between and discussed above. + Z n We then move to concentrate on the spectral weights as a function of the excited-state energy to make a comparison with tunneling experiments. By applying the model Hamiltonian to excitations 1 ± Ψ N , we deduce their excitation energies for each momentum and also the corresponding energy gap by fitting the excitation energy. To reduce the effects of finite systems, we define the sum of , over momentum k which has energy within some appropriate energy interval Δ N Z / k ± E Δ , to be the low-energy average spectral weight, , with E the mid value of the chosen ) (E Z L ± E Δ . Taking as an approximation to the spectral function at low energy, we plot , in Fig.3, up to where peaks appear for lattices of size with ) (E Z L ± ) (E Z L ± 12 12 × E Δ =0.3, and also 20 20 × with energy interval 0.2 for various dopings. To make sure our treatment is correct, we have also applied the same analysis to the d-BCS state (i.e. without projection). As shown in the inset of Fig.3, the ideal BCS result is hardly distorted by the finite size. Note that, with the reasonable finite-size dependence we obtain indeed the V-shape d-wave gap near zero energy. The width between peak positions is also roughly equal to two times of the gap value deduced from the excitation energy. Looking at the result closely, while the the amplitudes of the average weights may indeed be about the same at the very neighbors of zero energy as suggested by others [13], the average weights are always larger than that of at energy near that of peak. With decreased doping, the ratio of the average spectral weight values at negative and positive energies enhances quite dramatically, e.g. from x=0.125 to 0.056, at the corresponding energy of the peak ) (E Z L − ) (E Z L + ) ( /) ( Δ Δ − + − L L Z Z Δ increases from 1.96 to 2.73. Similar behaviors are found for the case with vanishing (not shown). In contrast to this, in the d-BCS (inset in Fig.3) in the same finite lattices there is almost no change of the ratio within the gap. The numerical results remind us the particle-hole asymmetric average conductance and the enhancement of the asymmetry with underdoping observed in the t t t /)'' ,' ( k k Fig.3 also reveals correlation between heights of the spectral weight peak and the gap size (or the width between peaks) as doping level is varied. Within the doping level shown in Fig.4, the peak height scales with the pairing amplitude but apparently anti-correlates with the gap size. This is in clear contrast to the BCS case in which the peak height, proportional to the SC coherence, scales with the width between peaks or gap size as more holes doped into the system. Our result agrees qualitatively with what has been extracted from STS experiments [1-5]. It should be noted that our result demonstrates that the width between and for a strongly correlated system is + Z − Z determined by the excitation gap in the SC state. This concludes the discussion on our numerical study on tunneling into the cuprates. This work is in collaboration with with Prof. T.K. Lee (Academia Sinica) and his student Mr. Chun-Pin Chou (National Tsing Hua University and Academia Sinica). A paper on this has been submitted to Phys. Rev. Lett. in May, 2006. It is now reviewed by the referees. Related to the tunneling phenomena, I have been working with Prof. M. Ogata (University of Tokyo) following the Gutzwiller projection approximation put forward by Laughlin recently to examine analytically the (partial) projection of non-double occupancy on the BCS state [14]. To keep the electron density the same as the projection strength is varied, a parameter called fugacity factor is included in the constructed WF. Turning on the projection, the d-wave superconducting state is associated with only a tiny superfluid density near half-filling (or zero doping) due to the on-site repulsion- thus called "gossamer" superconductivity (gSC). Intriguingly, there exists quasi-particle state of the gSC pinned within the "Hubbard-like" charge gap. To examine the tunneling asymmetry issue, we may first calculate the spectral weights mentioned above. However, we found that and are actually identical with or without the fugacity factor, as shown by Fukushima et al [10]. We therefore construct a new trial excited state − k Z + k Z 1 − Ψ N by introducing an additional parameter g that characterizes the weight of doubly occupied site (explicit form not shown here). It is then found that, applying the Gutzwiller approximation scheme, the asymmetry does appear in the spectral weights , now functions of g, as a specific g is determined by minimizing the excited-state energy. The preliminary result has been reported by Prof. Ogata in the Autumn meeting of the Japanese Physical Society in 2005. We are continuing to examine related issues with this new trial WF. ) (g Z ± k (II) Trial WF versus ARPES results: In the past year, we continue to apply the trial excited state of RVB WF to understand features seen in recent ARPES experiments. In our paper published in Journal of Physics and Chemistry of Solids [vol. 67, p.150 (2006)], we discuss briefly our work of applying the trial WF's with and without antiferromagnetic order for the t-J-type model proposed to describe the low-energy states of high Tc cuprates with doped holes or electrons. More precisely, we review that, in the slightly doping regime, the ground states behave like charged quasi-particles with well-defined momenta and have much less pairing correlations than previously studied ones. There exist also states showing the incoherent and "spin-bag" behaviors. Our results are supported by exact calculation and are consistent with recent photoemission experiments. We then showed that the superconducting states indeed emerge as hole doping is increased. The superconducting pairing strength behave similarly with the long-range hopping amplitudes described in recent band-structure analysis. [15] We have been trying to extend the numerical study on the spectral weights to the transfer of them at particular momenta as the state changes from the normal (projected Fermi liquid and so on) to the superconducting (RVB). As revealed most clearly in recent optical conductivity experiment, the spectral weight transfer in various high Tc cuprates as they becomes superconducting (and thus the gap opens) extends up to very high energy, different from that occurs in the low Tc materials. More specifically, we would like to examine this issue by comparing the situations for the Fermi liquid to d -wave BCS and the case between projected ones. It is then possible to compare results of our study and of ARPES on particular kind of cuprates (maybe single-layer ones with lower Tc ). This work is again in collaboration with Mr. Chun-Pin Chou (National Tsing Hua University; Academia Sinica) and T.K. Lee (Academia Sinica). (III) Study on other Two-dimensional systems: With my assistants, one graduate and two undergraduate students, we are exploring other two-dimensional systems. They include a non-interacting electron systems with honeycomb lattice, graphene sheets (namely, single-layer component of the graphite), only recently available and have attract a lot of attention; and a Manganite thin film system, , for which two of my undergraduate assistants are doing related experiments with my colleague at Tamkang. 3 1 MnO Zr La x x − (i) Recently, quantized Hall effect is observed in the graphene sheet [16]. Unlike the previously studied two-dimensional systems and quasi-one-dimensional organic systems, graphene sheet has a unique property that there exist zero modes (so-called massless Dirac Fermions) without a magnetic field at half-filling due to the honeycomb lattice structure. Hall conductivity in graphene has been observed to be (2 + 4n)(e 2 / h ) , where is an integer. These unusual quantized n Hall effect have been explained as a result of 4 times the quantum Hall conductivity for each Dirac Fermions, where the factor 4 comes from the spin degree of freedom times number of the Dirac Fermions in the Brillouin zone. The spin orbit interaction introduces a gap in the spectrum and may produce interesting phenomena [17]. ) / ]( ) 2 / 1 [( 2 h e n + We notice that it is possible to understand the physical properties of the graphene sheet in terms of the "supersymmetric" quantum mechanics, as have been done recently [18] without spin orbit interactions. We would like to apply the property of the "shape-invariant potential" in this approach [19] to study the effects of, for example, including the spin orbit interactions. Also, we would like to examine the aspects of Berry phases in the system. (ii) As for another system we have been looking at is the in a thin film form. In this system, some of the La3+ ions is substituted by tetravalent ions, Mn3+ ions will be deoxidized into Mn2+ ions, which is equivalent to introducing electrons into the band. 3 1 MnO Zr La x x − g e 2 Effects of tetravalent ion doping, includingCe4+, Zr4+, Sn4+ and Te4+, have been studied extensively (see [20] and refernences therein). It is reported that the Ce-doped system studied by photoemission/x ray absorption spectroscopy and Hall effect indeed show electron-doped nature. To explain the strong magnetic–resistive correlation in the electron-doped Manganites, the presence of double-exchange between Mn 2+ and Mn 3+ has been proposed. Recently, however, some groups have found that the film was actually hole doped, not electron doped. All these indicate that the character of the charge carriers in Ce doped Manganites is under debate. To clarify the debate, it is necessary to further study other tetravalent ion-doping Manganites. However, it is claimed in recent study that the charge carrier in the Zr doped thin film is still of the hole-like character [20]. It is argued that the presence of cation vacancies counteracts the effect of Zr 4+ ions, resulting in a hole-doping effect. When the average valence of Mn was less than 3+, i.e. , the sample was truly electron doped, no magnetic–resistive correlation was observed. My colleague, Prof. Dah-Chin Ling, and his group have been working on the 3 1 MnO Zr La x x − thin film on different substrates [21]. To clarify the issue on the doped carrier and the physical properties of this thin-film system, two undergraduate assistants of mine have been trying to examine more samples under different conditions with the help of Prof. Ling and his graduate students. Within this summer, we shall be able to collect results and then make analysis on that. Bibliography [1] K. McElroy, et al., arXiv; cond-mat/0505333. [2] K.M. Lang et al., Nature 415, 412 (2002). [3] J.E. Hoffman, et al., Science 297, 1148 (2002); K. McElroy, et al., Nature 422, 422, 592 (2003). [4] T. Hanaguri et al., Nature 430, 1001 (2004) [5] C. Renner and Ø. Fischer, Phys. Rev. B 51, 9208 (1995); T. Hanaguri, private communication. [6] See, for example, T. S. Nunner et al., Phys. Rev. Lett. 95, 177003 (2005); M. Cheng and W. P. Su, Phys. Rev. B 72, 094512 (2005). [7] P. A. Lee, N. Nagaosa and X.-G. Wen, Rev. Mod. Phys. 78, 17 (2006). [8] P.W. Anderson and N. P. Ong, J. Phys. Chem. Solids 67, 1 (2006); see also cond-mat/0405518. 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Bidding Behavior in Austrian Treasury Bond Auctions To issue Treasury securities by auctions is a common method in many countries all over the world. The auction mechanisms used vary across countries. As our understanding of bidder behavior in Treasury auctions is still rather limited it is not surprising that the question which auction mechanism should be chosen is still unresolved. In this study, we analyze the bidding behavior in Austrian Treasury bond auctions, using a dataset which contains all bids submitted by each bidder as well as the results of 137 Austrian Treasury auctions from February 1991 to May 2006. Bidders in bond auctions have various means to react to changing market conditions: They may change the degree of bid shading, the quantity of Treasury bonds demanded and the dispersion of their bids. This paper aims to investigate how bidders adjust their strategies to varying uncertainty in the bond market, to different numbers of participating bidders and to changes in the volume of bond issues. JEL classification: D44, G10 Keywords: treasury auctions, discriminatory price auctions, bid shading, intra-bidder dispersion. 1 2 3 1 Introduction Based on a dataset provided by the Österreichische Bundesfinanzierungsy Ö y agentur (ÖBFA) and the Oesterg Ö g reichische Kontrollbank (OeKB), this paper analyzes the bidding behavior in Austrian Treasury bond auctions. The dataset contains all bids submitted by each bidder as well as the results in 137 Austrian Treasury auctions over the period from February 1991 to May 2006. In bond auctions, bidders have various means to react to changing market conditions: They may adjust Compared to other auctions, Treasury auctions leave much more room for strategic maneuvers to bidders as these are allowed to submit multiple bids for multiple quantities of bonds as price/quantity pairs. Starting with the highest bid, the OeKB ranks the submitted bids until the amount of bonds that is offered by the Treasury is met. Austrian Treasury auctions are discriminatory auctions, which means that winning bidders pay what they bid in contrast to uniform-price auctions, where all winning bidders pay the same price per unit of the auctioned good. For almost all auction formats, theory predicts that rational bidders place their bids below what they believe the good is worth, i.e. bidders shade their bids. 4 1 Oesterreichische Nationalbank (OeNB), Economic Studies Division, firstname.lastname@example.org. 3 We wish to thank the Österreichische Bundesfinanzierungsagentur (ÖBFA) and the Oesterreichische Kontrollbank (OeKB) for providing the necessary data. Paul Kocher, Maria Kucera and Erich Weiss provided helpful comments. 2 University of Vienna, email@example.com 4 In the context of bond auctions bid shading means that, given a certain price, bidders demand less than they would actually like to receive at the bid price. Hence, some authors prefer to call this phenomenon "demand reduction" instead of "bid shading" (Krishna, 2002). Monetary Policy & the Economy Q2/07 ◊ Helmut Elsinger 1 , Christine Zulehner 2, 3 Helmut Elsinger 1 , Christine Zulehner 2, 3 Refereed by: Philipp Schmidt-Dengler, London School of Economics. Refereed by: Philipp Schmidt-Dengler, London School of Economics. the degree of bid shading, the total amount of bonds demanded and the dispersion of their bids. The aim of this paper is to investigate how bidders adjust their strategies to varying uncertainty in the bond market, to varying numbers of participating bidders and to changes in the volume of bond issues. The paper is organized as follows. The Austrian Treasury auctions are described in section 2. The relevant auction theory is discussed in section 3 with an emphasis on testable implications. Section 4 presents the estimation results and section 5 concludes. There is a considerable amount of primarily empirical papers that investigate bond auctions in various countries: Cammack (1991) and Sundaresan (1994) discuss the U.S.A., Umlauf (1993) Mexico, Hamao and Jegadeesh (1998) deal with Japan, Gordy (1999) analyzes Portugal, Hortaçsu (2002) Turkey, Nyborg et al. (2002) discuss Sweden, and Keloharju et al. (2005) Finland. Given the focus of this study and the similarities between the various auction mechanisms, this paper closely relates to Nyborg et al. (2002) and Hortaçsu (2002). 2 Treasury Auctions in Austria Since 1991 Austrian Treasury bonds have been sold through sealed, multiple-bid, discriminatory yield tenders or price auctions. Treasury auctions are organized by the OeKB on behalf of the ÖBFA. New bonds may be isg y Ö g y sued through yield tenders or through a syndicate of banks. In the recent past only the latter method was used. In Austria, Treasury auctions are held approximately every six weeks (except for August). The preliminary schedule for each year is advertized one year in advance at the end of each year. One week before each auction, the ÖBFA announces the characterisy Ö y tics of the bond to be auctioned, i.e. maturity, annual coupon dates and size in the case of new issues and, for reopenings, the bond to be reopened and the nominal value to be issued. Competitive bids must be submitted electronically between 10:00 a.m. and 11:00 a.m. on the auction day (which usually is a Tuesday). The issuer has the right to recall the auction until noon. This option has been ex- 5 For a more detailed description of Austrian Treasury auctions see Oesterreichische Kontrollbank AG (2007). ◊ Monetary Policy & the Economy Q2/07 Whereas new issues prevailed in the 1990s, Treasury policy now focuses on reopening existing instruments to enhance the liquidity in these bonds. New securities are issued only occasionally (one or two issues per year) to close gaps in traded maturities (chart 1). In 2001 the ÖBFA changed g Ö g the method used to issue reopenings from yield tenders to price auctions. Participation in these auctions is managed by the ÖBFA. Banks that meet certain requirements in terms of capital, number of employees, number of branches, and trading volume in euro-denominated government bonds are eligible to apply for participation. They have to be approved by ÖBFA. g y Ö g y From 1991 to 1996 there were between 12 to 15 bidders per auction. Owing to regulatory changes, this number increased to 20 to 25 bidders in the years to follow (chart 2). Currently there are 25 approved bidders who not only may, but must submit competitive bids in every Treasury auction. 5 Source: OeKB. Source: OeKB. ercised only once since 1998. The results of the auction are published immediately after the issuer approves the auction. This publicly available information is rather detailed and includes the aggregate quantity of bonds bid for, the highest bid, the lowest winning bid (stop-out price), the lowest bid, the quantity-weighted average bid and the quantity-weighted average winning bid. 15% of the competitive volume of bonds is offered for noncompetitive bids, which may be submitted until 11:00 a.m. on the next day. 10% of the issued volume is retained by the Treasury to be sold on the secondary market. Settlement takes place three days after the auction and is matched with settlement in the secondary market. New issues are listed at Wiener Börse AG three days after the relevant auction. 6 6 Austrian bonds are traded on the secondary market. There is no when-issued market, however. Monetary Policy & the Economy Q2/07 Tender example Suppose the Treasury announces to reopen a bond by issuing another EUR 1,000 of face value. The features of the bond (coupon payments, time to maturity) are known. There are two bidders, A and B. As it is a reopening, the submitted bids consist of a quantity of bonds in terms of face value and a price per EUR 100 of face value at which the bidder is willing to buy this quantity. Bidder A submits the following bids: EUR 600 at a price of EUR 105, and EUR 500 at a price of EUR 80. B's bids are EUR 400 at a price of EUR 110, EUR 300 at EUR 105, and EUR 400 at EUR 100. The Treasury ranks the bids according to the price until supply equals demand. At a price of EUR 110 the aggregate demand equals EUR 400. At a price of EUR 105 the aggregate demand equals EUR 1,300 and exceeds the supply. The bids at the stop-out price of 105 are rationed proportionally. The amount bidded for at EUR 105 is EUR 900 of face value, but only EUR 600 of face value are available. Hence, bidder A wins EUR 400 (=600(2/3)) and B wins EUR 200 (=300(2/3)) at a price of EUR 105, and EUR 400 at a price of EUR 110. In a discriminatory auction the bidders pay what they bid. A pays 400105 = EUR 42,000 and B pays 400110 + 200105 = EUR 65,000. If we assumed a uniform auction, winning bidders would have to pay the stop-out price. So A would pay EUR 42,000 and B EUR 63,000. Note, however, that bidders take into account whether it is a discriminatory or a uniform auction when they submit their bids. So they will bid differently in uniform auctions than in discriminatory auctions. Now suppose the Treasury issues a new bond via a yield tender. In this case bidders submit bids consisting of a quantity of bonds demanded in terms of face value and a coupon rate, i.e. par yield. Assume the bond matures in two years and pays one coupon per year. The actual coupon rate will equal the quantity-weighted average winning yield. The Treasury sells EUR 1,000 of face value. Suppose bidder A submits the following bids: EUR 600 at a yield of 5% and EUR 400 at a yield of 10%. Bidder B's bids are EUR 400 at a yield of 4%, EUR 300 at a yield of 5%, and EUR 400 at a yield of 6%. Clearly, the Treasury prefers a lower par yield. So the bids are ranked ascending. The stop-out price is 5%. A wins EUR 400 at a yield of 5%, B wins EUR 400 at a yield of 4% and EUR 200 at a yield of 5%. The coupon rate of the bond issue equals the weighted average winning yield of 4.6%. This translates into a price of EUR 101.13 per EUR 100 of face value at a yield of 4% and EUR 99.26 at a yield of 5%. A has to pay EUR 39,702.49 (=40099.26) and B has to pay EUR 60,303.91 (=400101.13+20099.26). Competitive bids consist of an integer multiple of EUR 100,000 of face value and – depending on whether the method used is a yield tender or a price auction – the yield or price at which the bidder is willing to buy the quantity of bonds in question. Bidders may submit multiple bids and usually do so. The average number of bids per bidder in Austrian Treasury auctions is 5 (median: 4) and the maximum number is as high as 27. The minimum demand for each participating bank is equal to the total face value issued divided by the number of participants. This lower limit can always be met by submitting sufficiently low-price (high-yield) bids. If the total amount issued is above EUR 1 billion, bidders are not allowed to bid for more than 30% of the total amount issued. This limit seems to be binding as at least one bidder demands 30% of the issue in almost every auction in which the total amount issued is above EUR 1 bil- ◊ Monetary Policy & the Economy Q2/07 lion. 7 In smaller auctions (below EUR 1 billion) the maximum demanded and, more importantly, the maximum awarded fraction of the issued bonds is in general above 30%. The submitted bids are ranked according to yield (ascending) or price (descending) until supply equals demand at the stop-out price. For each winning bid the bidder pays what he bid. Proportional rationing at the highest winning yield or the lowest winning price is possible. age of the competitive awards of the two preceding auctions. Noncompetitive bids are quantity bids at a price that is equal to the quantity-weighted average of the winning competitive bids. The participating banks have the right, but not the obligation, to submit noncompetitive bids at every auction. The quantity of bonds that bidders might demand depends on the weighted aver- Chart 3 shows the volumes in terms of face value issued per year. Even though there are only a few new issues per year, they account for a significant fraction (approximately 50% in 2006) of the overall issued amount of bonds. The issued face values of the individual auctions and the ratio of quantity demanded to quantity supplied are displayed in chart 4. The issued amounts per auction proved quite stable up to 1997 and became rather volatile thereafter. The ratio of quantity demanded to quantity supplied decreases with the size of the auction. It hit its minimum of 1.22 in 2000 when the amount issued reached a historical maximum of EUR 2.5 billion. The maximum value was 6.5 when the amount issued was as low as Chart 3 Monetary Policy & the Economy Q2/07 Chart 4 EUR 0.4 billion. The average demand/supply ratio is 2.63, with a standard deviation of 0.89. ten highest bids are on average awarded 22% of the total volume of bonds. 3 Theoretical Considerations and Empirical Specification of Bidder Behavior Bidders in Treasury auctions submit price/quantity pairs. Other strategic instruments that are available to bidders are the number of submitted bids and the dispersion of their bids. How bidders use these instruments will depend on the value of the respective bond and on whether there is a resale market for this bond, on the number of bidders that participate in the auction and on the size of the auction. In this section, we outline the implications of auction theory on bidders' behavior and describe the related empirical models. We analyze bidders' behavior in the Austrian Treasury market by separately investigating bid shading, i.e. the difference between the value of the bond and the submitted bid in the auction, the quantities of bonds demanded by bidders and the intra-bidder dispersion of bids. For the definition of the variables and the regression equations used in our The total number of bids in our sample is 12,850, averaging 93.8 bids per auction. The average spread between the highest and the lowest bids for yield tenders (price auctions) is 23 basis points (58 cent per EUR 100 of face value) and the average spread between the highest bid and the stopout price is 4.5 basis points (9.2 cent). The ratio between these two spreads lies between 10% and 40%, with a mean value of 20%. The fact that the stop-out price is much closer to the highest bid than to the lowest suggests that some bids are rather low to meet the above-mentioned minimum quantity requirement. The approved bidders are heterogeneous in terms of total assets. We therefore expect and find that there is a lot of variation in the demanded quantities (similarly to Hortaçsu, 2002). The award concentration in Austrian Treasury bond auctions is high. The four bidders with the highest allotments in an auction purchase, on average, 65% of the issue (minimum 40%, maximum 100%). The ◊ Monetary Policy & the Economy Q2/07 analysis, we follow the approaches suggested by Nyborg et al. (2002) and Hortaçsu (2002). Treasury auctions is to fulfill their reserve requirements. The auction literature further distinguishes between independent private and common value auctions. The value of the unit for sale is thought to be of a private nature to the bidder if he knows the exact value the unit offered for sale has to him. If this is not the case or if there is the possibility of resale, a unit for sale is thought to have a common value. 8 As there is a secondary market for bonds, Treasury auctions are usually considered as common value auctions. One exception is Hortaçsu (2002, 2006), who argues that the main aim of banks which participate in Turkish The final determinants in an auction are the allocation of the units for sale and the payment mechanism. The allocation is always such that the highest bidder(s) obtain(s) the unit(s) for sale, whereas the payment mechanism differs depending on the type of auction. In sealed single-unit auctions, we distinguish between firstprice and second-price auctions. 9 The corresponding types in multi-unit or share auctions are discriminatory or uniform auctions. 10 First-price and discriminatory auctions are characterized by a pay-as-bid principle. In first-price auctions, the winning bidder pays the amount he submitted as a bid and in discriminatory auctions the highest bidders pay the price they submitted as bids. In second-price auctions, the highest bidders only pay the bid of the second highest bidder, and in uniform-price auctions the highest bidders pay the highest losing bid. As a consequence, bidders adapt their strategic bidding behavior to the different payment mechanisms. 3.1 Theoretical Considerations for Treasury Auctions We first lay out the strategic behavior of bidders in a single-unit first-price auction with independent private values. We then proceed to a single-unit first-price auction with a common value and finally, we discuss discriminatory multi-unit and share auctions. Assume a single indivisible good is for sale to one of I risk-neutral bid- I I 8 For mixtures of these two extremes see Milgrom and Weber (1982). 10 Other types are the Vickrey auction and the Ausubel auction. See for example, Krishna (2002). 9 Other single-unit auctions are the ascending (or English) auction and the descending (or Dutch) auction. See e.g. Krishna (2002). Monetary Policy & the Economy Q2/07 ◊ If we consider auctions as strategic games, the players' bidding behavior is our main concern as it will determine the price that will be attained in the auction and thus the seller's expected revenue. There are various possibilities of viewing Treasury auctions as games. First, we may see them as appropriately summarized by a single-unit auction. In this case we ignore the fact that bidders submit entire demand schedules consisting of multiple price/quantity pairs instead of single bids. Despite this simplification, considerations based on theoretical auction literature will provide us with certain insights. The other possibilities are to view Treasury auctions as multi-unit auctions or as share auctions. The main difference between these two types is that the latter assumes that the units for sale are perfectly divisible. ders. Each of the bidders knows the private value he assigns to the relevant good, but he does not know anything about the values assigned by the other bidders. Let v i be bidder i's valuation of the good. These valuations vi are modeled as independent draws from a continuous probability distribution. Bidders are assumed to behave competitively and not to collude. These assumptions allow us to treat auctions as a noncooperative game. A strategy for bidder i is a function mapping his valuation v i into a bid b i ≥ 0. Bidder i wins the auction if his bid exceeds the bids of all other bidders. The price he has to pay is his bid. The decision problem bidder i faces is to choose, conditional on his valuation, a bid b i that maximizes the expected value minus the price. It can be shown that the equilibrium strategy is a function of the bidder's own valuation, the number of participating bidders and the distribution of valuations, F. F. F 11 The optimal bidding behavior is to shade one's own bid as a function of the number of participating bidders I. It can be shown that bid shading, i.e. the difference between the value bidder i assigns to the good and his bid, δ i = v i – b i , decreases with the number of bidders. Let us now consider the common value model. The object to be sold has an unknown common value of v. Each of the I risk-neutral bidders I receives a signal s i with a mean of v and a standard deviation of η s. These signals are modeled as independent draws from a continuous probability distribution. Based on these signals, bidders have different estimates of If there is more than one unit for sale and bidders additionally demand more than one unit, Ausubel (2004) demonstrates that in a common value model the winner's curse might be even more pronounced than in a single-unit auction. 12 The more units a bidder wins, the worse he is off. Ausubel refers to this phenomenon as the "champion's plague." Rational bidders adjust for champion's plague by reducing their demand for any given price. Thus, we expect higher uncertainty to be followed by more bid shading (δ i ), by higher intra-bidder dispersion (σ i ) and lower quantity demanded (y i ). Nyborg et al. (2002) further argue that when bidders are capacity-constrained, bid shading might also be a function of the auction size Q, i.e. the number of units for sale. They provide similar argu- 11 See e.g. Milgrom and Weber (1982) or Krishna (2002). 12 There is a difference between multi-unit auctions at which bidders demand one unit and multi-unit auctions at which bidders demand more than one unit. Milgrom and Weber (2000) describe the optimal bidding behavior for the first type of auctions. ◊ Monetary Policy & the Economy Q2/07 the good's post-auction price. The winning bidder realizes that he is the bidder who made the highest estimate of the object's value. Winning the auction implies that he most likely overvaluated the object's price. This phenomenon is called the winner's curse. Rational bidders optimally shade their bids to account not only for competition in the auction itself, but also for the winner's curse, where the variance η s of the received signal determines the degree of bid shading. We expect that higher uncertainty, i.e. a larger η s, leads to higher bid shading. If we now define bid shading as the difference of the common value v and bidder i's bid, i.e. δ i = v – b i, it is, via the submitted bid, a function of uncertainty η s and the number of bidders I. mentation for intra-bidder dispersion and the quantity demanded by bidders. Another model of a multi-unit auction is the share auction model described by Wilson (1979). In this model, there are Q units of a perfectly divisible good for sale. Risk-neutral bidders are assumed to submit downward sloping demand schedules, i.e. bid functions, and the market clearing price will be at the point where bidder i's demand curve intersects his "residual supply curve," i.e. total supply minus the demand of all other bidders as a function of the price. Wilson (1979) assumes the common value model and shows that under specific distributional assumptions a seller might experience a reduction in revenue compared to a single-unit auction. Back and Zender (1993) demonstrate that, when bidders' marginal value v for the auctioned good is constant across bidders and when this value is perfectly known, all bidders pay the same price and make no profits. Wang and Zender (1998) additionally incorporate risk aversion and uncertainty about total supply and the value of the auctioned good into the bidding environment. Bidders, however, are still assumed to have no private information on the value of the auctioned good. Hortaçsu (2002) derives the predictions of the above model for bid shading, δ i = v – bi. Bid shading increases as the uncertainty in the value of the good, η v, increases and decreases with the number of bidders I. Hortaçsu (2002) further describes the predictions for a model where bidders have access to private information on the value of the auctioned good. He shows that bid shading, δ i = v i – b i, increases with the precision of bidders' valuations η v and that, under certain conditions, it also Monetary Policy & the Economy Q2/07 increases with the number of bidders, I. He further shows that the slope of the bid function is independent of the uncertainty η v and decreases with the number of bidders I. 3.2 Empirical Implementation of the Models Theoretical argumentation suggests that bid shading is a function of uncertainty, auction size and/or the number of bidders. The same is true for intra-bidder dispersion, the quantities demanded by bidders and bidders' profits. To test the theoretical predictions, we set up regression equations like Nyborg et al. (2002) or Hortaçsu (2002) and estimate various specifications with data from Austrian Treasury auctions. For the estimations we have to construct variables that measure bid shading, the intra-bidder dispersion of bids and uncertainty. We use different measures, thereby following Nyborg et al. (2002) and Hortaçsu (2002). The descriptive statistics of these measures are given in table 1. NRS Nyborg et al. (2002) measure bid shading using a bidder-specific discount and an average discount. The first measure is equal to il (1) δ δ N where p l is the post-auction price and l p il is the quantity-weighted average l bid of bidder i in auction l, with i=1,…, I l, and l=1,…, L. The second measure is the mean of (1) and is equal to δ = p l l – p l il NRS (2) δ δ N δ l i il l l l where E i E i E denotes the mean with respect to i=1,…, I l. Nyborg et al. (2002) measure uncertainty, i.e. η NRS l , as the auction day volatility of bond returns using an ARCH(2) process. Their basic regression equation uses bid shading δ NRS δ N δ il as the dependent variable, and uncertainty η NRS l and the l l = E E E [δ NRS δ N δ ] Table 1 \| \| 995 \| –0.04 \| \| 0.43 \| \| –1.56 \| \| \| 1.15 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| 754 \| –0.14 \| \| 0.42 \| \| –1.80 \| \| \| 0.83 \| \| 1,848 \| \| \| 0.98 \| 0.79 \| \| \| 0.18 \| \| 4.08 \| \| 1,848 \| \| \| 0.01 \| 0.05 \| \| \| 0.04 \| \| 0.22 \| \| 1,848 \| \| \| 0.93 \| 0.33 \| \| \| 0.30 \| \| 1.60 \| \| 1,848 \| \| 22.61 \| \| 1.01 \| \| 20.00 \| \| 25.00 \| \| \| \| 922 \| \| 0.05 \| 0.05 \| \| \| 0.00 \| \| 0.65 \| \| \| 995 \| \| 0.12 \| 0.01 \| \| \| 0.02 \| \| 0.70 \| \| \| 519 \| –0.18 \| \| 0.43 \| \| –1.62 \| \| \| 0.64 \| \| \| 754 \| –2.33 \| \| 3.01 \| –23.79 \| \| \| –0.08 \| \| Source: Authors' calculations based on OeKB data. Note: Table 1 presents the descriptive statistics of the variables used in the regression equations. The NRS (= Nyborg et al., 2002) measure for bid shading δ NRS is the discount defined in equation (1). The Hortaçsu (2002) measure for bid shading δ H is defined in equation (8). The NRS measure for uncertainty η NRS is defined as the auction day volatility of bond returns using an ARCH(2) process. The Hortaçsu measure for uncertainty η H is defined by the standard deviation of inventory requirements and by the dispersion of the intercepts of bidders' linearized demand schedules, i.e. η H l = SD i [ α [α [ il ] l ] l l , where , , SD i is the standard deviation with respect to i = 1,…, I l . auction size Q l as the independent variables: the effect of increased competition is ambiguous Hortaçsu (2002). To assess the impact of uncertainty on the intra-bidder dispersion of bids, the quantity demanded by bidders and on the profits and measures for award concentration, Nyborg et al. (2002) define further dependent variables and estimate models analogous to (3). We do the same but use equation (4) instead. The intra-bidder dispersion of bids is defined as the quantity-weighted standard deviation of bidder i's bids in auction l: (4) δ NRS δ N δ il = γ l 0 + γ 1 η NRS l + γ l l 2 Q l + γ l 3 I l + ω l l il where I l I l I is the number of bidders and l ω il is an error term. In a private value l l setting, we would expect γ 3 to be negative. The larger the number of bidders, the lower the degree of bid shading. In a common value setting, (3) δ NRS δ N δ il = γ l 0 + γ 1 η NRS l + γ l 2 Q l + ω l il where ω il is an error term. We expect l l a positive sign for γ 1. A higher uncertainty should translate into higher bid shading. Nyborg et al. (2002) use auction size to control for the impact of the behavior of capacity-constrained bidders. The relative amount these bidders can demand is obviously smaller in larger auctions. A larger auction size might induce these bidders to bid more cautiously and thus to shade their bids more. If there are no capacity constraints, we expect no effect of the auction size on bid shading because both the price bidders submit in the auction as well as the post-auction price should decrease. We extend this specification to account for the effect of competition as follows ◊ (5) σ il = SD l j D j D [p ijl q l l ijl / q l l il ] l il i where p ijl and l l q ijl are the l j th bid of bidder i in auction l, j = 1,…,J il J i J , and J il J i J is l l the number of bids bidder i submits in auction l. q il is equal to the total l l demand. SD j D j D denotes the standard de- j j viation with respect to j = 1,…,J il J i J . Bidders react to an increase in uncertainty with more dispersed bids. Auction size is expected to have a positive impact on intra-bidder dispersion, and the number of bidders is expected to have a negative impact. The quantity demanded by bidder i in auction l as a fraction of auction size is equal to Monetary Policy & the Economy Q2/07 (6) y il = q l l il / Q l l where Q l is the size of auction l l. Bidders demand lower quantities when there is an increase in uncertainty (Nyborg, 2002). Auction size is expected to have a positive impact on the quantity demanded by bidders, and the number of bidders is expected to have a negative impact. A measure of revenue is the profit per unit sold, which we define as the post-auction price minus the quantity-weighted winning bid: Hortaçsu (2002) tests theoretical predictions with different measures for bid shading and uncertainty. His definition of bid shading is based on the consideration that bidders' demand schedules can be described by a linear function. He defines bid shading as follows (7) П il П i П = p l l – E l l j E j E [ p j wijl q l l wijl / q l l wil ] l ] l where the subscript w denotes winning prices and winning quantities, and where q wil is equal to the total l l awarded demand of bidder i in auction l. Finally, we define bid-specific and bidder-specific award concentration as the fraction of awards captured by the five highest individual bids and by the five largest firms and denote them with BAC l C l C and l FAC l C l C . We use each of these variables as a dependent variable in equation (4). (8) δ H δ H δ l = p l l l – E l i E i E [α il ] l ] l l where E i E i E [α il ] l ] l l is the mean of the inter- l cepts α il of the bidder-specific demand l schedules in auction l. To obtain the intercepts α il, we regress for each bidder i and each auction l the bid-spe- l l cific price p ijl on the bidder-specific l aggregated quantity a ijl: (9) p ijl = α l l il + β l l il a l l ijl + ε l l ijl where α il and l l β il are the bidder-spe- l cific coefficients to be estimated, ε ijl is l l an error term and j denotes the bids j j bidder i submits in auction l with l (j = 1,…, J (j ( il J i J ). Hortaçsu (2002) mea- l ) l Monetary Policy & the Economy Q2/07 sures uncertainty by the standard deviation of the bidders' reserve requirements and by the dispersion of the intercepts of bidders' linearized demand schedules, i.e. η H l = SD l l i [α il ] l ] l l , where SD i is the standard deviation with respect to i = 1,…, I l I l I . We assume that banks' reserve requirements are constant over time. Therefore, we use only the volatility of the intercepts as an uncertainty measure. To test the predictions of Wang and Zender (1998), Hortaçsu (2002) uses bid shading δ H δ H δ il as the dependent vari- l able and uncertainty η H l and the num- l ber of bidders I l I l I as the independent l l variables: H (10) δ H δ H δ il = γ l l 0 + γ 1 η H l + γ l 2 I l + υ l il where ω il is an error term. Wang and l Zender (1998) expect bid shading to increase with uncertainty, i.e. (γ 1 >0), and decrease with the number of bidders, i.e. (γ 2 γ 2 γ <0). We extend this specification to account for the effect of the auction size and also to make it comparable to (4) as follows: il (11) δ δ H H whereυ δ = γ l 0 + γ 1 η l + γ l 2 I l + γ l 3 Q l + υ l il il is an error term. l (12) log[\|β il \|] = γ 0 + γ 1 η H l + γ l 2 I l + μ l il where μ il is an error term. According l to the predictions of Hortaçsu (2002), we expect γ 1 to be insignificant and γ 2 γ 2 γ to be positive. Hortaçsu (2002) further argues that the slopes of the bidder-specific demand schedules are a log-linear function of uncertainty and the number of bidders. To test these predictions, he uses the logarithm of the absolute value of the bidder-specific slopes as the dependent variable and a measure for uncertainty and the number of bidders as the independent variables: 4 Estimation Results This section presents the results obtained from the above estimations. Tabelle 2 Estimation Results with Bidder-Speciﬁ c Bid Shading as Dependent Variable \| \| \| \| 0.0014 \| .. \| – \| \| 0.0190 \| .. \| – \| \| 0.173 \| 8.. \| – \| \| 0.350 \| 9.. \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| ( \| \| \| 3.03)* \| \| \| \| (5.94)* \| \| ( \| \| 0.84) \| 0.. \| \| \| (1.69) \| 0.. \| \| \| \| \| 0.2638 \| .. \| \| \| 0.4012 \| .. \| \| \| \| \| \| \| \| \| \| ( \| \| \| 3.85)* \| \| \| \| (5.70)* \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 0.713 \| 3.. \| \| \| 0.306 \| 1.. \| \| \| \| \| \| \| \| \| \| \| ( \| \| 3.36)*** \| \| \| \| (1.34) \| 0.. \| \| \| \| –0.0026 \| \| .. \| – \| \| 0.0032 \| .. \| \| \| \| \| – \| \| 0.136 \| 2.. \| \| \| \| \| (6.33)* \| \| \| \| (7.82)* \| \| \| \| \| \| \| \| (4.45)*** \| \| \| \| \| \| \| \| \| \| 0.0009 \| .. \| \| \| 0.002 \| 3.. \| \| \| 0.017 \| 5.. \| \| \| \| \| \| \| \| \| (6.44)** \| \| ( \| \| 0.25) \| 0.. \| \| \| (1.80) \| 0.. \| \| yes \| \| \| \| \| yes \| \| \| \| yes \| \| \| \| yes \| \| \| \| \| \| \| \| \| es \| \| \| \| es \| \| \| \| yes \| \| \| \| yes \| \| ( \| \| \| 2.30)* \| \| \| \| (2.24)* \| \| ( \| \| 2.28)* \| \| ( \| \| 2.67)* \| \| \| \| 99 \| \| 50000... \| \| \| 99 \| 50000... \| \| \| 70 \| 70000... \| \| \| 70 \| 70000... \| \| \| \| \| \| 0.0640 \| .. \| \| \| 0.1027 \| .. \| \| \| 0.017 \| 1.. \| \| \| 0.045 \| 3.. \| Source: Authors' calculations based on OeKB data. Note: Table 2 presents the estimation results obtained with bidder-specific bid shading as the dependent variable. Column 1 presents the basic specification of NRS (= Nyborg et al., 2002) with uncertainty and auction size as the independent variables; column 2 extends the specification presented in column 1 by the number of bidders. Column 3 presents the basic specification of Hortaçsu (2002) with uncertainty and the number of bidders as the independent variables; column 4 extends the specification presented in column 3 by auction size. All specifications are estimated with bidder-specific fixed effects. Absolute values of t-statistics are shown in parentheses below the parameter estimates. For the bidder-specific fixed effects, the values of the F-statistics are shown. We estimate equations (3), (4), (10) and (11) with ordinary least squares and, when appropriate, with bidderspecific fixed effects. We run additional regressions with intra-bidder dispersion, the quantities demanded by bidders and the profits and measures for award concentration as the dependent variable, respectively. Finally, we test the predictions for the slopes of the bidder-specific demand schedules. As reliable secondary market prices for the first part of our sample are lacking, we use a subsample of price auctions (44 auctions from February 2001 to May 2006) for our estimations. We find that most of the coefficients have the expected sign and are significant. We also find that the bidderspecific fixed effects are significant. The explanatory power of the regressions is low. R-squared lies between 1.7 and 10.3% and is roughly in line with Nyborg et al. (2002). Table 2 and table 3 present the estimation results for bid shading. Table 2 includes the estimation results when we use bidder-specific bid shading as the dependent variable. Each of the regressions in this table is estimated with bidder-specific fixed effects. 13 As expected, uncertainty has a positive effect on bid shading. A 1% increase in price volatility results in an increase in the above defined discount measure by 0.26% of the face value (column 1). Auction size is included to control for capacity-constrained bidders. We obtain a negative estimated coefficient for auction size, which means that bidders shade their bids to a lesser extent when a larger quantity is offered. The economic effect of the auction size is small, however. A EUR 1 billion increase in auction size reduces the discount by 0.0026%. This result indi- 13 We do not report the results obtained from estimations without bidder-specific fixed effects as there are no differences to the results obtained when using specifications including bidder-specific fixed effects. ◊ Monetary Policy & the Economy Q2/07 Table 3 Estimation Results with Average Bid Shading as Dependent Variable \| \| 0.0014 \| \| \| – \| 0.0204 \| \| – \| 0.2531 \| \| – \| 0.4680 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| (0.62) \| \| 00 \| \| (1.32) \| 00 \| ( \| 0.31) \| 00 \| ( \| 0.56) \| 00 \| \| \| 0.2334 \| \| \| \| 0.3822 \| \| \| \| \| \| \| \| \| \| (0.71) \| \| 00 \| \| (1.12) \| 00 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 0.5290 \| \| \| 0.0995 \| \| \| \| \| \| \| \| \| \| ( \| 0.65) \| 00 \| \| (0.11) \| 00 \| \| – \| 0.0025 \| \| \| – \| 0.0032 \| \| \| \| \| – \| 0.1439 \| \| \| \| (1.28) \| \| 00 \| \| (1.61) \| 00 \| \| \| \| \| (1.15) \| 00 \| \| \| \| \| \| \| 0.0010 \| \| \| 0.0067 \| \| \| 0.0238 \| \| \| \| \| \| \| \| (1.43) \| 00 \| \| (0.18) \| 00 \| \| (0.61) \| 00 \| \| 4 \| 4 \| .0025 \| \| 4 \| 4.0025 \| \| 4 \| 1.0025 \| \| 4 \| 1.0025 \| \| \| \| 0.0585 \| \| \| \| 0.1040 \| \| \| 0.0127 \| \| \| 0.0469 \| \| Source: Authors' calculations based on OeKB data. Note: Table 3 presents the estimation results obtained with average bid shading as the dependent variable. Column 1 presents the basic specification of NRS (= Nyborg et al., 2002) with uncertainty and auction size as the independent variables; column 2 extends the specification presented in column 1 by the number of bidders. Column 3 presents the basic specification of Hortaçsu (2002) with uncertainty and the number of bidders as the independent variables; column 4 extends the specification presented in column 3 by auction size. Absolute values of t-statistics are shown in parentheses below the parameter estimates. cates that the aggregate demand function is highly elastic. number of bidders and negative coefficients for auction size. Hortaçsu (2002) obtains similar results but also suggests adding a term for the interaction of the number of bidders and shortfall, i.e. the ratio of total supply to total demand, to the regression equation. If bidders have to meet reserve requirements, participation in an auction might depend on the shortfall. We test such a specification for our dataset and find no evidence for this claim. The results obtained when using the definitions by Hortaçsu (2002) are poorer than those obtained when using the definitions by Nyborg et al. (2002). The estimated coefficients – presented in columns 3 and 4 (table 2) – show larger standard errors and a lower explained variance. Nevertheless, the estimated coefficients of uncertainty, auction size and the number of bidders are in line with the specifications presented in columns 1 and 2 (table 2). We observe positive coefficients for uncertainty and the When we add the number of bidders to the regression equation, the estimated coefficients of uncertainty and of auction size change only slightly and remain significant (table 2, column 2). The estimated coefficient of the number of bidders, however, does not have the expected sign. It is positive, i.e. the more bidders participate in an auction, the higher the bid shading will be. As previously argued, theoretical considerations predict the contrary. Monetary Policy & the Economy Q2/07 Table 3 includes the estimation results obtained when we use average bid shading as the dependent variable. We estimate the same specifications as presented in table 2 and find the same results as before but as the number of observations is low, the significance of the estimated coefficients is poor. We also find that the explanatory power of our regressions is again rather low. We obtain R-squareds between 1.3% and 10.4%. As there are no qualitative differences between the estimated coefficients of the chosen specification and the specification in which we use bidder-specific bid Table 4 \| – \| 0.0691 \| \| .. \| \| 0.058 \| \| 8.. \| \| –2.1936 \| \| .. \| \| 0.1643 \| .. \| \| 0.3255 \| \| \| .. \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| (1.94) \| \| \| \| (1.01) \| \| \| \| (4.84)** \| \| \| ( \| 0.77) \| \| \| (0.50) \| \| . \| \| \| \| 2.4357 \| \| .. \| \| –1.003 \| \| 7.. \| \| 41.3303 \| \| .. \| 1 \| 3.9587 \| .. \| \| \| \| \| \| \| \| (3.11)* \| \| \| \| (0.78) \| \| \| (4.17)* \| \| \| \| \| (2.95)* \| ** \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 5.2474.. (8.37)** \| \| \| \| \| \| – \| 0.0070 \| \| .. \| \| 0.067 \| \| 0.. \| – \| 0.2361 \| \| .. \| – \| 0.0990 \| .. \| \| \| \| \| \| \| \| (1.55) \| \| \| (9.03)* \| \| \| \| \| (3.82)* \| \| \| ( \| 3.55)*** \| \| \| \| \| \| \| \| \| 0.0051 \| \| .. \| \| 0.000 \| \| 1.. \| \| 0.0950 \| \| .. \| \| 0.0017 \| .. \| – \| 0.0262 \| \| \| .. \| \| \| (3.23) \| \| \| \| (0.04) \| \| \| (4.72)* \| \| \| \| \| (0.18)* \| \| \| (0.92) \| \| \| \| \| yes \| \| \| \| yes \| \| \| \| yes \| \| \| \| no \| \| \| yes \| \| \| \| \| \| \| \| \| es \| \| \| \| yes \| \| \| \| es \| \| \| \| \| \| \| yes \| \| \| \| (5.39)* \| \| \| (2 \| 2.57)* \| \| \| \| (0.98) \| \| \| \| \| \| ( \| 25.88)* \| \| \| \| \| 9 \| 22 \| .0187.. \| \| 9 \| 95 \| .0187.. \| \| 5 \| 19 \| .0187.. \| \| 4 \| 4.0187.. \| \| 7 \| 54 \| .0187.. \| \| \| \| \| 0.0187 \| \| .. \| \| 0.088 \| \| 3.. \| \| 0.0765 \| \| .. \| \| 0.3613 \| .. \| \| 0.0886 \| \| \| .. \| Source: Authors' calculations based on OeKB data. Note: Table 4 presents the estimation results obtained when using intra-bidder dispersion, the quantity demanded by bidders, profits and the logarithm of the absolute value of the slopes of the bidder-specific demand schedules as the dependent variables. Columns 1 to 3 present the extended specification introduced in NRS (= Nyborg et al., 2002) with uncertainty, auction size and the number of bidders as the dependent variables. Column 4 presents the specification of Hortaçsu (2002) with uncertainty and the number of bidders as the independent variables. Absolute values of t-statistics are shown in parentheses below the parameter estimates. For the bidder-specific fixed effects, the values of the F-statistics are shown. shading as the dependent variable, we do not comment on these results any further. According to the theoretical predictions discussed in section 3, an increase in uncertainty goes along with an increase in the dispersion of bids (table 4, column 1). A larger auction size entails a lower dispersion, and a larger number of bidders leads to a broader dispersion. Although insignificant, an increase in uncertainty Table 4 presents further estimation results using intra-bidder dispersion, the quantity demanded, profits, a measure for award concentration and the logarithm of the absolute value of the slopes of bidder-specific demand schedules as the dependent variable. As before, the explanatory power of these results lies within the range of 2% to 9%. Only the explanatory power of the regression for award concentration is rather high with an R-squared of 34%. implies an increase in the quantity demanded by bidders (table 4, column 2). Auction size and the number of bidders have a positive effect on the quantities demanded. The results we report in column 2 are obtained using absolute quantities demanded by bidders as the dependent variable. When we use the relative quantity demanded by bidders, we observe similar results – with the only difference that the coefficient of auction size is then negative. Hence, absolute demand increases less strongly than auction size, which means that relative demand decreases. Profits are positively influenced by uncertainty and the number of bidders and negatively influenced by auction size (table 4, column 3). These results reflect the results we obtain for bid shading (column 1 in table 2). Award concentration increases with uncertainty (table 4, column 4). This might indicate that bidders' strategic reactions ◊ Monetary Policy & the Economy Q2/07 to uncertainty vary. When uncertainty is high, some bidders may bid more cautiously than other bidders. The bidders who do not react in such a pronounced manner are most likely larger banks. A second observation is that award concentration decreases with auction size. The number of bidders has no significant effect on award concentration. The results for the slopes of the bidder-specific demand schedules are displayed in column 5 (table 4). We obtain a positive and significant effect of uncertainty and no effect of the number of bidders in contrast to the predictions of Hortaçsu (2002) but in line with his estimation results. 5 Summary and Concluding Remarks In this study, we analyze the bidding behavior in Austrian Treasury bond auctions, which are discriminatory auctions that are characterized by a pay-as-bid principle. The winning bidders pay the amount they submitted as bids. Auction theory predicts that rational bidders shade their bids and that the amount of bid shading varies with the uncertainty that exists in the bond market, the number of participating bidders and the volume of bond issues. Beyond bid shading, bidders in bond auctions have additional means to react to market conditions, such as adjusting the total quantity demanded and the dispersion of their bids. We investigate how bidders in Austrian Treasury auctions adjust their strategies to the varying uncertainty in the bond market, to the different number of participating bidders and to changes in the volume of bond issues. Our dataset contains all bids submitted by each bidder as well as the awards won in 137 Austrian Treasury auctions from Febru- Monetary Policy & the Economy Q2/07 ary 1991 to May 2006. For technical reasons, we have to restrict the sample to the 44 price auctions from February 2001 to May 2006 in our estimations. For our regressions, we use different measures for bid shading and uncertainty. The results obtained when using the definitions by Hortaçsu (2002) are similar but qualitatively poorer than those obtained when using the definitions by Nyborg et al. (2002). A possible reason for this phenomenon might be that some of the assumptions put forward in Hortaçsu (2002) may not be applica- The estimation results are in line with those presented in Nyborg et al. (2002) and Hortaçsu (2002). We find that the main driving force behind bid shading, intra-bidder dispersion, profits, and award concentration is uncertainty in the bond market. Only the quantity demanded does not react to bond market uncertainties. The fact that award concentration increases with uncertainty, in particular, indicates that asymmetries across bidders play an important role analyzing the strategic behavior of bidders. A future research task would therefore be to consider asymmetric auction models. Other variables that we investigated in the present study are auction size and the number of bidders. The effects of these two variables are very often significant, but do not always carry the expected sign. Auction size has a negative effect on bid shading, on intra-bidder dispersion, on the relative quantity demanded by bidders and on profits and award concentration and a positive effect on the absolute quantity demanded by bidders. Unexpectedly, the number of bidders has a positive effect on all strategic variables available for bidders. ble to Austrian Treasury auctions. We are therefore inclined to interpret the better results we obtain for the chosen specifications – in line with Nyborg et al. (2002) – as evidence for winner's curse and champion's plague, respectively. The explanatory power of the proposed regressions is low, but this is again in line with Nyborg et al. (2002) and Hortaçsu (2002). Overall, our results indicate that the com- mon value aspect seems to be prevalent in Austrian Treasury auctions and that asymmetries across bidders should not be neglected when analyzing Treasury auctions. To further decompose bid shading into an effect caused by uncertainties in the bond market and an effect that depends on the respective auction mechanism, a structural bidding model would have to be estimated, which remains a task for future research. References Ausubel, L. M. 2004. An Efficient Ascending-bid Auction for Multiple Objects. In: American Economic Review 94(5). 1452–1475. Back, K. and J. F. Zender. 1993. Auctions of Divisible Goods: On the Rationale for the Treasury Experiment. In: Review of Financial Studies 6. 733–764. Bjonnes, G, 2001. Winner's Curse in Discriminatory Price Auctions: Evidence from the Norwegian Treasury Bill Auctions. SIFR Research Report Series 3, Swedish Institute for Financial Research. Cammack, E. B. 1991. Evidence on Bidding Strategies and the Information in Treasury Bill Auctions. In: The Journal of Political Economy 99(1). 100–130. Gordy, M. B. 1999. Hedging Winner's Curse with Multiple Bids: Evidence from the Portuguese Treasury Bill. In: The Review of Economics and Statistics. 81(3). 448–465. Hamao, Y. and N. Jegadeesh. 1998. An Analysis of Bidding in the Japanese Government Bond Auctions. In: The Journal of Finance 53(2). 755–772. Hortaçsu, A. 2002. Bidding Behavior in Divisible Good Auctions: Theory and Evidence from the Turkish Treasury Auction Market. Mimeo. Hortaçsu, A. 2006. Mechanism Choice and Strategic Bidding in Divisible Good Auctions: An Empirical Analysis of the Turkish Treasury Auction Market. Mimeo. Keloharju, M., K. Nyborg, and K. Rydqvist. 2005. Strategic Behaviour and Underpricing in Uniform Price Auctions: Evidence from Finnish Treasury Auctions. In: The Journal of Finance 60(4). 1865–1902. Krishna, V. 2002. Auction Theory. Academic Press. San Diego. Milgrom, P. R. and R. J. Weber. 1982. A Theory of Auctions and Competitive Bidding II. In: Econometrica 50. 1089–1122. Milgrom, P. R. and R. J. Weber. 2000. A Theory of Auctions and Competitive Bidding II. In: Paul Klemperer (ed.): The Economic Theory of Auctions, Edward Elgar. 179–194. Nyborg, K. G., K. Rydqvist and S. M. Sundaresan. 2002. Bidder Behavior in Multiunit Auctions: Evidence from Swedish Treasury Auctions. In: Journal of Political Economy 110(2). 394–424. Oesterreichische Kontrollbank AG. 2007. Das Auktionsverfahren für österreichische Bundesanleihen. Sundaresan, S. 1994. An Empirical Analysis of U.S. Treasury Auctions: Implications for Auction and Term Structure Theories. In: Journal of Fixed Income. 35–50. ◊ Monetary Policy & the Economy Q2/07 Umlauf, S. R. 1993. An Empirical Study of the Mexican Treasury Bill Auction. In: Journal of Financial Economics 33(3). 313–340. Wang, J. D. and J. F. Zender. 1998. Auctioning Divisible Goods. Manuscript, University of Utah. Wilson, R. 1979. Auctions of Shares. In: Quarterly Journal of Economics 94. 675–689. Monetary Policy & the Economy Q2/07
Background Documents on Risk Assessment in Engineering Document #5 Optimization with a LQI Acceptance Criterion JCSS Joint Committee of Structural Safety Date: November 2008 JCSS author: Rüdiger Rackwitz, Technical University Munich Optimization with a LQI Acceptance Criterion H. Streicher and R. Rackwitz Draft, February 2006 1. Introduction This example collection covers some typical applications in structural reliability and discusses several important aspects. It is meant to be the basis by example applications for practicable acceptance criteria for structural codes. The first three examples show the influence of the interest rates in an optimization for the public or the owner, the optimal and acceptable solutions for different cost values and the importance of the coefficient of variation of the resistance and load variables. Especially in the first two examples a number of parameter studies are performed. The next example deals with the realistic design for the buckling of a reinforced concrete column. Two examples for the optimal design under reliability constraints for different load combinations of intermittent load processes will be evaluated. Finally, an example from earthquake engineering is included. The obective functions are based on a systematic recontruction policy and a constant benefit rate. Optimization is carried out by the methods described in [9] but other methods are also possible. All LQI considerations are based on [6] . Usually, the LQI-criterion is added to the cost-benefit optimization task as a constraint. In [6] it is shown that the LQI-criterion requires with p a vector of design parameters. Using dF (x) = f(x)dx one again solves this equation as an optimization task because eq. (1) is the first-order optimality condition of eq. (2) if no cost-benefit optimization is performed. From [6] one concludes that the ''societal value of a statistical life'' is Gx = g q C x where ''x'' stands for the particular mortality reduction scheme. For constant mortality reductions ∆, a European population with GDP ≈ 25000 PPPUS$(year 2000), the part available for risk reduction g ≈ 17500 PPPUS$ and q ≈ 0.15, C ≈ 45 and G ≈ 5Mill US$ if no discounting and no ageaveraging. If discounting and age-averaging is performed it is Cd∆ ≈ 16 and Gd∆ ≈ 1.9Mill US$ if discounting and age-averaging is performed and constant mortality reductions are envisaged by a safety measure. These values then enable to compute the societal willingness-to-pay to save a statistical life by SWTP = g q C x dm . The examples have taken from several sources but many of them are contained in a collection of examples in [2] . Therefore, some variations in important parameters, especially for the LQIacceptability criterion, remain. 2. Example 1: Resistance-demand problem The example has already been given in [5] and in [7] in somewhat different form and with different parameters. A single-mode system is considered where failure is defined if a random resistance or capacity is exceeded by a random demand. The demand is modelled as a one-dimensional, stationary marked Poissonian pulse process of disturbances (earthquakes, wind storms, explosions, etc.) with stationary renewal rate λ and random, independent sizes of the disturbances Si, i = 1, 2, ..... The disturbances are assumed to be short as compared to their mean interarrival times. We study normally distributed and log-normally resistance and disturbances. The resistance has mean p and a coefficient of variation VR. The disturbances are independent and have mean equal to unity and coefficient of variation VS so that p can be interpreted as central safety factor. p is taken as the only optimization parameter. For failure once a disturbance occurs with normally distributed variables we have: In this model both resistances and disturbances can have negative values which usually is incorrect from a physical point of view. Therefore, we truncate the distributions at zero and a more complicated formula for the failure probability results: For the log-normal case we have: An appropriate objective function for systematic reconstruction which will be maximized, is then given by where C(p) = C0 + C1 p a and HM the initial material cost. The acceptability criterion can be written as The parameter assumptions are: C0 = 10 6 , C1 = 10 4 , a = 1.25, HM = 3 C0, VR = 0.2, VS = 0.3 and λ = 1 [1/year]. The LQI-data are e = 77, g = 25000, C∆ = 25, q = 0.16, kNP E = 10 so that HF ≈ 7 · 10 6 and G∆(ρ, δ) ≈ 5 · 10 6 . Monetary values are in US$. Optimization will first be performed for the public. Therefore, compensation cost are included in the objective function. The benefit rate is b = 0.02 C0 and the interest rate is γ = 0.0185. For the failure probability model eq. (3) one finds the optimum for p ∗ = 5.54 and a limiting value of plim = 3.86. If one uses the model in eq. (4) the optimum is at p ∗ = 3.00 and the limiting criterion eq. (7) results in plim = 2.49. Finally, for the model in eq. (5) the optimum is at p ∗ = 4.40 and has a limit of plim = 3.45. The three objective functions are shown in figure 1. One concludes from this study that the stochastic models for the failure function must be as realistic as possible. All subsequent investigations are based on log-normal distributions. The influence of the cost C1 on the optimal and acceptable solution is shown in figure 2, where C1 varies from 1000.0 to 100000.0 and the corresponding optimal and acceptable failure rates are given. For C1 > 12000 the objective function Z(p ∗ ) is negative. The optimal solution is acceptable for all cost values C1. It is most important to ensure that all necessary investments into life saving in order to guarantee the safety for human life and limb are done and the resulting failure rate of a technical facility is acceptable . This is already fulfilled if the acceptability criterion derived from the LQI is fulfilled. The owner uses some typical value b = 0.07 · C0. Compensation cost (Life saving cost) are not included in the optimization. The objective of the owner is in general to maximize the benefit from an investment. Therefore, he uses a higher interest rate ζ = γ owner given by the financial market. But he is still bound to build safe structures. This is only guaranteed if the LQI-criterion which may includes the ratio ζ/γ public of the economic and the public interest rate γ public given by the characteristics of a society is fulfilled. The corresponding failure rates of the optimization for various interest rates γ owner are given in figure 3 with kNF = 50. In general for a long period the ratio ζ/γ public is or is close to 1. For shorter service times or credit periods a different value is possible. Therefore, the acceptable failure rate is shown in figure 8 for ζ/γ public = 0.7, ζ/γ public = 1.0 and ζ/γ public = 1.3. It can be seen, that the LQI-criterion (7) becomes active for increasing interest rates γ owner depending on the ratio ζ/γ public . In that case the owner must use the acceptable solution. Further calculations show, that for kNF > 50 the LQI-criterion becomes permanently active. kNF < 50 makes the optimal solution always acceptable. For the standard case the ratio H/C0 is varied between 1 and 10 in figure 4, a range which covers most applications. It is seen that increasing H by an order of magnitude decreases the optimal failure rate by roughly half an order of magnitude. 10 This example also allows to derive risk-consequence curves by varying the number of fatalities in an event. With the same data as before but SLSC = 7 · 10 5 and Gx(ρ, δ) = 4 · 10 6 for NF = 1 we first vary the cost effectiveness of the safety measure (see figure 5). Here, only the ratio C1/C0 is changed. The upper bounds (solid lines) are derived from eq. (7) and the lower bounds (dashed lines) corresponds to the societal optimum according to eq. (6) (bS = 0.02C0, γ S = 0.0185). NF Figure 5: Acceptable failure rate over number of fatalities for different C1/C0 for first example. Dashed lines correspond to optimal solution for the public. Most realistic is probably a ratio of C1/C0 = 0.001. The failure rate of approximately 10 − 4 per year for NF = 1 corresponds well with the ''controllable'' crude mortality of the same magnitude. Some more discussion is provided in the next example. 3. Example 2: Resistance-demand problem - variable discounting The same failure model as in example 1 (eq. (5)) is used with variable discounting. An appropriate objective function then is: with Here, we use the exact computation formula for g(t, p) and not the approximation proposed in [7] . In eq. (8) the first term is the benefit derived from the existence of the facility. A constant benefit rate b is assumed and a time-depending discount rate γ(t). The second term is the erection cost where C0 is the constant part and C1p a the part depending on the design parameter p. The third term are the damage cost. Because systematic reconstruction is chosen the cost term includes reconstruction cost, cost HM due to physical damage, and the compensation cost for human lives HF . Reconstruction times are assumed negligibly small. The details are discussed in [7] . The acceptability criterion has the form: Some more or less realistic, typical parameter assumptions are: C0 = 10 6 , C1 = 10 4 , a = 1.25, HM = 3 · C0, VR = 0.2, VS = 0.3, b = 0.05C0 and λ = 1 [1/year] . A constant benefit rate of b = 0.05C0 is chosen. The LQI-data is e = 77, GDP = 25000, g = 17500, q = 0.15. Also there is NPE = 100,k = 0.1 so that HF = SLSC kNPE = 5.4 · 10 6 and G∆kNP E = 5.0 · 10 7 , respectively. The value of NPE is chosen relatively large for demonstration purposes. Also, the values of HF and G∆kNP E are conservatively chosen. Monetary values are in US$. From eq. (8) one concludes that there is a maximum discount rate in order to render it positive. Projects whose objective is negative at the optimum do not make sense. Keeping ²δ = 0.02 constant one can determine the maximum time preference rate from which is ρ max = 0.035. Performing the optimization with the (maximum) discount rate ρ max gives popt = 4.04 (r(popt) = 3.0 · 10 − 5 ) leaving the objective function positive but close to zero. Criterion (12) requires plim = 3.61 (r(plim) = 1.1 · 10 − 4 ). It is interesting to see that in this case one can do better in adopting the optimal solution rather than just realizing the facility at its acceptability limit (see fig. 6). If, however, compensation cost are omitted from eq. (8) then criterion (12) is situated very close to the optimum. Increasing the discount rate moves the optimum insignificantly to the left. 10 discount rates (solid line: with compensation cost, dashed line: without compensation cost) For smaller ρ (or larger benefit rate) the maximum of the objective function (with compensation cost) is well above zero as shown in fig. 6 (dotted line). The location of the optimum varies very little with the discount rate ρ as shown in fig. 7. a Figure 7: Location of optimum as a function of ρ The stochastic model and the variability of capacity and demand also play an important role for the magnitude and location of the optimum as well as on the position of the acceptability limit. The specific marginal cost (rate of change) of a safety measure and its effect on a reduction of the failure rate are equally important as pointed out already in [5] . This is shown in fig. 8 where the acceptable failure rates are plotted over the parameters C1 and VR for G∆¯ ` kNPE = 5.0 · 10 6 ,i.e. kNP E = 1, and C0 = 10 6 . This example also allows to vary the upper value m in eq. (9). It gives an impression about the effect to consider only a limited number of reconstructions on the optimum. As seen in figure 9, the effect can be remarkable. For this example risk-consequence curves can also be computed by varying the number of fatalities in an event. For the same data as before we first vary the cost effectiveness of the safety measure. Only the ratio C1/C0 is changed. The upper bounds (solid lines) are derived from eq. (12). The lower bounds (dashed lines) correspond to the optimum according to eq. (8) (see left hand side of fig. 10). ρ max also must vary (decrease) with the failure consequences (number of fatalities NF ) for a given ratio C1/C0. This is taken into account on the right hand side of fig. 10 indicating that the area between solid and dashed lines broadens for very high failure consequences. Again, normal structures have a ratio of around C1/C0 = 0.001. A ratio of C1/C0 = 0.01 or higher may apply for earthquake resistant structures. Note that in these figures the failure rate is given by λPf and the number of fatalities is given by NF = kNPE. Therefore, these figures cover the full range of λ and Pf and k and NPE, respectively. The curves in fig. 10 are not classical F-Ncurves seen frequently in the literature where the exceedance probability instead of the failure rate is plotted over the number of fatalities. The acceptable risk-consequence curves show an almost perfect dependence of the type racc(NF ) = K NF with K = 10 − 3 (case with large variabilities and/or costly safety measures), 10 − 4 (standard case) and, may be, 10 − 5 (for small variabilities and inexpensive safety measures). Reasonable variations in the other parameters change these constants at most by a factor of 2 to 4 as seen from fig. 11 where the extremes of the demographic constant are shown. In particular, using G∆¯ ` = 1.9Mill PPPUS$ would move the curves in fig. 11 upwards be a factor of 3. The demographic constant Cx ≈ 15 corresponds to discounted life expectancies with age-averaging. Cx ≈ 60 corresponds to very old populations without any discounting and age-averaging. The curves also indicate that larger GDP's lead to smaller acceptable risks and larger q's can diminish them. 4. Example 3: Bending of a rectangular reinforced concrete beam The benefit b derived from the structure and the interest rate γ vary with respect to the publics and the owners interest. An appropriate objective function for systematic reconstruction and stationary Poissonian disturbances is already given by eq. (6). C(p) = C0 + (400 [CU/m 3 ] · w · d + 1000 [CU/m 3 ] · as) · 5 [m] are the construction cost with C0 = 1000 and the reinforcement area as [cm 2 ], width w [cm] and effective depth d [cm] of the cross section. Two constraints are defined on the design parameter (as, w, d): a maximum allowable reinforcement area as ≤ 4% w · d and a lower bound for the cross-sectional area w · d ≥ 0.01 [m 2 ]. The stochastic characteristics of the random variables are given by \| Variable \| Distr. \| \|---\|---\| \| Yield stress T £ N ¤ s mm2 \| N \| \| Conc. strength T £ N ¤ c mm2 \| LN \| \| Appl. bend. mom. M [MNm] b \| Gumbel \| \| Model uncert. K [ ] − \| Rect. \| The limit state function is determined by the simplified model − and the acceptability criterion by Optimization will first be performed for the public. The interest rate γ = 0.018 and the benefit b = 0.02C0 = 20 are chosen. The optimal solution is then (a ∗ s , w ∗ , d ∗ ) = (14 . 45 , 15 . 0 , 24 . 09) , the corresponding failure rate 2.51·10 − 7 and Z(p ∗ ) = 30.34. The LQI-criterion (15) is already fulfilled for (a ∗ s,lim , w ∗ lim , d ∗ lim ) = (13 . 41 , 15 . 0 , 22 . 37) with failure rate 1 . 55 · 10 − 5 and Z ( p ∗ lim ) = − 42 . 0 . It is interesting to note that for kNF = 1 the limiting failure rate is one order of magnitude higher. Here, the optimization for the public gives also a more economic result than the acceptable solution and is preferable. In this example the life saving cost (compensation cost) HF dominate the optimization compared to the low cost HM and low marginal cost C1. Therefore, the solution is sensitive to the value of the parameter kNPE. This is demostrated in figure 12. If a large number of fatalities is expected the acceptable failure rate decreases. This is, however, not very likely because failure of under-reinforced beams is ductile and associated with distinct warnings by large deflections. The LQI-data are e = 77, g = 25010, C ∆` = 16, q = 0.16, kNP E = 0.1, λ = 1[1/year] and therefore HF = 88000 and G∆¯ `kNPE = 1.9 · 10 5 . The direct material damage cost are HM = 3 · C0 = 3000. kNF = 0.1 < 1 takes account of the fact, that failure is ductile. For a maximum admissible interest rate ([4] ) γ max = 0.0185 the objective function is about Z(p ∗ ) ≈ 0 with (a ∗ s , w ∗ , d ∗ ) = (14 . 44 , 15 . 0 , 24 . 07) . If γ max is chosen the benefit derived from a structure is balanced against all cost including initial, life saving and maintenance cost, which is preferable from a society's point of view. The objective of the owner is in general to benefit from an investment. Typical values are then b = 0.07 · C0 = 70 and γ = 0.05. The optimization yields without including failure cost to (a ∗ s , w ∗ , d ∗ ) = (13 . 37 , 15 . 0 , 22 . 29) , a corresponding failure rate of 1.86 · 10 − 5 and Z(p ∗ ) = 324.9. But the criterion (15) is not fulfilled. Therefore, the solution is not acceptable. It requires at least (a ∗ s,lim , w ∗ lim , d ∗ lim ) = (13 . 41 , 15 . 0 , 22 . 37) with failure rate 1.55 · 10 − 5 and Z(p ∗ lim ) = 324 . 7 . It can be seen, that in this example the optimal solution for the public gives a more economic result than the limit point derived from criterion (15) which is not active. The example is one where it is comparatively cheap to improve safety. 5. Example 4: Slender steel column The next example is a steel column with I-section and flange breadth µ b , flange thickness µ d and height of steel profile µ h . The design parameter µ d and µ h will be changed in the cost optimization. They are mean values of appropriate stochastic variables. The objective function for systematic reconstruction and a stationary Poissonian renewal process of disturbances is given in eq. (6). C(p) = C0 + C1 (2µ b µ d + 10µ h ) s 10 − 9 are the construction cost of the steel column with length s = 9500 [mm], initial cost C0 = 10000 [CU] and C1 = 10000 [CU/m 3 ]. λ = 10.1 [1/year] is a stationary renewal rate. The stochastic characteristics of the random variables are given by \| Stochastic variable \| Distr. \| \|---\|---\| \| Yield stress F £ N ¤ S mm2 \| N \| \| Load P =P [N] 1 2 \| N \| \| Load P [N] 3 \| LN \| \| Web thickness t [mm] \| N \| \| Flange Breadth B [mm] \| LN \| \| Flange Thickness D [mm] \| LN \| \| Height of profile H [mm] \| LN \| \| Initial deflection F [mm] 0 \| N \| \| Youngs Modulus E£ N ¤ mm2 \| N \| 0 Youngs Modulus E £ N mm where the mean value mF0 of F0 is defined by ¤ and σF0 = 0.3 · mF0 . The limit state function for failure due to instability can be written approximately as where the auxiliary functions are defined by P = P 1 P 2 P 3 AS = 2BD (area of section) + + MS = BDH (modulus of section) Mi = 1 2 BDH 2 (moment of inertia) ² 2 b π EM 2 i s = (Euler buckling load) The acceptability criterion is given in eq. (15) and the LQI-data are e = 77, g = 25010, C ∆` = 16, q = 0.16, kNPE = 1, and therefore HF = 8.8 · 10 5 and G∆¯ ` kNP E = 1.9 · 10 6 . The direct cost are HM = 3 · C0 = 30000. The objective function Z(p) including the cost HF for the public with b = 200 and γ = 0.0172 is shown in figure 13. An optimal curve can be found with respect to µ d and µ h (see figure 13). The LQI criterion is not active in an optimization for the public. The corresponding failure rates are between 2.8 · 10 − 7 for µ d = 18.0, µ h = 421.9, Zmax(p) = 186 and 1.9 · 10 − 7 for µ d = 22.0, µ h = 333.5, Zmax(p) = 46.95. Additionally optimization for the owner is done in figure 14 with benefit b = 700 and interest rate γ owner = 0.06. The curve is unacceptable compared with the solution derived from the LQIcriterion (15) if µ d < 18.04 or µ h > 355.9. Then, the owner must observe the acceptability criterion. 6. Example 5: Reinforced concrete column This example is based on a detailed study in [3] . According to the design rules of Eurocode 1 and 2 the buckling of a reinforced concrete column of a multi-story building given in figure 15 is considered. The design parameter is the reinforcement area As of the square shape b × h of the column cross section. As should satisfy the condition 0.003 b h < As < 0.08 b h. The limit state function is expressed as the difference between the resistance bending moment MR and the actual bending moment M about the cross section centre where the model uncertainties ξ R and ξ E are normally distributed with mean 1.1 and 1.0 respectively and coefficient of variation V = 0.1. The axial force N of the column is considered as the following sum of the single axial forces: where NW is the axial force due to self weight, Nimp is the axial force due to imposed load and NW ind is the axial force due to wind action (positive values are accepted for compressive forces). The values are calculated as where ρ c is the weight of the concrete per unit volume and n is the number of storeys with height hs = 3 m above the considered column. The imposed load from n storeys is where pimp is given as sum of long term pl and short term ps imposed load. NWind is given as where L is the height of the column, Cp the shape factor, G the gust factor and pwind the wind pressure. The first order bending moment M0 at the bottom of the column is assumed to be caused only by wind action and is approximately given as The actual bending moment M is then determined by where ea = ζL/2 is the additional eccentricity taking into account geometric imperfections with initial sway ζ. The second order eccentricity e2 taking into account deformations of the column is given as where E = 200000 N/mm 2 is the modulus of elasticity and d1 the distance of the reinforcing bars from the edge. The factor K1 is calculated as with λ=L/h/3. 4641. K 2 is given by where the ultimate capacity Nu of the cross section is with α as a reduction factor taking account of long term effects on the compressive strength, Fc the concrete strength and Fs the yield strength. The balanced axial force which maximizes the ultimate moment of the cross section is taken for symmetrical reinforcement as The limit state function is then given using a simplified formula: where d1, d2 is the distance of the reinforcing bars from the edge. This mechanical model is in various ways an approximation which, however, is fully sufficient \| Stochastic variable \| Distr. \| \|---\|---\| \| Concrete strength F £ N ¤ c mm2 \| LN \| \| Yield strength F £ N ¤ S mm2 \| LN \| \| Reduct. Factor α \| Rect. \| \| Width of section b[m] \| N \| \| Height of section h[m] \| N \| \| Distance of bars d , d [m] 1 2 \| N \| \| Initial Sway ζ [rad] \| N \| \| Model Uncert. load ξ [ ] E − \| N \| \| Model Uncert. Resist. ξ [ ] R − \| N \| \| Weight ρ £MN¤ c m2 \| N \| \| Shape factor C [ −] p \| N \| \| Gust factor G [ ] − \| GUM \| A detailed description of all random variables can be found in [3] . The loads are modelled as rectangular wave renewal processes with Gumbel distribution for the amplitudes. It is distinguished between wind pressure with mean 0.00035 [MN/m 2 ], standard deviation 0.00006 and jump rate λ = 10 [year], long term imposed load with mean 0.0006 [MN/m 2 ], standard deviation corresponding to the random point-in time distribution and jump rate λ = 1/7 [1/year] and short term imposed load with mean 0.0002 [MN/m 2 ], standard deviation corresponding to the distribution of 24 hours maximum and jump rate λ = n [1/year] (n = number of storeys). − An objective function for systematic reconstruction and Poissonian failures is where C(p) = C0 +(340 [CU/m 3 ] b h +5900 [CU/m 3 ] as) L [m] with C0 = 300 and L the length of the column. The cost H contains failure cost HF as well as cost HM for physical damage in case of failure. The acceptability criterion can be written as Optimization will be performed for the public with benefit b = 0.25 and interest rate γ = 0.0175. The LQI-data are the same as for the steel column example so that HF = 8.8 · 10 5 and G∆¯ ` kNP E = 1.9 · 10 6 for kNPE = 1.0. The cost HM for physical damage are set to HM = 0 and HM = 2.0 · 10 6 in two different optimization runs in order to express the influence on the optimal and acceptable result. The upper bound of the time variant failure probability in the stationary case is determined by Pf (p,t) = Pf (p, t1) + (t2 − t1)ν + (p). The equivalent beta values are derived from the upper bound solution. In the following table the optimal reinforcement area is calculated for various study cases, where the column length, the cross section, the transversal distance a1 and the longitudinal distance a2 to the surrounding columns and the number of storeys in the building is varied. A life \| Study case \| Distance a a 1 2 [m] [m] \| \| Cross section b h × [m×m] \| Optim. reinf. area A 104 s [m2] \| equ. beta value h i 1 50 years \| failure rate h i 1 year \| Optim. reinf. area A 104 s [m2] \| equ. beta value h i 1 50 years \| failure rate h i 1 year \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| H = 0 M \| \| \| H = 2.0 106 M · \| \| \| \| 1 \| 5 \| 5 \| 0.35×0.70 \| 9.18 \| 3.52 \| 3.9×10−6 \| 10.05 \| 3.63 \| 2.6×10−6 \| \| 2 \| 5 \| 5 \| 0.30×0.60 \| 5.33 \| 4.03 \| 5.2×10−7 \| 5.33 \| 4.03 \| 5.2×10−7 \| \| 3 \| 5 \| 5 \| 0.35×0.70 \| 26.34 \| 3.26 \| 9.6×10−6 \| 27.74 \| 3.38 \| 6.5×10−6 \| \| 4 \| 5 \| 5 \| 0.45×0.90 \| 25.96 \| 3.18 \| 1.3×10−5 \| 27.41 \| 3.30 \| 8.8×10−6 \| \| 5 \| 4 \| 5 \| 0.30×0.60 \| 17.0 \| 3.40 \| 6.1×10−6 \| 19.33 \| 3.55 \| 3.3×10−6 \| \| 6 \| 7 \| 5 \| 0.35×0.70 \| 7.31 \| 3.53 \| 3.7×10−6 \| 8.0 \| 3.61 \| 2.7×10−6 \| \| 7 \| 5 \| 4 \| 0.30×0.60 \| 12.84 \| 3.51 \| 3.9×10−6 \| 13.67 \| 3.62 \| 2.6×10−6 \| \| 8 \| 5 \| 7 \| 0.40×0.80 \| 9.56 \| 3.70 \| 1.9×10−6 \| 9.56 \| 3.70 \| 1.9×10−6 \| \| 9 \| 5 \| 5 \| 0.25×0.50 \| 9.03 \| 3.73 \| 1.7×10−6 \| 9.40 \| 3.83 \| 1.1×10−6 \| \| 10 \| 5 \| 5 \| 0.25×0.50 \| 12.95 \| 3.61 \| 3.1×10−6 \| 13.53 \| 3.71 \| 1.8×10−6 \| The length L [m] of the column is L2 = 3, L3 = 9, L4 = 12 and Li = 6 in all other cases. The number of storeys is 10, except for case 9 and 10 where it is 1 and 3, respectively. × × × In this example the LQI-criterion is active in all cases if the physical damage HM is not included. If HM = 2.0 · 10 6 the optimal result is safer and therefore acceptable . The LQI-criterion is not active. In case 2 and 8 the constraint on the minimal reinforcement area is dominant. The resulting reliability indices per 50 years are within a narrow range from 3.2 to 4.0. The optimization having regard to the acceptability criterion derived from the Life Quality Index produces a rather uniform safety level in all study cases. The corresponding failure rates are comparatively low. As pointed out in [3] the optimum failure rates achievable by a design according to EUROCODES are by at least an order of magnitude smaller. Remember that kNP E = 1 has been assumed which probably is unrealistically low. For this reason the effect of higher values of the number of fatalities NF = kNPE in study case 1 on the failure rate is shown in figure 16. The LQI-data are the same as before. The solid line is derived from eq. (19) and the dashed lines show the optimal results determined from eq. (18). The latter are calculated with the cost for physical damage HM = 2.0·10 6 and HM = 4.0 · 10 6 . The characteristics of the curves are the same as in the other study cases, if no additional constraint is active. As it can be seen the influence of the cost for physical damage diminishes with higer numbers of expected fatalities. The failure cost HF are dependent on NF whereas HM is a given value. Therefore, the ratio between HF and HM tends to HF with increasing NF and the optimal curves coincide. In this example the optimal solution is only acceptable for a small number of expected fatalities. With increasing NF the LQI-criterion becomes active. For HM = 2.0 · 10 6 the intersection between the optimal and the limit curves occurs already at NF ≈ 2. The limit derived from the LQI-criterion has to be taken for NF & 2.5. A higer value of damage cost in case of failure (HM = 4.0 · 10 6 ) forces the optimal solution towards acceptable failure rates until NF . 4.5. 7. Example 6: Slender steel column with combined loading and intermittencies The next example is a steel column with I-section and flange breadth µ b , flange thickness µ d and F F Figure 1: Risk-Consequence curves for various cost of physical damage in study case 1. Dashed lines correspond to optimal, the soild line to acceptable results. height of steel profile µ h . The design parameter µ d and µ h will be changed in the cost optimization. They are mean values of appropriate stochastic variables. The objective function for systematic reconstruction and a stationary Poissonian renewal process is again given by eq. (6). C(p) = C0 + C1 (2µ b µ d + t µ h ) s 8.2 ∗ 10 − 9 are the construction cost of the steel column with length s = 7500 [mm], initial cost C0 = 100 [CU ] and C1 = 850 [CU/m 3 ]. The stochastic characteristics of the random variables are given by \| Stochastic variable \| Distr. \| Mean/St.deviat. \| \|---\|---\|---\| \| Yield stress F £ N ¤ S mm2 \| N \| 500/25 \| \| Load P [N] D \| N \| 400000/4000 \| \| Load P [N] 1 \| N \| 800000/150000 \| \| Load P [N] 2 \| LN \| 800000/150000 \| \| Load P [N] 3 \| LN \| 800000/200000 \| \| Web thickness t [mm] \| N \| 10/0.5 \| \| Flange Breadth B [mm] \| LN \| µ = 300/0.1µ b b \| \| Flange Thickness D [mm] \| LN \| µ /0.1µ d d \| \| Height of profile H [mm] \| LN \| µ /0.1*µ h h \| \| Initial deflection F [mm] 0 \| N \| m /σ F0 F0 \| \| Youngs Modulus E£ N ¤ mm2 \| N \| 210000/4200 \| 0 Youngs Modulus E £ N mm where the mean value mF0 of F0 is defined by ¤ and σF0 = 0.3 · mF0 . The limit state function in case of stability can be written approximately as where the auxiliary functions are defined by Load P1 is modelled as stationary differentiable Gaussian process with autocorrelation function ρ ij (τ) = exp(−τ 2 ). The loads P2 and P3 are rectangular wave renewal processes with jump rates λ2 = 10.0 and λ3 = 1.0 [1/year]. Also this mechanical model is an approximation which, however, fully serves the purpose. The acceptability criterion is given by and the LQI-data are HF = 6.0 · 10 5 and G∆¯ ` kNPE = 1.9 · 10 6 (kNP E = 1). The direct cost are HM = 3 · C0 = 300. The objective function Z(p) includes the cost HF for the public with b = 200 and γ = 0.0172. The interarrival-duration intensities are given for the loads P1, P2 and P3 by ρ 1 = 0.01, ρ 2 = 1.0 and ρ 3 = 100.0. The results for an optimization of the height µ h of the profile as design parameter with given values µ d = 17.0 and µ b = 300 are The LQI-criterion is active at the optimal solution. Without including the LQI-criterion the results are \| Optimal µ h \| β : PD+ i \| P1 \| P2 \| P3 \| P1 \| P1 \| P2 \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| +P2 \| +P3 \| +P3 \| \| 348.6 \| 13.6 \| 7.7 \| 7.1 \| 6.2 \| 5.3 \| 4.94 \| 4.93 \| \| Coincidence \| 4.9 \| 4.9 \| 4.9 \| 4.9 \| 4.9 \| 4.9 \| 4.9 \| \| Prob. \| ×10−3 \| ×10−5 \| ×10−3 \| ×10−1 \| ×10−5 \| ×10−3 \| ×10−1 \| \| νoptimal i \| 0 \| 2.8 \| 5.1 \| 3.3 \| 7.4 \| 1.5 \| 4.5 \| \| \| \| ×10−14 \| ×10−12 \| ×10−10 \| ×10−7 \| ×10−6 \| ×10−6 \| \| Coinc. Prob. \| 0 \| 1.4 \| 2.5 \| 1.6 \| 3.6 \| 7.5 \| 2.2 \| \| νoptimal × i \| \| ×10−18 \| ×10−14 \| ×10−10 \| ×10−11 \| ×10−9 \| ×10−6 \| × × × × × × × × \| Optimal µ h \| β : PD+ i \| P1 \| P2 \| P3 \| P1 \| P1 \| P2 \| P1 + P2 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| +P2 \| +P3 \| +P3 \| +P3 \| \| 346.1 \| 13.5 \| 7.7 \| 7.1 \| 6.1 \| 5.3 \| 4.91 \| 4.90 \| 3.5 \| \| νoptimal i \| 0 \| 4.0 \| 6.7 \| 3.9 \| 9.1 \| 1.8 \| 5.3 \| 2.6 \| \| \| \| ×10−14 \| ×10−12 \| ×10−10 \| ×10−7 \| ×10−6 \| ×10−6 \| ×10−3 \| \| Coinc. Prob. \| 0 \| 2.0 \| 3.3 \| 1.9 \| 4.5 \| 8.8 \| 2.6 \| 1.3 \| \| νoptimal × i \| \| ×10−18 \| ×10−14 \| ×10−10 \| ×10−11 \| ×10−9 \| ×10−6 \| ×10−5 \| × × × × × × × × 8. Example 7: Reinforced concrete column under combined loading and intermitencies This example is also based on [3] . The design parameter is the reinforcement area As of the square shape b × h of the column cross section. As should satisfy the condition 0.003 b h < as < 0.08 b h. The limit state function is expressed as the difference between the resistance bending where the model uncertainties ξ R and ξ E are normally distributed with mean 1.1 and 1.0 respectively and coefficient of variation V = 0.1. Otherwise the same stochastic model for the strength parametes as in the foregoing reinforcement concrete column example is chosen. The loads are modelled as rectangular wave renewal processes with Gumbel distribution. It is distinguished between wind pressure with mean 0.00035 [MN/m 2 ], standard deviation 0.00006 and jump rate λ = 10 [year], long term imposed load with mean 0.0006 [MN/m 2 ], standard deviation corresponding to the random point-in time distribution and jump rate λ = 1/7 [1/year] and short term imposed load with mean 0.0002 [MN/m 2 ], standard deviation corresponding to the distribution of 24 hours maximum and jump rate λ = n [1/year] (n = number of storeys). The interarrival-duration intensities are given for the wind pressure PW , the long term imposed load PL and the short term imposed load PS by ρ W = 0.009, ρ L = 3.0 and ρ S = n/365. An objective function for systematic reconstruction and Poissonian failures is given by where C(p) = C0 +(125 [CU/m 3 ] b h +4001 [CU/m 3 ] As) L [m] with C0 = 300 and L the length of the column. The acceptability criterion can be written as 5p C(p) ≥−G∆¯ `kNPE 5p ¡ν + (p)¢ (24) Optimization will be performed for the public with benefit b = 0.25 and interest rate γ = 0.0175. The LQI-data are HF = 6.9 · 10 5 and G∆¯ `kNPE = 1.9 · 10 6 with kNPE = 1.0. The upper bound of the time variant failure probability in the stationary case is determined by Pf (p,t) = Pf (p,t1) + (t2 − t1)ν + (p). The equivalent beta values are derived from the upper bound solution. In the following table the optimal reinforcement area is calculated for various study cases, where the column length, the cross section, the distance to the surrounding columns and the number of storeys in the building is varied. A life time of 50 years is assumed. \| Stu- dy case \| Trans- versal dis tance [m] \| Longi- tudinal dis- tance [m] \| Cross section b h × [m m] × \| Optim. reinf. area A 104 s [m2] \| equ. beta value \| \|---\|---\|---\|---\|---\|---\| \| 1 \| 5 \| 5 \| 0.35 0.70 × \| 11.44 \| 3.62 \| \| 2 \| 5 \| 5 \| 0.30 0.60 × \| 6.7 \| 3.82 \| \| 3 \| 5 \| 5 \| 0.35 0.70 × \| 29.12 \| 3.38 \| \| 4 \| 5 \| 5 \| 0.45 0.90 × \| 27.29 \| 3.31 \| \| 5 \| 4 \| 5 \| 0.30 0.60 × \| 21.29 \| 3.49 \| \| 6 \| 7 \| 5 \| 0.35 0.70 × \| 9.86 \| 3.61 \| \| 7 \| 5 \| 4 \| 0.30 0.60 × \| 15.88 \| 3.61 \| \| 8 \| 5 \| 7 \| 0.40 0.80 × \| 9.69 \| 3.58 \| \| 9 \| 5 \| 5 \| 0.25 0.50 × \| 10.54 \| 3.8 \| × \| Study case \| β : PW, i PS, PL = 0 \| PS \| PL \| PW \| PS +PL \| PS +PW \| PL +PW \| PS +PL +PW \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 1 \| 9.86 \| 9.85 \| 9.34 \| 3.91 \| 9.27 \| 3.92 \| 4.00 \| 4.01 \| \| Coinc. \| 2.4 \| 7.2 \| 6.5 \| 2.2 \| 2.0 \| 6.5 \| 5.9 \| 1.8 \| \| Prob. \| ×10−1 \| ×10−1 \| ×10−3 \| ×10−3 \| ×10−2 \| ×10−3 \| ×10−5 \| ×10−4 \| \| νoptimal i \| 0 \| 3.4 \| 5.7 \| 4.6 \| 4.2 \| 4.4 \| 7.6 \| 3.1 \| \| \| \| ×10−22 \| ×10−24 \| ×10−6 \| ×10−22 \| ×10−4 \| ×10−6 \| ×10−4 \| \| Coinc. Prob. \| 0 \| 2.5 \| 3.7 \| 1.0 \| 8.2 \| 2.9 \| 4.5 \| 5.5 \| \| νoptimal × i \| \| ×10−22 \| ×10−26 \| ×10−8 \| ×10−24 \| ×10−6 \| ×10−10 \| ×10−8 \| \| 2 \| 7.61 \| 7.53 \| 7.02 \| 4.15 \| 6.96 \| 4.12 \| 3.94 \| 3.91 \| \| 3 \| 9.87 \| 9.87 \| 9.85 \| 3.69 \| 9.85 \| 3.70 \| 3.76 \| 3.77 \| \| νoptimal i \| 0 \| 2.7 \| 4.6 \| 8.7 \| 3.4 \| 8.5 \| 1.6 \| 6.7 \| \| \| \| ×10−22 \| ×10−24 \| ×10−6 \| ×10−22 \| ×10−4 \| ×10−5 \| ×10−4 \| \| Coinc. Prob. \| 0 \| 1.9 \| 3.0 \| 1.9 \| 6.7 \| 5.5 \| 9.5 \| 1.2 \| \| νoptimal × i \| \| ×10−22 \| ×10−26 \| ×10−8 \| ×10−24 \| ×10−6 \| ×10−10 \| ×10−7 \| \| 4 \| 9.87 \| 9.87 \| 9.85 \| 3.62 \| 9.84 \| 3.64 \| 3.73 \| 3.75 \| \| 5 \| 9.78 \| 9.76 \| 9.65 \| 3.82 \| 9.63 \| 3.81 \| 3.72 \| 3.70 \| \| 6 \| 8.01 \| 7.93 \| 7.39 \| 3.90 \| 7.32 \| 3.91 \| 3.96 \| 3.96 \| \| 7 \| 9.65 \| 9.61 \| 9.37 \| 3.90 \| 9.32 \| 3.91 \| 3.95 \| 3.96 \| \| 8 \| 9.84 \| 9.84 \| 9.83 \| 3.88 \| 9.82 \| 3.89 \| 3.96 \| 3.97 \| \| 9 \| 7.93 \| 7.92 \| 7.92 \| 4.04 \| 7.92 \| 4.09 \| 4.10 \| 4.15 \| \| 10 \| 7.88 \| 7.88 \| 7.87 \| 3.67 \| 7.87 \| 3.70 \| 3.76 \| 3.79 \| The length L [m] of the column is L2 = 3, L3 = 9, L4 = 12 and Li = 6 in all other cases. The number of storeys is 10, except for case 9 and 10 where it is 1 and 3, respectively. In this example the LQI-criterion is active in all cases. The resulting reliability indices are within a narrow range from 3.3 to 3.8. The optimization having regard to the acceptability criterion derived from the Life Quality Index produces a rather uniform safety level in all study cases. 9. Example 8: Earthquake resistant design A technically more involved example tries to establish a basis for the codification of design values for earthquake resistant design. It introduces so-called risk integrals. We follow closely the considerations in [8] but use slightly different data. In a seismic region Poissonian earthquakes occur with rate λ = 2.9 [1/year]. Magnitudes between mu = 4.0 and mo = 7.5 are considered. A truncated Weibull distribution (for maxima) has been found to model the data adequately with w = 4.35 and k = 8.11. These data are characteristic for an area with medium to high seismicity. With the attenuation law where b1 = 0.0955g, b2 = 0.573, b3 = 0.00587, one determines the density of peak ground acceleration as with m u ≤ h − 1 ( a,r ) = 1 b 2 ln( a b ( r ) ) ≤ m o . Possible epicentres are uniformly distributed around the site in a radius of r max = 200 km. Hence, the density of peak ground acceleration is: Peak ground acceleration then varies with a coefficient of variation of VA = 1.55. The maximum responses given peak ground acceleration vary log-normally with coefficient of variation of VS = 0.60. A simplified limit state function then is for shear resistance versus shear demand. Herein, R is a log-normal resistance with VR ≈ 0.2, K contains all system-specific properties and is, without loss of generality, assumed to equal unity, S is the log-normal variability in the (elastic) spectral enhancement factor with mean mS = 1 and A is peak ground acceleration. The systematic frequency-dependent part of S must be taken into account in K. E is the log-normal error in relation (26) with mean 1 and coefficient of variation VE ≈ 0.6. The conditional failure probability (fragility curve) is with p = m R the design parameter because m S m E = 1 . 0 . The objective function (without benefit term) for systematic reconstruction is The acceptability criterion eq. (??) to be used as a constraint for eq. (31) correspondingly reads: The following widely verified relationship between peak ground acceleration and MSK-intensity log(a) = 0.31MSK − 2.5 is assumed. We distinguish between normal damage to the building during an earthquake and building collapse. Construction, retrofitting, loss of business and physical damage cost are slightly underproportional to the occupation rate of a unit in a residential building so that we choose f (NPE) = (NPE/3) 0 . 8 . C(p) = ¡C0 + C1p δ ¢ is the construction cost, CR(p, a) = 21 C(p)(1 − exp(−0.25a)) is the cost of retrofitting taking account of the fact that retrofitting cost approach the cost of complete reconstruction for larger a, HM (a) = HM a 0 . 4 is the physical damage cost. The physical damage term includes infrastructure losses for large accelerations. Indirect cost such as loss of business is approximated by H0 = `C0. The estimation of human losses is difficult. They also depend on a as people are increasingly trapped at collapse. Immediate death then has probability 0.3 to 0.5 or more but some 10 to 20% die later in hospital. This leads to HF (a) = SLSC 1 2 (1 − exp( − 0 . 25 a )) N P E for the compensation cost for loss of human life. Note that the factor 1 2 (1 − exp( − 0 . 25 a )) replaces the constant k in eq. (7). The constant 0.25 in these relationships appears to vary with building type and material. The concavity of the function with respect to a implies convexity with respect to MSK in agreement with estimates in the literature. It is certainly only a rough approximation. Furthermore, we have C0 = 10 6 , C1 = 3 · 10 4 , δ = 1.1, HM = 5 · 10 5 , γ = 0.02, NPE = 3. It is beyond the scope of this paper to discuss all these special choices in detail but they are essentially in line with the findings in [1] and other sources in the literature. The damage term in eq. (31) is conditional on a. The expectation operation removes the condition. The damage term is also called risk integral. The table below collects typical data for three different socio-economic levels. \| Socio-economic level \| High \| Medium \| \|---\|---\|---\| \| GDP \| 23500 \| 6500 \| \| q \| 0.145 \| 0.17 \| \| e \| 77 \| 65 \| \| C ∆ \| 35 \| 50 \| An additional FORM/SORM-analysis can then determine the design values a ∗ corresponding to p ∗ and some other results of interest in the following results table. \| Socio-economic level \| High \| Medium \| \|---\|---\|---\| \| p∗ \| 4.80 \| 4.00 \| \| h(p∗) = λP (p∗) (FORM) f \| 3.7 ·10−4 \| 6.3 ·10−4 \| \| Return period 1 h(p∗) \| 2700 \| 1600 \| \| a∗ \| 1.03 \| 0.97 \| \| a∗s∗ε∗ \| 3.11 \| 2.76 \| \| C(p∗)/C 0 \| 1.17 \| 1.14 \| The design values of the accelerations a ∗ have a return period of about 120 years. Roughly the same design accelerations for all socio-economic levels indicate that the quantity EA[λPf (p \| a)] decays very slowly with a. The values of a ∗ s ∗ ε ∗ < p ∗ are also given. Surprisingly, the acceptance criterion eq. (32) is not active and produces values plim of approximately 1.5, 1.0 and 0.5, respectively. These values imply an order of magnitude larger failure rates than the optimal solution. This example is somewhat extreme because the loading side varies very much. Large changes in the values of p ∗ result in rather small changes in the failure rates. This explains why the differences between the different socio-economic climates are relatively small. Also, in contrary to the previous examples, both construction cost and damage cost have been referred to a residential unit and are roughly proportional to NF . Therefore, the effect of varying NF is insignificant and the failure rates in the second line of the results table are the individual risks due to earthquakes in that region. 10. Conclusions The examples show the application of the reliability-oriented cost-benefit optimization for structural components in the so-called one-level approach. An acceptability criterium as constraint of the optimization problem ensures that the optimal structure is also a sufficiently safe structure. Acceptibly safe structures are determined by the LQI-approach. Optimization is performed from the public's and the owner's point of view. The acceptability criterion becomes active especially if the owner uses higher discount rates. The optimal results are significantly influenced by the stochastic model chosen for the relevant uncertainties and the coefficient of variation of the resistance variables and of the load processes. Example 2 is proposed to be taken as standard as it can demonstrate the effect of many factors. The few examples with realistic physical and stochastic models are well supporting the findings in example 2. The computed acceptable risk-consequence curves show an almost perfect dependence of the type racc(NF ) = K NF with K = 10 − 3 (case with large variabilities and/or costly safety measures), 10 − 4 (standard case) and 10 − 5 (for small variabilities and inexpensive safety measures). K has dimension [1/year]. Almost all examples with somehow realistic physical and/or stochastic models and realistic parameters demonstrate that optimization leads generally to safer structures and the constant K falls in between 10 − 4 and 10 − 5 for NF = 1. References [1] Coburn, A., Spence, R. (1992), Earthquake Protection, J. Wiley&Sons, Chichester [2] Streicher, H., Rackwitz. R. (2004), Summary Report of DFG Research Project RA 322/9-2 ''New Concepts for Load Combination'', Institut für Baustoffe und Konstruktion, TU München [3] Holický, M., Rackwitz, R. (1998) Time variant reliability of a column under variable loads with intermittencies, Proc. European Conference on Safety and Reliability - ESREL'98, Trondheim, June 16-19 June, pp. 977-984. [4] Rackwitz, R. (2000), Optimization - The Basis of Code Making and Reliability Verification, Structural Safety, 22, 1, pp.27-60. [5] Rackwitz, R. (2002), Optimization and Risk Acceptability based on the Life Quality Index, Structural Safety, 24, pp. 297-331, 2002. [6] Rackwitz, R. (2005), The Philosophy Behind the Life Quality Index and Empirical Verification, Memorandum to JCSS, November 2005 [7] Rackwitz, R., Lentz, A., Faber, M. (2005), Socio-economically Sustainable Civil Engineering Infrastructures by Optimization, Structural Safety, 27, 3, 187-229 [8] Sanchez Silva, M., Rackwitz, R. (2004), Socio-economic Implications of the Life Quality Index in the Design of Optimum Structures to Withstand Earthquakes, J. of Structures, ASCE [9] Streicher, H., Rackwitz, R. (2004), Time-variant Reliability-oriented Structural Optimization and a Renewal Model for Life-cycle Costing, Probabilistic Engineering Mechanics, 19, 1-2, 171-183
This article was downloaded by: [McKean, James R.] On: 12 October 2009 Access details: Access Details: [subscription number 915761373] Publisher Routledge Informa Ltd Registered in England and Wales Registered Number: 1072954 Registered office: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK Journal of Criminal Justice Education Publication details, including instructions for authors and subscription information: http://www.informaworld.com/smpp/title~content=t713721714 A Cross-Cultural Comparison of East Asian and American Higher Education Criminal Justice Student Learning Preferences Using the VARK Questionnaire James R. McKean; Shannon M. Brogan; Jason S. Wrench First Published:November2009 To cite this Article McKean, James R., Brogan, Shannon M. and Wrench, Jason S.(2009)'A Cross-Cultural Comparison of East Asian and American Higher Education Criminal Justice Student Learning Preferences Using the VARK Questionnaire',Journal of Criminal Justice Education,20:3,272 — 291 To link to this Article: DOI: 10.1080/10511250903200485 URL: http://dx.doi.org/10.1080/10511250903200485 PLEASE SCROLL DOWN FOR ARTICLE Full terms and conditions of use: http://www.informaworld.com/terms-and-conditions-of-access.pdf This article may be used for research, teaching and private study purposes. Any substantial or systematic reproduction, re-distribution, re-selling, loan or sub-licensing, systematic supply or distribution in any form to anyone is expressly forbidden. The publisher does not give any warranty express or implied or make any representation that the contents will be complete or accurate or up to date. The accuracy of any instructions, formulae and drug doses should be independently verified with primary sources. The publisher shall not be liable for any loss, actions, claims, proceedings, demand or costs or damages whatsoever or howsoever caused arising directly or indirectly in connection with or arising out of the use of this material. A Cross-Cultural Comparison of East Asian and American Higher Education Criminal Justice Student Learning Preferences Using the VARK Questionnaire James R. McKean, Shannon M. Brogan and Jason S. Wrench firstname.lastname@example.org Taylor and Francis RCJE_A_420221.sgm 10.1080/10511250903200485 Journal of Criminal Justice Education 1051-1253 (print)/1745-9117 (online) Original Article 2009 Taylor & Francis 00 0000002009 Mr JamesMcKean The purpose of this quantitative study was to examine the relationship between learning preferences of East Asian and American higher education students. A review of the literature revealed a body of qualitative studies suggesting a stereotypical perception of an Asian learning preference influenced by cultural variables and the historical roots of Confucianism. The pedagogical implications of this stereotypical perception are obvious to faculty engaged in teaching and learning with Asian international students in America or abroad. The authors surveyed 233 higher education students from Hong Kong and America using the VARK Questionnaire. The authors used a two-way contingency table analysis and chi-square statistical tests to conduct their cross-cultural comparison on their variables of interest including age, gender, and country. Introduction Enrollments of international students continued to climb at American higher education institutions reaching a total of 564,766 during the 2005–06 academic year according to the National Center for Education Statistics (Digest of Education Statistics [U.S. Department of Education, NCES 2008]). The institutional implications of this trend reflect a recovery from the adverse impact on international enrollments created by the events of 11 September 2001 and the ensuing regulatory burdens placed on foreign students desiring to study in America. Of particular significance to the authors, 58% of the international students represent Asian countries (U.S. Department of Education, NCES 2008). Based on their international teaching and learning experiences in Hong Kong, the authors became interested in an academic question of pedagogical significance when viewed in the context of an expanding number of international students studying in America—are there any recognized differences between international student learning preferences or styles, specifically, East Asian and American students? Are there differences in student learning preferences by age and gender when comparing students from different cultural backgrounds? How may these variables affect current pedagogical practices? What are the implications, if any, for faculty? Literature Review A review of the literature indicated a diverse compilation of recognized variables that affect the learning environment for international students in answer to the above questions as well as an emerging theme—traditional perceptions of East Asian learning preferences may in reality constitute misperceptions. A notable amount of the literature regarding international students fails to distinguish between different types of East Asian cultures. The implications of this distinction result in misleading notions that are documented by the authors. The authors remained consistent with this conceptual framework and researched literature from the context of East Asian as including students from Japan, China, Hong Kong, and Southeast Asian countries except where the individual literature was culturally specific. Historical Perspectives: Asian Learning Style Stereotype An examination of existing literature regarding multicultural comparisons of student learning preferences, specifically Asian and American, revealed that the body of research is limited. An early study in this area involved an examination of student conceptions of learning and their use of self-regulated learning strategies that compared Australian and Japanese students (Purdie, Hattie, and Douglas 1996). The methodology used by Purdie et al. involved both quantitative and qualitative methods. First, they administered a Student Learning Survey to 248 Australian students and 215 Japanese students in their final three years of schooling. From the quantitative results, they compiled a qualitative analysis of the students' conceptions of learning. One particular aspect of this study discussed the phenomena of increasing amounts of Asian students choosing to study in Australia. This trend created an impact that is particularly relevant to this review. According to the authors, this increase in students resulted in the creation of an Asian student stereotype. The existence of this stereotype is a recurring theme that is found throughout our review of the literature. Purdie et al. describe this stereotypical view of Asian students as highly dependent upon rote learning where the teacher is perceived to be the center of knowledge and students are passive learners in the learning environment. Conversely, the authors describe Australian students as stereotypically more active in their learning approaches. In their summary of major findings, Purdie et al. initially posit that their quantitative data confirmed "… the stereotypical view of Japanese students as 'rote memorizers' who rely heavily on their textbooks and are reluctant to seek assistance from their teachers" (p. 97). However, the authors point out that their qualitative comparison between the two groups' conception of learning as understanding and use of strategies reveals that contrary to the stereotype, Japanese students are quite similar to their Australian counterparts. The relevance of Purdie et al. is the articulation of the Asian and Western stereotype of learning preferences. Understanding the Asian Culture and Learning Styles Similarly, more recent literature on learning style preferences of international students addressed this Asian stereotype from the perspective of pedagogical or cultural factors inherent in their home countries that may contribute to this perception. Ladd and Ruby (1999) conducted a study of 35 international students enrolled in a graduate Masters of Business Administration program at a state university. The methodology they employed involved the administration of the Canfield Learning Styles Inventory (Canfield 1992). The results of their study indicated that the primary pedagogy of the international students' home country was the lecture method but student learning style preferences indicated they preferred to learn experientially. Although their data sample is too small to reach statistically valid conclusions, it is an example of quantitative research directed toward measuring student learning preferences and the impact of pedagogical practices on these preferences. Chan (1999) provided a historically significant piece of research for understanding the Asian educational stereotype, learning preferences of Asian students, and the impact of cultural variables on learning styles. According to Chan, the key to understanding the learning preferences of Chinese students is through a deeper understanding of the Chinese mind and culture. Chan further wrote that the influence of Confucianism on the Chinese cultural identity provides insight into Chinese pedagogical practices. According to Chan, children are encouraged to memorize the writings of Confucius from an early age. With such an emphasis on memorization, the result is that educational practices have evolved around the construct of acquiring individual knowledge from rote memorization and application of examples. Similarly, Confucianism as a philosophy emphasizes the value of harmony, controlling emotions, and avoiding conflict according to Chan. Chan found it understandable from this philosophical perspective that Chinese teaching styles based on this influence are frequently described in earlier research (Kirkbride and Tang 1992) as "didactic and trainercentered". From this context, Chan suggested that Chinese learners might prefer traditional Chinese styles rather than the more active learning or participative environments of Western cultures. It is significant to note the author's business background. At the time of her writing, she served on the Faculty of Business, Leeds Metropolitan University, UK. From this business perspective she concludes her article by identifying a number of problems associated with Western management programs and pedagogical practices, specifically (1) applicability of Western concepts to China, (2) lack of student participation in classroom activities, (3) limited use of typical management training techniques such as case studies, role-play, and business games, (4) inefficiency of group discussions, and (5) teacher-led (Chan 1999). In addition to the author's insight into the Chinese culture and its impact on learning styles, her work is significant in our literature review for its specificity and focus on the affect of the academic discipline on the integration of Chinese learning styles and Western pedagogical practices. Additional insight can be gleaned from a similar but more recent study to identify learning styles of Asian students and its impact on pedagogical practices conducted by Chiang (2000). The methodology used by Chiang involved interviews and observations of 19 families from China, Hong Kong, Japan, Korea, and Taiwan as well as interviews of their collective 33 children. Demographic data of particular significance to her study is the level of postsecondary education obtained by the parents. According to Chiang, 97% of the children's parents possessed a baccalaureate degree or higher. The author reached similar conclusions as Chan (1999). One of the implications of her study was that the passive learning preferences of the parents resulted in similar preferences of the students. The pedagogical implications for the teacher are a need to understand the cultural differences inherent in Asian students according to Chan (1999). Similarly, Lin (2002) explored the learning styles of Chinese graduate students pursuing advanced degrees in the social sciences discipline (Lin 2002). The methodology used by Lin was a qualitative study, which consisted of interviews and participant observations. Despite her small sample size, it is interesting to note that her data analysis led to a series of six assertions one of which concluded that "… all participants have been accustomed to Chinese teaching and learning styles …" (Lin 2002: p. 18). While her sample size does not permit us to generalize conclusions to a larger population of Chinese students, it supported the conclusions asserted in the previous work of Chan (1999) and Chiang (2000) regarding the impact of culture on Asian learning styles. Dispelling the Asian Learning Styles Stereotype Kennedy (2002) provided us with one of the most significant pieces of literature concerning the learning styles of Chinese students that challenged the historical stereotype of previous research. At the time of his writing, Peter Kennedy served as senior program director with the School of Professional and Continuing Education at the University of Hong Kong, Hong Kong, Special Administrative Region. Kennedy wrote that previous research suggested that student learning styles are frequently influenced by their Confucian heritage. According to Kennedy, earlier research by (Cortazzi and Jin 1996; Ho and Crookall 1995; Murphy 1987; Nelson 1995; Scollon and Scollon 1995) all related influences of Confucius on the learning styles of Chinese students thought to prefer rote memorization of the teacher's knowledge without question. However, Kennedy noted that more recent research dispelled this Confucius stereotype. Cheng (2000) described the affect of Confucian values by "… pointing out that the Chinese term 'knowledge' is made up of two characters: One is xue (to learn) and the other is wen (to ask). This means that the action of enquiring and questioning is central to the quest for knowledge" (p. 441). According to Kennedy, historical research that suggested a rote memorization style preference by the Chinese learner due to culture, only acknowledged part of Confucius teaching. Kennedy further dispels this stereotype quoting the research of Winter and Tang (1996) which studied the impact of peer learning on Hong Kong students. Kennedy wrote that Winter's (1996) and Tang's (1996) studies of peer learning illustrated critical thinking skills inherent in Hong Kong students that are more complex than those represented by the Western stereotypes of Chinese learners. Another critical aspect of Kennedy's (2002) research of significance to this study was his analysis of a cross-cultural study of learning styles by Oxford and Anderson (1995). According to Oxford and Anderson, Chinese learners prefer classrooms that emphasize grammar rules and learning is inductive. While this research was critical to dispelling the stereotypical myth, Kennedy wrote that due to the broad, general scope of the study, differences such as age and gender might be obscured. This acknowledgment by Kennedy also created an implication for the pursuit of future quantitative research on this subject with specific consideration to the role of individual variables such as age and gender on learning styles. Similarly, Jin and Cortazzi (2006) point out in their research of Chinese students studying in Britain that although Chinese students comprise approximately a significant percentage of the world's higher education students, there remains a gap in the quantitative literature into their learning practices abroad. A major aspect of a review of existing literature points to the lack of data-based research on this subject. The literature is replete with empirical research studies of student learning emanating from the seminal work of pioneers such as Dewey (1938) to the experiential learning theories of Kolb (1984). More recent books such as Olson and Hergenhan (2009) and Schunk (2007) document the learning process from a psychological framework of cognitive and behavioral learning theories. In their cross-cultural study of affective constructs, Marsh, Hau, Artelt, Baumert, and Peschar (2006) posit, "Student approaches to learning—learning strategies, selfbeliefs and confidence, motivation, and learning preferences—are central components of schooling" (p. 346). In concert with our broadening understanding of the learning process, researchers such as Borden and Young (2008) have focused on the assessment of learning and the resultant institutional implications. Other researchers such as Klein, Benjamin, Shavelson, and Bolus (2007) have examined the Collegiate Learning Assessment and its use as a valid measure of student learning along with the institutional and policy ramifications. Given the importance of faculty pedagogical practices, a significant body of literature has focused on the role of faculty in the learning process. According to Umbach and Wawrzynski (2005) "First-year students and seniors reported greater gains in personal social development, general education knowledge, and practical competencies on campuses where faculty members engaged them using active and collaborative learning exercises" (p. 165). The challenge for faculty remains in the implementation of appropriate pedagogical practices that create a learning environment for all students in an increasingly diverse classroom. An emergent body of research in the 1980s on modal preferences, Dunn and Dunn (1987) and Fleming (2001) explored student learning preferences and resultant pedagogical implications for faculty. Fleming developed the VARK Questionnaire, which is designed to identify the manner in which an individual prefers to receive and give information. The acronym VARK stands for the modal preferences Visual, Aural, Read/Write, and Kinesthetic, an extension by Fleming (2001) of the body of literature suggesting a "… three-part sensory approach (V, A, and K)" (p. 37). Fleming's research suggested that visual information consisted of two types "… text and drawings, or symbolic and iconic" (p. 38). According to Fleming, individuals process information through their eyes (Visual), text (Read/Write), ears (Aural), and experiences (Kinesthetic). Fleming posits that teaching strategies that match student learning or modal preferences result in active student engagement and greater opportunities for learning to occur. According to Fleming, 55–65% of students and teachers are multimodal. The implications for faculty are clear—in order to enhance student learning, it is important to develop pedagogical practices that recognize differences in individual student learning preferences. A unique feature of the VARK Questionnaire is that it is available in a variety of languages facilitating cross-cultural studies. Kalkan (2008) used the VARK Questionnaire in a Turkish study of student learning preferences. French, Cosgriff, and Brown (2007) used the VARK Questionnaire and Kolb's Learning Styles Inventory in their study, the learning preferences of Australian occupational therapy students. Wehrwein, Lujan, and DiCarlo (2007) used the VARK Questionnaire to study the learning preferences of American physiology students. Finally, there is one clear implication from the literature for faculty involved in higher education—we are increasingly part of a global learning environment. American institutions with increased international enrollments may not consider the academic implications for faculty. Conversely, a review of the literature validates pedagogic implications for faculty engaged in teaching and learning with an internationally diverse student body. For this faculty, pedagogical practices should reflect learning preferences in order to create and enhance a learning environment. The question remains and the overarching purpose of this study is to empirically determine if there are differences in student learning preferences between American and East Asian students. Method Research Questions and Hypotheses The purpose of this study is to empirically examine differences in criminal justice student practitioner learning preferences in higher education from a cross-cultural context. The theoretical significance of this research is to provide empirical data on East Asian student criminal justice practitioners in support of an emerging body of research literature questioning historical beliefs about the learning preferences of East Asian higher education students. Additionally, this research has practical significance for the pedagogic practices of faculty engaged in international teaching abroad or within an increasingly internationally diverse student population in the America. Based on the literature review of academic perceptions of East Asian student learning preferences, the following research questions were developed: (1) Are there significant differences between the learning styles of East Asian students and student public safety practitioners from America? (2) Are there significant differences between the learning styles of East Asian students and student public safety practitioners from America by gender? (3) Are there significant differences between the learning styles of East Asian students and student public safety practitioners from America by age? Research Design Based on the research questions, the authors selected a survey research design as the methodology for this study. This design enabled the authors to collect data consistent with the short period of time they were available in Hong Kong and enabled them to delimit the population sample to student criminal justice practitioners. Additionally, this methodology lends itself to quantitative data analysis consistent with the identified research problem. Further, this research design enabled the informed consent of target population participants protecting the autonomy of students electing to participate in the study and satisfying ethical considerations consistent with contemporary ethical research guidelines. Student research participants did not receive any extra credit or inducements for their participation in this study. Learning preferences were measured using the VARK Questionnaire. The authors used descriptive statistics and two-way contingency table analysis to determine the following: (1) Is there a statistical relationship between student learning preferences and country? (2) Is there a statistical relationship between student learning preferences and gender? (3) Is there a statistical relationship between student learning preferences and age? The authors recognize the limitations of this methodology, specifically the inability to generalize the findings to the larger population of student practitioners in Hong Kong and America. Participants The target population for the survey data came from a convenience sample of Hong Kong higher education students in the Continuing Studies Program at Chinese University who are current criminal justice or public safety practitioners primarily assigned to the Kowloon region. In the same way, American student criminal justice practitioners from the Midwestern region of America were selected based on their similarity to the subset of Hong Kong criminal justice students assigned to the Kowloon district. The Hong Kong Police Department is a national police force organized along hierarchical and geographic lines similar to the British model. Conversely, American participants represented state and local suburban police departments assigned to the central Ohio region of America. Based on the sample population, this study is limited in the degree of generalizability that is applicable to the learning preferences of Hong Kong or American student public safety practitioners. The overall sample consisted of 233 participants with a mean age of 31.92 (SD = 8.44) and a range from 20 to 62. The distribution of the sample by age was positively skewed around the median age of 30, which is consistent with criminal justice practitioners where entry-level positions comprise the largest quantity of an organization. The total sample consisted of 69.5% male respondents (n = 162) and 30.5% female respondents (n = 71). Examining biological sex by country, the Hong Kong sample was more balanced with 59.1% (n = 78) of the Hong Kong participants male and 40.9% (n = 54) female. The American sample, on the other hand, consisted of 83.2% (n = 84) males and 16.8% (n = 17) females. In addition to basic demographic information, information on the type of law enforcement for both the Hong Kong and American samples was also collected. The participants within the Hong Kong sample came from five distinct lines of law enforcement: Hong Kong Fire Services Division (n = 15, 11.4%), Hong Kong Police (n = 53, 40.2%), Hong Kong Immigration Division (n = 20, 15.2%), Hong Kong Customs Enforcement (n = 20, 15.2%), and Hong Kong Correctional Services (n = 24, 18.2%). Participants within the American sample came from three distinct lines of law enforcement: State Highway Patrol (n = 40, 39.6%), Police in a Municipal Suburb (n = 49, 48.5%), and Police Recruits (n = 12, 11.9%). Procedures Participants in this study were recruited using a simple networking technique. Criminal justice student practitioners in Hong Kong and America were asked to . find research participants for this study. The network sample was given a copy of the survey instrument with a letter of informed consent, which explained the nature of the study and clearly articulated the voluntary and anonymous elements consistent with the research design. After the participants completed the surveys they were returned to the principal investigators for data compilation and analysis. Results Analysis of Learning Preferences The answer to our first research question, are there significant differences between the learning preferences of East Asian and American participants, can be gleaned from the observed results in Table 1. The observed results of the VARK Questionnaire, when cross-tabulated by country, reveal similar preferences among the sample. The largest distribution of a single learning style preference for Hong Kong and American students was K or Kinesthetic. The Kinesthetic learning preference comprised 22.7% (n = 30) of the Hong Kong students and 24.8% (n = 25) of the American students, which represented 23.6% (n = 55) of the total sample. Similarly, 10.6% (n = 14) of the Hong Kong students and 6.9% (n = 7) of the American students displayed an A or Aural preference as the next most frequently observed learning preference among the single modal styles. The R or Read/Write preference was preferred by 9.8% (n = 13) of the Hong Kong students and 6.9% (n = 7) of the American students while the V or Visual preference comprised 5.3% (n = 7) of the Hong Kong preferences and 1.0% (n = 1) of the American student preferences. Similarly, the observed frequency distribution for multimodal preferences was highest for both countries in the VARK preference. American students multimodal preferences were most frequently observed for the VARK preference consisting of 26.7% (n = 27), which was 11.6% of the total by country while the observed distribution of VARK for Hong Kong students was 17.4% (n = 23) or 9.9% of the total. An interesting observation occurs in the ARK multimodal preference where American students comprise 13.9% (n = 14) of the preference by country and Hong Kong students 3% (n = 4). This preference encompassed 6.0% of the American total but only 1.7% of the total by Hong Kong students. Continuing our analysis of the data to answer our second research question, we look to the observed results of Table 2. When cross-tabulated by country and gender, the data reveals similar preferences among the sample by gender. The largest distribution of a single learning style preference for Hong Kong students by gender was K or Kinesthetic. The observed frequency distribution of the Kinesthetic preference comprised 19.2% (n = 15) for males and slightly higher for females 27.8% (n = 15). The Kinesthetic single preference represented 22.7% of the total sample among Hong Kong students. Based on the literature review, the authors anticipated a higher percentage of didactic preferences, which Table 1 Distribution of learning preference by country Table 1 (Continued) would be observable in the single preference results with specific regard to R or Read/Write preferences. The Read/Write preference comprised 14.1% (n = 11) of the single preferences among male Hong Kong students but only 3.7% (n = 2) among female students. By contrast, among Hong Kong female students the multimodal preference of AK comprised 7.4% (n = 4) of their total compared to 2.6% (n = 2) of the male Hong Kong students. The highest observed frequency of multimodal preferences for Hong Kong students occurred among the VARK preference with 15.4% (n = 12) of the male students and 20.4% (n = 11) of the female students displaying that preference. As can be seen from Table 3, the frequency distribution for American students indicated a preference for K or Kinesthetic among single preferences with 25% (n = 21) among male students and 23.5% (n = 4) among female students. The Kinesthetic preference represented 24.8% of the total preferences for American students. Conversely, the VARK preference represented 26.7% of the American total with 26.2% (n = 22) among males and 29.4% (n = 5) among female American students. One difference by country and gender among multimodal preferences was observed in the distribution of the ARK preference. Among American students, the observed frequency for males was 11.9% (n = 10) and 23.5% (n = 4) among females, which comprised 13.9% of the American total. By contrast, the observed frequency for Hong Kong male students was 3.8% (n = 3) and 1.9% (n = 1) for female students with this preference accounting for only 3% of the Hong Kong total (see Table 2). To answer the third research question, the authors constructed three factors for the distribution of age based on the range for this variable—20–29, 30–39, and 40 and above. The observed results of the VARK Questionnaire, when cross-tabulated by country and age group, reveal similar preferences among the sample recognizing the sample distribution may be positively skewed by age. The largest distribution of a single learning style preference for Hong Kong students by age group was K or Kinesthetic (see Table 4). The age group of 30–39 comprised 38.1% (n = 16) of the Kinesthetic preference among Hong Kong students, which represented 11.4% of the sample total. Students aged 20–29 comprised 8.3% (n = 11) of the sample total. Collectively, the Kinesthetic preference equaled 22.7% of the sample total for Hong Kong students. Similarly, the Kinesthetic preference Table 2 Distribution of learning preference by gender in Hong Kong Table 2 (Continued) Table 3 Distribution of learning preference by gender in America Table 3 (Continued) comprised 24.8% (n = 25) of the total American sample (see Table 5). Within the American sample, the 30–39 age group, like their Hong Kong counterparts, comprised the largest portion of the age group distribution for the Kinesthetic preference with 11.9% (n = 12) of the sample total. The frequency distribution of multimodal preferences by country was similar with VARK comprising 26.7% of the American sample. Similarly, the distribution by age group was higher for the 20–29 age group, which comprised 12.9% of the sample total. Contingency Table Analysis Based on the observed distributions, the authors conducted a two-way contingency table analysis with a chi-square test to evaluate the differences between Table 4 Distribution of learning preference by age group in Hong Kong Table 4 (Continued) Table 5 Distribution of learning preference by age group in America Table 5 (Continued) student learning preference by country and age group. For this analysis, student learning preference consisted of two levels (single preference and multimodal preference with student age consisting of three levels (20–29, 30–39, and 40 and above). Student learning preference and age group was not statistically significant in the Hong Kong sample. However, in the American sample, student learning preference and age was found to be significantly related with a Pearson χ 2 (2, N = 101)= 7.27, p = .026, Cramér's V = .27. Follow-up pairwise comparisons were conducted to evaluate the difference among levels of age groups. Based on the Pearson χ 2 test, the p value for the comparison between American students aged 20–29 and 30–39 was .007. The p values for the comparison between 20–29 and 40 and above, and 30–39 and 40 and above are .40 and .20, respectively. As can be seen from Table 6, the results of these three tests are included with the Holm's sequential Bonferonni method for controlling for Type 1 error. Table 6 Results for the pairwise comparisons using the Holm's Bonferroni method Discussion Conclusions and Implications for Future Quantitative Research The central purpose of this study was to use empirical data to examine the differences between learning preferences of East Asian, primarily Hong Kong, and American criminal justice student practitioners. A major implication gleaned from the review of existing literature was the lack of available quantitative research that compares learning preferences cross-culturally with specific attention to individual variables such as age and gender. The literature review illustrated the problems inherent in qualitative research that may lead to misperceptions if the data is overly dependent upon the interpretive analysis of the researcher. As Kennedy (2002) wrote, "It is time to start a new paradigm and go beyond the self-fulfilling prophecies and Confucian confusion that circumscribe notions of The Chinese Learner and Chinese Learning Styles" (p. 443). A significant conclusion of this study is that contrary to a considerable amount of previous research, Hong Kong and American students identify similar learning preferences based on the administration of Fleming's (2001) VARK Questionnaire. According to Fleming, approximately 21% of students display the VARK multiple preference while 20% display a Kinesthetic single preference (p. 8). In this study, the Kinesthetic single preference was observed in 22.7% (n = 30) of the Hong Kong students and 24.8% (n = 25) of the American students. This distribution was observed when cross-tabulated by age and gender for both Hong Kong and American students. Similarly, the distribution for American students multimodal preferences for VARK was observed in 24.7% (n = 27) of the students while Hong Kong students were slightly less with 17.4% (n = 23). These results have pedagogical implications for faculty involved in teaching abroad, online, or in a diverse residential university environment as they develop their teaching strategies to actively engage their students. Another implication identified in previous literature was the lack of a valid research instrument on individual learning styles that can be readily adapted to cross-cultural comparisons or guide faculty pedagogical practices. While there is a large body of research on survey instruments, most do not easily adapt to cross-cultural comparisons. However, the body of research evolving from Fleming's (2001) development of the VARK Questionnaire continues to provide a quantitative methodology with an instrument designed to assist teachers and learners increase their understanding of an individual's preferred mode of learning and their resultant teaching styles that can be administered in a variety of languages. Future research should focus on using the VARK Questionnaire and a validated learning scale to explore a canonical correlation to the VARK Questionnaire or other research to validate the instrument. Finally, the significance of age and student learning preference discovered in the American sample has implications for faculty that merit further quantitative research. American public higher education is in a state of transformation and evolution driven by shrinking public fiscal support, competition from private sector for profit institutions, and rapid expansion in technology according to Schuster and Finkelstein (2006). In a seminal piece of literature, Schuster and Finkelstein suggest the confluence of these changes will have a far-reaching impact on the face of higher education and its core—the faculty. In this competitive environment, the pedagogical practices of faculty must more closely correlate with student learning preferences for the mutual benefit of each. Similarly, Fleming (2001) posits that increasing each student's awareness of their individual learning preferences through the use of the VARK Questionnaire often leads to a discussion on learning with faculty that actively engages students and improves the learning environment. The increasing diversity of contemporary academe demands such academic consistency from our faculty and our students deserve no less. References Borden, V., and J. Young. 2008. Measurement validity and accountability for student learning. New Directions for Institutional Research (S1, Fall): 19–37. Canfield, A. 1992. Canfield learning styles inventory manual. 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Reid (Ed.), Learning styles in the ESL/EFL classroom (pp. 3-18). Boston, MA: Heinle & Heinle. Olson, M. H., and B. R. Hergenhahn. 2009. An introduction to the theories of learning (8th ed.). Upper Saddle River, NJ: Prentice-Hall. Oxford, R., and N. Anderson. 1995. A cross-cultural view of learning styles. Language Teaching 28: 201–215. Purdie, N., J. Hattie, and G. Douglas. 1996. Student conceptions of learning and their use of self-regulated learning strategies: A cross-cultural comparison. Journal of Educational Psychology 88 (1): 87–100. Schunk, D. H. 2007. Learning theories: An educational perspective (5th ed.). Englewood Cliffs, NJ: Prentice-Hall. Schuster, J. H., and M. J. Finkelstien. 2006. The American faculty: The restructuring of academic work and careers. Baltimore: The Johns Hopkins University Press. Scollon, R., and S. Scollon. 1995. Intercultural communication. Oxford: Blackwell. Tang, C. 1996. Collaborative learning. In D. Watkins and J. 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Hong Kong: The Comparative Education Research Centre, Faculty of Education, University of Hong Kong.
PROJECT NAME: Nevada Natural Heritage Program Sensitive Species Data Management PROJECT NUMBER: 2005-NHP-557-P REPORTING DATE: 1 October 2011 AGENCY CONTACTS: Jennifer Newmark, Administrator Kim Williams, Biologist DELIVERABLE: Final Project Report Executive Summary Over the past two years, the Nevada Natural Heritage Program (NNHP) has been compiling new information and updating older records of rare species within Clark County. The source of information has been variable, coming from county, state, federal and private scientists and citizens. NNHP staff have tracked 11 species, adding or modifying a total of 1,214 records. Introduction: Description of Project: The purpose of this project was to continue the development and update of the Nevada Natural Heritage Program (NNHP) biological datasets for sensitive species within Clark County. Funding was provided to NNHP to coordinate data management of sensitive species addressed under the MSHCP, coordinate data transactions in and out of NNHP's central repository directly with Federal, state, Clark County, and other MSHCP participants, to provide periodic data deliveries to the County in GIS format, and to create custom database or GIS data sets and deliver to County, as requested. Background and Need: Within Clark County, there are a number of rare and at-risk species that have been listed as covered by the MSHCP. These species have a variety of scientific work being conducted, both at present and in the past. Consequently, there are large but disparate sets of data, some of which the County has and some that it doesn't. Much of this data has yet to be quality-controlled or compiled into a single dataset that can then be utilized by the County. For the past 20 years, the NNHP has collected, maintained and disseminated data on rare and at-risk species. The Program has extensive databases of information that include both historic and current survey information. The methodology of the Program is consistent and repeatable and allows for disparate data sets to be compiled into cohesive data records. This compiled and quality-controlled data are then made available to land managers and scientists to aid in making conservation management decisions. NNHP is a member program within the NatureServe network with similar programs in all 50 states, in Canada and in some Latin American countries. Management Actions Addressed: NNHP maintains a large dataset on many species and has provided the County such information that has importance for a broad number of conservation actions as addressed in the MSHCP. Items below refer to MSHCP-specific conservation actions, locations, species and ecosystems referenced in the MSHCP documents, found on the following website: http://www.co.clark.nv.us/daqem/epd/desert/dcp_mshcp.html . Natural Heritage data compilation and mapping inventories contributed to Conservation Management Actions BLM (106), (111), (13), (15), (163), (17), (304), (32), and (33); NDOT (5); NDOW (32), (33), (35), (36), (7), and (9); NPS (10), (12), (13), (14), (15), (16), (17), (18), (5), and (7); USFS (19), (20), (25), and (26). See Appendix A for a list of these conservation management actions. Comprehensive data compilation and GIS mapping inventories were performed on 11 priority species as decided upon in consultation with the County. Additionally, NNHP maintains data on an additional 118 species and these data were included in every quarterly database delivery. See Appendix B for a list of these species. Heritage data compilation and GIS mapping actions contributed to reducing species threats (101), (102), (301), (302), (401), (402), (403), (405), (407), (410), (411), (504), (701), (702), (703), (801), (802), (901), (902), and (903) by contributing data to the prescriptive conservation action. See Appendix C for specific threats. Goals and Objectives of the Project: The goals of this project was to incorporate backlogged species data for Clark County in NNHP's Biotics database to allow for a more complete and comprehensive dataset to be available to both parties and other partners. Additional goals for this project include addressing the MSHCP elements as listed above and in Appendix A. Methods and Materials: The Nevada Natural Heritage Program will be mapping species occurrences using standard Heritage/NatureServe methodologies (for more extensive and detailed descriptions of Heritage methodology, please see http://www.natureserve.org/prodServices/standardsMethods.jsp). Data will be compiled from a variety of sources, including field surveys, museum records, and published data sources, both from current surveys as well as backlogged data. Each location of species will be mapped into the Heritage's Biotics database as either a source feature and/or an element occurrence. A source feature is the actual observation of a species or subspecies (or element in Heritage Methodology) at a particular place on the landscape. This typically represents the specific data a surveyor reports such as the gps coordinates of a plants location or a trap site with a capture of a reptile, or other similar data. Source features are then rolled up into Element Occurrences (EOs). The EO is intended to represent an area of land and/or water in which a species or natural community is, or was, present. The EO represents a local population and therefore is more broad then a simple source feature. An EO must have at least one source feature associated with it, but because it represents a population rather than a single observation, an EO often may have many source features associated with it. The EO record is a data management tool that has both spatial and tabular components associated with it. In this way, an extensive amount of biological data is captured in the databases. The Heritage Program is capable of not only recording the existence of a species at a particular place, but also tracking the condition of the species and how it changes over time. Typical mapping fields include but are not limited to directions, numbers and conditions of a source feature/EO (also called EO data), the date of the last survey, date of the last observation, management needs, threats, and the source of the information. Because the Biotics database has both spatial and tabular information stored within it, data is available both in a GIS and a report-based format. Results: NNHP comprehensively mapped and updated 1,214 observations of 11 species over the life of the project. In addition, other NNHP staff updated and maintained data for 118 species which the County received in our quarterly database deliverables. Species specifically addressed during the project include: - Athene cunicularia hypugaea, Western Burrowing Owl - Eriogonum viscidulum, sticky buckwheat - Heloderma suspectum cinctum, banded Gila monster - Penstemon bicolor ssp. bicolor, yellow two-toned beardtongue - Dipodomys deserti, desert kangaroo rat - Chaetodipus penicillatus, desert pocket mouse - Phainopepla nitens, Phainopepla - Imperata brevifolia, satintail - Phacelia geraniifolia, Jaeger phacelia - Mentzelia polita, polished blazingstar - Astragalus geyeri var. triquetrus, threecorner milkvetch This project was to compile data, rather than analyze data; therefore no further scientific analyses was conducted beyond verifying the viability and accuracy of each record. Evaluation/Discussion of Results: This project was created to provide Clark County, and other MSHCP participants, with a more comprehensive, quality controlled, compilation of data for use in managing MSHCP driven projects. Due to the nature of the Heritage/NatureServe methodologies and Biotics program utilized for this project, results are not based as much on quantity as on quality. Quality control, such as, assessing viable location and projection, rectifying older data and/or sources with new data and ensuring data is 'mappable', may require more time, but provides for a more valuable product. Having access to appropriate data helps project managers more cost effectively and efficiently tackle MSHCP programs. Conclusion: The Nevada Natural Heritage Program is confident our project provided both cost effective and valuable information to our participants. Again, without viable data, it is difficult to accurately assess project goals. In addition, NNHP would be happy to collaborate or participate in any projects requiring data development and management in the future. Recommendations: The Nevada Natural Heritage Program would be pleased to see continued communication with Clark County and other MSHCP participants, in the event monies are available to help fund our continued contribution and support. collected and cooperate with other participants in establishing and maintaining a repository for digital biological National Recreation Area. The presence or absence of known pollinators will be documented as a part of the Wash), and larval host plant relations of the Spring Mountains particularly as plants, butterflies and their host plants, Palmer s chipmunk, bats, checkerspot(including spatial limits of Wallace Canyon Conduct annual monitoring of (a) Clokey eggvetch and (b) rough angelica.Monitoring efforts will be in accordance with the protocol \| Species (common name) \| Species (scientific name) \| \|---\|---\| \| Relict leopard frog \| Rana onca \| \| Yellow-billed cuckoo \| Coccyzus americanus \| \| Southwestern willow flycatcher \| Empidonax traillii extimus \| \| Phainopepla \| Phainopepla nitens \| \| Spring Mountains springsnail \| Pyrgulopsis deaconi \| \| Southern Nevada springsnail \| Pyrgulopsis turbatrix \| \| Species (common name) \| Species (scientific name) \| \|---\|---\| \| Dark blue butterfly \| Euphilotes enoptes ssp \| \| Morand's checkerspot butterfly \| Euphydryas anicia morandi \| \| Spring Mountains comma skipper \| Hesperia comma mojavensis \| \| Spring Mountains icarioides blue \| Icaricia icarioides austinorum \| \| Mt. Charleston blue butterfly \| Icaricia shasta charlestonensis \| \| Nevada admiral \| Limenitus weidemeyerii nevadae \| \| Carole's silverspot butterfly \| Speyeria zerene carolae \| \| Palmer's chipmunk \| Tamias palmeri \| \| Silver-haired bat \| Lasionycteris noctivagans \| \| Long-eared myotis \| Myotis evotis \| \| Species (common name) \| Species (scientific name) \| Comment \| \|---\|---\|---\| \| Long-legged myotis \| Myotis volans \| NNHP regularly updates and maintains biological information on this species. \| \| Western red- tailed skink \| Eumeces gilberti rubricaudatus \| NNHP regularly updates and maintains biological information on this species. \| \| Rough Angelica \| Angelica scabrida \| NNHP regularly updates and maintains biological information on this species. \| \| Charleston pussytoes \| Antennaria soliceps \| NNHP regularly updates and maintains biological information on this species. \| \| Sticky Ringstem \| Anulocaulis leisolenus \| NNHP regularly updates and maintains biological information on this species. \| \| Las Vegas bearpoppy \| Arctomecon californica \| NNHP regularly updates and maintains biological information on this species. \| \| White bearpoppy \| Arctomecon merriamii \| NNHP regularly updates and maintains biological information on this species. \| \| Rosy King sandwort \| Arenaria kingii ssp. rosea \| NNHP regularly updates and maintains biological information on this species. \| \| Clokey milkvetch \| Astragalus aequalis \| NNHP compiled and updated records on this species under project 2005-NHP-557-P. \| \| Threecorner milkvetch \| Astragalus geyeri var. triquetrus \| NNHP compiled and updated records on this species under project 2005-NHP-557-P. \| \| Clokey eggvetch \| Astragalus oophorus var. clokeyanus \| NNHP regularly updates and maintains biological information on this species. \| \| Spring Mountain milkvetch \| Astragalus remotus \| NNHP regularly updates and maintains biological information on this species. \| \| Alkali mariposa lily \| Calochortus striatus \| NNHP regularly updates and maintains biological information on this species. \| \| Clokey paintbrush \| Castelleja martinii var. clokeyi \| NNHP regularly updates and maintains biological information on this species. \| \| Clokey thistle \| Cirsium clokeyi \| \|---\|---\| \| Jaeger whitlowgrass \| Draba jaegeri \| \| Charleston draba \| Draba paucifructa \| \| Forked (Pahrump Valley) buckwheat \| Eriogonum bifurcatum \| \| Sticky buckwheat \| Eriogonum viscidulum \| \| Clokey greasebush \| Glossopetalon clokeyi \| \| Smooth pungent greasebush \| Glossopetalon pungens var. glabra \| \| Pungent dwarf greasebush \| Glossopetalon pungens var. pungens \| \| Red Rock Canyon aster \| Ionactis caelestis \| \| Hidden ivesia \| Ivesia cryptocaulis \| \| Jaeger ivesia \| Ivesia jaegeri \| \| Hitchcock bladderpod \| Lesquerella hitchcockii \| \| Blue diamond cholla \| Opuntia whipplei var. multigeniculata \| \| White-margined beardtongue \| Penstemon albomarginatus \| \| Species (common name) \| Species (scientific name) \| \|---\|---\| \| Charleston beardtongue \| Penstemon leiophyllus var. keckii \| \| Jaeger beardtongue \| Penstemon thompsoneae var. jaegeri \| \| Parish's phacelia \| Phacelia parishii \| \| Clokey mountain sage \| Salvia dorrii var. clokeyi \| \| Clokey catchfly \| Silene clokeyi \| \| Charleston tansy \| Sphaeromeria compacta \| \| Charleston kittentails \| Synthyris ranunculina \| \| Charleston grounddaisy \| Townsendia jonesii var. tumulosa \| \| Limestone violet \| Viola purpurea var. charlestonensis \| \| western burrowing owl \| Speotyto cunicularia hypugea (Athene cunicularia) \| \| flannelmouth sucker \| Catostomus latipinnis \| \| Moapa White River springfish \| Crenichthys baileyi moapae \| \| Virgin River chub \| Gila seminuda \| \| Species (common name) \| Species (scientific name) \| \|---\|---\| \| Virgin River chub (Muddy River population) \| Gila seminuda (Muddy River Population) \| \| Moapa dace \| Moapa coriacea \| \| woundfin \| Plagopterus argentissimus \| \| Spring Mountain ant \| Lasius nevadensis \| \| Amargosa (Pahranagat) naucorid \| Pelocoris shoshone \| \| Moapa riffle beetle \| Microcylloepus moapus moapus \| \| Moapa pebblesnail \| Pyrgulopsis avernalis \| \| Moapa turban snail \| Pyrgulopsis carinefera \| \| Moapa speckled dace \| Rhinichthys osculus \| \| Grated tyronia \| Tyronia clathrata \| \| naucorid bug \| Usingerina moapensis (Limnocoris moapensis) \| \| Mojave gypsum bee \| Andrena balsamorhizae \| \| Red-tailed blazing star bee \| Megandrena mentzeliae \| \| Virgin River perdita \| Perdita crotonis \| \| spurge-loving perdita \| Perdita euphorbiana \| \| Species (common name) \| Species (scientific name) \| Comment \| \|---\|---\|---\| \| unadorned perdita \| Perdita inornata \| NNHP regularly updates and maintains biological information on this species. \| \| Mojave poppy bee \| Perdita meconis \| NNHP regularly updates and maintains biological information on this species. \| \| Mojave Mountain perdita \| Perdita vicina \| NNHP regularly updates and maintains biological information on this species. \| \| desert-loving perdita \| Perdita xerophila \| NNHP regularly updates and maintains biological information on this species. \| \| Bret's blue butterfly \| Euphilotes battoides ssp \| NNHP regularly updates and maintains biological information on this species. \| \| MacNeil sooty wing skipper \| Hesperopsis gracielae \| NNHP regularly updates and maintains biological information on this species. \| \| Desert pocket mouse \| Chaetodipus penicillatus sobrinus \| NNHP compiled and updated records on this species under project 2005-NHP-557-P. \| \| Desert kangaroo rat \| Dipodomys deserti \| NNHP compiled and updated records on this species under project 2005-NHP-557-P. \| \| Townsend's big- eared bat \| Corynorhinus townsendii \| NNHP regularly updates and maintains biological information on this species. \| \| Trichostomum moss \| Trichostomum sweetii \| NNHP regularly updates and maintains biological information on this species. \| \| Banded Gila monster \| Heloderma suspectum cinctum \| NNHP compiled and updated records on this species under project 2005-NHP-557-P. \| \| Black wooly-pod \| Astragalus funereus \| NNHP regularly updates and maintains biological information on this species. \| \| Curve-podded Mojave (halfring) milkvetch \| Astragalus mohavensis var. hemigyrus \| NNHP regularly updates and maintains biological information on this species. \| \| Mokiak milkvetch \| Astragalus mokiacensis \| NNHP regularly updates and maintains biological information on this species. \| \| triangle lobe moonwort \| Botrychium ascendens \| NNHP regularly updates and maintains biological information on this species. \| \| Dainty moonwort \| Botrychium crenulatum \| NNHP regularly updates and maintains biological information on this species. \| \| Virgin River thistle \| Cirsium virginense \| NNHP regularly updates and maintains biological information on this species. \| \| Unusual catseye \| Cypantha insolita \| \|---\|---\| \| silverleaf sunray \| Enceliopsis argophylla \| \| Nevada willowherb \| Epilobium nevadense \| \| Las Vegas Valley buckwheat \| Eriogonum corymbosum var. aureum \| \| Clokey buckwheat \| Eriogonum heermannii var. clokeyi \| \| yellow twotone beardtongue \| Penstemon bicolor ssp. bicolor \| \| Amargosa beardtongue \| Penstemon fruticiformis ssp. amargosae \| \| Meadow Valley sandwort \| Arenaria stenomeres \| \| Ackerman milkvetch \| Astragalus ackermanii \| \| Sheep Mountain milkvetch \| Astragalus amphioxys var. musimonum \| \| remote rabbitbrush \| Chrysothamnus eremobius \| \| Crossidium moss \| Crossidium seriatum \| \| Ripley's biscuitroot \| Cymopterus ripleyi var. saniculoides \| \| Gold Butte moss \| Didymodon nevadensis \| \| sheep fleabane \| Erigeron ovinus \| \| small-footed myotis \| Myotis ciliolabrum \| NNHP regularly updates and maintains biological information on this species. \| \|---\|---\|---\| \| fringed myotis \| Myotis thysanodes \| NNHP regularly updates and maintains biological information on this species. \| \| pygmy poreleaf \| Porophyllum pygmaeum \| NNHP regularly updates and maintains biological information on this species. \| \| Pseudocrossidiu m moss \| Pseudocrossidium crinitum \| NNHP regularly updates and maintains biological information on this species. \| \| Inyo shrew \| Sorex tenellus \| NNHP regularly updates and maintains biological information on this species. \| \| Hidden Forest Uinta chipmunk \| Tamias umbrinus nevadensis \| NNHP regularly updates and maintains biological information on this species. \| \| Moapa Warm Spring riffle beetle \| Stenelmis calida moapa \| NNHP regularly updates and maintains biological information on this species. \| \| Yuma clapper rail \| Rallus longirostrus yumanensis \| NNHP regularly updates and maintains biological information on this species. \| \| Virgin spinedace \| Lepidomeda mollispinis mollispinis \| NNHP regularly updates and maintains biological information on this species. \| \| Spotted bat \| Euderma maculatum \| NNHP regularly updates and maintains biological information on this species. \| \| Greater western mastiff bat \| Eumops perotis californicus \| NNHP regularly updates and maintains biological information on this species. \| \| Allen's big-eared bat \| Idionycteris phyllotis \| NNHP regularly updates and maintains biological information on this species. \| \| California leaf- nosed bat \| Macrotus californicus \| NNHP regularly updates and maintains biological information on this species. \| \| cave myotis \| Myotis velifer \| NNHP regularly updates and maintains biological information on this species. \| \| Yuma myotis \| Myotis yumanensis \| NNHP regularly updates and maintains biological information on this species. \| \| Big free-tailed bat \| Nyctinomops macrotis \| NNHP regularly updates and maintains biological information on this species. \| \| Species (common name) \| Species (scientific name) \| \|---\|---\| \| Clokey fleabane \| Erigeron clokeyi \| \| Rosy twotone beardtongue \| Penstemon bicolor ssp. roseus \| \| Jaeger phacelia \| Phacelia geraniifolia \| \| polished blazingstar \| Mentzelia polita \| \| satintail \| Imperata brevifolia \|
NEWS NABC Spring 2008 No. 36 Providing an open forum for exploring issues in agricultural biotechnology NABC'S PRINCIPAL OBJECTIVES ARE TO: * provide an open forum for persons with different interests and concerns to come together to speak, to listen, to learn, and to participate in meaningful dialogue and eva luation of the potential impacts of agricultural biotechnology * define issues and public policy options related to biotechnology in the food, agricultural, biobased industrial product, and environmental areas * promote increased understanding of the scientific, economic, legislative, and social issues associated with agricultural biotechnol ogy by compiling and disseminating information to interested people * facilitate active communication among researchers, administrators, policymakers, practitioners, and other concerned people to ensure that all viewpoints contribute to the safe, efficacious and equitable development of biotech nology for the benefit of society * sponsor meetings and workshops and publish and distribute reports that provide a foundation for addressing issues. Ralph W. F. Hardy, President Allan Eaglesham, Executive Director Susanne Lipari, Executive Coordinator B15 Boyce Thompson Institute Ithaca, NY 14853 607-254-4856 fax-254-1242 firstname.lastname@example.org http://nabc.cals.cornell.edu/ Letter from the Chair.... Agricultural biotechnology has migrated. It has gone from the margins of farming that it occupied 20 years ago, when the technologies for genetic modification of single traits were developed, to a position much nearer the epicenter of international economies. Increasingly, international economies. Increasingly, it is aligned with non-food requirements of society. In doing so, it is attracting attention from people and organizations that previously took food for granted but that for other reasons now care what the future holds for farming. Renewable energy, chemicals and materials—things that agriculture can provide—are needed to help address concerns about the future of finite resources and the dependence of economies upon them. This is attentiongrabbing stuff. For many farmers, the activity remains the same. It's the annual cycle of seed and harvest, with the variables of genetics, weather, input costs, and prices being present as they were twenty, or for that matter many more, years ago. While it remains that little can be done about the weather, the movement from the margins to a more central position has made the effects of the other variables more dramatic. NABC is in its 21 st year. During the past two decades it has been a venue for dialogue on opportunities and challenges facing North American agriculture. This year's annual meeting, hosted by the Ohio State University, will carry that tradition forward with in-depth discussions on the new position within which agriculture and agricultural biotechnology now find themselves. Appropriately titled Reshaping American Agriculture to Meet its Biofuel and Biopolymer Roles, NABC 20 will bring to the fore dialogue on the issues, the trends and the future of agriculture's broader positioning within the economy. This is necessary and timely dialogue. There are significant human dimensions to the dialogue. The profession of farming continues to be at the interface of rural economies and traditions, while increasingly subject to global forces that influence costs and revenues. The 1 producers of agricultural commodities are typically not a part of value chains that lie downstream of the farm gate. On-going dialogue is needed to assess the research, technology, and economic and public policy to best mitigate trends that put rural livelihoods at risk. NABC-member organizations have a great stake in these matters. The second human dimension to The second human dimension to agricultural biotechnology and its expanding role revolves around students and education. Agricultural biotechnology is more and more an interdisciplinary and multidisciplinary challenge. It is about farming, about chemistry, about physics, about economics, about energy, and about many other things that underpin the new uses of farm products. More than ever before, it is an intensely knowledge-based industry that will depend on a continual infusion of new ideas and entrepreneurship. For these reasons, we have begun to place a greater emphasis on the Student Voice at NABC. Through this program, graduate students from member institutions can not only be a part of the dialogue at the annual meetings, they are also invited to contribute their viewpoints on the matters under discussion at the meeting to the final plenary session, and the Student Voice becomes a part of the published meeting report. continued on page 8 Reshaping American Agriculture to Meet Its Biofuel and Biopolymer Roles NABC 20 will be hosted by the Ohio State University in Columbus, June 3–5 Steve Slack The Ohio State University NABC's twentieth annual meeting will welcome attendees to downtown Columbus, Ohio, June 3–5, 2008. The conference will commence with remarks from Ohio Governor Ted Strickland at a joint luncheon with the Ohio Polymer Summit. With the theme, Reshaping American Agriculture to Meet Its Biofuel and Biopolymer Roles, speakers and attendees will explore trends and issues associated with using crops as resources for renewable energy and as feedstocks for sustainable synthesis of chemicals and materials while capitalizing on generated co-products and by-products. As growth in worldwide demand for petroleum resources has led to increased costs and potential shortages, interest in the utilization of crops as an alternative resource has grown. The diversion of commodities, such as corn, to transportation fuel and other uses is raising concerns over impacts on land use and costs of feed and food. Rate and degree of these trends may be debatable, but it is inevitable that they will reshape the agricultural landscape. The theme will be addressed in four modules designed to frame the questions and further develop insights regarding the issues. Speakers representing expertise in diverse aspects of each topic will present their viewpoints: * Module I: Megatrends Reshaping American Agriculture John Pierce, DuPont Applied Biosciences Steve Pueppke, Michigan State University Benson Lee,Technology Management, Inc. Peter Ashcroft, Environmental Defense * Module II: Optimizing the Value of Co-Products/By-Products Stephen Myers, The Ohio State University Robert Fireovid, USDA Agricultural Research Services Joseph Bozell, University of Tennessee * Module III: Enhancing Productivity of Biofeedstocks Stephen Long, University of Illinois at Urbana-Champaign Robert Avant, Texas A&M University David Bransby, Auburn University * Module IV: Policy Issues Impacting Agriculture and Bioenergy Paul Thompson, Michigan State Paul Thompson, Michigan State University Kenneth Cassman, University of Kenneth Cassman, University of Nebraska Harry de Gorter, Cornell University Following the keynote presentations for modules II, III and IV, invited panelists will reflect on the speakers' comments. Each plenary session will conclude with comments and questions from the audience. And—as is traditional for NABC meetings—participants will gather in smaller "breakout" workshops for further discussions of issues raised in the plenary and Q&A sessions and to formulate recommendations for policymakers. Biographical sketches for the keynote speakers are provided on pages 3-7. The conference will convene at the Hyatt Regency at noon on Tuesday, June 3, with a joint NABC 20-Ohio Polymer Summit luncheon, and will conclude immediately after lunch on Thursday, June 5. NABC-20 attendees will have the option of attending two portions of the Ohio Polymer Summit 2008: * Pre-Summit networking party, Monday, June 2, at 6 PM, and * Summit morning program, Tuesday, June 3, 8:45–11:55 AM. Additional information on these options is available at http://oardc.osu.edu/nabc20. is available at http://oardc.osu.edu/nabc20. Student Voice Grants The Student Voice at NABC initiative will be continued at NABC 20. Grants of up to $750 are available to graduate-student to $750 are available to graduate-student delegates (GSDs, one per NABC-member delegates (GSDs, one per NABC-member institution) to help cover travel and lodging institution) to help cover travel and lodging expenses, with the registration fee waived. expenses, with the registration fee waived. The The Student Voice Student Voice GSDs are expected to GSDs are expected to attend the plenary sessions and workshops attend the plenary sessions and workshops and to meet as a group on the evening of and to meet as a group on the evening of June 4 to identify current and emerging June 4 to identify current and emerging issues in agricultural biotechnology. The issues in agricultural biotechnology. The list of issues will be reported at the meeting list of issues will be reported at the meeting and published in and published in NABC Report 20 NABC Report 20 . . Information on Student Voice grants is available at http://nabc.cals.cornell.edu/ available at http://nabc.cals.cornell.edu/ studentvoice/index.cfm. General Registration Online registration is available at http:// Online registration is available at http:// oardc.osu.edu/nabc20. An early-bird fee of oardc.osu.edu/nabc20. An early-bird fee of $375 applies until May 12, 2008, after which registration will cost $475. This covers the luncheon and dinner on Tuesday, a wine and cheese reception on Wednesday evening, and continental breakfasts lunches and refreshments on Wednesday and Thursday. Also covered are the conference materials and a copy of the proceedings volume scheduled for publication in March 2009. Lodging expenses are not covered by the registration fee. Student Registration 1 The registration fee for students is $100 (http://oardc.osu.edu/nabc20), covering the (http://oardc.osu.edu/nabc20), covering the same items and amenities as the general registration fee; it does not include lodging. Proof of status will be required at the registration desk. Lodging A block of rooms is reserved at the Hyatt Regency at $139 per night for up to four people per room. Parking for registered guests is $10 per day. To receive the reduced room rate, attendees should register online at http://oardc.osu.edu/nabc20 or call 800.233.1234. 1Except for participants in the Student Voice program. Banquet and Luncheon Speakers Christiane Deslauriers studied agronomy and plant breeding at McGill University, and plant biotechnology at the University of Guelph. She joined Agriculture and Agri-Food Canada in 1989, working on regulations for the testing of plants with novel traits. In 1991, she joined the department's research branch as a tree-fruit breeder in Kentville, NS. In 1999, she was appointed director of the Crops and Livestock Research Centre in Charlottetown, PE, and became science director for biodiversity there in 2002. From December 2003 to October 2005, she was acting director general of the Science Bureau in Ottawa where she oversaw research policy, planning and operations. Dr. Deslauriers is responsible for the Charlottetown and Saskatoon Research Centres. She serves also as the science director for biobased products and processes, in which capacity she provides leadership and direction in research to discover and develop new industrial, pharmaceutical and nutritional products from crops and other renewable plant resources and from livestock. She is located on the campus of the University of Prince Edward Island, in facilities jointly occupied by staff of the University and of the National Research Council's Institute for Nutrisciences and Health. jointly occupied by staff of the University and of the National Research Council's Institute for Nutrisciences and Health. ■ In October, 2007, Gordon Gee was appointed president of the Ohio State University, the leading comprehensive teaching and research institution in the state, with campuses in Columbus, Lima, Mansfield, Marion and Newark, the Agricultural Technical Institute and Ohio Agricultural Research and Development Center in Wooster, and extension offices in every county. The university comprises close to 60,000 students, approximately 40,000 faculty and staff, and has an annual budget of $3.8 billion. The main campus in Columbus—the largest in the United States—has nearly 52,000 students. Dr. Gee also has appointments as professor of law and professor of education. Previously he was chancellor of Vanderbilt University (2000–2007) and president of Brown University (1998–2000). He served a first term as president of the Ohio State University from 1990 to 1998, having been president of the University of Colorado (1985–1990), president of West Virginia University (1981–1985), and dean and professor at West Virginia University College of Law (1979–1981). At the J. Reuben Clark Law School of Brigham Young University (1975– 1979), he served as associate/full professor and assistant/associate dean. He has a BA from the University of Utah in history, a JD from Columbia University, and an EdD from Teachers College at Columbia.■ Ted Strickland became governor of Ohio in January, 2007, having served as a member of the US House of Representatives, a minister, a consulting psychologist at the Southern Ohio Correctional Facility and assistant professor of psychology at Shawnee State University. In Congress, he helped author the Children's Health Insurance Program (CHIP), and led efforts to keep promises to America's veterans and to ensure that troops have life-saving equipment. He brought millions in investments to Ohio for roads, technology, economic development and health initiatives. He came to public service not as a lawyer or investor, but as the son of a steelworker born in Lucasville, OH, one of nine children. After graduating from Northwest High School, he attended Asbury College in Kentucky, receiving a BA in history in 1963. He went on to attend the Asbury Theological Seminary, receiving an MD, then continued his studies at the University of Kentucky, where he obtained a doctorate in counseling psychology in 1980. Governor Strickland is guided by his Turnaround Ohio plan, which focuses on the unbreakable link between economic growth and educational achievement.■ Ohio Polymer Summit 2008 The Ohio Polymer Summit 2008, "Success in Tomorrow's Polymer Industry," will be held in conjunction with NABC 20. The Summit is a venue for leaders from Ohio's plastics, rubber and advanced materials companies to learn about technology and business practices that can help their enterprises grow and compete more effectively. NABC 20 participants will have the options of attending two segments of the Ohio Polymer Summit 2008: Pre-Summit Networking Party, Monday, June 2, 6 PM Summit Morning Program, Tuesday, June 3, 8:45—11:55 AM Plenary Speakers Peter Ashcroft earned an undergraduate degree in applied physics from the California Institute of Technology before obtaining a PhD in engineering and public policy from Carnegie Mellon University. His graduate research addressed the use of ground-, air-, and space-based observations to characterize atmospheric methane fluxes. He worked for nearly a decade in satellite microwave remote sensing before receiving the Roger Revelle Global Stewardship Fellowship through the American Association for the Advancement of Science. With that fellowship he moved to Washington, DC, where he concentrated primarily on energy issues while working in the office of Senator Joseph Lieberman. Dr. Ashcroft subsequently accepted a position with the National Climate Campaign of Environmental Defense, where his focus has been fuel and transportation policy. He has taken a leading role in coordinating Defense, where his focus has been fuel and transportation policy. He has taken a leading role in coordinating a council of industrial and non-governmental organizations to develop policies to promote low-carbon fuels a council of industrial and non-governmental organizations to develop policies to promote low-carbon fuels and otherwise reduce the greenhouse impact of vehicle fuels as part of a comprehensive climate policy. and otherwise reduce the greenhouse impact of vehicle fuels as part of a comprehensive climate policy. ■ Robert Avant is the director of the Bioenergy Program at Texas AgriLife Research, part of the Texas A&M University system. Registered as a professional engineer, his >30 years experience includes agricultural production logistics; food, fiber, and oilseed research management; agricultural air-quality engineering; environmental site selection and evaluation; environmental systems design; and biomass and wind-energy research management. Mr. Avant has served as a World Wide Ag Team participant, (John Deere Waterloo Works), and as a member of the Texas Agricultural Forum Steering Committee and the Texas Agriculture Council. He is a member of the American Society of Biological and Agricultural Engineers, the Texas Agricultural Forum Steering Committee, the Texas A&M College of Agriculture Development Council, the USDA Agricultural Air Quality Task Force and the USEPA Clean Air Act Advisory Committee, and is president of Williamson County Farm Bureau. Honors that he has received include the Government Service Award from Professional Agricultural Workers (2003), Distinguished Alumnus, Texas A&M College of Agriculture and Life Sciences (2005), and the Special Service Award, American Society of Agricultural and Biological Engineers, Texas Section (2006). He has BS and MS degrees in agricultural engineering from Texas A&M University.■ Joseph Bozell was appointed associate professor of biomass chemistry at the University of Tennessee's Forest Products Center in April, 2006. He has a BS in chemistry from South Dakota State University, and a PhD from Colorado State University in organic synthesis and organometallic chemistry. After a postdoctoral fellowship at Princeton University, he joined Monsanto's corporate research staff in St. Louis in 1982. In 1989, he joined the staff of the National Renewable Energy Laboratory in Golden, CO, where he rose to the rank of principal scientist in their National Bioenergy Center. His primary research interest is in using the tools of organic chemistry to develop technologies for converting renewable materials (biomass, carbohydrates, lignin, lignocellulosics) into chemical products and polymers. Dr. Bozell has served as editor of two ACS symposium series assessing chemicals from biomass opportunities, Dr. Bozell has served as editor of two ACS symposium series assessing chemicals from biomass opportunities, has organized two ACS symposia on the use of renewables for chemical production, and is an editor of the Wiley journal has organized two ACS symposia on the use of renewables for chemical production, and is an editor of the Wiley journal CLEAN – Soil, CLEAN – Soil, Air, Water Air, Water . He has numerous peer-reviewed publications, meeting and symposium presentations, and has delivered a number of invited . He has numerous peer-reviewed publications, meeting and symposium presentations, and has delivered a number of invited lectures on the topic of chemicals from renewables. In 1999, he was a co-recipient of the Environmental Protection Agency's Presidential lectures on the topic of chemicals from renewables. In 1999, he was a co-recipient of the Environmental Protection Agency's Presidential Green Chemistry Award. Green Chemistry Award. ■ NABC 20 — Reshaping American Agriculture to Meet Its Biofuel and Biopolymer Roles http://oardc.osu.edu/nabc20 http://oardc.osu.edu/nabc20 David Bransby is a professor of energy crops and bioenergy in the Department of Agronomy and Soils at Auburn University. He emigrated from South Africa in 1987, and is a naturalized US citizen. With over 30 years of experience in agronomic research, he has spent 20 years specializing in the production With over 30 years of experience in agronomic research, he has spent 20 years specializing in the production and processing of energy crops, a subject in which he has established an international reputation. With over 300 and processing of energy crops, a subject in which he has established an international reputation. With over 300 technical publications to his credit, he serves on the editorial boards of two international bioenergy journals and technical publications to his credit, he serves on the editorial boards of two international bioenergy journals and consults for several private bioenergy companies. In September of 2006, Dr. Bransby briefed Governor Riley of Alabama and President Bush on the status of the emerging biofuels industry. In February 2007 he was invited to the White House to advise President Bush, Secretary of Energy Samuel Bodman and senior White House officials on the feasibility of large-scale cellulosic biofuel production in the United States over the next 10 years. biofuel production in the United States over the next 10 years. Prior to joining Auburn University, he was a faculty member of the University of Natal. He has a BS and PhD (grassland science) from the University of Natal and MS degrees from the Universities of Missouri and South Africa.■ Kenneth Cassman is the director of the Nebraska Center for Energy Sciences Research at the University of Nebraska, and the Heuermann professor of agronomy. He has worked as an agronomist in Brazil, Egypt and the Philippines, and as a faculty member at the University of California-Davis. His research, teaching, and extension efforts have focused on ensuring local and global food security while conserving natural resources and protecting environmental quality. Dr. Cassman's current efforts include investigating the potential of corn-based cropping systems to produce biofuels, mitigate greenhouse-gas emissions and improve soil and water quality, and the optimization of wateruse efficiency and crop productivity in moisture-limited irrigated agriculture. He has a BS from the University of California-San Diego (1975) and a PhD from the University of Hawaii's College of Tropical Agriculture (1979) and is a fellow of the American Association for the Advancement of Science, the American Society of Agronomy, the Crop Science Society of America, and the Soil Science Society of America. He received the 2004 the American Society of Agronomy, the Crop Science Society of America, and the Soil Science Society of America. He received the 2004 International Plant Nutrition Award from the International Fertilizer Association, and the 2006 Agronomic Research Award from the American Society of Agronomy. His work has been widely published, including inNature,PNAS and and AMBIO.■ Harry de Gorter teaches and conducts research at Cornell University on the political economy and applied welfare economics of agricultural trade policy. Much of his recent work has been on biofuels and agricultural trade reform and the Doha Development Agenda, especially the impact of subsidies and protection on developing countries. His research is both theoretical and empirical with direct policy implications for governments, international institutions and non-governmental organizations. Prior to Cornell, he worked for the International Trade Policy Division of the Canadian government. He has long been involved in advising governments and organizations on issues related to agriculture trade policy, including the EU, FAO, G-20, IMF, OECD, UNCTAD, World Bank and WTO. Dr. de Gorter has published over eighty articles and book chapters, with contributions to the International Library of Critical Writings in Economics, the Handbook of Economics and the Princeton Encyclopedia of the World Economy. Books that include his chapters have twice won the American Agricultural Economics Association's Quality of Communication Award, and he has won the Best Article Award in the Journal of Agricultural and Resource Economics. Recent papers focus on the economics of biofuel policies, WTO disciplines on agriculture, alternative agricultural import barriers, domestic subsidy programs and export subsidies, and the impact of trade liberalization.■ The Student Voice at NABC TRAVEL STIPEND AND FREE REGISTRATION TO ATTEND NABC 20 RAVEL STIPEND AND FREE REGISTRATION TO ATTEND NABC 20 FOR ONE GRADUATE STUDENT FROM EACH NABC MEMBER INSTITUTION OR ONE GRADUATE STUDENT FROM EACH NABC MEMBER INSTITUTION http://nabc.cals.cornell.edu/studentvoice/index.cfm In November, 2004, Robert Fireovid joined the national program staff of the USDA-ARS to help lead research programs in quality joined the national program staff of the USDA-ARS to help lead research programs in quality and utilization (i.e. bioproducts). Previously, he was at the Department of Commerce's National Institute of Standards and Technology where he spent 10 years as a program manager in the Advanced Technology Program (ATP). While at ATP, he led nationwide programs in high-risk/high-payback R&D within the chemical, materials, agricultural and industrial biotechnology industries and worked with companies such as Cargill-Dow, Genencor, Metabolix, Seminis, Cognis, Maxygen/Verdia, Maxygen/Codexis and CropTech. Currently, he is the ARS national program leader for bioenergy research. Dr. Fireovid has been involved in research on bioenergy and biobased products since his PhD work on ethanol fermentation of cellulosic feedstocks over 30 years ago, including bioproducts research on penicillin fermentation and enzymatic production of 6-aminopenicillic acid (Wyeth Laboratories), the conversion of lactic acid to acrylics (Corn Products), and fermentation-derived food additives (Hercules). In addition to a PhD in chemical engineering, he has an MBA from Northwestern University. He served as a business manager at Black & Decker and GE Plastics.■ Benson Lee is the founding CEO of Technology Management, Inc. (TMI), a Cleveland-based developer of modular, solid-oxide fuel-cell (SOFC) systems for kilowatt-scale, "on-the-farm," rural and mobile applications. Developed originally by SOHIO/British Petroleum, the system operates on a range of liquid and gas fuels and is designed for operation and maintenance by end-users without special tools, equipment or access to a trained service workforce. To identify cost-effective biomass-waste-to-energy applications in agriculture, TMI has formed collaborations with the Colleges of Agriculture at Cornell University and the Ohio State University. The current system prototype—using biomass-derived fuels such as ethanol and transitional fuels such as natural gas—is being engineered to begin field-testing. Mr. Lee received his BEE and MA in engineering from Cornell University. He has specialized in product development and commercialization throughout his career, starting with IBM and Westinghouse, and continuing as a fulltime entrepreneur. He is a trustee (emeritus) of Cornell and is on the board of Cornell's Center for Sustainable Global Enterprise at the Johnson School of Management. In Cleveland, he serves on the boards of the Cleveland Foundation, the Ohio Fuel Cell Coalition and the Nance School of Business at Cleveland State University.■ Stephen Long has a BS in agricultural botany from the University of Reading (UK) and a PhD from the University of Leeds. He was professor of environmental biology at the University of Essex, and has held appointments at Brookhaven National Laboratory, the Smithsonian Institution and the University of Vienna. He moved to the University of Illinois in 1999 to his present position: Robert Emerson professor in plant biology and crop sciences. Dr. Long is founding and chief editor of Global Change Biology and is listed by the Institute of Scientific Information as one of the 250 most highly cited authors in plant and animal biology, and one of the twenty most cited authors on global change. He has been a contributing author and referee for Assessment Reports on the scientific basis for climate change for the UN Intergovernmental Panel on Climate Change, and has served on several national and international committees for research on renewable energy and global change. He is deputy director of the University of California-Berkeley and University of Illinois Energy Bioscience Institute— which was recently awarded $500 million over 10 years by BP. He is a fellow of the American Academy for the Advancement of Sciences.■ Stephen Myers is assistant director of the Ohio State University's Ohio Agricultural Research and Development is assistant director of the Ohio State University's Ohio Agricultural Research and Development Center and director of the Ohio BioProducts Innovation Center. The latter is a research venture funded by Ohio's Third Frontier Program, integrating academia and industry for the development of renewable specialty chemicals, polymers/plastics and advanced materials. The venture builds on the strength of two of Ohio's largest industries— agriculture and the chemicals, plastics and rubber materials sector—with significant involvement of Battelle, the National Renewable Energy Laboratory, and USDA. The Center leverages significant core-research capabilities at the Ohio State University, including the Ohio Agricultural Research and Development Center, the Molecular and Cellular Imaging Center, the Plant Biotechnology Center, the Center for Advanced Polymers and Composite Engineering, and the Center for Advanced Processing and Packaging Studies. With major leadership from the Battelle Memorial Institute, Center alliance members include Archer Daniels Midland, Cargill, Cooper Tire, Delphi Packard Electric, Delta Plant Technologies, National Renewable Energy Lab, Oak Ridge National Lab, Ohio Polymer Strategy Council, Owens Corning, Pacific Northwest National Lab, PolyOne Corporation, Proctor and Gamble, Scotts and Sherwin-Williams.■ John Pierce is vice president of technology at DuPont Applied BioSciences, with responsibility for DuPont's biotechnology R&D efforts in the production of fuels, chemicals and materials. He began his career at DuPont in 1982 as a research scientist in Central Research & Development (CR&D). He moved to agricultural products in 1988 and held research-management positions in agricultural biotechnology and in crop-protection chemical discovery. In 1994, he became director of chemical and biological sciences in CR&D, where DuPont's current focus on industrial biotechnology began to take shape. From 1996 to 1998, Dr. Pierce was based in Paris as planning manager for agricultural products for Europe, the Middle East and Africa. Upon returning to Wilmington, he worked to integrate the agricultural biotechnology research efforts of DuPont and its subsidiary Pioneer Hi-Bred International. In 2001, he returned to CR&D as director of biochemical sciences and engineering and was named to his current position in June 2006. He is a founding board member of the Society of Biological Engineering and serves as a member of the Department of Energy's Biological and Environmental Research Advisory Committee. He has a BS degree from Penn State and a PhD from Michigan State University.■ On January 1, 2006, Steven Pueppke became director of the Michigan Agricultural Experiment Station and assistant vice president for research and graduate study at Michigan State University (MSU). Shortly after his arrival, he was appointed to serve also as the director of the Office of Bio-Based Technologies. It was a homecoming of sorts. The Fargo, ND, native received his undergraduate degree in horticulture from MSU. He also has a doctorate in plant pathology from Cornell University. Dr. Pueppke came to MSU from the University of Illinois, where he served as associate dean for research in the College of Agricultural, Consumer and Environmental Sciences (1998–2005), as a professor of crop sciences and as director of the University of Illinois National Soybean Research Laboratory and of Global Connect, an initiative focused on globalization of the college's academic, research and outreach programs. Before moving to Illinois, he served as chairman of the Department of Plant Pathology at the University of Missouri and as plant sciences unit leader. He was also a faculty member in the Departments of Plant Pathology at the University of Florida and of Biology at the University of Missouri-St. Louis (1976–1979), and was a senior research associate at the Charles F. Kettering Laboratories (1975–1976).■ Paul Thompson holds the W. K. Kellogg Chair in Agricultural, Food and Community Ethics at Michigan State University, where he is also a professor in the Philosophy, Agricultural Economics and Community, Agriculture, Recreation and Resource Studies Departments. He formerly held positions in philosophy at Texas A&M and Purdue Universities. He has been engaged in teaching and research and on ethical issues associated with food production and consumption for 25 years, and is the author or editor of seven books and over one hundred journal articles and book chapters. In 1997, Dr. Thompson published Food Biotechnology in Ethical Perspective, the first book-length philosophical treatment of agricultural biotechnology; it was released as a second edition in March 2007. He has traveled the world speaking on this subject. He is a two-time recipient of the American Agricultural Economics Association Award for Excellence in Communication, including for his 1992 book on US agricultural policy (with four coauthors): Sacred Cows and Hot Potatoes and Hot Potatoes . He serves on numerous advisory boards, including Genome Canada's Science and Industry Advisory Committee. . He serves on numerous advisory boards, including Genome Canada's Science and Industry Advisory Committee. Thompson is the principal investigator on a National Science Foundation project to examine ethical issues associated with the development Thompson is the principal investigator on a National Science Foundation project to examine ethical issues associated with the development of nanotechnologies in agriculture and food. of nanotechnologies in agriculture and food. ■ Visit NABC on the web to download NABC reports and white papers or to sign up to receive future NABC publications automatically. http://nabc.cals.cornell.edu continued from page 2 continued from page 1 Attendees must make their reservations by May 6 to receive the reduced rate. Transportation Attendees traveling by air should fly into the Port Columbus International Airport. Transportation options from the airport to the hotel and directions for those traveling by car are available on the NABC 20 website. For questions about NABC 20, please contact: Mary Wicks Ohio Agricultural Research and Development Center Ag Engineering Building 1680 Madison Avenue Wooster, OH 44691 330.345.3355 fax: 330.263.3670 email@example.com http://oardc.osu.edu/nabc20 http://oardc.osu.edu/nabc20 There was a time when farming was a hobby that someone might take up in retirement. Today, however, it would be no easier to take up farming than it would be to take up science or economics. That is what happens when you move from the margins to the center. NABC 20 is the latest in what will undoubtedly be an ongoing dialogue on how to deal with that reality and find the sustainable opportunities within it.■
NO NO NO NO NO NOTICE-CUM-ADDENDUM TICE-CUM-ADDENDUM TICE-CUM-ADDENDUM TICE-CUM-ADDENDUM NOTICE Principal Pnb Asset Management Company Pvt. Ltd. (CIN : U25000MH1991PTC064092) Exchange Plaza, 'B' Wing, Ground Floor, NSE Building, Bandra Kurla Complex, Bandra (East), Mumbai-400 051 Toll Free: 1800 425 5600 Fax: (022) 6772 0512 • E-mail: firstname.lastname@example.org • Visit us at: www.principalindia.com TICE-CUM-ADDENDUM TICE-CUM-ADDENDUM TTTTTO O O THE SCHEME INFORMA THE SCHEME INFORMA THE SCHEME INFORMA THE SCHEME INFORMA THE SCHEME INFORMATION DOCUMENT (SID) AND KEY INFORMA TION DOCUMENT (SID) AND KEY INFORMA TION DOCUMENT (SID) AND KEY INFORMA TION DOCUMENT (SID) AND KEY INFORMA TION DOCUMENT (SID) AND KEY INFORMATION MEMORANDUM (KIM) OF PRINCIP TION MEMORANDUM (KIM) OF PRINCIP TION MEMORANDUM (KIM) OF PRINCIP TION MEMORANDUM (KIM) OF PRINCIP TION MEMORANDUM (KIM) OF PRINCIPAL DEBT SA AL DEBT SA AL DEBT SA AL DEBT SA AL DEBT SAVINGS FUND - MONTHL VINGS FUND - MONTHL VINGS FUND - MONTHL VINGS FUND - MONTHL VINGS FUND - MONTHLY INCOME PLAN (AN OPEN-ENDED INCOME SCHEME) [1 Y INCOME PLAN (AN OPEN-ENDED INCOME SCHEME) [1 Y INCOME PLAN (AN OPEN-ENDED INCOME SCHEME) [1 Y INCOME PLAN (AN OPEN-ENDED INCOME SCHEME) [1 Y INCOME PLAN (AN OPEN-ENDED INCOME SCHEME) [19/ 9/9/ 9/9/2016] 2016] NOTICE IS HEREBY GIVEN NOTICE IS HEREBY GIVEN NOTICE IS HEREBY GIVEN NOTICE IS HEREBY GIVEN NOTICE IS HEREBY GIVEN to the Unitholders of Principal Debt Savings Fund - MIP (An open-ended Income Scheme) of Principal Mutual Fund that the Board of Directors of Principal Pnb Asset Management Company Private Limited ("AMC") and Principal Trustee Company Private Limited ("Trustees") have approved and fully support the restructure/conversion of Principal Debt Savings Fund - MIP [hereinafter referred to as "the Scheme"] into Principal Equity Savings Fund (An open-ended Equity Scheme) as detailed here below: \| PPPPPaaaaarrrrrtttttiiiiicccccuuuuulllllaaaaarrrrrsssss \| TTTTTaaaaabbbbbllllleeeee AAAAA ----- EEEEExxxxxiiiiissssstttttiiiiinnnnnggggg FFFFFeeeeeaaaaatttttuuuuurrrrreeeeesssss \| TTTTTaaaaabbbbbllllleeeee BBBBB ----- PPPPPrrrrrooooopppppooooossssseeeeeddddd FFFFFeeeeeaaaaatttttuuuuurrrrreeeeesssss \| \|---\|---\|---\| \| NNNNNaaaaammmmmeeeee ooooofffff ttttthhhhheeeee SSSSSccccchhhhheeeeemmmmmeeeee \| PPPPPrrrrriiiiinnnnnccccciiiiipppppaaaaalllll DDDDDeeeeebbbbbttttt SSSSSaaaaavvvvviiiiinnnnngggggsssss FFFFFuuuuunnnnnddddd ----- MMMMMooooonnnnnttttthhhhhlllllyyyyy IIIIInnnnncccccooooommmmmeeeee PPPPPlllllaaaaannnnn (Monthly income is not assured and subject to availability of distributable surplus) \| PPPPPrrrrriiiiinnnnnccccciiiiipppppaaaaalllll EEEEEqqqqquuuuuiiiiitttttyyyyy SSSSSaaaaavvvvviiiiinnnnngggggsssss FFFFFuuuuunnnnnddddd \| \| TTTTTyyyyypppppeeeee ooooofffff SSSSSccccchhhhheeeeemmmmmeeeee \| An open-ended Income Scheme \| An open-ended Equity Scheme \| \| IIIIInnnnnvvvvveeeeessssstttttmmmmmeeeeennnnnttttt OOOOObbbbbjjjjjeeeeeccccctttttiiiiivvvvveeeee \| To generate regular income through investments in fixed income securities so as to make periodical income distribution to the Unitholders and also to generate long-term capital appreciation by investing a portion of the Scheme’s assets in equity and equity related instruments. \| The investment objective of the Scheme is to provide capital appreciation and income distribution to the investors by using equity and equity related instruments, arbitrage opportunities, and investments in debt and money market instruments. However, there can be no assurance that the investment objective of the Scheme will be realized or that income will be generated and the scheme does not assure or guarantee any returns. \| \| IIIIInnnnnvvvvveeeeessssstttttmmmmmeeeeennnnnttttt SSSSStttttrrrrraaaaattttteeeeegggggyyyyy \| To achieve the investment objective, assets under the Plan will be invested in wide range of fixed income and money market instruments. The Plan may also invest a small part of its assets in equity/equity related instruments including units of equity mutual fund schemes. Further the Plan may also invest in financial derivatives such as options and futures & Interest Rate Swap (IRS) that are permitted or may become permissible under SEBI/ RBI Regulations. The proportion of assets to be so invested would be decided by the AMC at the appropriate time, and would be done in accordance with the relevant guidelines to be issued by SEBI/RBI and other authorities. \| The investment strategy is aimed at generating income by investing in arbitrage opportunities in the cash and derivatives segments of the equity markets and in debt securities and at the same time attempting to enhance returns through long exposure in equity and equity related instruments. If suitable arbitrage opportunities are not available in the opinion of the Fund Manager, the Scheme may predominantly invest in debt and money market securities. (For further details on the strategy Refer Note 1) \| Plans/Options Plans/Options Plans/Options Plans/Options Plans/Options Two Plans are available under the Scheme/Plan: Two Plans will be available under the Scheme/Plan: Regular Plan & Direct Plan Regular Plan & Direct Plan Regular Plan & Direct Plan Regular Plan & Direct Plan Regular Plan & Direct Plan Regular Plan & Direct Plan Each of the Plans mentioned above offers Growth and Dividend Option. Dividend Option offers the frequency of Monthly and Quarterly payouts. The Dividend Option under both the Plans will have the facility of Payout, Reinvestment and Sweep, while Growth Option offers Auto Earning Payout and Accumulation facility. Each of the Plans mentioned above will offer Growth and Dividend Option. Dividend Option will offer the frequency of Half-Yearly and Quarterly payouts. The Monthly Dividend Option will be renamed to HalfYearly. Quarterly Dividend Option will continue to be offered. The Dividend Option under both the Plans will have the facility of Payout, Reinvestment and Sweep. Default Option: Default Option: Default Option: Default Option: Default Option: Refer table below for understanding the result for various options selected by the investor for applications - \| SSSSSccccceeeeennnnnaaaaarrrrriiiiiooooo \| BBBBBrrrrroooookkkkkeeeeerrrrr CCCCCooooodddddeeeee mmmmmeeeeennnnntttttiiiiiooooonnnnneeeeeddddd bbbbbyyyyy ttttthhhhheeeee iiiiinnnnnvvvvveeeeessssstttttooooorrrrr \| PPPPPlllllaaaaannnnn mmmmmeeeeennnnntttttiiiiiooooonnnnneeeeeddddd bbbbbyyyyy ttttthhhhheeeee iiiiinnnnnvvvvveeeeessssstttttooooorrrrr \| DDDDDeeeeefffffaaaaauuuuulllllttttt PPPPPlllllaaaaannnnn tttttooooo bbbbbeeeee cccccaaaaappppptttttuuuuurrrrreeeeeddddd \| \|---\|---\|---\|---\| \| 1 \| Not mentioned \| Not mentioned \| Direct Plan \| \| 2 \| Not mentioned \| Direct \| Direct Plan \| \| 3 \| Not mentioned \| Regular \| Direct Plan \| \| 4 \| Mentioned \| Direct \| Direct Plan \| \| 5 \| Direct \| Not Mentioned \| Direct Plan \| \| 6 \| Direct \| Regular \| Direct Plan \| \| 7 \| Mentioned \| Regular \| Regular Plan \| As mentioned above Investors should indicate the plan for which the subscription is made by indicating the choice in the appropriate box provided for this purpose in the application form. In cases of wrong/invalid/incomplete ARN codes mentioned on the application form, the application shall be processed under Regular plan. The AMC shall contact and obtain the correct ARN code within 30 calendar days of the receipt of the application form from the investor/distributor. In case, the correct code is not received within 30 calendar days, the AMC will reprocess the transaction under Direct plan from the date of application without any exit load 30% Nifty 50 Index + 70% CRISIL Liquid Fund Index CRISIL MIP Blended Index Under normal circumstances, the asset allocation will be as under: Under normal circumstances, the asset allocation will be as under: Type of Instruments Type of Instruments Type of Instruments Type of Instruments Type of Instruments Normal Normal Normal Normal Normal allocation allocation allocation allocation allocation Risk Risk Risk Risk Risk (% of Net Assets) (% of Net Assets) (% of Net Assets) (% of Net Assets) (% of Net Assets) Upto 100% Upto 15% Profile Profile Profile Profile Profile Low to medium Medium to High \| Equity and equity related instruments \| 65 \| 90 \| Medium to High \| \|---\|---\|---\|---\| \| Of which Net Long Equity Exposure (including units of Equity Mutual Fund Schemes)* \| 20 \| 30 \| High \| \| Of which Equity Exposure Equity (only arbitrage opportunity)** \| 40 \| 70 \| Low to Medium \| \| Debt securities and money market instruments# (including margin for derivatives) and Fixed Income Derivatives \| 10 \| 35 \| Low \| Debt & Money Market Instruments (including Securitised Debt upto 50%) Equity and Equity Related Instruments (including units of Equity Mutual Fund Schemes) Investment in derivatives shall be upto 35% of the net assets of the Scheme. Investment in ADRs / GDRs shall be not exceeding 15% of the Scheme's assets. Investment in Overseas. Financial Debt Instruments including units of Overseas Mutual Funds shall not be exceeding 25% of the Scheme's assets. Subject to the SEBI Regulations, the Mutual Fund may deploy * In the scheme, unhedged equity exposure shall be limited to 30% of the upto 50% of its total net assets of the Scheme in Stock Lending. portfolio value. Unhedged equity exposure means exposure to equity shares alone without a corresponding equity derivative exposure. ** Equity exposure would be completely hedged with corresponding equity derivatives; the exposure to derivatives shown in the above asset allocation tables is exposure taken against the underlying equity investments and should not be considered for calculating the total asset allocation and / or investment restrictions on the issuer. The margin money requirement for the purposes of derivative exposure may be held in the form of Term Deposits. # The Scheme may invest in Treasury Bills, Repos, Reverse Repos, Collateralized Borrowing and Lending Obligations ("CBLO"), cash and cash equivalents and units of Debt/Liquid/ Money Market Mutual Fund Schemes. When adequate arbitrage opportunities are not available in the Derivative and Equity markets, the anticipated alternate asset allocation on defensive considerations would be in accordance with the allocation given below. However, in case no arbitrage opportunity is available, then 100% of the remaining investible corpus (excluding margin for derivatives and to the extent not deployed in arbitrage opportunities in the asset allocation pattern mentioned above) will be deployed in short term debt and money market instruments with tenure not exceeding 91 days (including investments in securitized debt). \| TTTTTyyyyypppppeeeee ooooofffff IIIIInnnnnssssstttttrrrrruuuuummmmmeeeeennnnntttttsssss \| MMMMMiiiiinnnnniiiiimmmmmuuuuummmmm (((((%%%%%))))) \| MMMMMaaaaaxxxxxiiiiimmmmmuuuuummmmm (((((%%%%%))))) \| \|---\|---\|---\| \| Equity and equity related instruments \| 20 \| 75 \| \| Of which Net Long Equity Exposure (including units of Equity Mutual Fund Schemes)* \| 20 \| 30 \| \| Of which Hedged Equity Exposure (only arbitrage opportunity)** \| 0 \| 55 \| \| Debt securities and money market instruments# (incl. margin for Derivatives) and Fixed Income Derivatives \| 25 \| 80 \| * In the scheme, unhedged equity exposure shall be limited to 30% of the portfolio value. Unhedged equity exposure means exposure to equity shares alone without a corresponding equity derivative exposure ** Equity exposure would be completely hedged with corresponding equity derivatives; the exposure to derivatives shown in the above asset allocation tables is exposure taken against the underlying equity investments and should not be considered for calculating the total asset allocation and / or investment restrictions on the issuer. The margin money requirement for the purposes of derivative exposure may be held in the form of Term Deposits. # The Scheme may invest in Treasury Bills, Repos, Reverse Repos, Collateralized Borrowing and Lending Obligations ("CBLO"), cash and cash equivalents and units of Debt/Liquid/ Money Market Mutual Fund Schemes. Particulars Particulars Particulars Particulars Particulars Table A - Existing Features Table A - Existing Features Table A - Existing Features Table A - Existing Features Table A - Existing Features Table B - Proposed Features Investment in Securitized Debt may be up to 30% of the net assets of the Scheme. Subject to the SEBI Regulations, the Mutual Fund may deploy upto 50% of its total net assets of the Scheme in Stock Lending. Further, Unit holders are requested to note that post said changes, the Scheme will be treated as equity oriented scheme as per the extant Income-tax laws. However, at the time of changes in the investment pattern during defensive considerations as stated above, the fund manager may choose to have a lower equity exposure. Accordingly, the Scheme may not be able to meet the criteria for equity oriented scheme as specified under the extant Income-tax laws. Consequently, the Unit holders may not be able to avail tax advantage available to an equity oriented fund in that particular financial year. During the defensive circumstances the Tax benefit available for equity oriented scheme will not be applicable and shall be communicated to unit holders vide letters, addendum published in the newspapers as per regulations. Refer Note 2 i) Equity and equity-related Securities including but not limited to derivatives (stock futures/ index futures and other such permitted derivative instruments including options), equity warrants and convertible instruments. ii) The securities mentioned above could be listed or unlisted, secured or unsecured, and of varying maturity, as enabled under SEBI (MF) Regulations/circulars/ RBI. The securities may be acquired through Initial Public Offerings (IPOs), secondary market operations, private placement, rights offers or negotiated deals. iii) The Scheme may also invest in units of equity mutual fund schemes without charging any fees on such investments, within the limits specified under SEBI Regulations; iv) Securities created and issued by the Central and State Governments and/or repos/reverse repos in such Government Securities as may be permitted by RBI (including but not limited to coupon bearing bonds, zero coupon bonds and treasury bills). v) Securities guaranteed by the Central and State Governments (including but not limited to coupon bearing bonds, zero coupon bonds and treasury bills). vi) Debt obligations of domestic Government agencies and statutory bodies, which may or may not carry a Central/State Government guarantee. vii) Corporate debt and Debentures (including repo in corporate bonds) (of both public and private sector undertakings). viii) Money Market Instruments include commercial papers, commercial bills, treasury bills, Government of India Securities having an unexpired maturity upto one year, call or notice money, certificates of deposit, Repos, Reverse Repos, Bills Re-discounting CBLOs and any other like instruments as specified by Reserve Bank of India from time to time. ix) Deposits with domestic banks and other corporate bodies as may be permitted by SEBI from time to time. x) Scheme may also invest a part of its assets in financial derivatives such as options and futures & Interest Rate Swaps (IRS) (comprising of government securities) that are permitted or may become permissible under SEBI/RBI Regulations. xi) The Scheme may invest a part of its corpus in Debt and Money Market Securities/Units of Liquid/Money Market/Debt Mutual Fund Schemes. xii) However, due to market conditions, the AMC may invest beyond the range set out above. Such deviations shall normally be for a short term defensive considerations, and the intention being at all times to protect the interests of the Unit Holder. xiii) Domestic securitized debt, pass through obligations, various types of securitization issuances, including but not limited to asset backed securitization, mortgage backed securitization, and personal loan backed securitization. xiv) Securities Lending & Borrowing as permitted by SEBI from time to time. Refer Note 4 If redeemed /switched on or before 365 days from the date of allotment - 1%. After 365 days - NIL. When interest rates fall, the price of a debt security rises and when interest rates rise, the price declines. In addition, the value of securities held by the Scheme may be affected by factors such as credit rating of the entity that issues the debt security and effective maturities of the debt securities. Lower quality and longer maturity debt securities will be subject to greater credit risk and price fluctuations than higher quality and shorter maturity debt securities. As with all Mutual Funds, if the units are redeemed when their value is less than the price paid for, money may be lost by the Unitholder. The value of the equity securities owned by the Scheme changes on a daily basis. Equity security prices reflect the activities of individual companies and general market and economic conditions. In the short term, equity security prices can fluctuate dramatically in response to these factors. The corpus of the Plan will be predominantly invested in Debt and Money Market Instruments including securitised debt. The Plan will invest part of its corpus in Equity and Equity Related Instruments, including units of Equity Mutual Fund Schemes. At present Mutual Funds are not permitted to participate in Inter Bank Calls. The Plan will participate in Inter Bank Calls only when Mutual Funds are permitted to do so. The Plan may participate in securities lending as permitted under the Regulations. The Plan may also invest in another schemes managed by the same AMC or by the AMC of any other mutual fund without charging any fees on such investments, within the limits specified under SEBI Regulations. The Asset Management Company further reserves the right to invest in derivatives and foreign securities subject to SEBI / RBI or any other Regulatory Authorities permitted from time to time. Investment in foreign securities will only be made in instruments denominated in US Dollar, Singapore Dollar, Japanese Yen, Euro or Sterling Pound or any other liquid currency as may be decided by AMC from time to time. Foreign securities shall without limitation include:- * ADRs/ GDRs issued by Indian or foreign companies. * Foreign debt securities in the countries with fully convertible currencies, short term as well as long term debt instruments with rating not below investment grade by accredited/ registered credit rating agencies. * Money market instruments rated not below investment grade. * Repos in the form of investment, where the counterparty is rated not below investment grade. * Government securities where the countries are rated not below investment grade. * Derivatives traded on recognized stock exchanges overseas only for hedging and portfolio balancing with underlying as securities. * Short term deposits with banks overseas where the issuer is rated not below investment grade. * Units/securities issued by overseas mutual funds or unit trusts registered with overseas regulators and investing in (a) aforesaid securities, (b) Real Estate Investment Trusts (REITs) listed in recognized stock exchanges overseas or (c) unlisted overseas securities (not exceeding 10% of their net assets). And such other Securities as may be prescribed by SEBI/RBI from time to time. Refer Note 3 If redeemed on or before 1 year from the date of allotment - 1% Applicable tax rates for financial year 2015-16 – Updated with the amendments as per the Finance Act, 2015 for Debt Oriented Funds. Applicable tax rates for financial year 2015-16 – Updated with the amendments as per the Finance Act, 2015 for Equity Oriented Funds. \| Tax on Distributed Income (DDT) \| Nil \| Not subject to Dividend Distribution tax \| \|---\|---\|---\| \| CCCCCaaaaapppppiiiiitttttaaaaalllll GGGGGaaaaaiiiiinnnnn \| \| \| \| Long-term Capital Gain 1 \| Nil \| Nil \| 1 Capital gains arising on the transfer or redemption of equity oriented units should be regarded as long-term capital gains if such units are held for a period of more than 12 months, immediately preceding the date of transfer. 2 Plus applicable surcharge; and education cess at the rate of 2% on incometax and surcharge and secondary and higher education cess at the rate of 1% on income-tax and surcharge. For rates of surcharge, please refer to the clause on Taxation in the SAI. Investors may be subject to Minimum Alternate Tax / Alternate Minimum Tax under section 115JB of the Act / Section 115JC of the Act respectively. This chart is prepared on assumption that the investment in units of Mutual Fund would be characterised as capital assets in the hands of the unit holder. Where the Fund receives any income from investments made in overseas jurisdiction, the same may be subject to withholding tax (or any other tax) in the relevant jurisdiction from which the income is received. As the income of the fund is exempt from tax in India, credit / refund in respect of such foreign taxes may not be available in India. Upon redemption of the units, securities transaction tax would be payable by the unit holders @ 0.001% of the redemption price. (Contd. on next page) # Rates are exclusive of surcharge at the rate of 12% and education cess at the rate of 3%. Additional tax on income distributed to unit-holders should be levied on the amount of income to be distributed including such additional tax (i.e. grossing-up), as against levy on only the amount of income to be distributed thereby resulting in a higher effective tax rate. ## Capital gains arising on transfer or redemption of "other than equity oriented units" should be regarded as long-term capital gains if such units are held for a period of more than 36 months, immediately preceding the date of transfer. * Plus applicable surcharge; and education cess at the rate of 2% on income-tax and surcharge and secondary and higher education cess at the rate of 1% on income-tax and surcharge. For rates of surcharge, please refer to the clause on Taxation in the SAI. Benchmark Benchmark Benchmark Benchmark Benchmark Asset Allocation Pattern Scheme Specific Scheme Specific Scheme Specific Scheme Specific Scheme Specific Risk Factors Risk Factors Risk Factors Risk Factors Risk Factors Where will the Scheme Invest? Investment Restrictions Exit Load Taxation Taxation Taxation Taxation Taxation Principal Pnb Asset Management Company Pvt. Ltd. (CIN : U25000MH1991PTC064092) Exchange Plaza, 'B' Wing, Ground Floor, NSE Building, Bandra Kurla Complex, Bandra (East), Mumbai-400 051 Toll Free: 1800 425 5600 Fax: (022) 6772 0512 • E-mail: email@example.com • Visit us at: www.principalindia.com \| PPPPPaaaaarrrrrtttttiiiiicccccuuuuulllllaaaaarrrrrsssss \| TTTTTaaaaabbbbbllllleeeee AAAAA ----- EEEEExxxxxiiiiissssstttttiiiiinnnnnggggg FFFFFeeeeeaaaaatttttuuuuurrrrreeeeesssss \| TTTTTaaaaabbbbbllllleeeee BBBBB ----- PPPPPrrrrrooooopppppooooossssseeeeeddddd FFFFFeeeeeaaaaatttttuuuuurrrrreeeeesssss \| \|---\|---\|---\| \| \| Investors may be subject to Minimum Alternate Tax / Alternate Minimum Tax under section 115JB of the Act / Section 115JC of the Act respectively. This chart is prepared on assumption that the investment in units of Mutual Fund would be characterised as capital assets in the hands of the unit holder. Where the Fund receives any income from investments made in overseas jurisdiction, the same may be subject to withholding tax (or any other tax) in the relevant jurisdiction from which the income is received. As the income of the fund is exempt from tax in India, credit / refund in respect of such foreign taxes may not be available in India. For further details on taxation please refer to the clause on Taxation in the SAI. \| Upon conversion of the scheme, no new units would be issued to the investors and it would not be shown as 'switch-in' and 'switch- out' in their account statement. Hence, it should not be regarded as 'transfer' as per section 2(47) of the Income-tax Act, 1961 ('the Act'). Change in the nomenclature of the scheme will not have any impact in determining whether the transaction should be regarded as ‘transfer’ for the purpose of section 2(47) of the Act. Hence, there should not be any capital gains tax implications in the hands of the investors who would agree for conversion of the scheme. In case of investors who would not agree for conversion and submits redemption request, their units would be redeemed. This should be regarded as ‘transfer’ as per section 2(47) of the Act. Accordingly, redemption of units should result in capital gains tax implications in the hands of the investors based on the rates given in Table ‘A’. As per Explanation to section 10(38) of the Income tax Act, 1961 (‘Act’), an equity oriented fund means a fund where the investible funds are invested by way of equity shares in domestic companies to the extent of more than 65% of total proceeds of such fund. The percentage of equity shareholding is to be computed with reference to annual average of monthly averages of the opening and closing amounts. As and when the fund would satisfy the 65% test, it should be regarded as an equity oriented fund for the purposes of the Act. Hence from tax standpoint (DDT, STT, Capital Gains etc.) the fund would remain as “Other than Equity Oriented Fund” till it achieves the status of an “Equity Oriented Fund” as explained above. For further details on taxation please refer to the clause on Taxation in the SAI. \| Accounts Statements Units With Depository The units of the Scheme(s) are admitted for dematerialization with the Depositories and the unit holders will have the option to convert their existing units into dematerialized mode. Accordingly existing unitholders having an account statement who may wish to seek dematerialization of their Units, would have to submit a request with their Depository Participant by filling up the Dematerialization Request Form (DRF) along with the account statement issued by the Fund. The same number of Units held in the physical mode shall be continued in the demat mode. The expenses incurred by the AMC in dematting of the referred units may be recovered from unitholders or may be charged to the scheme(s) as per annual recurring expenses. Account statement for transactions of demat units of the scheme in the market may be obtained from the depository participants with whom the investor holds DP Account. Mr. Pankaj Jain This product is suitable for investors who are seeking ~ * Income and Capital Growth over a medium term investment horizon. * Investment primarily in debt/money market securities with exposure in equity & equity related instruments including equity derivatives. ~ Investors should consult their financial advisers if in doubt about whether the product is suitable for them. NOTES: Note 1 – Investment Strategy Note 1 – Investment Strategy (Contd.) for Principal Equity Savings Fund: for Principal Equity Savings Fund: Net Long Equity : The Scheme will invest its assets in a portfolio of equity and equity related instruments including units of Equity mutual Funds Schemes. The focus of the investment strategy would be to identify stocks which can provide capital appreciation in the long term. Companies selected for the portfolio which in the opinion of the AMC would possess some of the characteristics mentioned below: - Superior management quality - Distinct and sustainable competitive advantage - Good growth prospects; and - Strong financial strength Equity Derivatives: The Scheme will endeavor to invest predominantly in arbitrage opportunities between spot and futures prices of exchange traded equities. In absence of profitable arbitrage opportunities available in the market, the Scheme may predominantly invest in short-term debt and money market securities. The fund manager will evaluate the difference between the price of a stock in the futures market and in the spot market. If the price of a stock in the futures market is higher than in the spot market, after adjusting for costs and taxes the Scheme shall buy the stock in the spot market and sell the same stock in equal quantity in the futures market, simultaneously. For example, on December 4, 2014, the Scheme buys a share of XYZ Company on spot @ ` 1,000 and at the same time sells XYZ Company futures for December 2014 expiry @ ` 1,020. The Scheme thus enters into a fully hedged transaction by selling the equity position in the futures market for expiry on say December 24, 2014. If the Scheme holds this position till expiry of the futures, the Scheme earns profit of ` 20 on the date of expiry before accounting for trading costs and taxes. In case the Scheme has to unwind the transaction prior to the expiry date on account of redemption pressures or any other reason, the returns would be a function of the spread at which the transaction is unwound. For example, if spot is sold at ` 980 and the futures are bought at ` 1,010 then there would be negative returns on the trade. If the spot is sold at ` 1,020 and the futures are bought at ` 1,015 then there would be positive returns from the trade. On the date of expiry, if the price differential between the spot and futures position of the subsequent month maturity still remains attractive, the Scheme may rollover the futures position and hold onto the position in the spot market. In case such an opportunity is not available, the Scheme would liquidate the spot position and settle the futures position simultaneously. Rolling over of the futures transaction means unwinding the short position in the futures of the current month and simultaneously shorting futures of the subsequent month maturity while holding onto the spot position. There could also be occasions when both the spot and the future position is unwound before the expiry of the current-month future to increase the base return or to meet redemption. Return enhancement through the use of arbitrage opportunity would depend primarily on the availability of such opportunities. The Scheme will strive to build similar market neutral positions that offer an arbitrage potential for e.g. buying the basket of index constituents in the cash segment and selling the index futures, Buying ADR/GDR and selling the corresponding stock future etc. The Scheme would also look to avail of opportunities between one futures contract and another. For example on 16 December 2014, the Scheme buys 1000 futures contracts of ABC Ltd. for December expiry at ` 3,000 each and sells an equivalent 1000 futures contract of ABC Ltd. for January expiry at ` 3,030. Thereby the Scheme enters into a fully hedged transaction. Closer to the expiry date of the December contract, the Scheme has two options. 1) Unwind the transaction by selling the 1000 December contracts and buying 1000 January contracts of ABC. The returns are a function of the spread between the sale price of the January contract and the buy price of the December contract. If this spread is less than ` 30, the returns are positive else the returns are negative. 2) On the expiry date i.e. 24 December, 2014, the Scheme would let the December contract expire and square off 1000 contracts that it holds for January maturity. The returns would be a function of the spread between settlement price of the December contract and the price at which January contracts are squared-off. If this spread is lower than ` 30 then the returns are positive and if it is higher than ` 30 the returns are negative. The Scheme can also initiate the transaction in the opposite direction i.e. by selling the December futures and buying the January futures, if it sees a profit potential. Under all circumstances the Scheme would keep its net exposures neutral to the underlying direction of the market by maintaining completely hedged positions. In addition to stock specific futures, the Scheme can also take offsetting positions in index futures of different calendar month. The debt and money market instruments include any margin money that has to be maintained for the derivative position. The margin money could also be maintained partly as Fixed deposits with Scheduled commercial banks. Debt Instruments: The Scheme would invest in a range of fixed income and money market instruments including units of Debt/Liquid/Money Market Mutual Fund Schemes. Further the Scheme may also invest in financial derivatives such as options and futures & Interest Rate Swap (IRS) that are permitted or may become permissible under SEBI/RBI Regulations. The proportion of assets to be so invested would be decided by the AMC at the appropriate time, and would be done in accordance with the relevant guidelines to be issued by SEBI/RBI and other authorities. Account Statements for investors holding units of the scheme in demat accounts: Vide SEBI circular no. CIR/MRD/DP/31/2014 dated November 12, 2014 the following shall be applicable for unitholders having a Demat Account: Investors having Mutual Fund investments and holding securities in demat account shall receive a single CAS from the depository. Consolidation of account statement shall be done on the basis of Permanent Account Number (PAN). Incase of multiple holding, it shall be PAN of the first holder and the pattern of holding. The CAS shall be generated on a monthly basis. If there is any transactions in any of the demat accounts of the investor or in any of his Mutual fund folios, depository shall send the CAS within 10 days from the month end. Incase there is no transaction in any of the mutual fund folios and demat accounts then CAS with the holding details, shall be sent to the investor on halfyearly basis. Incase an investor has multiple accounts across 2 depositories, the depository with whom the account has been opened earlier will be the default depository. However, where an investor doesn't wish to receive CAS through e-mail, option shall be given to the investor to receive the CAS in physical form at the address registered in the depository system. If an investor does not wish to receive single CAS from the depository, an option shall be given to the investor to indicate negative consent and receive the normal CAS only w.r.t mutual fund investments in lieu of this single CAS. Mr. P.V.K. Mohan This product is suitable for investors who are seeking ~ * Income generation and capital appreciation over the medium to long term. * Investment in equity and equity related instruments, debt and money market instruments and arbitrage opportunities. ~ Investors should consult their financial advisers if in doubt about whether the product is suitable for them. Note 2 – Scheme Specific Risk Factors for Principal Equity Savings Fund: a)a)a)a)a) Risks associated with investing in Equity and Equity related Securities Risks associated with investing in Equity and Equity related Securities The value of Scheme's investments may be affected by factors affecting the Securities markets and price and volume volatility in the capital markets, interest rates, changes in law/policies of the Government, taxation laws and political, economic or other developments which may have an adverse bearing on individual securities, a specific sector or all sectors. Consequently, the NAV of the units of the Scheme(s) may be affected. Equity & Equity related securities are volatile and prone to price fluctuations on a daily basis. The liquidity of investments made in the Scheme(s) may be restricted by trading volumes and settlement periods. Settlement periods may be extended significantly by unforeseen circumstances. The inability of the Scheme(s) to make intended securities purchases due to settlement problems could cause the Scheme(s) to miss certain investment opportunities. Similarly, the inability to sell securities held in the Scheme's portfolio may result, at times, in potential losses to the Scheme(s), should there be a subsequent decline in the value of securities held in the Scheme's portfolio. The liquidity and valuation of the Scheme's investments due to the holdings of unlisted securities may be affected if they have to be sold prior to the target date of disinvestment. Securities which are not quoted on the stock exchanges are inherently illiquid in nature and carry a larger liquidity risk in comparison with securities that are listed on the exchanges or offer other exit options to the investors, including put options. The liquidity of the scheme(s) is inherently restricted by trading volumes in securities in which it invests. Investment decisions made by the Investment Manager may not always be profitable. To the extent the underlying Mutual Fund Scheme(s) invest in Equity and Equity related Instruments, the Schemes(s) which shall invest in Equity Mutual Fund Schemes (where the asset allocation pattern of the Scheme(s) provides such investment) shall be affected by the afore mentioned risk factors. The Net Asset Value (NAV) of the units of the Scheme is likely to get effected on accounts of such risk factors. Any change in the investment policies or fundamental attributes of any underlying scheme is likely to affect the performance of the Scheme. Further, the liquidity of the Scheme's investments may be inherently restricted by the liquidity of the underlying schemes in which it has invested. b)b)b)b)b) Risk Associated with Investing in Debt and/or Money Market Instruments Risk Associated with Investing in Debt and/or Money Market Instruments i) Price-Risk or Interest-Rate Risk: Price-Risk or Interest-Rate Risk: Fixed income securities such as bonds, debentures and money market instruments run price-risk or interest-rate risk. Generally, when interest rates rise, prices of existing fixed income securities fall and when interest rates drop, such prices increase. The extent of fall or rise in the prices is a function of the existing coupon, days to maturity and the increase or decrease in the level of interest rates. ii) Credit Risk: Credit Risk: Credit Risk: In simple terms this risk means that the issuer of a debenture/ bond or a money market instrument may default on interest payment or even in paying back the principal amount on maturity. Even where no default occurs, the price of a security may go down because the credit rating of an issuer goes down. It must, however, be noted that where the Scheme(s) has invested in Government Securities, there is no credit risk to that extent. iii) Re-investment Risk: Re-investment Risk: Re-investment Risk: Investments in fixed income securities may carry re-investment risk as interest rates prevailing on the interest or maturity due dates may differ from the original coupon of the bond. Consequently, the proceeds may get invested at a lower rate. iv) Interest Rate Movement (Basis Risk): Interest Rate Movement (Basis Risk): Interest Rate Movement (Basis Risk): The changes in the prevailing rates of interest will likely affect the value of the Schemes' holdings until the next reset date and thus the value of the Schemes' Units will be affected. Increased rates of interest, which frequently accompany inflation and/ or a growing economy, are likely to have a negative effect on the value of the Units. The value of securities held by the Scheme(s) generally will vary inversely with changes in prevailing interest rates. The fund could be exposed to the interest rate risk (i) to the extent of time gap in resetting of the benchmark rates, and (ii) to the extent the benchmark index fails to capture the interest rate movement. v) Prepayments and Charge Offs Risk: Prepayments and Charge Offs Risk: Prepayments and Charge Offs Risk: In the event of prepayments, investors may be exposed to changes in tenor and yield. Also, any Charge Offs would result in the reduction in the tenor of the Pass through Certificates (PTCs). vi) Spread Risk: Spread Risk: Spread Risk: In a floating rate security the coupon is expressed in terms of a spread or mark up over the benchmark rate. However depending upon the market conditions the spreads may move adversely or favorably leading to fluctuation in NAV. To the extent the underlying Mutual Fund Scheme(s) invest in Debt and Money Market Instruments, the Schemes(s) which shall invest in Liquid/Debt Mutual Fund Schemes (where the asset allocation pattern of the Scheme(s) provides such investment) shall be affected by the afore mentioned risk factors. The Net Asset Value (NAV) of the units of the Scheme is likely to get effected on accounts of such risk factors. c)c)c)c)c) Risks Associated with Investing in Derivatives Risks Associated with Investing in Derivatives The primary objective of the Fund Manager is to identify investment opportunities and to exploit price discrepancies in various markets. Identification and exploitation of the strategies to be pursued by the Fund Manager involve uncertainty. No assurance can be given that Fund Manager will be able to locate investment opportunities or to correctly exploit price discrepancies in the capital markets. Reduction in mis-pricing opportunities between the cash market and Future and Options market may lead to lower level of activity. As the Scheme proposes to execute arbitrage transactions in various markets simultaneously, this may result in high portfolio turnover and, consequently, high transaction cost. There may be instances, where the price spread between cash and derivative market is insufficient to meet the cost of carry. In such situations, the fund manager due to lack of opportunities in the derivative market may not be able to outperform liquid / money market funds. Though the constituent stocks of most indices are typically liquid, liquidity differs across stock. Due to heterogeneity in liquidity in the capital market segment, trades on this segment do not get implemented instantly. This often makes arbitrage expensive, risky and difficult to implement. Other risks in using derivatives include but are not limited to: (a) Credit Risk - Credit Risk - Credit Risk - this occurs when a counterparty defaults on a transaction before settlement and therefore, the Scheme is compelled to negotiate with another counter party, at the then prevailing (possibly unfavorable) market price, in order to maintain the validity of the hedge. For exchange traded derivatives, the risk is mitigated as the exchange provides a guaranteed settlement but one takes the performance risk on the exchange. (b) Market Liquidity risk - Market Liquidity risk - Market Liquidity risk - this occurs where the derivatives cannot be sold (unwound) at prices that reflect the underlying assets, rates and indices. (c) Model Risk - Model Risk - Model Risk - the risk of mis-pricing or improper valuation of derivatives. (d) Basis Risk - Basis Risk - Basis Risk - this risk arises when the instrument used as a hedge does not match the movement in the instrument/ underlying asset being hedged. The risks may be inter-related also; for e.g. interest rate movements can affect equity prices, which could influence specific issuer/industry assets. Trading in derivatives carry a high degree of risk although they are traded at a relatively small amount of margin which provides the possibility of great profit or loss in comparison with the principal investment amount. The Scheme(s) may find it difficult or impossible to execute derivative transactions in certain circumstances. For example, when there are insufficient bids or suspension of trading due to price limit or circuit breakers, the Scheme may face a liquidity issue. Interest Rate Swaps (IRS) are highly specialized instruments that require investment technique and risk analysis different from those associated with equity shares and other traditional securities. The use of a IRS requires not only an understanding of the referenced asset, reference rate, or index but also of the swap itself, without the benefit of observing the performance of the swap under all possible market conditions. Swap agreements are also subject to liquidity risk, which exists when a particular swap is difficult to purchase or sell. Swap agreements may be subject to pricing risk, which exists when a particular swap becomes extraordinarily expensive (or cheap) relative to historical prices or the prices of corresponding cash market instruments. IRS agreements are also subject to counterparty risk on account of insolvency or bankruptcy or failure of the counterparty to make required payments or otherwise comply with the terms of the agreement. Note 3 – Investment Restrictions for Principal Debt Savings Fund - MIP Following are the Investment limitations/restrictions :- * Pursuant to the SEBI circular dated January 19, 2009 the Scheme(s)/Plan(s) shall make investment in / purchase Debt and Money Market Instruments with the residual maturity of up to 91 days only (PCMF). Explanation: a. In case of securities where the principal is to be repaid in a single payout the maturity of the securities shall mean residual maturity. In case the principal is to be repaid in more than one payout then the maturity of the securities shall be calculated on the basis of weighted average maturity of security. b. In case of securities with put and call options (daily or otherwise) the residual maturity of the securities shall not be greater than 91 days. c. In case the maturity of the security falls on a non-business day then settlement of securities will take place on the next business day. * A mutual fund scheme shall not invest more than 10% of its NAV in debt instruments comprising money market instruments and non-money market instruments issued by a single issuer which are rated not below investment grade by a credit rating agency authorised to carry out such activity under the Act. Such investment limit may be extended to 12% of the NAV of the scheme with the prior approval of the Board of Trustees and the Board of directors of the asset management company. Provided that such limit shall not be applicable for investments in Government Securities, treasury bills and collateralized borrowing and lending obligations. Provided further that investment within such limit can be made in mortgaged backed securitised debt which are rated not below investment grade by a credit rating agency registered with the Board. * The scheme(s) shall not invest more than 10% of its NAV in unrated debt instruments (of any residual maturity period) issued by a single issuer and the total investment in such instruments shall not exceed 25% of the NAV of the scheme. All such investments shall be made with the prior approval of the Board of Trustees and the Board of the AMC. * Transfers of investments from one scheme to another scheme of Principal Mutual Fund shall be allowed only if: – Such transfers are done at the prevailing market price for quoted instruments on spot basis. [Explanation - "Spot basis" shall have same meaning as specified by stock exchange for spot transactions.] – The securities so transferred shall be in conformity with the investment objective of the scheme to which such transfer has been made. * A scheme may invest in another scheme under the same asset management company or any other mutual fund without charging any fees, provided that aggregate inter scheme investment made by all schemes under the same management or in schemes under the management of any other asset management company shall not exceed 5% of the net asset value of the mutual fund. * The Scheme shall buy and sell securities on the basis of deliveries and shall in all cases of purchases, take delivery of relative securities and in all cases of sale, deliver the securities. Provided that the Scheme may engage in short selling of securities in accordance with the framework relating to short selling and securities lending and borrowing specified by SEBI. Provided further that sale of Government securities already contracted for purchase shall be permitted in accordance with the Guidelines issued by RBI in this regard; Provided further the Scheme may also enter into derivatives transactions in a recognised stock exchange, subject to the framework specified by the Board. * The Mutual Fund shall get the securities purchased or transferred in the name of the Mutual Fund on account of the concerned scheme, wherever investments are intended to be of long-term nature * Pending deployment of Funds of the scheme in terms of investment objective, Mutual Fund may invest them in short term deposits of scheduled commercial banks, subject to the following: – The scheme shall not park more than 15% of the net assets in Short term deposit(s) of all the scheduled commercial banks put together. However, it may be raised to 20% with prior approval of the trustees. Also, parking of funds in short term deposits of associate and sponsor scheduled commercial banks together shall not exceed 20% of total deployment by the mutual fund in short term deposits. – The scheme shall not park more than 10% of the net assets in short term deposit(s), with any one scheduled commercial bank including its subsidiaries. – No funds of the scheme may be parked in short term deposit of a bank which has invested in that scheme. – Short Term for such parking of fund by Mutual Fund shall be treated as a period not exceeding 91 days read with the provisions of SEBI Circular dated December 11, 2008 bearing reference SEBI/IMD/CIR No. 12/147132/08. * The scheme shall not make any investment in: – any unlisted security of an associate or group company of the sponsor; or – any security issued by way of private placement by an associate or group company of the sponsor; or – the listed securities of group companies of the sponsor which is in excess of 25% of the net assets * The Scheme shall not invest in any Fund of Funds Scheme. • The Scheme shall not invest more than 10% of its NAV in the equity shares or equity related instruments of any Company. • The Scheme shall not invest more than 5% of its net assets in the unlisted equity shares or equity related instruments. • Aggregate value of "Illiquid Securities" of the Scheme, which are defined as non-traded, thinly traded and unlisted equity share, shall not exceed 15% of the total assets of the Scheme. • The Fund under all its Schemes should not own more than 10% of any company's paid up capital carrying voting rights. (Contd. on next page) Fund Manager Product Label Principal Pnb Asset Management Company Pvt. Ltd. (CIN : U25000MH1991PTC064092) Exchange Plaza, 'B' Wing, Ground Floor, NSE Building, Bandra Kurla Complex, Bandra (East), Mumbai-400 051 Toll Free: 1800 425 5600 Fax: (022) 6772 0512 • E-mail: firstname.lastname@example.org • Visit us at: www.principalindia.com * Pursuant to SEBI Circular No. CIR/IMD/DF/21/2012 dated September 13, 2012 and SEBI Circular No. SEBI/HO/IMD/DF2/CIR/P/2016/35 dated February 15, 2016, the Scheme shall ensure that the total exposure in a particular sector (determined as per AMFI classification) (Excluding investments in Bank CDs, CBLO, Government Securities, T-Bills and AAA rated securities issued by Public Financial Institution and Public Sector Banks) shall not exceed 25% of the net assets of the Scheme. Provided that an additional exposure to financial services sector (over and above the limit of 25%) not exceeding 5% of the net assets of the Scheme shall be allowed by way of increase in exposure to Housing Finance Companies(HFCs) only. Provided further that the additional exposure to such securities issued by HFCs are rated AA and above and these HFCs are registered with National Housing Bank (NHB) and the total investment/exposure in HFCs shall not exceed 25% of the net assets of the Scheme. * Pursuant to SEBI Circular No. SEBI/HO/IMD/DF2/CIR/P/2016/35 dated February 15, 2016, the Scheme shall ensure that the total exposure of debt schemes of a Mutual Fund in a group (excluding investments in securities issued by Public Sector Units, Public Financial Institutions and Public Sector Banks) shall not exceed 20% of the net assets of the scheme. Such investment limit may be extended to 25% of the net assets of the scheme with the prior approval of the Board of Trustees. Investment in Foreign Securities:- * In accordance with RBI Circular A.P. (DIR) Series Circular No. 3 dated July 26, 2006 read with SEBI Circular SEBI/IMD/CIR No.7/104753/07 dated September 26, 2007, the Fund is permitted to invest only up to US$ 300 million in identified overseas securities. Such limit and/or identified securities may be revised at the discretion of the Fund in alignment with the provision that may be prescribed in this regard by SEBI/RBI from time to time. These investment limitations/parameters (as expressed/linked to the net asset/NAV/capital) shall in the ordinary course apply as of the date of the most recent transaction or commitment to invest, and changes do not have to be effected merely because, owing to appreciation or depreciation in value, or by reason of the receipt of any rights, bonuses or benefits in the nature of capital, or of any scheme of arrangement, or for amalgamation, reconstruction or exchange, or at any repayment or repurchase or other reason outside the control of the Fund, any such limits would thereby be breached. If these limits are exceeded for reasons beyond its control, the AMC shall adopt as a priority objective the remedying of that situation, taking due account of the interests of the unitholders. In addition, certain investment parameters (like limits on exposure to sectors, industries, issuers, etc.) may be adopted internally by the AMC, as amended from time to time, to ensure appropriate diversification/security for the Fund. The AMC may alter these above stated limitations from time to time, and also to the extent the SEBI Regulations change, so as to permit the Fund to make its investments in the full spectrum of permitted investments for Mutual Funds to achieve its investment objective. As such all investments of the Fund will be made in accordance with SEBI Regulations including Schedule VII thereof. Note 4 – Investment Restrictions for Principal Equity Savings Fund * The Fund under all its Schemes should not own more than 10% of any company's paid up capital carrying voting rights. * Transfers of investments from one scheme to another scheme of Principal Mutual Fund shall be allowed only if: (a) Such transfers are done at the prevailing market price for quoted instruments on spot basis. [Explanation - "Spot basis" shall have same meaning as specified by stock exchange for spot transactions.] (b) The securities so transferred shall be in conformity with the investment objective of the scheme to which such transfer has been made. * A scheme may invest in another scheme under the same asset management company or any other mutual fund without charging any fees, provided that aggregate interscheme investment made by all schemes under the same management or in schemes under the management of any other asset management company shall not exceed 5% of the net asset value of the mutual fund. * The Mutual Fund shall buy and sell securities on the basis of deliveries and shall in all cases of purchases, take delivery of relative securities and in all cases of sale, deliver the securities. Provided that the Scheme may engage in short selling of securities in accordance with the framework relating to short selling and securities lending and borrowing specified by SEBI. Provided further that the Scheme may also enter into derivatives transactions in a recognized stock exchange, subject to the framework specified by the Board. Provided further that sale of government security already contracted for purchase shall be permitted in accordance with the guidelines issued by the Reserve Bank of India in this regard. * The cumulative gross exposure to equity, debt and derivatives positions shall not exceed 100% of the net assets of the scheme. * The Mutual Fund shall get the securities purchased or transferred in the name of the Mutual Fund on account of the concerned scheme, wherever investments are intended to be of long-term nature. * Pending deployment of Funds of the scheme in terms of investment objective, Mutual Fund may invest them in short term deposits of scheduled commercial banks, subject to the following: – The scheme shall not park more than 15% of the net assets in Short term deposit(s) of all the scheduled commercial banks put together. However, it may be raised to 20% with prior approval of the trustees. Also, parking of funds in short term deposits of associate and sponsor scheduled commercial banks together shall not exceed 20% of total deployment by the mutual fund in short term deposits. – The scheme shall not park more than 10% of the net assets in short term deposit(s), with any one scheduled commercial bank including its subsidiaries. – No funds of the scheme may be parked in short term deposit of a bank which has invested in that scheme. – Short Term for such parking of fund by Mutual Fund shall be treated as a period not exceeding 91 days. * The scheme(s) shall not make any investment in: – any unlisted security of an associate or group company of the sponsor; or – any security issued by way of private placement by an associate or group company of the sponsor; or – the listed securities of group companies of the sponsor which is in excess of 25% of the net assets * The Scheme(s) shall not invest in any Fund of Funds Scheme * The Scheme(s) shall not invest more than 10% of its NAV in the equity shares or equity related instruments of any Company. * The Scheme(s) shall not invest more than 5% of its net assets in the unlisted equity shares or equity related instruments. * Aggregate value of "Illiquid Securities" of the Scheme, which are defined as non-traded, thinly traded and unlisted equity share, shall not exceed 15% of the total assets of the Scheme. * Investment in foreign Securities:- In accordance with RBI Circular A.P. (DIR) Series Circular No. 3 dated July 26, 2006 read with SEBI Circular SEBI/IMD/CIR No.7/104753/07 dated September 26, 2007, the Fund is permitted to invest only up to US$ 300 million in identified overseas securities. Such limit and/or identified securities may be revised at the discretion of the Fund in alignment with the provision that may be prescribed in this regard by SEBI/RBI from time to time. of the asset management company. Provided that such limit shall not be applicable for investments in Government Securities, treasury bills and collateralized borrowing and lending obligations: Provided further that investment within such limit can be made in mortgaged backed securitised debt which are rated not below investment grade by a credit rating agency registered with the Board. Provided further that the debentures irrespective of any residual maturity period (above or below one year), shall attract restriction as applicable under clause 1 and 1A of Seventh Schedule to the SEBI (Mutual Funds) Regulations, 1996. Provided further that the restrictions for investments made in securitised debt (mortgage backed securities/asset backed securities) would be applicable as mentioned in Seventh Schedule and per the clarification made by SEBI vide circular no. SEBI/IMD/CIR No.6/63715/06, dated March 29, 2006. * The scheme(s) shall not invest more than 10% of its NAV in unrated debt instruments issued by a single issuer and the total investment in such instruments shall not exceed 25% of the NAV of the scheme. All such investments shall be made with the prior approval of the Board of Trustees and the Board of AMC. These investment limitations/parameters (as expressed/linked to the net asset/NAV/capital) shall in the ordinary course apply as of the date of the most recent transaction or commitment to invest, and changes do not have to be effected merely because, owing to appreciation or depreciation in value, or by reason of the receipt of any rights, bonuses or benefits in the nature of capital, or of any scheme of arrangement, or for amalgamation, reconstruction or exchange, or at any repayment or repurchase or other reason outside the control of the Fund, any such limits would thereby be breached. If these limits are exceeded for reasons beyond its control, the AMC shall adopt as a priority objective the remedying of that situation, taking due account of the interests of the unit holders. In addition, certain investment parameters (like limits on exposure to sectors, industries, issuers, etc.) may be adopted internally by the AMC, as amended from time to time, to ensure appropriate diversification/security for the Fund. The AMC may alter these above stated limitations from time to time, and also to the extent the SEBI Regulations change, so as to permit the Fund to make its investments in the full spectrum of permitted investments for Mutual Funds to achieve its investment objective. As such all investments of the Fund will be made in accordance with SEBI Regulations including Schedule VII thereof. Note 5 – Expenses - Principal Debt Savings Fund - MIP The Annual Recurring Expenses for the Scheme shall be within the overall limit of 2.25 percent of the daily net assets. Direct Plan Direct Plan under the aforementioned Schemes shall have a lower expense ratio excluding distribution expenses, commission, etc. and no commission for distribution of Units will be paid / charged under the Direct Plan. Further, in addition to the limits on total expenses specified in Regulation 52(6) of SEBI (Mutual Funds) Regulations, 1996 (the Regulation) the following expenses may be charged to the Scheme(s) under Regulation 52 (6A) - (a) Brokerage and transaction costs incurred for the purpose of execution of trades and included in the cost of investment, not exceeding 0.12% of the value of trades in case of cash market transactions and 0.05% of the value of trades in case of derivative transactions; (b) Expenses not exceeding 0.30% of daily net assets, if the new inflows from such cities as specified by SEBI from time to time are atleast (i) 30% of gross inflows in the Scheme OR (ii) 15% of the average assets under management (year to date) of the Scheme - whichever is higher. However if inflows from such cities is less than the higher of (i) & (ii) as mentioned above, such expenses on daily net assets of the Scheme may be charged on proportionate basis. Further, the expenses charged under this clause shall be utilized for distribution expenses incurred for bringing inflows from such cities. The amount incurred as expense on account of inflows from such cities shall be credited back to the scheme in case the said inflows are redeemed within a period of one year from the date of investment. (c) Additional expenses incurred towards different heads mentioned under sub-regulation 52(2) & 52(4) of the Regulation not exceeding 0.20% of the daily net assets of the scheme. AMC may charge service tax on investment and advisory fees of the scheme in addition to the maximum limit of Total Expense Ratio as per the Regulation 52(6)and (6A). Further, the following may be charged to the Schemes within the maximum limit of Total Expense Ratio as per Regulation 52 of the SEBI (Mutual Funds) Regulations, as amended from time to time - (a) Service tax on expenses other than investment and advisory fees, if any; (b) Service Tax on brokerage and transaction costs on execution of trades, if any; and (c) Investor Education and awareness fees of at least 2 basis point on daily net assets of respective schemes. Note 6 – Expenses - Principal Equity Savings Fund The Annual Recurring Expenses for the Scheme shall be within the overall limit of 2.50 percent of the daily net assets. Direct Plan under the aforementioned Schemes shall have a lower expense ratio excluding distribution expenses, commission, etc. and no commission for distribution of Units will be paid / charged under the Direct Plan. Further, in addition to the limits on total expenses specified in Regulation 52(6) of SEBI (Mutual Funds) Regulations, 1996 (the Regulation) the following expenses may be charged to the Scheme(s) under Regulation 52 (6A) - (a) Brokerage and transaction costs incurred for the purpose of execution of trades and included in the cost of investment, not exceeding 0.12% of the value of trades in case of cash market transactions and 0.05% of the value of trades in case of derivative transactions; (b) Expenses not exceeding 0.30% of daily net assets, if the new inflows from such cities as specified by SEBI from time to time are atleast (i) 30% of gross inflows in the Scheme OR (ii) 15% of the average assets under management (year to date) of the Scheme - whichever is higher. However if inflows from such cities is less than the higher of (i) & (ii) as mentioned above, such expenses on daily net assets of the Scheme may be charged on proportionate basis. Further, the expenses charged under this clause shall be utilized for distribution expenses incurred for bringing inflows from such cities. The amount incurred as expense on account of inflows from such cities shall be credited back to the scheme in case the said inflows are redeemed within a period of one year from the date of investment. (c) Additional expenses incurred towards different heads mentioned under sub-regulation 52(2) & 52(4) of the Regulation not exceeding 0.20% of the daily net assets of the scheme. AMC may charge service tax on investment and advisory fees of the scheme in addition to the maximum limit of TER as per the Regulation 52(6) and (6A). Further, the following may be charged to the Schemes within the maximum limit of Total Expense Ratio as per Regulation 52 of the SEBI (Mutual Funds) Regulations, as amended from time to time - A mutual fund scheme shall not invest more than 10% of its NAV in debt instruments comprising money market instruments and non-money market instruments issued by a single issuer which are rated not below investment grade by a credit rating agency authorised to carry out such activity under the Act. Such investment limit may be extended to 12% of the NAV of the scheme with the prior approval of the Board of Trustees and the Board of directors (a) Service tax on expenses other than investment and advisory fees, if any; (b) Service Tax on brokerage and transaction costs on execution of trades, if any; and (c) Investor Education and awareness fees of at least 2 basis point on daily net assets of respective schemes. The above modifications include changes in the fundamental attributes of the Scheme. In this regard, individual communication has been dispatched to Unitholders of the Scheme, existing in the Register of Unitholders of our Registrar & Transfer Agents, M/s. Karvy Computershare Pvt. Ltd., as on May 20, 2016. Such of those Unitholders who do not receive the communication can contact the Registrar - M/s. Karvy Computershare Private Limited. The existing Unitholders under the Scheme who do not consent to the above, are entitled to exit the Scheme between May 24, 2016 to June 22, 2016 (both days inclusive) upto 3.00 p.m. at applicable NAV without any exit load, if any. Such change to the features of the Scheme, as detailed herein shall be effective the business day immediately following June 22, 2016 (effective date). Proposed revisions as indicated above shall be carried out throughout the SID and KIM of the Scheme, appropriately. Other than as set forth herein, the remaining features, terms and conditions of the Scheme shall continue to remain unchanged. This addendum forms an integral part of SID & KIM of the Scheme as amended from time to time and all other features, terms and conditions as mentioned therein remains unchanged. For further information/assistance do visit us at www.principalindia.com or e-mail us at email@example.com or call on our Toll Free no. 1800 425 5600. Place : Mumbai Date : May 23, 2016 Mutual Fund investments are subject to market risks, read all scheme related documents carefully. * For Principal Pnb Asset Management Company Pvt. Ltd. Sd/- Sd/- Sd/- Sd/- Sd/- Authorised Signatory
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK CLERK'S OFFICE FOREIGN MAILING INSTRUCTIONS TABLE OF CONTENTS UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK INSTRUCTIONS FOR SERVICE OF PROCESS ON A FOREIGN DEFENDANT The Clerk of Court's Office will accomplish service overseas of the summons and complaint, either directly or through the U.S. Department of State under the following statutes: 1. An individual in a foreign state, under Rule 4(f)(2)(C)(ii) of the Federal Rules of Civil Procedures (FRCP); or 3. A foreign state or a political subdivision of a foreign state through diplomatic channels via the U.S. Department of State under the Foreign Services Immunities Act, 28 U.S.C. §1608(a)(4); or 2. A foreign state or a political subdivision of a foreign state under the Foreign Services Immunities Act, 28 U.S.C. §1608(a)(3); or 4. An agency or instrumentality of a foreign state, under the Foreign Services Immunities Act, 28 U.S.C. §1608(b)(3)(B). OTHER DOCUMENTS SERVED * Orders An order may be entered by the court at any time during a case. The judge may request that the order be served upon the defendant(s) and should state specifically which rule to follow. An order should be served following the same methods by FRCP 4(f)(2)(C)(ii), 28 U.S.C. §1608(a)(3), 28 U.S.C. §1608(a)(4), or 28 U.S.C.§1608(b)(3)(B), depending on which rule the judge specifies. * Defaults A default may be entered by the court against a foreign defendant assuming the summons and complaint was returned unexecuted, AND the deadline for the answer has passed. A foreign state, political subdivision, or an agency or instrumentality of a foreign state has 60 days to answer the complaint. An individual has 20 days to answer the complaint. A default should be served according to rule judge specifies to follow: FRCP 4(f)(2)(C)(ii), 28 U.S.C. §1608(a)(3), 28 U.S.C.§1608(b)(3)(B), or 28 U.S.C. §1608(a)(4). * Judgments/Default Judgments A default may be entered by the court against a foreign defendant. The judge may request that the order be served upon the defendant(s) and should state specifically which rule to follow. A judgment or default judgment should be served following using: FRCP 4(f)(2)(C)(ii), 28 U.S.C. §1608(a)(3), 28 U.S.C. §1608(a)(4), or 28 U.S.C.§1608(b)(3)(B) depending on which rule the judge specifies. METHODS OF SERVICE The Clerk of Court strongly recommends the use of Federal Express (FedEx) or DHL Worldwide Express (DHL) rather than the United States Postal Service (USPS). The USPS requirements for such service are complicated and failing to comply to their standards, will result in the return of a package delaying its ultimate delivery. Using FedEx or DHL also avoids the necessity of providing the Clerk's Office with cash for postage. Rules Set by the U.S. Postal Service 1. Do not use postage meter stamps. 3. Do not seal envelopes. 2. Leave more than the exact amount for the postal fee. Addresses must be typed 5. The following envelopes are ineligible for Registered Mail: 4. Make sure there is glue on the pink return receipt. (Postal Form 2865) Mailing labels are not accepted on foreign mailing envelopes. or handwritten on the envelope. a. Mail presented in a padded envelope; envelope or mailer manufactured of spun bonded . c. made of glossy-coated paper. b. olefin, such as Tyvek; plastic envelope or mailer; or envelope or mailer 6. Packages weighing more than four pounds must be split up according to post office regulations. Please check with your local Post Office for the appropriate customs forms as well as updated forms. Courier Service Overnight mail (FedEx & DHL) is acceptable, as long as you are able to obtain a signed returned receipt. You may track the delivery of your package on the courier's website, and print the tracking summary indicating that the package was delivered to its ultimate destination. Provide a copy of that tracking summary and cover letter to the Clerk of Court as your return of service. If you have any questions, or would like a copy of our INSTRUCTIONS FOR SERVICE OF PROCESS ON A FOREIGN DEFENDANT, please see the administrative assistant to the Clerk of Court, Room 120 or visit the Court's website at www.nysd.uscourts.gov. Foreign Sovereign Immunities Act of 1976 The Foreign Service Immunities Act of 1976 (FSIA) limits the role of the Executive Branch in suits against foreign governments and governmental entities by precluding the Department of State from making decisions on state immunity. A party to a lawsuit, including a foreign state or its agency or instrumentality, is required to present defenses such as sovereign immunity directly to the court in which the case is pending. FSIA (28 U.S.C.§1608(a)(1)-(4)) provides for service of process on foreign state defendants in a four-step, hierarchical manner: (Source: www.travel.state.gov) 1. Pursuant to a special agreement between the plaintiff and the foreign state. 3. Via mail from the Clerk of Court to the head of the foreign state's Ministry of Foreign Affairs (28 U.S.C. §1608(a)(3). 2. As prescribed in an applicable international agreement. 4. Via the diplomatic channel 28 U.S.C. §1608 (a)(4) SPECIAL NOTES: 1. In the case of service under 28 U.S.C. § 1608(a)(4), service is deemed to have been made as of the date of the transmittal indicated in the certified copy of the diplomatic note. Under 28 U.S.C. § 1608(c)(1) and (c)(2) – Date of Service: 2. In any other case under 28 U.S.C. § 1608 service is deemed to have been made as of the date of receipt applicable to the method of service employed. Under 28 U.S.C. § 1608(e)- Default Judgment No Judgment by default shall be entered by a court of the United States or of a State against foreign state, a political subdivision thereof, or an agency or instrumentality of a foreign state, unless the claimant establishes his claim or right to relief by evidence satisfactory to the Court. A copy of any such default judgment shall be sent to a foreign state or political subdivision in the manner prescribed for service under 28 U.S.C. §1608. Role of the United States Department of State The United States Department of State, Overseas Citizens Services, Office of Policy Review & Interagency Liaison is responsible for service and implementing regulations under the FSIA via the diplomatic channel in accordance with 28 U.S.C. §1608(a)(4). (Source: www.travel.state.gov) The defendant served by the United States Department of State MUST BE a FOREIGN STATE OR POLITICAL SUBDIVISION as defined by 1603 of FSIA, not an agency or instrumentality of a foreign state to be served under section 1608(b) of the Act. The United States Department of State DOES NOT serve NATURAL PERSONS under FSIA. (Source: www.travel.state.gov ) The Act specifies that when service of process upon a foreign state cannot otherwise be effected under FSIA, the Clerk of Court may dispatch a request to the Secretary of State, attn: Director of Specia1 Consular Services, for service upon a foreign state defendant. 1 The Act allows for service under FSIA 1608(a) (4) only after 30 days have passed since service was attempted under section 1608 (a) (3) (by any form of mail requiring a signed receipt). The U.S. Postal service and private courier services can deliver documents to virtually any location. Plaintiffs should attempt service under FSIA 1608 (a) (3) unless a foreign state has specifically objected to service by mail. 2 The U.S. Department of State does not normally serve on a foreign state any documents not specifically mentioned in the Act; however, it reserves executive authority to communicate with foreign governments. Note: a default judgment does not include a document(s) directing further hearings on a judgment. 3 Please review the United States Department of State's "Checklist for Plaintiff's Service of Process Upon a Foreign State." (Attachment A). If you have any additional questions regarding 28 USC § 1608(4) mailings, please contact U.S. State Department's Office of Policy Review and Inter-Agency Liaison at email@example.com or (202) 736-9110. 1 U.S. Department of State. "Checklist for Plaintiffs Service of Process upon A Foreign State" http://travel.state.gov/law/judicial/judicial_685.html# Accessed May 19, 2011. 2 U.S. Department of State. "Checklist for Plaintiffs Service of Process upon A Foreign State" http://travel.state.gov/law/judicial/judicial_685.html# Accessed May 19, 2011. 3 U.S. Department of State. "Checklist for Plaintiffs Service of Process upon A Foreign State" http://travel.state.gov/law/judicial/judicial_685.html# Accessed May 19, 2011. THE HAGUE CONVENTION Service Abroad of Judicial and Extrajudicial Documents in Civil and Commercial Matters The Hague Convention on Service Abroad of Judicial and Extrajudicial Documents in Civil and Commercial Matters applies in cases wherein the occasion is to transmit a judicial or extrajudicial document for service abroad. Form (USM-94) You may obtain a copy of the Request for Service Form from the U.S. Marshal's Service website: http://www.justice.gov/marshals/process/foreign_process.htm or you may use the interactive PDF fillable form provided by the Permanent Bureau of the Hague Conference on Private International Law. http://www.hcch.net/index_en.php?act=text.display&tid=47 Complete the Form Private litigants wishing to serve a person in one of the Convention countries should complete copies in duplicate of the three forms prescribed by the Convention: The "Request", the "Certificate" and the "Summary." Once the form is completed, the litigants must transmit them, together with the documents to be served. (See FRCP Rule 4 under Notes and Annotations to the Convention). For further assistance in completing form, please refer to the Bureau of Consular Affairs, U.S. Department of State, http://www.travel.state.gov/law/judicial/judicial_702.html or the Convention of 15 November 1965 on the Service Abroad of Judicial and Extrajudicial Documents in Civil or Commercial Matters, http://www.hcch.net/ Federal Authority for Attorneys to Complete and Send Form Attorneys representing the party seeking service should execute the portion of Form marked "Identity and Address of the Applicant" and the "Name and Address of the Requesting Authority" portion of the Summary of the Document to be Served, unless the foreign country does not consider private attorneys to be officers of the Court. (http://www.travel.state.gov) If the Clerk of Court is directed by a court Order to effect service, the Form should reflect the law firm's information as the "Identity and Address of the Applicant" and the Clerk of Court under the "Name and Address of the Requesting Authority." The Clerk of Court will effect service under FRCP 4(f)(2)(C)(ii), 28 U.S.C. §1608(a)(3); 28 U.S.C. §1608(a)(4) or 28 U.S.C.§1608(b)(3)(B), depending on which rule the judge specifies. Please refer to Sections II and III for service instructions. NOTE: For countries that require the form to be executed by an officer of the court, the Clerk of Court may sign and stamp the "Request." Unless directed by a court Order, the forms will be returned to the requestor to effect service abroad. All forms (Request, Certificate & Summary, certified court Order, if applicable) must be brought to the Clerk of Court's Office, Room 120. Parties to the Hague Convention As of February 1, 2011, there are 62 countries (Members & Non-Members) which are party to this Convention: Albania, Antigua and Barbuda, Argentina, Australia , Bahamas, Barbados, Belarus, Belize, Belgium, Bosnia & Herzegovina, Botswana, Bulgaria, Canada, China, Croatia, Cyprus, Czech Republic, Denmark, Egypt, Estonia, Finland FYR of Macedonia, France, Germany, Greece, Hungary, Iceland, India, Ireland, Israel, Italy, Japan, Republic of Korea, Kuwait, Latvia, Lithuania, Luxembourg, Malawi, Mexico, Monaco, Netherlands, Norway, Pakistan, Poland, Portugal, Romania, Russian Federation, San Marino, Serbia, Seychelles, Slovakia, Slovenia, Spain, Sri Lanka, St. Vincent & The Grenadines, Sweden, Switzerland, Turkey, Ukraine, United Kingdom, United States, Venezuela. (Source: http://www.hcch.net) Foreign States Objecting to Service by Mail If a foreign state (party to the Hague Convention) objects to service by mail, service under Section 1608(a)(3) SHOULD NOT BE ATTEMPTED. The plaintiff should proceed under Section 1608(a)(4), directing their cover letter to the Department of State (Office of Overseas Citizens Services), citing the foreign state's objection to service by mail. (Source: www.travel.state.gov) As of February 11, 2011, the following countries have objected to service by mail via postal channels under the Hague Convention (Source: www.hcch.net) 1. Argentina 15. Macedonia-Republic of 2. Bulgaria 3. China (People's Republic of) 4. Croatia 5. Czech Republic 6. Egypt 7. Germany 8. Greece 9. Hungary 10. India 11. Japan 12. Korea- Republic of 13. Kuwait 14. Lithuania 16. Mexico 17. Monaco 18. Norway 19. Poland 20. Russian Federation 21. San Marino 22. Serbia 23. Slovakia 24. Sri Lanka 25. Switzerland 26. Turkey 27. Ukraine 28. Venezuela For definitive up to date information about countries objecting to service by mail, Article 10 (a), see the Status Table of the Service Convention and review the reservations and declarations for each country. (http://www.hcch.net) NOTE: If a foreign state which is a party to the Hague Service Convention formally objected to service by mail when it acceded to the Convention, service under Section 1608(a)(3) should not be attempted, and the plaintiff should proceed to service under Section 1608(a)(4), citing in the cover letter to the Department of State, Office of Overseas Citizens Services the foreign state's objection to service by mail as noted in its accession to the Hague Service Convention. For updated information, please check the following internet links: * U.S. Department of State's Judicial Assistance: Service of Process Abroad: http://travel.state.gov/law/judicial/judicial_702.html * Hague Convention on Service Abroad of Judicial and Extrajudicial Documents in Civil and Commercial Matters: www.hcch.net THE INTER-AMERICAN CONVENTION AND ADDITIONAL PROTOCOL: The United States also has a treaty relationship on service with ARGENTINA, BRAZIL, CHILE, COLOMBIA, ECUADOR, GUATEMALA, MEXICO, PANAMA, PARAGUAY, PERU, UNITED STATES, URUGUAY and VENEZUELA. Please see the Department of State's circular on the operations of this Convention at: http://travel.state.gov/law/judicial/judicial_5219.html PROCEDURES FOR SERVICE PURSUANT TO RULE 4 (f) (2) (C) (ii) To serve a defendant pursuant to Rule 4 (f) (2) (C) (ii) of the Federal Rules of Civil Procedure, the Clerk of Court requires you to furnish the following for each case: (1) LETTER of REQUEST: A letter, addressed to the Clerk of Court, Ruby J. Krajick, requesting the service of documents pursuant to Rule 4 (f) (2) (C) (ii) of the Federal Rules of Civil Procedure. Include in the letter the name(s) and address(es) of the party being served and itemize list of the documents being served. (2) DOCUMENTS: One (1) copy of the summons and one (1) copy of the complaint (as well as copies of any additional documents filed at the time the case was opened) for EACH defendant; one (1) duplicate copy of all the documents for the Court's file being served on each party. (3) Select a method of service for the documents and provide the following: A. VIA U.S. POSTAL SERVICE 1. ENVELOPE(S): One envelope, sufficient to hold an entire set of papers, addressed to each party with the law firm's return address. 2. RETURN RECEIPTS: a. A pink return receipt card (Postal Service Form #2865) made out to the party being served with the return address of the Clerk of Court. On the upper left hand corner of this card you must include both the case number and judge's initials. (Attachment B) b. A white return receipt (Postal Service Form #3806) made out to the party being served with the return address of the law firm. (Attachment B) 3. MONEY: A sum of cash sufficient for postage and registration and return receipt fees. If the amount of cash tendered is insufficient, you will be contacted and the documents will be held in the Clerk's Office (Room 120) until additional funds are received. Cash for each party to be served must be kept separately. All mailings are brought to the Post Office on Monday, Wednesday and Friday mornings after 9:00 am. All documents submitted for mailing must be delivered the previous day no later than 4:00 pm. You may pick up the change two business days later after 11:00 am. See page 2 of this document, regarding postal service transactions. As per postal rules, customs form (P.S. Form 2976) must be included when using a letter sized envelope or if the package weighs 1 to 4 pounds. (See page 2 & 3 of this document) B. SERVICE VIA FED-EX OR DHL 1. ENVELOPE(S): One envelope, per party being served, sufficient to hold an entire set of papers. 2. INTERNATIONAL AIR WAYBILL: Addressed to the party being served with the law firm's account number and return address. (Attachment C) * Note: CUBA: For special clearance and specific instructions regarding deliveries, please contact DHL directly at (800) 225-5345. 3. Use the appropriate shipping company's website to print a tracking summary indicating that the package was delivered to its ultimate destination. Provide a copy of that tracking summary and a cover letter to the Clerk of Court as your return of service. PROCEDURES FOR SERVICE PURSUANT TO (Direct Mail) 28 U.S.C. § 1608(a)(3) To serve an agency or instrumentality of a foreign state pursuant to the Foreign Sovereign Immunities Act, 28 USC §1608 (a) (3), the Clerk of Court requires you to furnish the following for each case: (1) LETTER OF REQUEST: A letter, addressed to the Clerk of Court, Ruby J. Krajick, requesting service of the documents pursuant to the Foreign Sovereign Immunities Act, 28 USC §1608 (a) (3). Include in the letter the name(s), title(s) and address(es) of the person(s) to be served, and specify the documents being served. (2) DOCUMENTS: One (1) copy of the summons, complaint, notice of suit (any additional documents filed at the time case was opened), and affidavit of translator along with translations of each document in the country's official language for each party/defendant to be served; and one (1) copy of each of these documents for the Court's file. The notice of suit must be prepared pursuant to 22 CFR §93.2. A copy of these documents must also be tendered to the Clerk's Office along with the other papers mentioned above. NOTE: AFFIDAVIT OF TRANSLATOR: An affidavit from the translator stating his/her qualifications and that the translation is accurate [Rule 2l0l(b), Civil Practice Law and Rules of N.Y.] for each party being served and one (1) for the Court's file. (3) Select a method of service for the documents and provide the following: A. VIA U.S. POSTAL SERVICE 1. ENVELOPE(S): One envelope, sufficient to hold an entire set of papers, addressed to each party being served with the law firm's return address. 2. RETURN RECEIPTS: a. A pink return receipt card (Postal Service Form #2865) made out to the party being served with the return address of the Clerk of Court. On the upper left hand corner of this card you must include both the case number and judge's initials. (Attachment B) b. A white return receipt (Postal Service Form #3806) made out to the party being served with the return address of the law firm. (Attachment B) 3. MONEY: A sum of cash sufficient for postage and registration and return receipt fees. If the amount of cash tendered is insufficient, you will be contacted and the documents will be held in the Clerk's Office (Room 120) until additional funds are received. Cash for each party to be served must be kept separately. All mailings are brought to the Post Office on Monday, Wednesday and Friday mornings after 9:00 am. All documents submitted for mailing must be delivered the previous day no later than 4:00 pm. You may pick up the change two business days later after 11:00 am. See page 2 of this document, regarding postal service transactions. As per postal rules, customs form (P.S. Form 2976) must be included when using a letter sized envelope or if the package weighs 1 to 4 pounds. (See page 2 & 3 of this document) B. SERVICE VIA FED-EX OR DHL 1. ENVELOPE(S): One envelope, per defendant, sufficient to hold an entire set of papers. 2. INTERNATIONAL AIR WAYBILL: Addressed to the party being served, the law firm's return address and law firm's account number. (Attachment C) * Note: CUBA: For special clearance and specific instructions regarding deliveries, please contact DHL directly at (800) 225-5345. 3. Use the appropriate shipping company's website to print a tracking summary indicating that the package was delivered to its ultimate destination. Provide a copy of that tracking summary and a cover letter to the Clerk as your Return of Service. PROCEDURES FOR SERVICE PURSUANT TO 28 U.S.C. § 1608(a)(4) (DIPLOMATIC CHANNELS VIA STATE DEPARTMENT) To serve an agency or instrumentality of a foreign state pursuant to the Foreign Sovereign Immunities Act, 28 USC §1608 (a) (4), the Clerk of Court requires you to furnish the following for each case: (1) LETTER OF REQUEST: A letter, addressed to the Clerk of Court, Ruby J. Krajick, requesting service of the documents pursuant to the Foreign Sovereign Immunities Act, 28 USC §1608 (a) (4). You must indicate what measures have been employed to effect service under (a) (1)-(3), e.g., that (a) (3) was attempted by the Clerk's Office on a specified date which was more than 30 days prior to this request and the return receipt has not been received by the Clerk's Office. Include in your letter the name(s), title(s), address(es) of the person(s) to be served and specify the documents being served. (2) DOCUMENTS: For each party to be served, provide two (2) complete sets of the documents in English and the country's official language, and one (1) copy of each of these documents for the Court's file. You MUST also include (per party) two (2) copies Notice of Suit English and in the country's official language) plus one (1) copy for the Court's file. Note: Notice of Suit must be prepared pursuant to 22 CFR §93.2. (3) AFFIDAVIT: An affidavit from the translator stating his/her qualifications and that the translation is accurate [Rule 2101(b), Civil Practice Law and Rules of N.Y.] for each party to be served and one for the Court's file. (4) CHECK: Cashier's check or money order for $2,275.00 made payable to U.S. Embassy or Consulate involved. For requests for service upon Iran and its political subdivisions the check or money order should be made out to "U.S. Embassy Bern." (5) Select a method of service for the documents and provide the following: A. VIA U.S. POSTAL SERVICE 1. ENVELOPE(S): One envelope, sufficient to hold an entire set of papers, addressed to: Secretary of State, Attn: Director of Consular Services, Office of Policy Review and Inter-Agency Liaison (CA/OCS/PRI), U.S. Department of State, SA-29, 4 th Floor, 2201 C Street NW, Washington, DC 20520; with the Clerk of Court's return address. 2. RECEIPT CARDS: Completed Certified Mail Receipt (PS Form 3800) and a completed Domestic Return Receipt Card (PS Form 3811). The forms are addressed to: Secretary of State, Attn: Director of Consular Services, Office of Policy Review and Inter-Agency Liaison (CA/OCS/PRI), U.S. Department of State, SA-29, 4 th Floor, 2201 C Street NW, Washington, DC 20520. The PS Form 3811 should have the return address of the Clerk of the Court. On the upper lefthand corner of this card include the case number and the judge's initials. (Attachment D & E) 3. MONEY: A sum of cash sufficient for postage and registration and return receipt fees. If the amount of cash tendered is insufficient, you will be contacted and the documents will be held in the Clerk's Office (Room 120) until additional funds are received. Cash for each party to be served must be kept separately. All mailings are brought to the Post Office on Monday, Wednesday and Friday mornings after 9:00 am. All documents submitted for mailing must be delivered the previous day no later than 4:00 pm. You may pick up the change two business days later after 11:00 am. See page 2 of this document, regarding postal service transactions. As per postal rules, customs form (P.S. Form 2976) must be included when using a letter sized envelope or if the package weighs 1 to 4 pounds. (See page 2 & 3 of this document) B. VIA FED-EX OR DHL 1. ENVELOPE(S): One envelope, per defendant, sufficient to hold an entire set of papers. 2. US AIRBILL: Addressed to: Secretary of State, Attn: Director of Consular Services, Office of Policy Review and Inter-Agency Liaison (CA/OCS/PRI), U.S. Department of State, SA-29, 4 th Floor, 2201 C Street NW, Washington, DC 20520. Return address of the Clerk's Office with the law firm's account number. Please review the State Department's "Checklist for Plaintiff's Service of Process Upon a Foreign State." (Attachment A). If you have any additional questions regarding 28 USC §1608(4) mailings, please contact the U.S. State Department's Office of Policy Review and Inter-Agency Liaison at firstname.lastname@example.org or (202) 736-9110. PROCEDURES FOR SERVICE PURSUANT 28 U.S.C. § 1608(b)(3)(B) To serve an agency or instrumentality of a foreign state pursuant to the Foreign Sovereign Immunities Act, 28 USC §1608 (b) (3) (B), the Clerk of Court requires you to furnish the following for each case: (1) LETTER OF REQUEST: A letter, addressed to the Clerk of Court, Ruby J. Krajick, requesting service of the documents pursuant to the Foreign Sovereign Immunities Act, 28 USC §1608 (b) (3) (B). Include in this letter the name(s), title(s), and address(es) of the person(s) to be served, and specify the documents being served. (2) One complete set of documents in English, one complete set of documents in the country's official language for each defendant to be served, and one copy of each of these documents for the court's file. (3) An affidavit from the translator stating his/her qualifications and that the translation is accurate [Rule 2101(b), Civil Practice Law and Rule of N.Y.] for each defendant to be served and one for the court's file. (4) Select a method of service for the documents and provide the following: A. VIA U.S. POSTAL SERVICE 1. ENVELOPE(S): One envelope, sufficient to hold an entire set of papers, addressed to each party being served with the law firm's return address. 2. RETURN RECEIPTS: a. A pink return receipt card (Postal Service Form #2865) made out to the party being served with the return address of the Clerk of Court. On the upper left hand corner of this card you must include both the case number and judge's initials. (Attachment B) b. A white return receipt (Postal Service Form #3806) made out to the party being served with the return address of the law firm. (Attachment B) 3. MONEY: A sum of cash sufficient for postage and registration and return receipt fees. If the amount of cash tendered is insufficient, you will be contacted and the documents will be held in the Clerk's Office (Room 120) until additional funds are received. Cash for each party to be served must be kept separately. All mailings are brought to the Post Office on Monday, Wednesday and Friday mornings after 9:00 am. All documents submitted for mailing must be delivered the previous day no later than 4:00 pm. You may pick up the change two business days later after 11:00 am. See page 2 of this document, regarding postal service transactions. As per postal rules, customs form (P.S. Form 2976) must be included when using a letter sized envelope or if the package weighs 1 to 4 pounds. (See page 2 & 3 of this document) B. SERVICE VIA FED-EX OR DHL 1. ENVELOPE(S): One envelope, per party being served, sufficient to hold an entire set of papers. 2. INTERNATIONAL AIR WAYBILL: Addressed to the party being served, the law firm's return address and law firm's account number. (Attachment C) Note: CUBA: For special clearance and specific instructions regarding deliveries, please contact DHL directly at (800) 225-5345. 3. Use the appropriate shipping company's website to print a tracking summary indicating that the package was delivered to its ultimate destination. Provide a copy of that tracking summary and a cover letter to the Clerk as your Return of Service. List of Attachments A. Checklist for Plaintiff's Service of Process Upon a Foreign State B. U.S. Postal Service Form 3806 and Form 2865 Samples (Registered Mail) C. FedEx International Air WayBill Sample/ DHL Express Worldwide Sample D. U.S. Postal Service Form 3800 Sample (Certified Mail) E. U.S. Postal Services Form 3811 Sample(Domestic Return Receipt Card) ATTACHMENT A Checklist for Plaintiffs Service of Process upon a Foreign State 05/04/2011 The U.S. Department of State is charged, under the Foreign Sovereign Immunities Act (FSIA), with handling service of process upon a foreign state or political subdivision through diplomatic channels. The Act specifies that when service of process upon a foreign state cannot otherwise be effected under FSIA, the clerk of court may dispatch a request to the Secretary of State, attn: Director of Special Consular Services, for service upon a foreign state defendant. The Department of State's service functions under the FSIA are currently administered by the Office of Policy Review and Inter-Agency Liaison, CA/OCS/PRI. To avoid confusion and common mistakes, please take note of the following items before submitting a request for service under FSIA 1608(a)(4). 1. The defendant must be a foreign state or political subdivision, as defined in section 1603 of the Act, not an agency or instrumentality of a foreign state (to be served under section 1608(b) of the Act). The U.S. Department of State does not serve natural persons under the FSIA. 2. The Act allows for service under FSIA 1608(a)(4) only after 30 days have passed since service was attempted under section 1608(a)(3) (by any form of mail requiring a signed receipt). The U.S. Postal service and private courier services can deliver documents to virtually any location. Plaintiffs should attempt service under FSIA 1608(a)(3) unless a foreign state has specifically objected to service by mail. To determine whether a particular country objects to service by mail, please see our country-specific judicial assistance information pages at http:/ /travel.state.gov/law/info/judicial/judicial_2510.html. 3. The documents must be translated into the official language of the foreign state to be served. 4. The summons sheet and the notice of suit should state a 60 day (not 20 day) response time for the defendant. 5. The notice of suit (or default) should conform to the requirements of 22 CFR 93.2 (the statute specifically refers to notice of suit "in a form prescribed by the Secretary of State by regulation"). The notice of suit must contain a copy of the FSIA. 6. The Act requires plaintiff to have first attempted service under sections FSIA 1608(a)(l), (2) and (3) before proceeding to section 1608(a)(4). Thus, the u.s. Department of State requires a statement in writing from the plaintiff or the clerk certifying that these attempts were made or were otherwise not applicable. Attachment A 7. There should be two copies of either (a) the summons, complaint and notice of suit or (b) a default judgment and notice of default (depending on the request). 8. In cases involving allegations of terrorism, plaintiffs should refer to section 1605(a)(7)(B) regarding arbitration requirements (however, we defer to the court as to the adequacy of any action taken by the plaintiffs in fulfillment of this requirement). 9. The Act requires the clerk of court dispatch the documents; however, a plaintiff may provide written confirmation that the court allowed plaintiff to act for the Clerk (after docketing). 10. All requests for FSIA 1608(a)(4) service of process should be addressed to: Director, Office of Policy Review and Inter-Agency Liaison (CA/OCS/PRI), U.S. Department of State, SA-29, 4th Floor, 2201 C Street NW, Washington, DC 20520. 11. As of March July 3, 2010, the U.S. Department of State charges, in accordance with 22 CFR 22.1, a $2,275 fee (cashiers check/ money order should be made out to the U.S. Embassy or Consulate involved. For requests for service upon Iran and its political subdivisions the check or money order should be made out to "U.S. Embassy Bern). 12. Clerks who may have further questions regarding these issues may wish to refer to memos from the Administrative Office of U.S. Courts, dated, Nov. 7, 2000, May 20, 1982 and Nov. 6, 1980. Attachment A ATTACHMENT B i a Domestic based upon OFFICIAL USE --··--- - -- ·-··- Date Stamp Insurance up to $25,000 Is Included the declared value. lntemaUonal Indemnity is llmitad. (See Reverse). .• . , CAf3E#; ..g,..rmm-EDt . '!.:1~' . des Pastes des Etats-Unis d~merique - . . qui .. > · -- -• . .- -- --- ·- -- - - - - TN;ITIALS The sender Name.or - , - -- -· . 500 Cit}'; State, . 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Also complete item 4 If Restricted Delivery is desired. * Print your name and address on the reverse so that we can return the card to you. * Attach thiscardtothe backof the mailpiece, oron the frontIfspace permits. 1. Article Addressed to: SECRETARY OF STATE ATTN: DIRECTOR OF CONSULAR OFFICE OF POLICY REVIEW & INTER AGENCY LIASION (CA/ U.S. DEPT. OF STATE, SA-29~ 2201 C STREET NW, 4th Fl WASHINGTON DC 1 2 0 52 0 COMPLETE THIS SECTION ON DELIVERY A. Signature X D Agent D Addressee l C. Date of Delivery B. Received by (Printed Name) ' D. IsdeliveryaddressdifferentfromItem1? D Yes If YES,enter deliveryaddressbelow: D No SERVICES CS/PRI} 3 =.=&M==oo=~=~====================== !:ia~Mail DExpressMall D Registered IXjieturn Receipt torMerchandise ; 0 Insured Mall 0 C.O.D. 4. Restricted Delivery? (Elctra Fee) 0 Yes 2. ArticleNumber (T'ransferfromservloo iabffJ:< ~TRACKING # 1 PSForm 3811, February 2004 1 02595-02-M-1540 UNITED STATES POSTAL SERVICE \ \\\\ \ First-Class Mail . Postage & Fees Patd USPS Permit No. G-10. dd nd ZIP+4 in this box • * Sender: Please pnnt your name, a ress, a RUBY J. KRAJICK, CLERK OF COURT U S DISTRICT COURT SOUTHERN DISTRICT-0~-NEW YORK 500 PEARL STREET, RM. 120 NEW YORK, NY 10007 CASE NUMBER AND JUDGE'S INITIALS Attachment E
The Emancipation and Liberation of One Karen Smith Destinee Wilson, Alexandra Lang, and Chloe Campos The Emancipation and Liberation of One Karen Smith Set in the late 1910s, a white woman named Karen Smith lives an ordinary life married to her husband in Brooklyn, New York in a lovely home. Brad, the husband of Karen, has a job on Wall Street, where he com mutes to work. He is very controlling, misogynist, and racist. They have been married for five years and have a normal and happy life, the complete American Dream. During this time, the women of the United States are embroiled in the fight for suffrage, with many in opposition. Karen and Brad are a part of the anti-suffrage movement that believes in a limited role for women, such as "working in the home." Realizing that the suffrage movement was gaining momentum, Karen decides to infiltrate the National Women's Party. Karen is deter mined to find out insider information to harm the suffrage movement. While engaging in espionage, Karen discovers herself, makes friends, and decides how she wants to be remembered by history. Note* Note* As three young women who are writing this less than a month from a national presidential elec tion, we wanted to tell an objective, passionate story that highlights the journey to the true democracy of women. Historically, the passage of the 19th Amendment, which guaranteed women the right to vote, is one of the most essential and wide-ranging political mobilization movements in all of American history. As monumental as the suffrage movement was, the path to liberation was wrought with difficulty. The move ment grappled with the fundamental definition of womanhood and the complete disruption of the status quo. Unfortunately, during this time, the movement was embedded with racial tension, discrimination, and hatred. As diverse and educated women, we wanted to create a story that reversed the silence, erasure, and deep-seated racial prejudice during the 1910s. We wanted to recognize the contributions and perspectives of women of color and the LGBTQIA community. Thus, we categorize this musical as historical fiction. Through this reimagination, we created a musical that is diverse, inclusive, ethical, and enlightening. We wanted to create a dramatic retelling that beautifully details our collective history as women and United States citizens. We hope this musical serves as an example of empowerment and of the necessity for solidari ty. May more stories capture these ideals and give voices to those silenced, marginalized, and erased. We hope we adequately demonstrate the achievements of those who fought for our rights. Your achievements are recognized and appreciated. We are standing on your shoulders. Thank you. —Destinee, Alexandra, Chloe Character List Song Order 1. "You Will Still Be Mine" from Waitress (music and lyrics by Sara Bareilles) 2. "I Am Ashamed That Women Are So Simple" from Kiss Me Kate (music and lyrics by Cole Porter) 3. "Salute" by Little Mix 4. "What I Was Born To Do" from Bring it On: The Musical (music and lyrics by Thomas Robert Kitt, Lin-Manuel Miranda, and Amanda Green) 5. "Sports Analogies" from Crazy Ex-Girlfriend (music and lyrics by Adam Schlesinger and Jack Dolgen) 6. "The Man" by Taylor Swift 7. "Brave" by Sara Bareilles and Jack Antonoff 8. "Bad Blood" by Taylor Swift 9. "Get Out and Stay Out" from 9 to 5 The Musical (music and lyrics by Dolly Parton) 10. "This Is For My Girls" performed by Chloe x Halle, Jadagrace, Janelle Monáe, Kelly Clarkson, Kelly Row land, Lea Michele, Missy Elliot, and Zendaya (written by Diane Eve Warren) ACT ONE BRAD and KAREN are at their home in Brooklyn, NY after a meeting at the National Association Opposed to Woman Suffrage, where they discussed the momentum of the current suffrage movement. It was suggested that KAREN join the suffrage movement as a spy to gain insight into their plans. BRAD Reclining in the living room, yelling Reclining in the living room, yelling You know how important this is to our cause. Men have always had the ability to vote, why should we alter the current state of affairs? The woman's mind is dangerous, and we have a duty to protect you. I think you should do it. KAREN As she cleans dishes As she cleans dishes I don't know. Doesn't it seem a little risky? I mean, what if they find out that I am working for NAOWS. I am just as opposed as you are, but these women are radical, and I'm not a good actress. BRAD Look, putting advertisements in the newspapers isn't enough, we need more. Those "women" want the complete breakdown of the family unit. Do this for us and our future family. Don't you want our children to grow up in a stable society? KAREN You're so right, darling. You know I want our children to have the absolute best. I just don't understand politics like you do. Thank you so much for explaining it to me. BRAD Of course, sweetie. That's what I'm here for. If you just do as I ask, I'll make sure you're well taken care of, like I always have. "You Will Still Be Mine" from Waitress (lyrics by Sara Bareilles) [BRAD:] Remember my clean shave Back in our old days We were just kids I had my six string And you had your own thing Though I don't remember what it is I wrote you love songs And you liked that sad one So, I played it all the time What was that one line? Something 'bout sunshine I sang it every night Where the sun don't shine No, that can't be it When the sun won't shine What was it baby? [KAREN:] Till the sun don't shine You will still be mine [BRAD:] That's right Man what a whirlwind So much has happened And mostly to me We've come such a long way No turning back now babe You're my family Now promise me To the end of time These are ties that bind Sing it, honey [KAREN:] Till the sun don't shine [Both:] You will still be mine [BRAD:] Mine Mine Mine SONG ENDS SONG ENDS BRAD Getting up and walking upstairs up and walking upstairs* I'm going to bed, honey. I've had a long day. Now give us a kiss. KAREN Alright, honey. Kisses him Kisses him Goodnight KAREN continues washing dishes and cleaning "I Am Ashamed That Women Are So Simple," from Kiss Me Kate [KAREN]: I am ashamed that women are so simple To offer war where they should kneel for peace, Or seek for rule, supremacy, and sway When they are bound to serve, love and obey. Why are our bodies soft, and weak, and smooth, Unapt to toil and trouble in the world, But that our soft conditions and our hearts Should well agree with our external parts? So, wife, hold your temper, and meekly put Your hand 'neath the sole of your husband's foot, In token of which duty, if he please, My hand is ready, Ready, May it do him ease. SONG ENDS THE NEXT DAY, KAREN goes to a women's protest, determined to give credible information back to the NAOWS. She sees a lot of women in "knee-length skirts with full Turkish-style pantaloons gathered at the an kle." (Utech, 2020) Internally, she cringes and scoffs in disgust at their obvious choice of radical clothes. A secret part of her recognized the appeal of the clothing due to the increased mobility, but she quickly dismissed that train of thought. Moving to the front of the crowd, KAREN begins listening to the impassioned woman at the front and the echoes of agreement around her. "Salute" By Little Mix [ALICE:] Ladies all across the world Listen up, we're looking for recruits If you're with me, let me see your hands Stand up and salute Get your killer heels, sneakers, pumps or lace up your boots Representing all the women Salute, salute! [BRIDGETT:] Ladies all across the world Listen up, we're looking for recruits If you're with me, let me see your hands Stand up and salute Get your killer heels, sneakers, pumps or lace up your boots Representing all the women Salute, salute! [ALL:] It's who we are We don't need no camouflage It's the female federal And we're taking off If you're with me, women, let me hear you say Ladies all across the world Listen up, we're looking for recruits If you're with me, let me see your hands Stand up and salute Get your killer heels, sneakers, pumps or lace up your boots Representing all the women Salute, salute! Attention! (salute) Attention! (salute) Attention! (huh!) Representing all the women Salute, salute! [BETTY:] Sisters we are everywhere Warriors, your country needs you If you're ready ladies, better keep steady Ready, aim, shoot Don't need ammunition, on a mission And we'll hit you with the truth Divas, queens, we don't need no man, salute! [PENNY:] Sisters we are everywhere Warriors, your country needs you If you're ready ladies, better keep steady Ready, aim, shoot Don't need ammunition. On a mission And we'll hit you with the truth Representing all the women Salute, salute! [ALL:] It's who we are We don't need no camouflage It's the female federal And we're taking off If you're with me, women, let me hear you say [ALL:] Ladies all across the world Listen up, we're looking for recruits If you're with me, let me see your hands Stand up and salute Get your killer heels, sneakers, pumps or lace up your boots Representing all the women Salute, salute! Attention! (salute) Attention! (salute) Attention! (huh!) Representing all the women Salute, salute! [ALICE:] You think we're just pretty things You couldn't be more wrong [ALL:] (We're standing strong, we carry on) [ALICE:] Knock us but we keep moving up (we're moving up, yeah) Can't stop a hurricane, ladies it's time to awake (yeah!) [ALL:] Attention! Attention! Individuals! Originals! Huh! [ALICE:] Let me hear you say [ALL:] Ladies all across the world Listen up, we're looking for recruits If you're with me, let me see your hands Stand up and salute Get your killer heels, sneakers, pumps or lace up your boots Representing all the women Salute, salute! Attention! (salute) Attention! (salute) Attention! (huh!) Representing all the women Salute, salute! [ALICE, ON A MEGAPHONE:] Ladies, the time has come; the war has begun. Let us stand together And remember, men fight great, but women are great fighters Huh! [ALL:] Representing all the women Salute, salute! SONG ENDS After the protest, things are winding down. With groups of women closely scattered discussing the next event. A beautiful black woman with long, curly hair recognizes KAREN, standing isolated and fidgeting from the other members of the National Women's Party. ALICE approaches KAREN. ALICE I noticed you standing by yourself. Is it your first time here? KAREN KAREN primly responds KAREN primly responds Yes. ALICE So, what did you think? KAREN Well, you certainly are passionate. ALICE Well, of course. We are working tirelessly to make sure that women are granted the right to vote. We are citizens equal to men, and we should be able to vote like them, too. KAREN KAREN looks around snottily KAREN looks around snottily I see. ALICE What's your name? KAREN I'm Ka--my name is Mable. Mable Peabody. ALICE Well, hello, Mable, it's nice to meet you. I'm Alice. KAREN So, Alice, how did you come to be involved in this, er, organization? "What I Was Born To Do," from Bring It On, the musical (with original lyrics by Alexandra Lang) [ALICE:] I was just a girl Walking down the street When I saw the Suffragettes march for the first time Holding up their signs Calling out for change I looked around Do these people see what I see? Those heroines were going for the win And when they started to chant I knew That I would find a way To be with them one day Cause in that moment I finally knew What I was born to do [ENSEMBLE] Go, Go, Go ALICE Go ALICE Go, ALICE, Go [ALICE:] Made a vow I was gonna be a protester Like the Suffragettes in front of me So, I chanted And I ranted 'Till I made the team Now my life is doing activism It's my dream Slow motion down the hall As sexists stop and glare I'm calling for a change in the law For the first time And if I ever fall I know my team is there Cause I've got the Suffragettes here behind me [ENSEMBLE:] We activists are going to pound our fists And there is nothing that we can't do They underestimate But we'll retaliate And with our powers combined we do What we were born to do Hey-ey-ey-ey [ALICE:] Ready, Okay [PENNY:] My name is Penny I rep the 'Gettes with pride I'm tired of the men who want me just to stand aside [ENSEMBLE:] Aww [BETTY:] I'm Betty, and petty Should be my middle name I may look like a granny But I never act my age [BRIDGET:] My name is Bridget I hold the banner sign It's hot out here And now the sun is melting the design [STEVEN:] What's up, my name is Steven I know, this is the way We're gonna make a difference Liftin' up the girls and gays [ENSEMBLE:] What! [STEVEN:] Yeah I will fight And don't care what the sexists say! How many guys can say They hang with girls all day Love you, girl [ALICE:] Love you more [RANDOM WOMAN:] Sarcastically Sarcastically Oh, yay, suffragette protests are today Yippee [RANDOM MAN:] Yeah, yippee. Even mocking suffragettes cannot hide the emptiness in my soul [ALICE:] Hey, You've never met me face to face If you think we women are a waste of space We work And we fight And we train and hustle We get Mani-pedis, but were made of muscle We'll paint the town with our makeup palette We're hanging chads 'till we get a ballot [ALL:] This election getting closer by the minute Last year we got beat This year we're gonna get it Bring it! [ALICE:] Calling Congressmen Marking out the route Trying out a brand new chant for the first time Making all the plans Here behind the scenes I look around Do these people see what I see? [ALL:] These Suffragettes Are as tough as they get We've got the spirit and we'll see it through So, watch what happens then 'Cause we will not give in Because we're doing what we're born to do Doing what we're born to do [ALICE:] Doing what I'm born to do There is so much more to do I can see it in my mind The future's ours When we get the vote We'll know it's worth the hours We will march the streets of this country far and wide We will all unite, not a woman left behind We will take this fight to the street We are used to pain in our feet 'Cause this is why we were born So now we're gonna write all womankind in the sequel C'mon pick up the pace, never stop 'till we're equal We're only at the start, we got nothin' to lose 'Cause this is what we're born to do, so let's do it! END OF SONG ALICE So, you see. ALICE brightly smiles ALICE brightly smiles Let me introduce you to everyone. Ladies, this is Mable. She's new here. Mable, this is everyone. Our leaders are Mary Ann, Betty, and Harriet. Our members are Bridgett, Penny, and Steven. KAREN Nice to meet you all. MARY ANN throws up a brief wave, and starts to leave, explaining she needs to get home to her children. BET TY simply grunts in greeting and goes back to her previous conversation. BRIDGETT, PENNY, and STEVEN continue to clean, shouting out brief greetings. HARRIET excitedly greets KAREN. HARRIET Hello Mable! How are you? Oh, it's so great to meet you and have you here! We need all the help we can get! Are you tired? I know how the first protest can be so overwhelming to the newbies! ALICE sees KAREN get increasingly uncomfortable and quickly jumps in. ALICE So, Mable, do you want to join us? KAREN KAREN takes a long pause, then remembers her promise to Brad. takes a long pause, then remembers her promise to Brad.* Yes, I would. Thank you. ALICE Wonderful! Walk with me, and I'll give you more details The women exit the stage, marching and chanting. END SCENE NEW SCENE The next night while KAREN is doing recon at the meeting. Her husband, BRAD, is meeting with his friends CHAD and MANUEL. They are drinking and smoking in a cigar lounge, wearing thick velvet robes. The lounge has expense furniture covered in leather. They are in a calm argument, where CHAD cannot fathom why BRAD would let KAREN be around such radical women. CHAD warns that it could be a mistake that will drastically change KAREN and make her want more freedom. CHAD Brad, how can you let Karen run amongst those hooligan women! Aren't you concerned she might reveal her self—or worse, befriend them? You know how hysterical women can be. BRAD Relax, my good man, Karen, is a tame woman. She follows my orders as any good wife. Believe me. I've trained her well. The three of them laugh. MANUEL But, seriously, aren't you even slightly concerned. My friend lost his wife to those extremist women. BRAD Yes, but your friend's wife didn't have my Karen's loyalty. She's like a puppy dog, that one. You have to satisfy your wife. That's how you keep her in check. CHAD Manuel, your friend's wife was a bit loco. . . . WAITER Excuse me, er, Senor. But I'm going to have to ask you to move to the other side of the lounge. Your. . . . kind. . . . isn't welcome here. BRAD Don't worry, Manny, here, is with us. CHAD Yeah, he's not a real Mexican. The two of them laugh, and the waiter nods and walks off. MANUEL stays silent. BRAD Did either of you catch the game on the radio last night? CHAD Of course! I wouldn't have missed it. MANUEL Yes, I listened to it. BRAD Man, there's nothing I love more than a good game. CHAD Same here MANUEL Me too. BRAD Maybe if those Suffragettes out there listened to a baseball game between their little shopping sprees, they'd quit wasting their time with these protests. CHAD Smirks Smirks That's why we men are the ones that know how to score. BRAD That's true, my good sir. But really, what are we to do about these women! They're completely dismantling the system when there's no need! It works great! CHAD Works great for me! Why are they complaining? They choose what lipstick to wear. Why do they need to choose the president? It's a man's job. BRAD I don't know why they're so crazy, but we have to take our country back! "Sports Analogies" from Crazy Ex-Girlfriend [BRAD:] We're down for the count It's down to the wire We can't drop the ball We gotta aim a little higher [CHAD:] 'Cause when we're on the ropes And it's our turn at bat We gotta throw a Hail Mary Gotta go to the mat [ALL 3:] Sports analogies [MANUEL:] We've found the common ground In all men's personalities [CHAD:] We talk a big game That's how we relate [ALL 3:] It's the easiest way for men to Communicate [BRAD:] Hike! [CHAD:] It's par for the course [BRAD:] When you're in the home stretch [CHAD:] To swing for the fences [BRAD:] With a full court press [CHAD:] We're on the one-yard line [MANUEL:] Inches to go [CHAD:] So you'll pitch and I'll catch [BRAD:] 'Cause it's our lead to blow [ALL 3:] Let's use more Sports analogies They help men cope with life's Harsh realities [CHAD:] Let's spew more clichés [BRAD:] 'Til we run out the clock [MANUEL:] Just keep your eye on the ball [BRAD:] The puck [CHAD:] And my shuttlecock [ALL 3:] Hey! Sometimes, when we watch sports, We get sad And we make it seem like We're sad about the sports [CHAD:] But we're not really crying About the game at all [BRAD:] Who really cares about A game of basketball [ALL 3:] We're sad about our dads We couldn't talk to our dads Unless we used Sports analogies Men feel safe with these Empty generalities [BRAD:] Let's go for the gold [CHAD:] And then we'll hit the lockers [ALL 3:] We're American men We like all sports except for soccer 'Cause soccer's just a bunch Of foreigners running around Yeah! SONG ENDS NEW SCENE While BRAD is meeting with his friends, KAREN is walking to her first National Women's Party meeting. She's also making notes in a notebook about what she's learned. KAREN (monologue) The audacity of these women! Gallivanting around town with this ridiculous idea. They should be home, caring for their children and preparing the house for their husbands! That is all a woman should do--that is what wom en were made for. It is sickening. Brad was right, as always. These women need to be stopped before they mess up everything for society. KAREN arrives at the meeting and promptly takes a seat in the back of the room. As the meeting starts, KAR EN tightly holds her purse in her lap, shifting every few seconds. She continuously glances at the door and the worn clock on the wall. She quickly glances up when she hears movement. She is so lost in thought she doesn't hear ALICE assigning duties for each of the women. KAREN suddenly notices that all of the women are talking and doing task. ALICE approaches KAREN. ALICE Hi Mabel, it's great to see you! KAREN Likewise. ALICE Today, we're going to work on publications and advertisements to counter the narrative of NAOWS. They've been publishing disturbing depictions and cartoons of NWP. KAREN Oh, such as? ALICE Just terrible depictions of us. Cartoons of husbands suffering as they hold children while the wife stubbornly refuses to help. KAREN Chokes back a laugh Chokes back a laugh Right. How terrible. ALICE We aren't opposed to women who want to raise a family. We simply want to offer women the choice, and part of that goal is giving women the right to vote. KAREN Right, sure. ALICE So, do you want to work together? KAREN Alright. Thank you. ALICE Sure. They sit down and start working. ALICE So, are you from around here? KAREN I live in the suburbs of Brooklyn, but my husband commutes to the city regularly. ALICE Your husband? How long have you been married? KAREN We just celebrated our five-year anniversary. ALICE Oh, congratulations! KAREN Thank you. And yourself? Are you married? ALICE No, and I don't plan on it. KAREN Why not? ALICE I don't know if I want my identity completely tied to a man. When my mother married my father, she was at tending Swarthmore, but she had to drop out since married women weren't allowed to attend school. KAREN Oh. Maybe it was for the best. ALICE ALICE Glances sharply at KAREN Glances sharply at KAREN I don't really think so. KAREN But if she was in school, she wouldn't have had the time to raise you. ALICE Shaking her head, slowly Shaking her head, slowly That's not for the government to decide. How she spends her time, divided between school or work and family, should have been up to her and my father. KAREN is silent for a moment, still unable to fathom why ALICE would create NWP, asks her a blunt ques tion. KAREN Why did you create the NWP? ALICE Ah, women always ask me this question. I think they expect me to describe some epiphany moment, but I have always been this way, a woman striving for equality. See, I grew up in England. I lived in a Quaker household. We tend to believe in the equality of the sexes. From the first time, I learned that being a woman means being treated differently, I knew something should change. We should be equal. KAREN It has to be more than that. Surely you weren't born with this. . . .ideology. ALICE Shrugs Shrugs It really isn't though. It may seem insane to women and men that I would subject myself to this treat ment. Holds up a particularly derogatory publication Holds up a particularly derogatory publication I just feel like this is my purpose. KAREN continues to stare in bewilderment at ALICE ALICE Slightly chuckles Slightly chuckles Let me tell you a story. There was this one time that my friends and I planned a public event with her two friends in Washington D.C. for suffrage. I was so excited, and I hoped that planning it during Presi dent Wilson's inauguration would bring national attention and give the movement momentum. KAREN Gasp Gasp You planned it during the inauguration? ALICE Loudly laughing Loudly laughing Don't look at me like that. Yes, I did, and I don't regret it. KAREN I can't imagine that your march went well. ALICE Sighs and somberly looks off into the distance Sighs and somberly looks off into the distance You are right about that. Everything started off really well, but things got very ugly. First, men were yelling slurs and insults at us, like how unpatriotic we were. Then men began to attack us. Holding back tears Holding back tears I still remember screaming and being hit. I looked up and called for anyone to help us, but no one reacted. In fact, the police stood by and watched. KAREN feels sadness and deep sympathy KAREN That sounds awful. ALICE ALICE Shaking herself out of a trance, quickly wipes her eyes to remove the few tears that slipped out Shaking herself out of a trance, quickly wipes her eyes to remove the few tears that slipped out Yeah, it was, but one good thing came out of it. KAREN Staring quietly and seriously at ALICE Staring quietly and seriously at ALICE What? ALICE Well, we did end up getting national attention. Plus, ever since we were attacked, I have been completely de voted to equality. I cannot imagine spending my time and energy on anything else. There was something about facing that violence that made me determined to change everything for women. "The Man" by Taylor Swift [ALICE:] I would be complex, I would be cool They'd say I played the field before I found someone to commit to And that would be okay for me to do Every conquest I had made would make me more of a boss to you I'd be a fearless leader I'd be an alpha type When everyone believes ya What's that like? I'm so sick of running as fast as I can Wondering if I'd get there quicker if I was a man And I'm so sick of them coming at me again 'Cause if I was a man, then I'd be the man I'd be the man They'd say I hustled, put in the work They wouldn't shake their heads and question how much of this I deserve What I was wearing, if I was rude Could all be separated from my good ideas and power moves And they would toast to me, oh, let the players play I'd be just like Leo in Saint-Tropez I'm so sick of running as fast as I can Wondering if I'd get there quicker if I was a man And I'm so sick of them coming at me again 'Cause if I was a man, then I'd be the man I'd be the man What's it like to brag about raking in dollars And getting btches and models? And it's all good if you're bad And it's okay if you're mad If I was out flashing my dollars I'd be a btch, not a baller They'd paint me out to be bad So, it's okay that I'm mad I'm so sick of running as fast as I can Wondering if I'd get there quicker if I was a man And I'm so sick of them coming at me again 'Cause if I was a man Then I'd be the man I'm so sick of running as fast as I can Wondering if I'd get there quicker if I was a man And I'm so sick of them coming at me again 'Cause if I was a man, then I'd be the man I'd be the man I'd be the man I'd be the man I'd be the man If I was a man, then I'd be the man SONG ENDS END SCENE NEW SCENE KAREN is at home with BRAD. They're eating dinner. KAREN How was your day? BRAD Good. I had cigars and drinks with Chad and Manny after work. KAREN Oh? How was that? BRAD It was fun, as always. How was your day? Did you go to the meeting? KAREN Yes, of course. BRAD And? What did you learn? KAREN They are very passionate about their cause. They want to make publications to spread around the city. BRAD Laughs Laughs As if they could come up with something better than NAOWS. I'd like to see them try. KAREN Chuckles awkwardly awkwardly* You're so funny, darling BRAD Smirks Smirks I know. So, what was it like in there, with all those shrewish women? KAREN Thinking back to the emotion and passion of ALICE Thinking back to the emotion and passion of ALICE They were okay. BRAD Laughing Laughing Okay, Pft! Pft! Tell me more, I'm sure they were horrid. It is almost criminal what they are doing. I can't believe they want to "vote," knowing they need to be focused on their families. KAREN Responds nervously Responds nervously I don't know honey. Some of their stories were really sad, and I understand their perspec tive a little more. BRAD BRAD Abruptly stops eating Abruptly stops eating What did you just say? KAREN Replies tense and timid Replies tense and timid No, I just meant that. . . . stops in the middle of her sentence stops in the middle of her sentence You know what, never mind, they're wrong. I don't want the right to vote. I have everything I need. BRAD Glancing at KAREN suspiciously Glancing at KAREN suspiciously Exactly, a lot of women don't even want to vote. Men and women should have separate responsibilities, I don't understand why women want to change that. Whatever, at least we will get information to stop them. After, quickly finishing his food. BRAD gets up from the table rubbing his stomach After, quickly finishing his food. BRAD gets up from the table rubbing his stomach Well that was good, honey. I'm going to bed; I had a long day. Goodnight, honey. BRAD gives his wife a chaste kiss as he is walking away he looks sternly at KAREN BRAD Don't forget your purpose when you go to those meetings. KAREN Of course, my darling. KAREN slowly cleans up after dinner, pondering her day. She thinks about what ALICE said and then what BRAD said. She starts to feel conflicted, wondering what is right. She sighs. KAREN What if he's wrong? THE LIGHTS SLOWLY DIM WITH HER AT THE SINK, THINKING END SCENE NEW SCENE KAREN is at another NWP meeting. KAREN and ALICE continue working on the publications. KAREN is starting to make connections with the other ladies and learn their idiosyncrasies. She is particularly fond of BETTY, who is gruff but cares about all of the ladies. She starts to look at the ladies in a new light and is drawn to ALICE. She starts to forget her mission. ALICE Laughing so hard she has tears forming Laughing so hard she has tears forming So, then what did you do? BETTY I swung my purse at him! KAREN Gasps Gasps You did?! BETTY He had it comin'. He was being disrespectful. ALICE He deserved that and more. I say you were too easy on him. They all laugh BRIDGETT Once, at church, a man told me I was being unfaithful for being a Suffragette. BETTY He did? BRIDGETT Yep. He said I'd have to choose between my Christianity and my political beliefs. ALICE That's ridiculous. BRIDGETT That's what I told him. His face got so red and animated; he was flapping his arms like a bird. The Reverend had to ask him to leave! They all laugh PENNY My ex-husband made me do all the cooking and cleaning around the house! And he never let me get a job! ALICE That's terrible! KAREN Hold on, what? How is that terrible? Isn't that what women are supposed to do? ALICE Not unless they choose to. They shouldn't be forced to follow their husband's orders all the time. KAREN I do all the cleaning and cooking at my house, is that bad? BRIDGETT It's only bad if you're unhappy with that. Is that what you want to do? KAREN I don't know. It's what my Momma did, and her Momma before her. ALICE Sure, Mabel, but is that what you want? Have you ever wanted to get a job? KAREN Oh, I don't know. . . . Maybe when I was younger I wanted to be a veterinarian. PENNY Oh, that's wonderful! ALICE Why didn't you? KAREN Scandalized Scandalized A woman? As a doctor? I've never heard of such a thing. A nurse, perhaps, but a doctor? ALICE But why couldn't it be you? BETTY Mable, are you happy with your life with your husband? KAREN I'm satisfied. BETTY I didn't ask if you're satisfied. I asked if you're happy. KAREN Thinking in silence for a long moment Thinking in silence for a long moment I. . . . no. I'm not happy. ALICE Then you should tell him! KAREN But—I love my husband. BRIDGETT No one's telling you to leave him. But tell him how you feel! KAREN But. . . . How? "Brave" by Sara Bareilles [ALICE:] You can be amazing You can turn a phrase into a weapon or a drug You can be the outcast Or be the backlash of somebody's lack of love Or you can start speaking up [PENNY:] Nothing's gonna hurt you the way that words do When they settle 'neath your skin Kept on the inside and no sunlight Sometimes a shadow wins But I wonder what would happen if you [ALL:] Say what you wanna say And let the words fall out Honestly, I wanna see you be brave With what you want to say And let the words fall out Honestly, I wanna see you be brave I just wanna see you I just wanna see you I just wanna see you I wanna see you be brave I just wanna see you I just wanna see you I just wanna see you I wanna see you be brave [BETTY:] Everybody's been there Everybody's been stared down by the enemy Fallen for the fear And done some disappearing Bow down to the mighty Don't run, stop holding your tongue [ALICE:] Maybe there's a way out of the cage where you live Maybe one of these days you can let the light in Show me how big your brave is [ALL:] Say what you wanna say And let the words fall out Honestly, I wanna see you be brave With what you want to say And let the words fall out Honestly, I wanna see you be brave [ALICE:] And since your history of silence Won't do you any good Did you think it would? Let your words be anything but empty Why don't you tell them the truth? [ALL:] Say what you wanna say And let the words fall out Honestly, I wanna see you be brave With what you want to say And let the words fall out Honestly, I wanna see you be brave I just wanna see you I just wanna see you I just wanna see you I wanna see you be brave I just wanna see you I just wanna see you I just wanna see you See you be brave I just wanna see you (yeah) I just wanna see you (oh o) I just wanna see you I just wanna see you I just wanna see you I just wanna see you SONG ENDS KAREN You're right. I'm gonna do it. They all cheer END SCENE NEW SCENE KAREN comes home determined by the other ladies to tell BRAD how she feels. BRAD is completely unaware that KAREN is unhappy. KAREN decides to tell BRAD about her unhappiness during dinner. KAREN ner vously fidgets and chews her food. She is so scared about telling BRAD. He notices KAREN's unusual behavior, but he doesn't say anything. BRAD So how was your day honey? KAREN KAREN Swallowing nervously Swallowing nervously It was good. How was your day? BRAD It was great, just the usual. I am thinking that we should‒ KAREN Cuts BRAD off sharply Cuts BRAD off sharply I think we should talk‒ BRAD Don't interrupt me, sweetheart. KAREN Oh, I'm sorry. BRAD It's alright. I was thinking, we didn't really get to celebrate our anniversary, did we? KAREN Well I understand. You had to work. BRAD Well, I want to make it up to you. How about we go upstate this weekend? KAREN Oh, I‒ BRAD It'll be great, I know it. Now doesn't that sound‒ KAREN Brad, I want to talk about us BRAD Slowly puts down his silverware. Slowly puts down his silverware. What about us? KAREN KAREN Are you happy? BRAD Happy? Of course, I'm happy! KAREN Wringing her hands and fidgeting in her seat Wringing her hands and fidgeting in her seat Well, I don't think I am. BRAD What are you talking about? Of course, you're happy. Where is this coming from? KAREN Well, I was just talking to the ladies. . . . BRAD What ladies? Chuckles Chuckles You don't have any friends. KAREN The ladies at the NWP. BRAD Looks at her in disbelief Looks at her in disbelief You can't be serious. KAREN I am. I'm sorry if‒ BRAD BRAD slams his hands on the table BRAD slams his hands on the table They corrupted you. I knew this would happen. I just knew it! Chad warned me about this. KAREN KAREN I'm not corrupted! I just want to be fulfilled and happy. But I love you andBRAD I can't even look at you. I thought you were stronger than this! I can't believe you are letting those "women" influence you. KAREN They didn't! They just opened my eyes to what's going on around me‒to my life! BRAD I'm going out. Don't wait for me. KAREN Holding back tears Holding back tears Wait, Brad. BRAD leaves walking right past her, not even looking at her. KAREN sits at the dinner table looking at the meal she prepared, silently crying. END SCENE NEW SCENE BRAD is once again meeting with his friends, CHAD and MANUEL at the lounge. BRAD is very concerned, stressed, and tense, silently looking into his drink. CHAD CHAD Man, what is your problem? You've been quiet this whole night. BRAD Long heavy sigh Long heavy sigh Nothing man! Rubs his face and neck Rubs his face and neck It's just that Karen is acting very differently. She started saying something about not being happy. I think the nasty women at the NWP are influencing her and putting bad ideas in her head. It's like she's a different person. CHAD Sits back in his seat cockily Sits back in his seat cockily What did I tell you man. I knew this was a bad idea. BRAD I don't want to hear that, Chad MANUEL Sensing the rising tension, quickly interrupts Sensing the rising tension, quickly interrupts I'm sorry, Brad. Did she tell you what she was unhappy about? BRAD Shaking his head sadly Shaking his head sadly I just left. I couldn't sit there and let her talk to me like that. MANUEL Looking calmly at BRAD Looking calmly at BRAD Don't you think you should have let her finish. I mean, I'm sure it took a lot for her to talk to you, and you just stormed out. Maybe. . . . CHAD Rudely interrupts MANUEL, talking over him loudly Rudely interrupts MANUEL, talking over him loudly You should get back at those women and Karen. BRAD BRAD Somberly looking at CHAD Somberly looking at CHAD I don't want to hurt Karen, she's my wife. CHAD CHAD Rolls his eyes Rolls his eyes Fine. Whatever, but you need to put those NWP women in their place. I wonder how they would feel if they knew Karen was trying to find out information about them to bring them down. MANUEL MANUEL Sharply looking at CHAD with blatant disappointment Sharply looking at CHAD with blatant disappointment I dislike NWP too, but that's a terrible idea! I'm sure that would end up harming Karen. Do not listen to Chad. BRAD thinks about what CHAD said He keeps on having flashbacks to his conversation with KAREN and becomes increasingly angry. He keeps on having flashbacks to his conversation with KAREN and becomes increasingly angry. BRAD That sounds like a good idea, then Karen can stop being with those women and go back to normal. MANUEL MANUEL Shaking his head in disbelief Shaking his head in disbelief Do you guys hear yourselves? Brad, I thought you said you didn't want to hurt Karen. This will hurt her. From what you say she values these ladies' opinions. BRAD BRAD Narrowing his eyes at MANUEL Narrowing his eyes at MANUEL That is precisely the problem. She is listening to those crazy women and their opinion. She should only be listening to me. She will understand that I'm doing this for her benefit. For us. MANUEL MANUEL Looking resigned Looking resigned I don't think this is going to turn out the way you want it to. CHAD CHAD Cockily grinning Cockily grinning It is about time that you started listening to me. Let me tell you how to do it. END SCENE NEW SCENE BRAD decides to tell the ladies at NWP through an anonymous note about KAREN working as a spy to get information for NAOWS. The ladies at NWP are furious and decide collectively to confront KAREN. KAREN, is unaware that the ladies know her secret and her opinion about them has changed. She actually believes in the movement. KAREN walks into the meeting feeling sad about her conversation with BRAD and how he has been ignoring her. She immediately becomes happy when she walks into the NWP and sees all of the ladies. KAREN Hey ladies, how is everyone doing! ALICE stares at KAREN sadly and silently BETTY Approaches KAREN fast and shouting Approaches KAREN fast and shouting YOU HAVE A LOT OF NERVE COMING IN HERE! WHAT IS WRONG WITH YOU! BRIDGETT Seeing the anger of BETTY, quickly grabs her arm to stop her approach Seeing the anger of BETTY, quickly grabs her arm to stop her approach She is not worth it, calm down! KAREN What is going on?! PENNY Waving the note that BRAD left Waving the note that BRAD left THIS IS WHAT IS GOING ON! KAREN slowly walks to grab the piece of paper and reads it, instantly recognizing BRAD's handwriting. A sense of foreboding washes over her. KAREN I CAN EXPLAIN! IT'S NOT WHAT YOU THINK! BETTY FORGET EXPLAINING! IS IT TRUE?! KAREN Looking sadly at ALICE Looking sadly at ALICE Yes, but‒ BETTY BETTY OH, I KNEW IT! THERE HAS BEEN SOMETHING OFF ABOUT YOU THIS WHOLE TIME! HOW COULD YOU DO SOMETHING LIKE THIS, MABEL?! OR SHOULD I SAY, KAREN?! BRIDGETT BRIDGETT Talking over BETTY's shouting Talking over BETTY's shouting CALM DOWN BETTY! BETTY BETTY Getting increasingly mad and yelling at the top of her lungs Getting increasingly mad and yelling at the top of her lungs CALM DOWN? CALM DOWN? Wildly look ing around at the other women WHY ARE YOU NOT MORE UPSET? YOU KNOW WHAT SHE DID AND HOW THIS COULD HARM US. "Bad Blood" [BETTY:] 'Cause, baby, now we got bad blood You know it used to be mad love So take a look what you've done 'Cause, baby, now we got bad blood Hey Now we got problems And I don't think we can solve them You made a really deep cut And, baby, now we got bad blood Hey [ALICE:] Did you have to do this? I was thinking that you could be trusted Did you have to ruin what was shiny? Now it's all rusted Did you have to hit me, where I'm weak? Baby, I couldn't breathe And rub it in so deep, salt in the wound like you're laughing right at me Oh, it's so sad to think about the good times, you and I [ALL:] 'Cause, baby, now we got bad blood You know it used to be mad love So take a look what you've done 'Cause, baby, now we got bad blood Hey Now we got problems And I don't think we can solve them You made a really deep cut And, baby, now we got bad blood Hey [BRIDGETT:] Did you think we'd be fine? Still got scars on my back from your knife So don't think it's in the past, these kinda wounds they last and they last. Now did you think it all through? All these things will catch up to you And time can heal but this won't, so if you're coming my way, just don't [ALL:] Oh, it's so sad to think about the good times, you and I 'Cause, baby, now we got bad blood You know it used to be mad love So take a look what you've done 'Cause, baby, now we got bad blood Hey Now we got problems And I don't think we can solve them You made a really deep cut And, baby, now we got bad blood Hey [ALICE:] Band-aids don't fix bullet holes You say sorry just for show If you live like that, you live with ghosts (ghosts) Band-aids don't fix bullet holes (hey) You say sorry just for show (hey) If you live like that, you live with ghosts (hey) Mhmmm If you love like that blood runs cold [ALL:] 'Cause, baby, now we got bad blood You know it used to be mad love (mad love) So take a look what you've done 'Cause, baby, now we got bad blood Hey Now we got problems And I don't think we can solve them (think we can solve them) You made a really deep cut And, baby, now we got bad blood (Hey) 'Cause, baby, now we got bad blood You know it used to be mad love So take a look what you've done (look what you've done) 'Cause, baby, now we got bad blood Hey Now we got problems And I don't think we can solve them You made a really deep cut And, baby, now we got bad blood Hey SONG ENDS PENNY Has been silently looking at KAREN. She has tears running down her face. PENNY Quietly but strongly Quietly but strongly You need to leave. KAREN is still in shock, realizing her life is shattering in front of her. She looks to ALICE begging for the chance to explain. ALICE I agree with Penny, you need to leave. We can't trust you. KAREN is begging ALICE with her eyes, but notices that ALICE isn't even looking at her anymore. Feeling immense heartache, KAREN turns slowly and goes to the door. BETTY Yelling at KAREN'S retreating figure Yelling at KAREN'S retreating figure Good riddance! Don't you ever come back! KAREN looks at the women that she considers friends. She slowly leaves, crying. END SCENE NEW SCENE KAREN goes home to prepare a meal for BRAD. For the first time, KAREN feels immense anger at BRAD. She is slamming dishes and cooking angrily. BRAD, happy with himself for sabotaging KAREN, is optimistic that he will have his wife back. BRAD enters the house, whistling. KAREN, shaking with rage, simply watches BRAD. BRAD Completely unaware of the anger of his wife Completely unaware of the anger of his wife How was your day honey? KAREN Narrowing her eyes Narrowing her eyes It was horrible. BRAD Oh, really. That's unfortunate. My day was good, I‒ KAREN Aren't you going to ask me why it was horrible? BRAD Sighs heavily and in a patronizing manner Sighs heavily and in a patronizing manner Look if it is about those hags at NWP, I don't want to hear it. KAREN Slamming a pot down Slamming a pot down Oh, believe me you are going to hear this! Why would you write a note like that! BRAD I did it for us! You have been acting completely differently, and it was because of those women. They were radi calizing you! I don't want you to ever go around those women again! KAREN But they were my friends! You took away the only friends I've had since we got married. BRAD You're friends with Chad's wife! KAREN No, YOU are friends with CHAD! I make polite small talk with his wife in the kitchen while you two get drunk in the living room. BRAD Look, if you feel guilty about gathering intel to bring them down, we can find other ways‒ KAREN Shouting near her breaking point Shouting near her breaking point This isn't just about guilt! I stand with them, and I believe in what they're fighting for! And best of all, they believe in me, which is more than I can say about you! BRAD Folding his arms, glaring at KAREN Folding his arms, glaring at KAREN What is that supposed to mean! I AM YOUR HUSBAND! I'm all you need! KAREN STOP telling me what I need! I am a human being and I deserve to be treated like one! I can have my own life outside of you! BRAD Staring at KAREN strangely Staring at KAREN strangely Do you hear yourself? What's wrong with you?! KAREN Do you hear yourself, Brad? You're standing there, telling me that you have this power over me just because you're my husband, and not long ago I would have agreed with you. But my friends have taught me better. Those women are happy‒truly happy. They go where they want, do what they want, act how they want, and they don't ask for permission. I always thought that their freedom was wrong, but it isn't. They embody every thing I want for myself, something I thought I could never have. BRAD Rolling his eyes and starting to walk away Rolling his eyes and starting to walk away I should have listened to Chad. You are acting ridiculous, and I am over it. You need to fix your attitude and get it together. I am your husband and you will start acting like it! For the first time, KAREN is seeing things in full clarity and realizing the man that she married. KAREN Calmly and strongly states Calmly and strongly states I want a divorce. BRAD Abruptly turns around, his mouth dropping in shock Abruptly turns around, his mouth dropping in shock You WHAT?! How dare you‒ KAREN Harshly interrupts BRAD, in a strong tone Harshly interrupts BRAD, in a strong tone No Brad, I'm speaking. I want a divorce. I'm realizing now how little control I've had. Men like you have run my life for far too long. First it was my father, and now it's you, and I won't spend a moment longer acting like you know what's best for me. BRAD Karen, sweetheart, don't do this. You're brainwashed. It's okay, I'll call the doctor‒ KAREN holds up a hand to silence him. "Get Out and Stay Out" from 9 to 5 The Musical (with original lyrics by Alexandra) [KAREN:] Well, It's funny how you're standing there, and calling me insane Well let me tell you something, it is you I blame Can't you see I'm leaving, or are you still that blind No - you stand right there and take it, there's no love to hide behind Well, I am proud to tell you I'm really feeling good. I'm doing so much better than you ever thought I would. Want my own place, my own space, to think and dream and plan Took me this long to realize I do not need a man I used to need you, but then I finally learned I used to want you, now the table's turned I used to love you, now it's your time to squirm Cause I'm saying goodbye, and I don't want you to return. So get out and stay out, I've finally had enough Don't kiss me on your way out, it wouldn't move me much You used me, abused me, you cheated and you lied So get out and stay out, I'm taking back my life I wonder what you'll do when I am not around Now that I'm here and I plan to stand my ground You've always come crying to me throughout the years But now you'll trick another girl, to dry your selfish tears So get out and stay out, I'm moving on at last Oh, I've been so foolish, but that was in the past. I never thought I'd be the one to say goodbye You get out and stay out, I'm taking back my life. Dreams and plans are in the making Success is out there for the taking Wish it was as simple as it sounds I have no choice I have to do it Face the future, walk into it Now that I'm unfettered and unbound Get out and stay out, I've finally had enough Don't kiss me on your way out, it wouldn't move me much You used me, abused me, you cheated and you lied So get out and stay out, I'm taking back my life My life SONG ENDS BRAD is shocked and angrily storms out, leaving KAREN triumphant and crying tears of joy. For the first time she genuinely smiles, feeling truly happy. END SCENE NEW SCENE KAREN is feeling relieved since she asked BRAD for a divorce. For the first time she has control over her life, and she relishes the feeling. She realizes that she wanted to join the women at NWP and help them gain suffrage and freedom. She decides to go to the women and apologize. KAREN nervously enters and waits for the ladies to acknowledge her presence. BETTY With a sarcastic smile With a sarcastic smile Look what the cat dragged in. BRIDGETT What do you want? PENNY simply glares at KAREN. KAREN I just came to talk to you guys and explain myself. BETTY Folding her arms Folding her arms We don't want to hear what you have to say! ALICE walks into the room for the first time and looks surprised to see KAREN. KAREN Please. Give me one more chance. If you don't believe me, I won't bother you again. ALICE Fine, explain yourself. KAREN I am so sorry. Originally, I joined NWP to give information to the anti-suffrage movement. I wanted to stop women from getting suffrage and changing the family structure, but as I got to know you and your story, some thing changed. For the first time, I saw things clearly. My husband, Brad, told me that you all were brainwashing me, but I realized it was him and the NAOWS all along. I realized how Brad controlled me, and how unhappy I was. I saw that I want to vote and have a say for myself. I also saw how beautiful and powerful you guys are. You gave me the strength to become a powerful woman, and I am so inspired by you. I want to join NWP for real, because I value what you're doing. Please accept my apology. There is silence following her speech. BETTY Sarcastically replies Sarcastically replies Well, I am beautiful. Everyone laughs. BRIDGETT I accept your apology. And I am sorry I called you a cow behind your back. PENNY Running to KAREN and throwing her arms around her Running to KAREN and throwing her arms around her Oh, I accept your apology! KAREN Shyly looking at ALICE Shyly looking at ALICE Alice, I'm especially sorry to you. I really appreciate all you did to make me feel welcome here, and I'm so sorry for taking advantage of that. The truth is, I don't think I would have changed if it wasn't for you. So, I understand if you don't forgive me, but thank you for showing me that I can control my own life. ALICE Smiles Smiles We missed you, Karen. Welcome home. The two of them hug, and the others cheer. END SCENE NEW SCENE The women are gathered at the protest with signs and posters. They are all in a group. ALICE speaks with a megaphone. ALICE Ladies, are you ready? The crowd cheers. FINALE: "This Is For My Girls" (with Jadagrace, Janelle Monáe, Kelly Clarkson, Kelly Rowland, Lea Michele, Missy Elliott & Zendaya) [BETTY:] There's beauty in your soul That's what makes you beautiful Don't let nobody ever make you doubt it, yeah [HARRIET:] Your heart is free and strong That's what keeps you keeping on Can't keep you down, there ain't no doubt about it [ALICE:] Don't forget, it's all about respect Nothing else will do Remember it's your life Live it any way you like Cause you know you got the right to [ALL:] This This is for my girls all around the world Stand up, put your head up Don't take nothing from nobody This is for my girls stand up and be heard This is for my ladies, my sisters, all over This is for my girls [KAREN:] You're someone who can be soft as silk but strong as steel Don't shy away from showing what you're made of, oh [ALICE:] This world is yours to take You can bend but you won't break You got no fear and nothing you're afraid of [BRIDGETT:] So don't forget, it's all about respect Nothing less will do Take a truthful to your side Let 'em see how bright you shine Cause you know it's your time to...yeah [ALL:] This is for my girls all around the world Stand up, put your head up Don't take nothing from nobody This is for my girls stand up and be heard This is for my ladies, my sisters, all over This is for my girls [PENNY:] Let life in with open arms With love and with an open heart We got to remember We'll stand strong forever Yeah, we stand together [ALICE:] This is for my ladies, like soldiers we stand up Remember when 2Pac told us keep our head up? And even when the times get rough we get up Treat your life like a stage, you go 'head and tear it up Pass the mic, pass the mic, ladies come through Don't ever, ever let 'em try to stop or try to block you You better tell 'em you something better than any other You'll never settle, you're next level, yeah, you're making moves Woo, put your hands up high This is U-N-I-T-Y Yo, yo, this is how it go, woo [ALL:] This is for my girls all around the world Stand up, put your head up Don't take nothing from nobody This is for my girls stand up and be heard This is for my ladies, my sisters, all over This is for my girls This is for my girls all around the world Stand up, put your head up Don't take nothing from nobody This is for my girls stand up and be heard This is for my ladies, my sisters, all over This is for my girls All over, my girls, my girls My sisters, my sisters All over, this is for my girls THE END Bibliography Cordero, Nick. "You Will Still Be Mine." Waitress, Original Broadway Cast Recording, 2016. Porter, Cole. "I Am Ashamed That Women Are So Simple." Kiss Me Katie – Music By Cole Porter, DRG Records, 2000. Kohn, Ben. "Salute." Salute, Columbia Records, 2013. Miranda, Lin-Manuel and Kitt, Thomas Robert. "What I Was Born To Do." Bring It On: The Musical, Back Lot Music, 2012. Foster, Scott Michael and Rodriguez, Vincent. "Sports Analogies." Crazy Ex-Girlfriend: Original Television Soundtrack (Season 4), WaterTower Music, 2019. Swift, Taylor. "The Man." Lover, Republic Records, 2019. Bareilles, Sara. "Brave." The Blessed Unrest, Epic Records, 2013. Swift, Taylor. "Bad Blood." 1989, Big Machine Records, 2014. Parton, Dolly, "Get Out and Stay Out." 9 to 5: The Musical, Dolly Records, 2009. Warren, Diane Eve. "This Is For My Girls." My Girls, AOL Makers, 2016. Utech, Ingrid. Women's Suffrage: Five Facts You May Not Know. 11 July 2020, www.midfloridanewspapers. com/highlands_news-sun/women-s-suffrage-five-facts-you-may-not-know/article_cf99cf28-c227-11ea9a5c-f73d9ebcc480.html. Davis, Jennifer. "Mary Ann Shadd Cary: Lawyer, Educator, Suffragist." Mary Ann Shadd Cary: Lawyer, Edu cator, Suffragist \| In Custodia Legis: Law Librarians of Congress, 28 Feb. 2019, blogs.loc.gov/ law/2019/02/mary-ann-shadd-cary-lawyer-educator-suffragist/. Lange, Allison. "Opposition to Suffrage." History of U.S. Woman's Suffrage, 2015, www.crusadeforthevote.org/ naows-opposition. Michals, Debra. Alice Paul. 2015, www.womenshistory.org/education-resources/biographies/alice-paul.
. CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) The copyright holder for this preprint this version posted August 10, 2021. ; https://doi.org/10.1101/2021.08.09.21261669 doi: medRxiv preprint Title: Use of compressed sensing to expedite high-throughput diagnostic testing for COVID-19 and beyond 1 2 Authors: 3 Kody A. Waldstein 1,2† , Jirong Yi 3† , Michael Myung Cho 4 , Raghu Mudumbai 3 , Xiaodong Wu 3 , Steven M. 4 Varga 1,2,5‡ , and Weiyu Xu 3‡* 5 †‡Denotes equal contribution 6 7 Affiliations: 8 1Interdisciplinary Graduate Program in Immunology, University of Iowa, Iowa City, IA 52242, USA. 9 2Department of Microbiology and Immunology, University of Iowa, Iowa City, IA 52242, USA. 10 3Department of Electrical and Computer Engineering, University of Iowa, Iowa City, IA 52242, USA. 11 4 Department of Electrical and Computer Engineering, Penn State Behrend, Erie, PA 16563, USA. 12 5Department of Pathology, University of Iowa, Iowa City, IA 52242, USA. 13 14 To whom correspondence should be addressed: Weiyu Xu, email@example.com 15 16 doi: medRxiv preprint https://doi.org/10.1101/2021.08.09.21261669 The copyright holder for this preprint this version posted August 10, 2021. ; . CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) 18 Abstract 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 . CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) The copyright holder for this preprint this version posted August 10, 2021. ; https://doi.org/10.1101/2021.08.09.21261669 doi: medRxiv preprint Graphical Abstract 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 Introduction 58 59 60 61 62 63 64 65 66 67 The rapid community spread of SARS-CoV-2 has placed a significant burden on diagnostic testing and public health to provide fast and accurate testing strategies. The number of COVID-19 tests being performed each day has increased 8-fold since testing reagents became widely available with an average of over 1.5-2 million COVID-19 quantitative reverse transcription polymerase chain reaction (qRT-PCR) tests performed by day in the United States alone (1-3). Additionally, multiple new and more infectious variants of COVID-19 have emerged worldwide harboring genetic mutations significant enough to evade recognition by host antibodies causing some concern for current vaccine formulations (4-8). Testing and screening remains an imperative safeguard to minimize spread, thus the development of innovative strategies and techniques to increase testing capacity without reducing the accuracy and efficacy of testing is crucial. 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 A traditional method to increase testing capacity is by pooling samples as opposed to conducting individualized testing, known as "group testing" (9-11). The principle is simple, if the prevalence rate is low within the population, the majority of samples will inevitably test negative. In this scenario, a single negative result indicates that all patients within that pool are also negative. However, the ability to accurately test using this method diminishes quickly as the prevalence rate increases (12-15). Current CDC guidelines require subsequent individual testing of all patients within a pool if the pool is positive (16). Worldwide SARS-CoV-2 prevalence rates continue to be >10% with a worldwide estimate of ~30% (17). These rates are well beyond the capacity of traditional pooling methods as many pools will be positive requiring additional individual testing and inevitably increasing the number of tests required. More sophisticated pooling efforts have arisen during the pandemic though the testing models' accuracy and effectiveness falls apart rapidly as the prevalence rate rises and are thus not viable options for the current and future pandemics (13, 16, 18, 19). In this study, we present a novel and innovative pooling protocol which utilizes mathematically-derived mixing matrices and decoding algorithms to accurately identify positive patients within pools using the CDCapproved range of positive Ct values at high prevalence rates. Additionally, we propose a new approach based on compressed sensing theory for detection of viral load using pooled sample testing (20-22). We also employ 84 85 86 a modified RNA extraction process in which the patient swab samples are pooled prior to RNA extraction allowing the sample to be concentrated thus minimizing sample dilution. This modified approach has shown high accuracy and reproducibility at prevalence rates over 10% with large sample sizes using an experimental mouse coronavirus, mouse hepatitis virus strain 1 (MHV-1) as well as human COVID-19 patient samples. 87 Problem Formulation 88 89 Notations: We use [ ] N to denote the set 90 91 probability of an event 1,2, E, and use ,N , and N + to denote the set ) 0, N +. We denote by ( ) PrE the round( ) x N is denoted by j xor x to round xto the closest integer. Thej-th element of a vector ( ) x 92 a vector n p + j . The support set or the set of indices corresponding to the nonzero elements of is denoted by supp( ) p. Mixing matrix design 93 Parity check matrix and fixed dilution 94 In this section, we introduce how the participation matrix P and the allocation matrix W are designed for 95 MHV-1 with small population size N, i.e., N=7, 15, and 31. For a prevalence rate of 1%, there can be 96 approximately one infected sample for N=7, 15, and 31. From information theory, we know that the parity 97 check matrices for Hamming codes can guarantee the correction of one error in codewords or the identification 98 of the parity check matrix column which corresponds to the error in the codewords (23). In the context of virus 99 testing, such parity check matrices can guarantee the identification of one positive from all the tested samples. 100 This exactly fits our need for a small population number with 1% prevalence, and we can use such parity 101 checking matrices as the participation matrices. 102 The construction of such parity check matrices can be described as follows. Suppose 0,1 n N P , then 103 we let 2 1 n N = − , and the columns of P are simply all the nonzero binary sequence of length n. As we consider 104 N=7, 15, and 31, the corresponding participation matrices are shown in Figure 1 A-C. 105 116 117 118 119 120 121 122 123 124 125 126 127 The allocation matrix should be designed in correspondence with the practical clinic procedures for mixing the samples. As for the allocation matrix W for MHV-1 in our laboratory experiments, since we take 5 μL from each individual sample to form the sample pool which is then concentrated to a volume of 20 μL, this implies that the virus load for an individual sample in the mixing is ¼ of its original virus load. Thus, we can design the allocation matrix as follows: Bipartite graph matrix and equal partition Though the parity check matrices of Hamming codes can be easily used as the participation matrix, it cannot scale up for high N or prevalence rates. This is because such parity check matrices can only guarantee the identification of one positive sample, while high N or prevalence rates can result in more than one positive sample in the population. Another consequence of a high N is the large number of nonzero elements in the participation matrix, which means high complexity during laboratory experiments. This motivates us to design participation matrices which can not only succeed in scenarios where more than 1 positive samples are present, but also have low complexity as indicated by the number of nonzero elements in the participation matrix. We propose to use the binary matrices constructed using a bipartite graph as the participation matrices (24, 25). For the COVID-19 experiments, we will use a well-designed binary matrix 16 40 0,1 P with each column having only 4 nonzero elements as shown in Figure 2. For SARS-CoV-2 virus testing in our laboratory experiments, since equal volumes of samples participating in a particular pool are mixed together, and we did not perform sample concentration, the virus load for each individual sample in the mixture is actually scaled down by the number of participants. Thus, the allocation matrix can be designed as: 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 . CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) The copyright holder for this preprint this version posted August 10, 2021. ; https://doi.org/10.1101/2021.08.09.21261669 doi: medRxiv preprint Since there is a one-to-one correspondence between the participation matrix P and the mixing matrix A , we will refer them alternatively in the subsequent sections without confusion. Mixing matrix and dilution upon adaptive requests determined in advance. However, the corresponding allocation matrix will be designed according to the parity Apart from the above pooling results with a prefixed mixing matrix, we can make requests for extra pooling results adaptively according to the decoding results at each stage. The mixing matrices used in the adaptive requests will depend on the specific decoding results, e.g., the determination of ( ) i i n N P cannot be check matrix for MHV-1 and the bipartite graph matrix for SARS-CoV-2 in our laboratory experiments. Sample pooling In many group testing processes, patient samples are pooled after RNA extraction or the total pool volume dictates the RNA elution volume. In both cases, this means the fold dilution of each patient is dependent on the total number of patients within a pool. Thus, as the number of patients pooled increases, the sample become more dilute significantly increasing the probability of a false negative test result. This phenomenon has required pools to remain small, usually under 5 patients per pool (14, 15, 26). To reduce the dilution effect of pooling, a modified RNA isolation protocol was developed using TRIzol phenol/chloroform that can be more broadly applied to RNA extraction kits and automated systems such as the KingFisher (27). With this method, patient samples are pooled prior to RNA extraction. After the isopropanol precipitation and ethanol step, the pelleted RNA can be significantly concentrated by reducing the final volume of water used to solubilize the RNA thus minimizing the potential impact of sample dilution (Fig. 2A). To test the dilution effect of traditional pooling on qRT-PCR Ct results as compared to our modified RNA extraction protocol, we utilized the widely used murine coronavirus MHV-1 as a model system (28-33). Using a MATLAB-derived computational script, we pseudo-randomly generated simulated patients based on a Ct value range of 12-34 cycles. These experimental parameters were chosen from current CDC testing guidelines and growing evidence that individuals with viral loads corresponding to a Ct value of 34 and above are likely non-infectious and/or not reliable to diagnose positive patients (34-37). Additionally, in our hands, Ct 163 164 165 166 167 168 169 170 171 172 173 174 175 176 doi: The copyright holder for this preprint this version posted August 10, 2021. ; https://doi.org/10.1101/2021.08.09.21261669 medRxiv preprint. CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) values greater than 36 are generated from MHV-1 and SARS-CoV-2 qRT-PCR reactions containing ≈1-10 copies of the target gene and enter a realm where non-specific amplification and false positive rates increase. Simulated patient samples were evaluated in qRT-PCR reactions as individuals to establish their ground truth Ct values. The samples were subsequently individually mixed with viral transport media (VTM) to generate dilutions of 8, 10, and 16-fold. The dilution was performed to simulate a situation where a single patient within a pool is positive, and consequently, the addition of other negative patient samples contributes solely to the dilution of the positive patient sample. RNA was extracted from each pool using TRIzol by either the modified RNA extraction protocol or traditional group testing. An elution volume of 20 μL was chosen to allow a 5 μL qRT-PCR test to be run in duplicate with 10 μL remaining for a retest. (Fig. 2A). As expected, samples pooled by traditional group testing exhibited a significant impact on the Ct value resulting in signal dilution (Fig. 2B). However, the dilution effect was minimized or eliminated in the modified RNA extraction protocol. (Fig. 2B). Importantly, the ΔCt was consistent among all pools regardless of the number of patients indicating the pool size could be significantly increased without causing further sample dilution. One issue with increasing the number of patients within a pool is the corresponding increase in the total volume of the pool. To reduce to total pool volume, we created pools by adding 5 μL of sample from each patient to the pool and eluting with 20 μL resulting in a 1:4 dilution. This approach resulted in a significantly smaller total pool volume with an average increase in Ct of 1.5 cycles with no correlation to the number of patients within the pool (Fig. 2B). These results suggest that the dilution caveat of traditional group testing can be minimized by implementing our modified extraction protocol. Patient RNA samples can also be concurrently extracted individually and banked if repeat testing is required. This approach provides a standard dilution effect that is consistent regardless of either the pool size or the volume which significantly simplifies downstream computation and decoding while reducing the chance of a false negative result. Virus load decoding with success certificate 187 188 189 190 191 192 193 194 195 196 197 198 199 200 In this section, we describe a decoding algorithm which decodes each sample's viral load from testing results of pooled samples. A unique feature of our decoding algorithm is the decoding success certificate it provides: assuming that the testing results are accurate, we are guaranteed that the decoding results are the only set of positive samples that fit the testing results. We consider the problem of recovering a ground truth signal N x + from its under-sampled measurements. Given a mixing matrix n N A with n N , suppose we have qualitative measurements 0,1 n p and qualitative measurements n y + for the n pools which are complicated functions of N x + , our goal is to recover N x + from 0,1 n p and n y + . More specifically, ( ) ( ) p h f Ax = where ( ) : {0,1} n n h + → , and ( ) y f Ax = where ( ) : n f + → and is a set of valid Ct values. In the qRT-PCR amplification and quantification process (2) for a mixture of multiple patient samples, the quantitative relation between : b Ax = and Ct value y can be obtained via interpolation (38). This means the function ( ) f is the composite of the qRT-PCR amplification process and the interpolation operation. The Ct value will be compared with a threshold value preset by the authority to determine the final status of the mixture, and it varies under different scenarios. For the sake of reducing the false negative at the cost of more later tests, the technician can be conservative enough to mark positive results for mixtures although they have moderately large Ct values for which negative results can be assigned when the criterion is relaxed. Our goal is to decode the status of x , i.e., positive (meaning that a sample is infected by virus) or negative (meaning that a sample is not infected by virus) status for each sample, and the amount of virus in each sample. We want to emphasize that in the virus testing practice, we will only have the Ct value data y , and the qualitative data p which is obtained from the Ct value. The ij A implies whether the sample j participates in the i th pooling test with 1,2, , i n = and 1,2, , j N = . Thus, if there is no error, a pool has positive results, i.e., 1 i p = if and only if there is at least one positive element of x participating in the i-th pooling test. To achieve the above goals, we apply techniques from compressed sensing to solve it, and we end up with solving underdetermined systems for x, i.e., ( ) 1 f y Ax − = where 1 f − is the inverse function of f . The problem is usually solved by 211 212 213 214 215 216 217 218 219 220 The copyright holder for this preprint this version posted August 10, 2021. ; https://doi.org/10.1101/2021.08.09.21261669 doi: medRxiv preprint. CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) ( ) 1 1 min , such that x x f y Ax − = under the assumption that x is sparse (20, 22). In virus testing, the Ct value is first obtained from the qRT-PCR, and then used for interpolating the virus load ( ) 1 f y − . This means the 1 f − can be treated as the interpolation procedure. We also consider ( ) 1 1 min , such that x x f y y Ax − + = where n y characterizes the noise occurring in the measurement of Ct values. One difference between solving under-determined systems in compressed sensing and those in the virus testing is that the values of N and n are small in the later, and large in the former. This subtle difference is critical for successful recovery, and the commonly used 1 L minimization in compressed sensing may not be able to recover x when N is small. Though the accuracy outcomes are favorable when N is large, this is not optimal for reliability and keeping the complexity of mixing process low in clinical virus testing. (Supplemental Fig. 1). Thus, in this paper we will focus on the case where N is small. Compressed sensing decoding In this section, we present a novel algorithm for virus decoding (Supplemental Fig. 2A). Our proposed algorithm consists of three components, i.e., a support set estimation component for qualitative decoding, a quantitative decoding component which makes use of the results from the support set estimation component, and an adaptive data requesting component which asks for more testing results for improve decoding performance according to the qualitative and quantitative results. In the support set estimation component, the goal is to give an initial estimate of the index sets of positive samples, negative samples, and samples whose status cannot be determined, respectively. We propose to solve a sequence of minimization and maximization pair for estimating an upper and a lower bound for each element of N x + , i.e., for 1,2, , i N = , we solve 222 and () max , x i x such that, supp( ) j j j L Ax U j p x 0, where ( ) ( ) 1 1 ub j j j L f y f y − − = = + and ( ) ( ) 1 1 lb j j j U f y f y − − = = − with 0 is a parameter characterizing the noise 224 in Ct value readings. We want to emphasize that in virus testing using qRT-PCR, a larger Ct value corresponds 225 to a smaller virus load (2). After we get the lower (upper) bound estimates N lb x + ( * N ub x + ), we compare 226 each of its element with a upper bound virus load threshold parameter lub v + ( l b v l + ). If ( ) * lub lb v i x or 227 ( ) * l b ub v l i x , we claim the i -th sample of x must be positive or negative. By repeating the comparison for each 228 i N , we can obtain index sets Pos and Neg which are the index sets of samples which must be positive and 229 negative, respectively. Finally, the index set of samples whose status cannot be determined can be obtained as 230 ( ) : \ U N Pos Neg = . The above algorithm is presented in Algorithm 2 (Supplemental Fig. 2B). 231 232 233 234 The set estimates , , Pos Neg U are then exploited in the quantitative decoding component whose core is an exhaustive search algorithm. For the exhaustive search component, we solve a weighted least square for each possible cardinality 1,2, ,\| \| k U and for each possible support set K U with cardinality K k = , i.e., 235 The main idea is to estimate a sample virus load N x + such that the deviation between the estimated pool 236 virus load ( ) j Ax and the corresponding interpolated pool virus load ( ) 1 j f y − is minimized. Due to the wide 237 range that the sample virus load can reside, i.e., from 6 10 − to 6 10 , we normalize the deviation via a scaling 238 factor ( ) 1 1 j f y − The algorithm is presented in supplemental files. Usually in practice, the combinatorial 239 characteristics of exhaustive search can bring high computational complexity and high accuracy. In our virus 240 251 252 253 254 255 256 257 258 259 260 261 262 263 264 265 testing problem, due to the small size of the problem, the exhaustive search can be a good option. Besides, the support set estimation component can be used to further reduce the size of the combinatorial problem. Another trick we use to reduce the computational complexity is that we try to find the sparsest solution. This is achieved by finding the solution with the smallest support set such that the misfit between the estimated Ct value and the measured Ct value is smaller than a given tolerance for all the observed positive pools. In the data adaptive requesting component, based on the results from the support set estimation and the quantitative decoding components, we design new pooling strategies for pooling samples. The extra pooled testing results are obtained using individual samples whose status and virus load cannot be determined by previous pooled testing results. The mixing matrices for pooling the undetermined individual samples can be case-specific in practice. The algorithm is presented in Algorithm 3 (Supplemental Fig. 2C). Usually in practice, the combinatorial characteristics of exhaustive search can bring high computational complexity though it can achieve high accuracy for estimating x . In our virus testing problem, due to the small size of the problem, the exhaustive search can be a good option. Besides, the Algorithm 2 can be used to further reduce the size of the combinatorial problem. Another trick we use to reduce the computational complexity is that we try to find the sparsest solution. This is achieved by finding the solution with the smallest support set such that the misfit between the estimated Ct value and the measured Ct value is smaller than a given tolerance y for all the observed positive pools. Results To demonstrate proof of concept, we began our initial experiments with the model coronavirus MHV-1 testing a range of experimental parameters (28-33). As in the pooling dilution effect experiments, a MATLABbased script was used to generate pseudorandom experimental parameters based on N total samples with a prevalence rate of 1-10%. Samples were mixed together to form n different pools according to the participation matrix in Figure 1. Total RNA was extracted from the generated pools utilizing our 1:4 modified pooling technique (Fig. 2A). Total RNA isolated from sample pools was then amplified via qRT-PCR to generate a 276 277 278 279 280 281 282 283 284 285 286 287 288 289 numerical readout of cycle threshold values. To avoid accidental errors, for every group of N samples and a given mixing matrix n N A (here n is just 1 n in Algorithm 1) experiments were duplicated. In one of our experiments, pools 1, 2, 4, and 5 returned Ct values within the bounds to be considered positive (Table 1). With this information alone, Algorithm 2 can decode the samples with 3,6,8,9,12,13,14,15,16,20,21,23,24,25,27,29 Neg = as negative, and the rest of the samples are undetermined. This means 1,2,4,5,7,10,11,17,18,19,22,26,28,30,31 U = , and Pos = (Supplementary Table 1). These sets are consistent with the virus load decoded by exhaustive search in which the samples decoded by Algorithm 2 as negative indeed have almost zero virus load, while those which are decoded as undetermined have virus loads which are neither too big nor too small to be considered negative. However, from the decoding results from Algorithm 3, we can see that apart from giving zero estimate for the virus load of samples specified by Neg , it also estimates all samples from U , except sample 17, to have zero virus load. This can be validated with request for one extra pooling test involving all the samples in U except 17. After initial pooling and decoding, further pooling for confirmation testing may be required. We will refer to the matrix in Figure 1C as ( ) 1 P . From our decoding result, we request an additional pooling test ( ( ) 2 P ) since not all sample infection statuses can be determined with 100% certainty. Thus, we designed the mixing matrix which pools all the samples that are highly likely false positive (Supplementary Fig. 3). Viral loads which are very small in magnitude can be due to numerical error, and we can simply treat it as 0. Overall, the infection status of 1325 unique experimentally generated samples were determined with individual experimental prevalence rates ranging from 0-14.3% (Table 2). After a single round of testing, the infection status of 97.4% of all samples was established with 100% certainty. One subsequent round of verification testing identified the infection status of 98.9% samples with full certainty and 15 remaining samples which required further testing to determine infection status with full certainty. In total, 322 tests were required to identify all positive samples within the population of 1325 total samples. This resulted in a 75.6% reduction in the total number of tests required as compared to individualized 300 301 302 303 304 305 306 307 308 309 310 311 312 313 testing. These experiments were repeated with similar parameters and results bringing the total number of experimentally generated samples tested to 2650. To validate our pooling and detection system, we obtained human patient RNA samples from the University of Iowa diagnostic testing laboratory. Samples were provided as extracted RNA, thus our modified RNA extraction protocol was not utilized and samples were mixed using traditional pooling (Fig. 2A). An optimized participation matrix was generated to reflect the expected dilution effect (Fig 1D). Experimental parameters were pseudo-randomly generated as previously described with a total N of 40 patients and a set prevalence rate of 10%. The pooling results for one of two independent experiments is presented in table 3. For both of the two runs, we requested extra pooling results for decoding, and thus required the generation of an additional mixing matrix (Supplementary Fig. 4). Additional pooling results and individual patient viral loads is shown in supplementary tables 2 and 3. After one round of testing and compressed sensing decoding, 2 patients were identified and confirmed as positive and 72 were confirmed as negative leaving 6 patients as likely positive. Two subsequent pools and four individual confirmation tests provided adequate data points to determine the infection status of all patients with 100% certainty. 32 tests were required to determine the infection status of 92.5% of all patients. Additional confirmatory testing brought the total tests performed to screen 80 patients to 38. This is a 52.5% reduction in the number of tests needed as compared to current individual testing (Table 2). Discussion Together, our experimental data provides proof of concept and validates our compressed sensing pooling system as an effective and reproducible method to greatly increase COVID-19 testing capacity while simultaneously providing more diagnostic information by determining patient viral load. Using our novel testing approach, we were able to identify positive samples with extreme accuracy at prevalence rates at 10% or higher in both an MHV-1 coronavirus model system and human COVID-19 patient samples. This required approximately one third as many tests as would be needed with current individual testing procedures. 324 325 326 327 328 329 330 331 332 333 334 335 336 337 338 Pooled testing is an effective approach to increase testing capacity and allow widespread screening to occur and has been implemented with limited success during the COVID-19 pandemic (9-14, 26, 39-44). However, current pooled testing efforts lose efficacy and precision at real world prevalence rates and ultimately require substantial additional confirmation testing. In 2020 for the first time in the field, we proposed to use compressed sensing techniques for quantitative virus testing with high prevalence, and computational experiments validated the effectiveness of our method (42). Others such as Ghosh et al. and Shental et al., showed the superiority of compressed sensing virus testing technology using a non-adaptive approach though their method could only succeed at low prevalence, e.g., less than 10% (43, 44). In contrast, our current work uses an adaptive approach and can succeed at prevalence rates greater than 10% and utilizes a success certificate to ensure results are accurate (Section S1.3). Additionally, one major caveat of pooled testing is sample dilution and the increase of false negatives. To eliminate the pooling dilution effect, we utilized a modified RNA extraction protocol which differs from current clinical diagnostic lab procedures by simply concentrating the RNA to a set volume regardless of the patient input number (Fig. 2A). This standardizes the dilution to an expected and reproducible Ct from the ground truth value that does not change if the number of patients within a pool increases (Fig. 2B). This protocol alone removes the risk of samples with low levels of virus being diluted in a pool and being read as a false negative. Our approach demonstrates an effective process to combat testing bottlenecks for future pandemics. Many clinical testing labs currently utilize automated RNA extraction systems in which parameters can be changed to fit our new protocols. Additionally, we have created a beta decoding software in which qPCR data can be entered and the program will decode the data, identify positive patients, and generate additional pools for further testing, if needed, all automatically (software code available upon request). Most importantly, the application of our testing method is broad and can be applied to many testing applications within medicine and beyond such as serum antibody testing, drug screening, avian influenza surveillance, water contamination testing, etc. Our application of compressed sensing is perfectly positioned for testing applications such as these as they are sparse by nature and require accurate results from many data points. The emergence of new pathogens and deadly variants is ongoing and will continue to be a significant threat to public health and humanity as a whole (4-8). Implementing a highly accurate pooled testing procedure is absolutely critical to mitigating the spread of deadly viral pandemics such as COVID-19, thus saving lives and decreasing the economic destruction from high mortality rates and widespread quarantines. Our use of compressed sensing in pooled COVID-19 testing demonstrated high sensitivity in experimental infection models with the model coronavirus MHV-1, as well as with primary human COVID-19 samples. The utilization of compressed sensing theory in signal analysis is well established, but its use in the testing of physical specimens has the potential to revolutionize how we provide accurate results when testing extremely large numbers of samples. This will position healthcare professionals to rapidly respond to future pandemics by identifying infected individuals early, minimizing spread, and thus saving lives. 349 Materials and Methods Generation of experimental parameters and positive MHV-1 samples 350 351 352 353 354 355 We used a computer script to generate pseudorandom viral loads for each of N individual samples based on an average prevalence rate of 5%, and positive patient Ct values in the range 12-34. The MHV-1 standard curve was used to plot the generated sample Ct value (X) and interpolate the dilution of MHV-1 virus stock (Y) required. According to these estimates Y, MHV-1 was diluted in viral transport media as in the CDC-approved nasopharyngeal swab collection protocol. (34, 36). 356 357 358 MHV-1 sample pooling 5-20 μL of generated MHV-1 samples were pooled together in equal volumes on ice as designated by the appropriate mixing matrix. Negative samples were added as sterile viral transport media. Human patient sample pooling 359 370 371 372 373 374 375 376 377 378 379 380 381 382 Human samples that were to be discarded were supplied as extracted RNA in 96-well plates from the University of Iowa Diagnostic Testing Lab. Patients were identified as positive or negative with no information on Ct number, viral load, or any patient identifiable information. 5 μL of patient samples were pooled together in equal volumes on ice as designated by the appropriate mixing matrix. The University of Iowa determined that this project did not meet the regulatory definition of human subjects research and therefore IRB approval was not required. Isolation of viral RNA Viral RNA was extracted via a modified TRIzol phenol/chloroform extraction protocol and can be scaled as needed (Fig 2). A patient pool of 20 μL total volume was mixed with 200 μL TRIzol. The sample was vortexed for 10 sec and incubated for 5 min at room temperature (RT). 40 μL of chloroform was added, vortexed for 10 sec, and incubated for 5 min at RT. The mixture was centrifuged at 12,000 x g for 10 min at 4°C. 100 μL of the upper aqueous layer was transferred to a sterile 1.5 mL tube. 100 μL of isopropanol supplemented with 2 μg glycogen was added, vortexed for 10 sec, and incubated for 5 min at RT. The pellet was mixed with 180 μL of 75% ethanol and resuspended by gentle inversion and centrifuged at 14,000 x g for 10 min at RT. The supernatant was aspirated and the pellet was air dried for 10 min in a sterile laminar flow hood. The RNA pellet was resuspended in 20 μL of RNAse-free diethyl pyrocarbonate-treated H2O and incubated at 55°C for 5 min. qRT-PCR 5μL of patient pools and samples were mixed with the GoTaq qRT-PCR master mix (Promega) and ran in duplicate on a QuanStudio 3 thermocycler via the FAST qRT-PCR protocol as recommended by the CDC (36). An MHV-1 virus stock or SARS-Cov-2 S protein containing plasmid of known concentrations were used to generate a standard curve consisting of seven to ten 10-fold serial dilutions. The resulting amplification curves were analyzed with AppliedBiosystems Design and Analysis 2.4. Compressed Sensing Decoding 383 An optimization algorithm leveraging the non-negativity of viral loads was used to give an upper and 384 lower bound on the viral load for each sample. If the lower bound for a sample's viral load is not zero, we are 385 sure that that sample is positive; if the upper bound for a sample's viral load is equal to 0, we are sure that that 386 sample is negative. This identifies samples which are either definitely positive or definitely negative. For the 387 samples with ambiguous infection statuses, we perform exhaustive search for the smallest set of positive 388 samples (namely sparsest solution, having the smallest number of positive samples) fitting the observed viral 389 loads of these pools. The remaining samples were mixed together into a pooled sample to confirm that they are 390 indeed negative: if this pooled sample comes back positive, further testing will be necessary, but this is 391 statistically unlikely. 392 393 References 394 1. COVID-19 Response. COVID-19 Case Surveillance Public Data Access, Summary, and Limitations 395 (version date: November 30, 2020). Centers for Disease Control and Prevention. 396 399 2. Nolan T, Hands RE, and Bustin SA. Quantification of mRNA using real-time RT-PCR. Nature 397 Protocols. 2006;1(3):1559-82. 398 4. Greaney AJ, Loes AN, Crawford KHD, Starr TN, Malone KD, Chu HY, et al. Comprehensive mapping 400 of mutations to the SARS-CoV-2 receptor-binding domain that affect recognition by polyclonal human 401 serum antibodies. bioRxiv. 2021:2020.12.31.425021. 402 3. Daily State-by-State Testing Trends. Johns Hopkins Coronavirus Resource Center. 5. McCarthy KR, Rennick LJ, Nambulli S, Robinson-McCarthy LR, Bain WG, Haidar G, et al. Natural 403 deletions in the SARS-CoV-2 spike glycoprotein drive antibody escape. bioRxiv. 404 2020:2020.11.19.389916. 405 7. England PH. Investigation of novel SARS-CoV-2 variant: variant of concern 202012/01. Public Health 408 England Briefing. 2020. 409 6. Davies NG, Abbott S, Barnard RC, Jarvis CI, Kucharski AJ, Munday JD, et al. Estimated 406 transmissibility and impact of SARS-CoV-2 lineage B.1.1.7 in England. Science. 2021:eabg3055. 407 8. Firestone MJ, Lorentz AJ, Wang X, Como-Sabetti K, Vetter S, Smith K, et al. First Identified Cases of 410 SARS-CoV-2 Variant B.1.1.7 in Minnesota - December 2020-January 2021. MMWR Morb Mortal Wkly 411 Rep. 2021;70(8):278-9. 412 10. Arnold ME, Slomka MJ, Coward VJ, Mahmood S, Raleigh PJ, and Brown IH. Evaluation of the pooling 415 of swabs for real-time PCR detection of low titre shedding of low pathogenicity avian influenza in 416 turkeys. Epidemiol Infect. 2013;141(6):1286-97. 417 9. Dorfman R. The Detection of Defective Members of Large Populations. The Annals of Mathematical 413 Statistics. 1943;14(4):436-40. 414 11. Taylor SM, Juliano JJ, Trottman PA, Griffin JB, Landis SH, Kitsa P, et al. High-Throughput Pooling 418 and Real-Time PCR-Based Strategy for Malaria Detection. Journal of Clinical Microbiology. 419 2010;48(2):512. 420 12. Morandi PA, Schockmel GA, Yerly S, Burgisser P, Erb P, Matter L, et al. Detection of human 421 immunodeficiency virus type 1 (HIV-1) RNA in pools of sera negative for antibodies to HIV-1 and 422 HIV-2. J Clin Microbiol. 1998;36(6):1534-8. 423 doi: The copyright holder for this preprint this version posted August 10, 2021. ; https://doi.org/10.1101/2021.08.09.21261669 medRxiv preprint. CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) 13. Mutesa L, Ndishimye P, Butera Y, Souopgui J, Uwineza A, Rutayisire R, et al. A pooled testing strategy 424 for identifying SARS-CoV-2 at low prevalence. Nature. 2020. 425 427 14. Pikovski A, and Bentele K. Pooling of coronavirus tests under unknown prevalence. Epidemiology and infection. 2020;148:e183-e. 426 428 430 15. Cherif A, Grobe N, Wang X, and Kotanko P. Simulation of Pool Testing to Identify Patients With Coronavirus Disease 2019 Under Conditions of Limited Test Availability. JAMA Network Open. 2020;3(6):e2013075-e. 429 16. Interim Guidance for Use of Pooling Procedures in SARS-CoV-2 Diagnostic, Screening, and 431 Surveillance Testing. Centers for Disease Control and Prevention. 2020;NCIRD Division of Viral 432 Diseases. 433 435 17. Louca S. COVID-19 prevalence in 161 countries and over time. medRxiv. 2020:2020.12.01.20241539. 434 436 19. Deka S, and Kalita D. Effectiveness of Sample Pooling Strategies for SARS-CoV-2 Mass Screening by 438 RT-PCR: A Scoping Review. J Lab Physicians. 2020;12(3):212-8. 439 18. Polage CR, Lee MJ, Hubbard C, Rehder C, Cardona D, Denny T, et al. Assessment of an Online Tool to Simulate the Effect of Pooled Testing for SARS-CoV-2 Detection in Asymptomatic and Symptomatic Populations. JAMA Network Open. 2020;3(12):e2031517-e. 437 20. Donoho DL. Compressed sensing. IEEE Transactions on Information Theory. 2006;52(4):1289-306. 440 22. Candes EJ, and Tao T. Near-Optimal Signal Recovery From Random Projections: Universal Encoding 443 Strategies? IEEE Transactions on Information Theory. 2006;52(12):5406-25. 444 21. Candes EJ, and Tao T. Decoding by linear programming. IEEE Transactions on Information Theory. 441 2005;51(12):4203-15. 442 23. Cover TM, and Thomas JA. Elements of Information Theory, 2nd Edition. Wiley; 2006. 445 447 24. Cho M, Vijay Mishra K, and Xu W. Computable performance guarantees for compressed sensing 446 25. Jafarpour S, Xu W, and Hassibi B. Efficient and Robust Compressed Sensing UsingOptimized Expander 448 Graphs. IEEE Transactions on Information Theory. 2009;55(9):4299-308. 449 matrices. EURASIP Journal on Advances in Signal Processing. 2018;2018(1):16. 26. Praharaj I, Jain A, Singh M, Balakrishnan A, Dhodapkar R, Borkakoty B, et al. Pooled testing for 450 COVID-19 diagnosis by real-time RT-PCR: A multi-site comparative evaluation of 5- & 10-sample 451 pooling. Indian J Med Res. 2020;152(1 & 2):88-94. 452 28. Hartwig SM, Holman KM, and Varga SM. Depletion of alveolar macrophages ameliorates virus- 454 induced disease following a pulmonary coronavirus infection. PLoS One. 2014;9(3):e90720. 455 27. KingFisher Flex User Manual Thermo Fisher Scientific Rev 1.2. 453 29. Leibowitz JL, Srinivasa R, Williamson ST, Chua MM, Liu M, Wu S, et al. Genetic determinants of 456 mouse hepatitis virus strain 1 pneumovirulence. J Virol. 2010;84(18):9278-91. 457 459 458 460 30. De Albuquerque N, Baig E, Ma X, Zhang J, He W, Rowe A, et al. Murine hepatitis virus strain 1 produces a clinically relevant model of severe acute respiratory syndrome in A/J mice. J Virol. 2006;80(21):10382-94. 462 461 463 465 464 466 468 467 469 31. Khanolkar A, Hartwig SM, Haag BA, Meyerholz DK, Epping LL, Haring JS, et al. Protective and pathologic roles of the immune response to mouse hepatitis virus type 1: implications for severe acute respiratory syndrome. J Virol. 2009;83(18):9258-72. 33. Khanolkar A, Hartwig SM, Haag BA, Meyerholz DK, Harty JT, and Varga SM. Toll-like receptor 4 deficiency increases disease and mortality after mouse hepatitis virus type 1 infection of susceptible C3H mice. J Virol. 2009;83(17):8946-56. 471 470 472 34. Interim Guidelines for Collecting, Handling, and Testing Clinical Specimens from Persons for Coronavirus Disease 2019 (COVID-19) (Version Date: November 5, 2020). Centers for Disease Control and Prevention. 36. CDC 2019-Novel Coronavirus (2019-nCoV) Real-Time RT-PCR Diagnostic Panel. CDC-006-00019, 476 Revision: 05. Centers for Disease Control and Prevention. 477 35. La Scola B, Le Bideau M, Andreani J, Hoang VT, Grimaldier C, Colson P, et al. Viral RNA load as 473 determined by cell culture as a management tool for discharge of SARS-CoV-2 patients from infectious 474 disease wards. European Journal of Clinical Microbiology & Infectious Diseases. 2020;39(6):1059-61. 475 37. Tom MR, and Mina MJ. To Interpret the SARS-CoV-2 Test, Consider the Cycle Threshold Value. Clin 478 Infect Dis. 2020;71(16):2252-4. 479 38. Real-time PCR handbook. Thermo Fisher Scientific. 2014. 480 32. Khanolkar A, Fulton RB, Epping LL, Pham NL, Tifrea D, Varga SM, et al. T cell epitope specificity and pathogenesis of mouse hepatitis virus-1-induced disease in susceptible and resistant hosts. J Immunol. 2010;185(2):1132-41. 492 . CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) The copyright holder for this preprint this version posted August 10, 2021. ; https://doi.org/10.1101/2021.08.09.21261669 doi: medRxiv preprint 39. Alcoba-Florez J, Gil-Campesino H, García-Martínez de Artola D, Díez-Gil O, Valenzuela-Fernández A, González-Montelongo R, et al. Increasing SARS-CoV-2 RT-qPCR testing capacity by sample pooling. Int J Infect Dis. 2020:S1201-9712(20)32468-1. 41. Jirong Yi MC, Xiaodong Wu, Weiyu Xu, Raghu Mudumbai. Error Correction Codes for COVID-19 Virus and Antibody Testing: Using Pooled Testing to Increase Test Reliability. arXiv:200714919 2020. 40. Denny TN AL, Bonsignori M, et al. Implementation of a Pooled Surveillance Testing Program for Asymptomatic SARS-CoV-2 Infections on a College Campus — Duke University, Durham, North Carolina, August 2–October 11, 2020. MMWR Morb Mortal Wkly Rep. 2020;69:1743-7. 42. Jirong Yi RM, Weiyu Xu. Low-Cost and High-Throughput Testing of COVID-19 Viruses and Antibodies via Compressed Sensing: System Concepts and Computational Experiments. arXiv:200405759. 2020. 491 493 44. Ghosh S, Agarwal R, Rehan MA, Pathak S, Agarwal P, Gupta Y, et al. A Compressed Sensing 494 Approach to Pooled RT-PCR Testing for COVID-19 Detection. IEEE Open Journal of Signal 495 Processing. 2021:1-. 496 497 43. Shental N, Levy S, Wuvshet V, Skorniakov S, Shalem B, Ottolenghi A, et al. Efficient high-throughput SARS-CoV-2 testing to detect asymptomatic carriers. Science Advances. 2020;6(37):eabc5961. doi: The copyright holder for this preprint this version posted August 10, 2021. ; https://doi.org/10.1101/2021.08.09.21261669 medRxiv preprint. CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) Funding: Research reported in this publication was supported by funds from the Iowa Institute of Artificial Intelligence (to WX), National Science Foundation Award #2031218 (to WX) and the National Institute of Allergy and Infectious Diseases of the National Institutes of Health under award number T32AI007485 (to KAW). The content is solely the responsibility of the authors and does not necessarily represent the official views of the National Institutes of Health. Author contributions: Conceptualization: RM, XW, SMV, WX Methodology: KAW, JY, WX, MC Investigation: KAW, JY Funding acquisition: SMV, WX Supervision: SMV, WX, Writing – original draft: KAW Writing – review & editing: KAW, JY, WX, SMV Competing interests: The authors are coinventors of a pending patent covering the use of compressed sensing in diagnostic testing applications. Data and materials availability: All data, code, and materials used in this study are available upon request. Figure 1. Optimized group testing mixing matrix design. (A-C) Hamming code parity check pooling matrix design for N=7, 15, and 31. (A) N=7 numerical matrix with 3 pools (3x7). (B) N=15 numerical matrix with 4 pools (4x15). (C) N=31 pixel matrix with 5 pools (5x31). (D) Bipartite pooling matrix design optimized for high N and prevalence rates. N=40 pixel matrix with 16 pools (16x40). (A,B) 1 indicates patient is included in the pool. 0 indicates the patient is not included in the pool. (C,D) White pixel indicates patient included in pool. Black pixel indicates patient not included in pool. A) B) C) Figure 2. Modified pooling protocol eliminates dilution effect of group testing. (A) RNA extraction and qRT-PCR workflow in individual testing, traditional pooling (group testing), and the modified pooling protocol. Numerical examples are theoretical to display dilution effect and can be scaled to individual diagnostic testing facility protocols. (B) MHV-1 was used to generate individual samples of various viral loads (1x10 9 -1x10 2 copy number/qRT-PCR reaction). qRT-PCR was performed on each samples to develop ground truth Ct values. Samples were then used in various pool sizes in traditional pooling and in the modified pooling protocol. Increases in sample Ct values from the ground truth values were calculated and plotted as ΔCt Value. A) B) Patients/Pool doi: The copyright holder for this preprint this version posted August 10, 2021. ; https://doi.org/10.1101/2021.08.09.21261669 medRxiv preprint. CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) doi: The copyright holder for this preprint this version posted August 10, 2021. ; https://doi.org/10.1101/2021.08.09.21261669 medRxiv preprint. CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) . CC-BY-NC-ND 4.0 International license It is made available under a is the author/funder, who has granted medRxiv a license to display the preprint in perpetuity. (which was not certified by peer review) The copyright holder for this preprint this version posted August 10, 2021. ; https://doi.org/10.1101/2021.08.09.21261669 doi: medRxiv preprint
St. Patrick' Shamrock A Newsletter of St. Patrick's Episcopal Church Issue date December 2007 341 Village Blvd. P.O. Box 3158 Incline Village, NV 89450-3158 www.tahoeepiscopal.org (OR www.tahoeepiscopal.com) Published Bi-Monthly Issue No. 746 Phone: (775) 831-1418 A MESSAGE FROM JIM BEEBE A MESSAGE FROM JIM BEEBE Haute Couture Did you know that the Wise Men, whilst chasing the star, ended up in Jerusalem (not Bethlehem)? Apparently, they thought the book of Isaiah was the one with the directions in it (that's the one where they were instructed to bring gifts of gold and frankincense). Oops, wrong book. They should have been looking in Micah instead. It's an understandable mistake, though — the passage in Isaiah was all about Big, about Nobility, about Prestige. The one in Micah (about Bethlehem) was a peasant's hope. It's a voice that's not impressed with big architecture and bejeweled temples. It's a dream that shares none of the pretensions of power. And it's a dream, by the way, that includes myrrh with its gold and frankincense. (Myrrh was a gum resin used in ancient embalming and was a foreshadowing of Jesus' later sacrifice.) I've always wondered what Mary and Joseph did with that stuff (just like I've always wondered what Jesus would make of St. Peter's Square and the like). I suspect he wouldn't be much interested. So why should we be so taken with Big? It seems that if we take our name from him, then maybe we ought to be more interested in the same things he's interested in. There's a real temptation to chase haute couture and, accordingly, harbor a disdain for the ordinary. It's evident in our horror of dumbing things down, especially things theological and liturgical. That is interesting, especially in light of the Incarnation — God becoming a human being. Maybe it's just me, but it seems like that is a sort of ultimate Simplifying. So here is St. Patrick's 2008 New Year Resolution: we will burn our mortgage by December 31, 2008. Yes, in 2009 we could do all kinds of things with that mortgage money. But we won't. We're going to simplify our faith by becoming the Church For Others. We'll increase our outreach fourfold. We'll feed the hungry, clothe the naked, heal the sick and sustain our environment. Jesus devoted his life to bringing about the Kingdom of God. We are his followers. Inside this issue: An Everflowing Stream Amos 5:24 In our baptismal vows (BCP p.305) we respond affirmatively to the question, strive for justice and peace among all people..?" Let us prayerfully live out these vows. The Rev Jim Kelly, President, Standing Committee. Resolution 2003-D006: That the 74 th General Convention endorse and embrace the achievement of the United Nations' Millennium Development Goals. You Can Help! When I began seeking donations to pay for children's education in Kenya I was unaware of the Millennium Development Goals. Quite honestly I did not know they existed until our Diocesan convention in 2006. I then realized that it did not take a declaration by a world body to do what Jesus said to do over 2000 years ago, "Love your neighbor as you would love yourself" (Mark 12:31). My first trip in 2002 to Kenya was with a then new mission group, International Development Missions, to help build a health clinic, which was addressing MDG number 4 (reduce child mortality) and number 5 (improve maternal health). While helping another non profit to drill a well for clean water at a school in the Masai Mara Game Reserve, I became aware of the need to help children stay in school. Here in the United States we worry about high school dropouts, while less developed nations worry about primary school dropouts or those that never attend. I learned that the cost was low, by American standards, to keep a child in this primary school for a year. ($80 at that time) By finding sponsors for students MDG number 2 was being met (achieve universal primary education) and MDG number 3( promote gender equality and empower women) because the first students sponsored were girls. These were girls between 11 and 13 who if they did not stay in school would be married off by their father or family. God answered my prayers by putting me in a situation where I saw a need and acted upon it. More people are taking action when they see a need which means that Jesus' message is being understood. However, there are still spots to be filled in God's army of people doing "ARK", Acts of Random Kindness. (From the movie EVAN ALMIGHTY, 2007) There are numerous places for you to get a list of the MDG's and learn more about them. You may surprise yourself and find that you can help in a small or large way in helping to achieve one or more of the Millennium Development Goals. It just takes a little effort to sacrifice our own wants and desires to help people get basic needs. Here in our diocese there are three groups that are working to help people in Kenya meet those basic needs. Contact information for each can be found on the Diocesan website. YOU CAN HELP. Won't you consider doing something today? (This article was written by Melvin Stringer, Senior Warden, St. Timothy's Episcopal Church, Henderson, Nevada. If you would like to become a member of the Nevada Social Justice Network please email rmills007@.com) Absolute, Number One Goal for 2008: Burn the Mortgage! As of December 2008, our mortgage balance is $375,000. Our capital campaign, which begins now but will be in full swing just after Memorial Day, is aiming to pay that off completely. The reason is simple: by doing that, we will accumulate funds that would have gone for mortgage payments, diocesan asking, and columbarium sales. Add that to our Millennium Development Goal collections and — if 2007 is any indication — St. Patrick's Church will be spending over 40% of our budget on outreach alone! To put that into perspective, many churches have, as their ultimate goal, a 50/50 split — half on self, half on others. To my knowledge, nobody even comes close. Well, we will. So here's your first chance: take advantage of a one-time opportunity: (Note: this expires on December 31, 2007!) The Pension Protection Act of 2006 has created a new charitable planning opportunity. Under this Act, an IRA owner age 70 1/2 or older may make a direct transfer to charity. The transfer may be up to $100,000 in one year. The Pension Protection Act provides for this option until December 31, 2007. Each year, IRA owners age 70 1/2 and older must take a required minimum distribution (RMD). The RMD in nearly all cases is calculated using the Uniform Table, where distributions generally begin at age 71 at approximately 3.8% and increase each year, based on the age of the IRA owner. The vast majority of IRA owners with larger balances take the required minimum distribution during the months of October, November and December. Because many individuals with larger IRAs do not require IRA funds immediately for living expenses, by delaying an RMD until the end of the year they benefit from additional tax-free growth in the IRA. Fortunately, the IRA charitable rollover qualifies for the donor's RMD. And, by transferring part or all of their RMD to charity, they'll have a lower taxable income. Here's what to do: At age 70 1/2 or older, contact your IRA custodian and specify the amount of your charitable contribution (most folks specify an amount equal to the RMD based on their age). Your IRA custodian will mail you the right forms for this. Remember that the limit is $100,000 per taxpayer, which means that a husband and wife could each give that amount if there are two separate IRA accounts. When income tax time rolls around, you won't have to report that charitable contribution. The Practice of Lectio Divina Mondays, 10:30–11:30 am, Church Library Lectio Divina—divine or sacred reading—is a method of prayer based upon slow, contemplative, in-depth reading of sacred Scripture. You are warmly encouraged to join our new group on Mondays, or to practice on your own. Questions? Please contact Ginnie Jed (email@example.com) or Clare Novak (firstname.lastname@example.org). Choosing a text for Lectio Divina * Read from the Liturgy of the day, or select a book from Scripture and gradually work your way through it from beginning to end. * Find a passage that interests you during your Bible study/reading. Return to it using the practice of Lectio Divina. Select Scripture relevant to the season. For example, read Gospel selections about the birth of Jesus at Christmas or Passion sections at Lent and Easter. Practicing Lectio Divina * Lectio Divina can be practiced alone, with a partner, or in a group. Begin by placing yourself in a comfortable position. Take a moment to become calm. Ask the Holy Spirit to help you hear God's Word. 1. LECTIO Read the passage. As the passage is read, simply listen and savor the reading. 2. MEDITATIO * Read the passage a second time. As the passage is read, listen for or notice a word or phrase that "shimmers," that touches your heart. * Take the word or phrase in by slowly repeating it to yourself. Reflect on it in silence. 3. ORATIO * Read the passage a third time. As the passage is read, ponder the word or phrase that touched your heart, and ask "How does this word or phrase touch my life or connect with my need or longing? What is God, the Word, saying to me?" This is a good time to write in your journal, if you desire. 4. CONTEMPLATIO Read the passage a fourth time. At the end of the reading, let go of your words and enjoy the experience of resting in the arms of our God of grace and love, our compassionate Father, our nurturing Mother. Savor the peace, the comfort, and the silence. Conclude with your own prayer of gratitude or The Lord's Prayer. Ideas for practicing Lectio Divina with a partner or in a group * Take turns reading the text, or have one or two designated readers. * After Meditatio, you may share the word or passage upon which you have meditated. You may pair up or share with the entire group. * After Oratio, you may share your message by beginning, "I heard the Lord saying to me . . ." After Contemplatio, each member may choose to share his or her experience of resting in the Lord. Peace be with you! St. Patrick's Offers Unique Thursday Advent Program St. Patrick's Church has invented a new liturgical genre! It all began two years ago when David Brock and I were talking about possible Advent programs. It occurred to us that we hadn't been using the Compline service in the Book of Common Prayer to supplement our worship and we thought that a quiet, candlelit evening service would be just the ticket. (By the way, Compline is one of the Daily Offices — it's a brief worship service that is done just prior to lights out.) We settled on Thursdays so that the choir would have a chance to participate in the service. Then we worked backwards, offering a brief presentation before the Compline service and a simple soup supper before the presentation. So here's what Thursdays in Advent (beginning November 29th) look like: 6:00 p.m. — Presentation 5:30 p.m. — Dinner is served until 6:15 p.m. 6:30 p.m. — 15=minute Compline service in the Church Many think that Advent is a penitential season and often confuse Advent with Lent. Actually, Advent is a time of waiting and anticipation as we await the incarnation of God into the world (Christmas). Our liturgical color for Advent is blue to differentiate it from Lent's purple. * * * * * * * * * * * * * * * * * * * * 4 Advent and Christmas Services Schedule Saturday, December 22nd………….5:30 p.m. Family Service and a Special Blessing by our resident monk, Santa Claus Sunday, December 23rd…………….8:00 a.m. Holy Eucharist, Rite I, no Music 10:00 a.m. Holy Eucharist, Rite II with Music (Join us in welcoming our new Bishop-Elect, Dan Edwards, at both Sunday services) Monday, December 24th……………5:30 p.m. Holy Eucharist, Rite II with Music 11:00 p.m. Holy Eucharist, Rite II with Music Tuesday, December 25th………….....10:00 a.m. Holy Eucharist, Rite II KNITTERS GUILD OF INCLINE VILLAGE NEWS Do you love to knit or crochet? Come join the Do you love to knit or crochet? Come join the Knitters Guild, which meets every Wednesday Knitters Guild, which meets every Wednesday From 1 From 1— — —3 p.m. in the church library! 3 p.m. in the church library! 3 p.m. in the church library! The nimble fingers of the members of the Knitters Guild are busier than ever, knitting and crocheting warm things to be given away for the holidays. Many scarves, mittens, sweaters, hats and layette items for babies have been completed. In addition, several lap robes are ready for delivery. The North Tahoe Family Resource Center in Kings Beach will receive a big supply of these lovely items. Also, for the second year, the Knitters Guild will donate many finished projects to the Holiday Giving Program here in Incline Village. This program reaches out to local children and adults who need warm clothing and blankets. Some members of the guild are giving weekly knitting classes to 4th and 5th graders at Incline Elementary School. Beginners are learning the basic stitches of knit and purl; intermediate students who attended classes last year are making little caps for premature infants. A good time is enjoyed by teachers and students alike! Have you ever heard of felting? This is a craft that requires wool, and ONLY wool, yarn. The project is first made oversize, then reduced by being washed in very hot water. The resulting purses, tote bags, mittens and hats are very attractive; several ladies are enjoying learning how to make these items. We welcome anyone who loves to knit or crochet, and we can help you if your skills need refreshing. The web site address for the group is www.geocities.com/ incline knitters/. Please call Peggy Harrison at 831-9402 for further information. Pre-Plan for Peace of Mind! Is there something you have been planning to do, but just haven't gotten around to it? PRE-PLAN FOR PEACE OF MIND! Yes, planning your final resting place. May I suggest our beautiful Columbarium? Planning your inurnment now eliminates worry for your loved ones and assures your peace of mind that your wishes be followed. Decisions made today can save needless emotional stress and financial hardship tomorrow. Remember, a substantial percentage of your purchase is tax deductible and each niche will hold the cremation boxes of two people without the need to purchase fancy urns. There is a one-time payment that includes the name plaque and any future name or date changes. If you have never visited our Columbarium, stop by and see what a beautiful, peaceful place it is and then talk with your family. Don't put it off any longer. Call me for information and appointment: Nancy Joslin, Columbarium Director 775-831-2716 ************************************************************************************* St. Patrick's Cultural Arts for D ecem ber & J anu ary All children are invited to express your gifts from God in our hallway Art Gallery. Please present us with art to adorn the walls during December and January by Wednesday, December 12. You may bring your artwork to the office of St. Patrick's with your first name only and "St. Patrick's" written on the back of your work. Thank you so much to those of you who have shared your beautiful watercolors, oils, and acrylics these past two months! We have heard so many wonderful comments. The gallery lighting is fantastic too! So, save the dates of Saturday, December 15 at 4:30 PM and, Sunday, December 16 at 11:00AM for our special receptions to celebrate children's art! Who knows? Santa Claus may be there! Contact Caroline, Lainie, Deb, or Maria for questions or concerns. We want all of our children to be creative with art. Caroline email@example.com 832-8170 St. Patrick's Shamrock Drum roll, please: the finalists for the Outdoor Chapel! (p.s. — we'll vote at the Annual Meeting on January 27th) 1. Strotz Chapel* 8. Creation Chapel 3. Chapel Under the Pines 2. Strotz Sanctuary* 9. Curragh* 4. Nature's Sanctuary 6. Sierra Sanctuary 10. Gathering Garden 12. St. Columba Chapel* 11. Prayers in the Pines 13. St. Aidan Chapel* 5. Evergreen Chapel 7. Chapel of All Creatures Notes: 1. Eric, Gus, Will, and Jack Strotz furnished nearly all the materials and labor to build the Chapel. 2. See #1 9. A "curragh" was a boat used by the ancient Britons, much like that of St. Brendan the Navigator, who is pictured on our southern window. 12. St. Columba was a missionary who converted Scotland to Christianity. 13. St. Aidan was credited with restoring Christianity to Northumbria. EDUCATION FOR MINISTRY (EFM) UNDERWAY AGAIN The enthusiasm was high as the second year of EFM at St. Patrick's began at 5:30 PM on September 17 th in the church library. This group of six Second Year (New Testament) students and two First Year (Old Testament) students, along with the Mentors, will be weekly studying and discussing their lessons, worshipping, praying and spiritually supporting one another throughout the next 9 months. This unique program of extension from the Graduate School of Theology at the University of the South in Tennessee helps its participants to discern and prepare for their lay ministry, as our baptismal vows pledge each of us to do. Take time to ask the students and mentors about this wonderful program. Participants are: Connie Skidmore, Mentor Jim Kelly, Co-Mentor Karen Barney Nancy Joslin David Brown Judy Morrison Linda Brown Gary Thomsen Ginnie Jed Viki Welling WHERE WAS THE PARTY? On Friday, October 5 th , the Women of St. Pat's gathered at the home of Judy and Don Morrison for an autumn Tapas Party. Handmade tissue paper flowers in margarita glasses and bowls set a festive scene as about 35 people and their guests came through the front door. Everyone brought their favorite "tapas" (aka hors d'oeuvre) so a delicious variety of food was shared - and probably a few recipes exchanged! Refreshments were varied also including margaritas made by host Don Morrison, wine, beer and soft drinks. A big thank you to all those who participated, and especially to Don and Judy for hosting this fun Columbus Day weekend event. The Women of St. Patrick's decided in 2007 to meet four times a year. The next meeting will be sometime during the winter, date and place to be announced in January 2008. Contact person for the group is Connie Skidmore, 831-6289. Suggestions for future meeting locations and programs are always welcome! * * * * Who is Martin Rinckart?? In 1617, at the age of 31, Rinckart was offered the place of Archdeacon at his native town of Eilenburg in Saxony. The plague of 1637 visited Eilenburg with extraordinary severity; the town was overcrowded with fugitives from the country districts where the Swedes had been spreading devastation, and in this one year 8,000 persons died in it. The whole of the town council except three persons, a terrible number of school children, and the clergymen of the neighboring parish, were all carried off; Rinckart buried more than 4,000 persons. The pestilence was followed by a famine so extreme that thirty or forty persons might be seen fighting in the streets for a dead cat or crow. Rinckart did what could be done to organize assistance, and gave away everything but the barest rations for his own family, so that his door was surrounded by a crowd of poor starving wretches, who found it their only refuge. After all this suffering came the Swedes once more, and imposed upon the unhappy town a tribute of 30,000 dollars. Rinckart ventured to the camp to entreat the general for mercy, and when it was refused, turned to the citizens who followed him, saying, "Come, my children, we can find no hearing, no mercy with men, let us take refuge with God." He fell on his knees, and prayed with such touching earnestness that the Swedish general relented, and lowered his demand at last to 2,000 florins. So great were Rinckart's own losses and charities that he had the utmost difficulty in finding bread and clothes for his children, and was forced to mortgage his future income for several years. Now here's the thing: Martin Rinckart was the one who wrote "Now thank we all our God" (Hymn 397): "Now thank we all our God, with heart, and hands, and voices, who wondrous things hath done, in whom his world rejoices, who from our mother's arms hath blessed us on our way with countless gifts of love, and still is ours today." How is that possible? That is nothing short of inspired. And our Hymnal is filled with stories like this one. At the beginning of each church season, David Brock and Jim Beebe will team-teach one Sunday, 9:10 a.m. adult forum to tell the stories that need to be told. We hope you join us. If we live by the Spirit, let us also be guided by the Spirit. If we live by the Spirit, let us also be guided by the Spirit. Galatians 5:25 A Retreat Sponsored by St. Mary Magdalene Chapter of the Order of the Daughters of the King DESERT SPIRITUALITY Saturday, January 19, 2008, 10:00 a.m. to 3:00 p.m. All Saints' Episcopal Church 4201 West Washington Las Vegas, Nevada The Desert has played a crucial role in the lives of many of our spiritual fathers, Abraham, Moses, David, Isaiah, John the Baptist, Jesus. We will take a virtual desert hike together to see what the Sonoran Desert can teach us about the human brain and what it needs to stay balanced. Encounters with common sights and critters will guide us to a deeper understanding of how our brain evolved, and how Nature and the Bible can enhance our mind/ body/spirit well-belong. During this retreat you will develop your own personal plan for more joyful living and graceful aging. The book "The Richest of Fare, Seeking Spiritual Security in the Sonoran Desert:" by Phyllis Strupp will be used. It may be purchased before the retreat for $15 by calling All Saints' Church at 878-2373. Reservations for the retreat may also be made by calling this number. Fee for the retreat is $15 which includes retreat with leader Phyllis Strupp and lunch. Phyllis Strupp is winner of the 2005 Independent Publishing mind-body-spirit award. She is also a theological mentor and serves on the faculty of the CREDO Episcopal clergy wellness program and the Chatauqua Institution. Staff & Ministry Group Chairs The Rev. Dr. James R. Beebe Rector The Rev. Dr. David J. Mussatti Priest The Rev. Jim Kelly Priest David H. Brock Director of Music and Organist Emy Gurowitz Senior Warden Gary Thomsen Junior Warden, Buildings and Grounds Chair Lainie Vreeland, Connie Skidmore, Nancy Joslin, Peggy Harrison Shamrock Lora Kelly Memorial Committee Suzanne Gollery Clerk of the Vestry Jackie Kilcoyne Social Committee Chair Caroline Cutler Deb Beebe, Lainie Vreeland, Maria Neve Art Committee Karen Barney Webmaster Eric Strotz Folk Mass Group Cherry Barney Good Samaritans Coordinator Caroline Cutler, Kathy Vomund Youth Ministry Coordinators Nancy Joslin Columbarium Peggy Harrison Knitters Guild of Incline Village Jack Barney Ushers/Greeters Coordinator Lainie Vreeland, Nancy Joslin Library Vestry Member
451924 quicer et al.Journal of Biomolecular Screening 2012 JBXXXX10.1177/1087057112451924Al Development of a High-Throughput Fluorescence Polarization Assay to Identify Novel Ligands of Glutamate Carboxypeptidase II Journal of Biomolecular Screening XX(X) 1–11 © 2012 Society for Laboratory Automation and Screening DOI: 10.1177/1087057112451924 http://jbx.sagepub.com Glenda Alquicer 1 , David Sedlák 2 , Youngjoo Byun 3,4 , Jirˇ í Pavlícˇ ek 1 , Marigo Stathis 5 , Camilo Rojas 5 , Barbara Slusher 5 , Martin G. Pomper 3 , Petr Bartu˚ neˇ k 2 , and Cyril Barˇ inka 1 Abstract Glutamate carboxypeptidase II (GCPII) is an important target for therapeutic and diagnostic interventions aimed at prostate cancer and neurologic disorders. Here we describe the development and optimization of a high-throughput screening (HTS) assay based on fluorescence polarization (FP) that facilitates the identification of novel scaffolds inhibiting GCPII. First, we designed and synthesized a fluorescence probe based on a urea-based inhibitory scaffold covalently linked to a Bodipy TMR fluorophore (TMRGlu). Next, we established and optimized conditions suitable for HTS and evaluated the assay robustness by testing the influence of a variety of physicochemical parameters (e.g., pH, temperature, time) and additives. Using known GCPII inhibitors, the FP assay was shown to be comparable to benchmark assays established in the field. Finally, we evaluated the FP assay by HTS of a 20 000–compound library. The novel assay presented here is robust, highly reproducible (Z′ = 0.82), inexpensive, and suitable for automation, thus providing an excellent platform for HTS of small-molecule libraries targeting GCPII. Keywords fluorescence polarization, high-throughput screening, glutamate carboxypeptidase II, prostate-specific membrane antigen, metallopeptidase Introduction Current studies focused on glutamate carboxypeptidase II (GCPII) prove that this zinc-dependent membrane-bound metalloprotease can serve as a target for the imaging and treatment of prostate cancer and neurologic disorders. 1–3 GCPII expression pattern is mainly restricted to prostatic tissue and both the central and peripheral nervous systems, but is also present at lower levels in kidneys, small intestine, and neovasculature of solid tumors. 4–7 1Institute of Biotechnology, Academy of Sciences of the Czech Republic, Prague, Czech Republic 3Department of Radiology, Johns Hopkins Medical Institutions, Baltimore, MD, USA 2Center for Chemical Genetics & CZ-OPENSCREEN, Institute of Molecular Genetics, v.v.i., Academy of Sciences of the Czech Republic, Prague, Czech Republic 4College of Pharmacy, Korea University, Sejong-ro, Jochiwon-eup, Yeongigun, Chungnam, South Korea 5The Brain Science Institute, Johns Hopkins School of Medicine, Baltimore, MD, USA Received Apr 18, 2012, and in revised form May 18, 2012. Accepted for publication May 21, 2012. Supplementary material for this article is available on the Journal of Biomolecular Screening Web site at http://jbx.sagepub.com/supplemental. Corresponding Author: Cyril Barinka, Institute of Biotechnology AS CR, v.v.i., Laboratory of Structural Biology, Vídenˇ ská 1083, 14220 Prague 4, Czech Republic Email: email@example.com Since GCPII expression is highly elevated in metastatic prostate carcinoma, the enzyme is exploited as a membranebound marker for prostate cancer imaging and experimental therapy. In addition, animal models of various neuropathologies (e.g., ischemia, traumatic brain injury, neuropathic pain, amyotrophic lateral sclerosis, diabetic polyneuropathy, schizophrenia) suggest that GCPII inhibition is neuroprotective by increasing the concentration of its cognate substrate N-acetylaspartylglutamate (NAAG) while countering the buildup of excitotoxic glutamate. 1,3,8–11 Given the therapeutic and diagnostic potential of GCPII, it is not surprising that broad interest from both academic and industrial laboratories has surfaced regarding the design and development of GCPII-specific ligands/inhibitors. Presently, the two major categories of GCPII-specific inhibitors that exist are either analogs of NAAG (the GCPII substrate) or derivatives of glutamic acid (the reaction product). 12,13 Consequently, both the chemical space tapped by such compounds and the diversity of GCPII-specific compounds are limited. For example, NAAG- or glutamatebased inhibitors are highly polar substances, with mitigated penetration into the neuronal compartment. Hence, structureactivity relationship (SAR) studies aimed at modifying physicochemical characteristics of current inhibitor scaffolds have so far failed to produce any real improvements. Therefore, the high-throughput identification of GCPIIspecific scaffolds that could facilitate movement across the blood-brain barrier (BBB) would prove to be an invaluable tool for future basic studies and GCPII-based therapeutics. The availability of a highly efficient, low-cost, and robust assay is a prerequisite for successful high-throughput screening (HTS), yet no such an assay has been described for GCPII. Currently, the available in vitro assays used for GCPII activity and inhibitory studies can be divided into three categories; their principles, together with their advantages and disadvantages, are summarized in Table 1. The radioenzymatic assay, based on quantifying the hydrolysis of radiolabeled 3 H-NAAG, was the first in vitro assay employed successfully for both monitoring GCPII activity and inhibition studies. Due to its high sensitivity and low false-positive rates, it is regarded as a mainstay assay in GCPII studies. On the other hand, the assay is timeconsuming, generates hazardous waste, and is expensive with low- to medium-throughput capability. 14,15 An enzymecoupled GCPII assay is based on the quantification of free glutamate using a commercially available Amplex Red glutamic acid kit (Molecular Probes, Eugene, OR). The assay exploits a chain of coupled enzymatic reactions to deliver a fluorescent signal that is directly proportional to the amount of free glutamate released via NAAG hydrolysis by GCPII. 16,17 With the detection limit of 10 nM and scalability to a nanoliter format, the assay is in principle suitable for an HTS. However, in addition to high costs, the major disadvantage is a high false-positive rate that is associated with (1) the presence of three additional enzymes in the reaction mixture, (2) fluorescence quenching, and (3) oxidation of tested compounds by hydrogen peroxide formed during the generation of fluorescence, which can lead to decreased H 2 O 2 concentration and the fluorescence intensity. The third approach relies on the hydrolysis of a suitable (nonnatural) GCPII substrate with the subsequent detection of reaction products by high-performance liquid chromatography (HPLC). 17–20 Although this approach offers several advantageous features (nonhazardous, sensitive, low falsepositive rate), it is more suitable to low-throughput applications dealing with a limited number of samples. Here we present the design, development, and validation of a fluorescence polarization (FP) assay that complements and expands the portfolio of in vitro assays for GCPII. In contrast to the aforementioned assays, the key advantages FP offers include homogeneity, affordability, safety, robustness of signal, adaptability to low volumes, and suitability for automation. 21 These combined characteristics render the FP assay an excellent platform for HTS of small-molecule libraries targeting GCPII. Materials and Methods Unless stated otherwise, all chemicals were purchased from Sigma-Aldrich (Steinheim, Germany). Protein Expression and Purification Cloning, expression, and purification of the extracellular part of human GCPII (rhGCPII; amino acids 44–750) were executed as previously described. 22 The protein was overexpressed in S2 cells and purified using the following steps: concentration by tangential flow filtration (TFF; Millipore, Molsheim, France), ion-exchange chromatography (Q and SP Sepharose FF), affinity chromatography on LentilLectin Sepharose, and size exclusion chromatography on a Superdex 200 column (all resins/columns from GE Healthcare Bio-Sciences, Upsala, Sweden). Purified rhGCPII (in final buffer 20 mM Tris-HCl, 150 mM NaCl, pH 8.4) was concentrated to 9 mg/mL and kept at –80 °C until further use. Synthesis of the Fluorescent Tracer: TMR-X-Lys-urea-Glu (TMRGlu) To a solution of Lys-Urea-Glu (1) (5.4 mg, 0.017 mmol) in dimethylformamide (DMF; 1.5 mL) was added the commercially available Bodipy TMR-X (5 mg, 0.0082 mmol), followed by triethylamine (0.040 mL, 0.285 mmol). The pH of the reaction mixture was 9.0. After stirring for 6 h at room temperature, the excess solvent was evaporated under reduced pressure. The residue was diluted with a mixture of acetonitrile/water (1% trifluoroacetic acid [TFA], 1 mL), and the crude material was purified by HPLC (Econosphere C18, 10 µm, 250 × 10 mm; retention time, 23.5 min; mobile phase, A = 0.1% TFA in H 2 O, B = 0.1% TFA in CH 3 CN; gradient, 0 min = 10% B, 30 min = 90% B; flow rate, 3 mL/ min) to afford 3.2 mg (48%) TMR-X-Lys-urea-Glu (TMRGlu; Fig. 1). 1H NMR (400 MHz, CD 3 CN/D 2 O) δ 7.83 (d, J = 5.2 Hz, 2H), 7.43 (s, 1H), 7.08 (d, J = 2.8 Hz, 1H), 7.01 (d, J = 5.2 Table 1. An Overview of Current Assays Used for Glutamate Carboxypeptidase II (GCPII) FP, fluorescence polarization; HPLC, high-performance liquid chromatography. Figure 1. The synthesis of the fluorescent probe TMR-X-Lys-urea-Glu (TMRGlu) by covalently binding a Bodipy TMR fluorophore to a urea-based glutamate carboxypeptidase II (GCPII) inhibitor. DMF, dimethylformamide; TEA, triethylamine. Hz, 2H), 6.60 (d, J = 2.8 Hz, 1H), 4.08–4.15 (m, 2H), 3.85 (s, 3H), 3.03–3.08 (m, 4H), 2.64–2.72 (m, 2H), 2.45 (s, 3H), 2.20–2.31 (m, 3H), 2.20 (s, 3H), 2.11-2.15 (m, 1H), 1.88– 1.94 (m, 2H), 1.68–1.73 (m, 2H), 1.56–1.61 (m, 2H), 1.23–1.39 (m, 8H), 1.12–1.18 (m, 2H). Electrospray ionization mass spectrometry (ESI-MS) calculated for C 39 H 51 BF 2 N 6 O 10 ; positive mode: [M+H] + 813.38, found 813.00; negative mode: [M–H] – 811.36, found 810.80. FP Binding Experiments All FP experiments were carried out in 30 µL of the assay buffer (100 mM Tris-HCl, 20 mM NaCl, pH 7.5) in black, flat-bottom, polystyrene 384-well microplates (Corning, Inc., New York, NY). The FP was determined using the multilabel reader EnVision (PerkinElmer, Waltham, MA) equipped with a Bodipy TMR optimized filter set (excitation polarization filter 531 nm and emission filter 595 nm). The FP values were calculated as mP units using the equation mP = 1000 × [(I \|\| - (G × I ⊥ ))/(I II + (G × I ⊥ ))], where I \|\| is the parallel intensity, I ⊥ is the perpendicular intensity, and G(factor) = 0.8. Binding experiments using a constant concentration of 20 nM TMRGlu and decreasing concentrations of GCPII (starting at 500 µM, twofold dilutions) were performed in triplicates to determine the concentration necessary to reach saturation binding and optimize the assay window. The FP signal was measured following a 30-min incubation of the GCPII/TMRGlu mixture. All experiments were carried out at room temperature. The concentration resulting in 50% response (EC 50 ) was calculated in GraphPad Prism 5 (GraphPad Software, La Jolla, CA) using the sigmoidal dose-response regression function. pH Profile The influence of pH on the assay performance was evaluated by using the optimized assay conditions and the following selection of 100 mM buffers: sodium citrate (pH 4–5), 2-(N-morpholino) ethanesulfonic acid (MES; pH 5.5–6.5), 3-(N-Morpholino)propanesulfonic acid (MOPS; pH 6.5–7.5), tris(hydroxymethyl)aminomethane (Tris; pH 7–9), and 2-(cyclohexylamino) ethanesulfonic acid (CHES; pH 8.6–10). TMRGlu was diluted to 20 nM (final concentration) in a solution containing 100 mM buffer (of required pH) and 50 mM NaCl. The probe solution was then titrated by increasing concentrations of GCPII. Both probe and GCPII working solutions were prepared in 100 mM buffer (+ 50 mM NaCl) suitable for a given pH range. Following the 30-min incubation of the GCPII/TMRGlu mixture, the FP was measured to identify the saturating GCPII:TMRGlu ratio for a given pH. Inhibition Constants of Known Inhibitors The performance of the FP assay was compared to established GCPII activity assays by determining inhibition constants of known GCPII inhibitors. To cover a wide range of inhibition potency, we selected the following inhibitors: glutamic acid (IC 50 = 0.5 mM), quisqualate (IC 50 = 10 µM), JHU-242 (IC 50 = 20 nM), 2-(phosphonomethyl) pentanedioic acid (2-PMPA; IC 50 = 0.3 nM), ARMP4 (IC 50 = 60 pM), and DCIBzL (IC 50 = 10 pM). Increasing concentrations of tested inhibitors were incubated with 60 nM GCPII (in 20 µL) for 25 min at room temperature. Next, 10 µL TMRGlu (60 nM in assay buffer) was added to the GCPII/inhibitor mixture and incubated for 30 more min. The experiments were carried out four independent times in triplicates. FP was measured and the data analyzed using a sigmoidal dose-response regression function in the GraphPad Prism 5. Effects of Additives To evaluate their effects on the assay performance, we assayed common additives in quadruplicates. These included DMSO (25% v/v), acetonitrile (20% v/v), Triton X-100 (2% v/v), Tween-20 (2% v/v), and NaCl (2M). Various concentrations of individual additives (twofold dilutions) were mixed with a fixed GCPII concentration (120 nM) in a total volume of 20 µL. Following a 20-min incubation, 10 µL TMRGlu (60 nM) was added and FP measured 30 min later. Data were analyzed by one-way analysis of variance (ANOVA) using the GraphPad Prism 5. HTS of a Chemical Library Screening of a chemical library consisting of 20 000 compounds was carried out in black, flat-bottom 384-well microplates (Corning, Inc.). Protein and TMRGlu stock solutions were kept at 4 °C and protected from light before they were used in the screening. First, 20 µL of 60 nM GCPII in the assay buffer was dispensed by the Multidrop Combi (Thermo Scientific, Billerica, MA) liquid dispenser to the assay plates prior to compound addition. Library compounds stored in 384-polypropylene compound plates at 1 mM in 100% DMSO were transferred by the JANUS Automated Workstation (PerkinElmer) equipped with a 96-pin tool (V&P Scientific, Inc., San Diego, CA). The compound transfer by the robot was optimized such that 30 nL of the DMSO solution was transferred each time, resulting in the 1000× compound dilution in the assay plate and 1 µM final concentration. Following a 25-min incubation on the bench, 10 µL of 60 nM TMRGlu in the assay buffer was dispensed by a Multidrop and FP was determined 30 min later. To check the quality of the assay between plates throughout the screening, we used two established competitive GCPII inhibitors—2-PMPA and JHU-242 with IC 50 = 300 pM and 20 nM, respectively—as positive controls in duplicates on each of the screened plates. The autofluorescence of the compounds was assessed with a 535-nm excitation filter and a 590-nm emission filter by measuring the To achieve higher final concentrations of the library compounds, we subsequently carried out a second screen by pipetting 1.5 µL of compound stock solutions to reach the final concentration of 60 µM. fluorescence intensity of each compound of the chemical library. The data from the FP measurement were stored in the database and normalized by the b-score method 23 after the completion of the screen. Radioenzymatic Counterscreen Inhibitory activity of tested compounds yielding FP readouts below 70% of uninhibited (control) reactions was validated using the radioactivity-based assay adapted to a microplate format. 15 The counterscreen incorporated the testing of duplicates at two inhibitor concentrations: 100 µM and 10 µM. To 5 µL of each tested compound (final 100 µM and 10 µM), 10 µL GCPII (40 pM final concentration) and 30 µL Tris-HCl buffer (pH 7.4, 40 mM and CoCl 2 1 mM) were added. The mixture was incubated for 15 min and then exposed to NAA[ 3 H]G (30 nM in a total volume of 50 µL) for 15 min at 37 °C. 2-PMPA (10 µM; final) was selected as the positive control and 2% DMSO as the negative control. The reaction was stopped with 50 µL ice-cold sodium phosphate buffer (pH 7.5, 0.1 M). An aliquot of the reaction mixture (90 µL) was transferred to a 96-well spin column (Harvard Bioscience Massachusetts, Holliston, MA) containing AG1X8 ion-exchange resin; the plate was centrifuged at 900 rpm for 3 to 5 min using a Beckman GS-6R centrifuge (Beckman Coulter, Brea, CA) equipped with a PTS-2000 rotor. After washing with 1 M formic acid (2 × 90 µL to each column), an aliquot (200 µL) from each well was transferred to a solid scintillator-coated 96-well plate (Packard, Meriden, CT) and dried to completion. The radioactivity corresponding to [ 3 H]G was determined with a scintillation counter (counting efficiency 40%, Topcount NXT; Packard). The percentage of inhibition was calculated and compared with the percentage calculated from the FP assay. Results and Discussion TMRGlu Design and Synthesis The synthesis of the fluorescence probe, designated TMRGlu, was accomplished by covalently attaching a Bodipy TMR fluorophore (Invitrogen, Carlsbad, CA) to a urea-based GCPII inhibitory scaffold described previously. 24,25 The synthetic scheme is shown in Figure 1. The design of TMRGlu has been guided by our prior structural and SAR studies. The GCPII-docking portion TMRGlu is based on a lys-urea-glu moiety that serves as a building block for a variety of GCPII inhibitors and imaging agents. 22,26 The fluorophore moiety (Bodipy TMR) is connected to the urea functionality via a 19-Å-long linker. It has shown that the appropriate (minimal) linker length is an important characteristic for the probe design and is preferably longer than 20 Å for the distal fluorophore moiety to be placed outside the entrance funnel so that it does not hinder probe binding. 26–28 The Bodipy TMR fluorophore was selected because of (1) a high extinction coefficient and high fluorescence quantum yield and (2) a relatively long excited-state lifetime. GCPII/TMRGlu Saturation Binding Preliminary experiments with the free TMRGlu established the optimal concentration of the probe at 20 nM. This is the minimal probe concentration that can be reliably measured without significant interference from background fluorescence (data not shown). In addition to an increase in the mP value, the formation of the GCPII/TMRGlu complex is accompanied by the substantial decrease in the fluorescence yield of the TMRGlu in The saturation binding kinetics was determined by titrating a fixed 20-nM concentration of TMRGlu with increasing concentrations of GCPII, with the equilibrium saturation curve shown in Figure 2. The data were fitted using a sigmoidal regression function and the binding constant calculated at 13 nM with the saturation reached at approximately twofold excess of GCPII over TMRGlu. It can be noted from Figure 2 that the 2:1 GCPII:TMRGlu ratio offers an excellent assay window with ΔmP = 330 (the differential between free TMRGlu [50 mP] and the GCPII/TMRGlu complex [380 mP]). Since the saturation conditions of the assay require GCPII concentration at approximately 40 nM, the lower limit of the assay (i.e., the lowest inhibition constant that can be determined by this assay) is restricted to this concentration range (see Competitive Inhibitors—Dose Response). both P and S planes (Fig. 2). Apparently, upon binding to GCPII, TMRGlu fluorescence is quenched by interactions with the enzyme, although the mechanistic details are not known at present. The observed changes in the fluorescence intensity could be thus used as a complementary parameter during the screening process, where both fluorescence polarization and intensity can be monitored. However, we did not systematically use this effect in the analysis of the screening data, and the hit identification was carried out entirely using the data from fluorescence polarization. In addition, the intrinsic autofluorescence of the compound was identified as the main source of false-positive hits. Assay Optimization—Temperature Stability, pH Dependence, and the Effect of Additives To evaluate the robustness of the assay, we used the saturation conditions described above to assess the influence of time, temperature, pH, and several common additives on the assay performance. Upon the addition of the TMRGlu to twofold molar excess of GCPII, the mixture reached equilibrium (i.e., no change in mP or fluorescence intensity) after approximately 10 min, and the solution was stable for at least 24 h at both 4 °C and 20 °C (room temperature). These results are in concordance with our unpublished data suggesting that GCPII is stable in buffered solutions for over 1 day. On the basis of these results, we took an advantage of the observed GCPII stability and typically used a 1- to 5-h assay window for our HTS (see below). DMSO is often used as a solvent for small-molecule compounds in chemical libraries, especially in circumstances when a library is mainly composed of more lipophilic molecules with limited water solubility. In addition, nonionic detergents, various salts, and volatile organic The influence of pH was evaluated for pH values ranging from 4 to 10, with the choice of an appropriate 100-mM buffer for each of the defined pH intervals. The "optimal" saturation curves (i.e. with lower K d values and saturation reached at lower concentrations of GCPII) were observed using the Tris-HCl buffer at pH range 7.0 to 9.0. For pH intervals 5.5 to 7.0 and 9.0 to 10.0, a higher GCPII/TMRGlu ratio (250 nM/20 nM and 500 nM/20 nM GCPII/TMRGlu for pH 5.5 and 10.0, respectively) was needed, but the saturation could be reached eventually. Finally, at pH values below 5.5, saturation could not be reached for any GCPII concentration included in the test (up to 500 nM). These results reflect previous studies determining the pH dependence on NAAG-hydrolyzing activity by GCPII, where the enzyme was shown to retain activity, with a sharp decrease in the rate of substrate hydrolysis at pH <5.5 and >9.0. It is likely that extreme pH values are associated with lower affinity of GCPII toward substrates/inhibitors as well as leading to the (partial) denaturation of the protein. 20,29 solvents can be added to stabilize reaction mixtures of tested compounds. Several of such compounds were tested for their influence on the assay performance, and the data are summarized in Supplementary Figure S1. DMSO had no significant effect on the mP values at saturation, even at the highest concentration (25% v/v). Similar results were obtained for Triton X-100 (up to 2% v/v), Tween-20 (up to 2% v/v), and acetonitrile (up to 20% v/v). In the case of sodium chloride, the addition of NaCl up to 0.6 M did not show any influence on the assay performance, whereas higher NaCl concentrations (0.6–2.0 M) led to a slight decrease in maximum mP values. Such decrease, however, does not restrict the assay window, and the assay can be carried out even at very high salt concentrations. An excellent assay compatibility with up to 25% DMSO provides a platform suitable for the screening of CNS-dedicated libraries, in which compounds with limited water solubility (high LogP values) are expected to predominate. Our FP assay can thus in principle be used to identify novel nervous system targeting leads. Competitive Inhibitors—Dose Response To benchmark our novel FP assay to established GCPII activity assays (mainly the radioactive assay that is the "standard assay" in the field; Table 1), we determined inhibition constants for several known competitive GCPII inhibitors and compared data to values available in the literature. Inhibitors were chosen to cover a wide range of inhibition constants from millimolar (e.g., L-glutamate) to subnanomolar (e.g., 2-PMPA). Inhibition curves of several representative inhibitors together with calculated IC 50 values are shown in Figure 3. Overall, when using inhibitors that are around IC 50 values of 10 to 20 nM or above, the data obtained by the FP assay are nearly identical to IC 50 values that were earlier determined by the radioenzymatic or HPLC assays. The following values are the calculated IC 50 s by our assay (numbers in parentheses are for published inhibition constants determined by radioenzymatic or HPLC assays): 0.87 mM (0.50 mM) for glutamic acid, 16.7 µM (10 µM) for quisqualate, and 19.2 nM (20 nM) for JHU242. In the case of competitive inhibitors with subnanomolar inhibition constants, IC 50 values fell to the limit of the assay, which can be roughly defined as 50% of GCPII concentration used for the screening. For example, using 20 nM TMRGlu together with 40 nM GCPII, one can expect IC 50 values at around 20 nM for all subnanomolar inhibitors. We confirmed these theoretical predictions testing several potent GCPII inhibitors, including DCIBzL (IC 50 = 0.01 nM; radioactive assay), 2-PMPA (IC 50 = 0.3 nM), and ARMP-4 (IC 50 = 0.06 nM). The IC 50 values determined by FP were 12.6 nM, 14.2 nM, and 28.8 nM, for DCIBzL, ARMP-4, and 2-PMPA, respectively. In summary, in the case of competitive GCPII inhibitors, the assay window fits into the range spanning low nanomolar (limit 20 nM) to millimolar affinities, which is adequate for an HTS of chemical libraries that typically yield hits with micromolar affinities. Once a medicinal chemistry program is established and more potent compounds are generated, one could then switch back to lower throughput yet more sensitive assays for accurately measuring IC 50 values of less than 20 nM. the enzyme prior to the probe. On the other hand, the inhibitor addition to the preformed GCPII/TMRGlu complex should not have any effect on measured FP. In theory thus, one can distinguish between competitive and noncompetitive inhibitor binding by simply reversing the additions of inhibitor and probe to the assay mixture. Noncompetitive Inhibitors In the case of competitive inhibitors, both molecules (probe and tested compound) bind to spatially overlapping sites of the enzyme in an exclusive manner. Consequently, the tested compound can either displace GCPII-bound probe (probe added first, tested compound later) or directly block probe binding (tested compound added first, probe subsequently). The latter setup was used in our HTS (see below). In the case of noncompetitive (allosteric) inhibitors, an inhibitor, typically interacting with residues outside the specificity pocket of the enzyme, should be able to block formation of the GCPII/TMRGlu complex when added to To test these predictions experimentally, we used IBT100, a noncompetitive GCPII inhibitor with an unknown mode of action that binds at the surface of GCPII at a distance approximately 20 Å from the active site (data not shown). The addition of IBT-100 to the preformed GCPII/ TMRGlu complex did not elicit any changes (probe displacement) throughout the whole range of concentrations tested. On the other hand, preincubation of the inhibitor with GCPII prior to probe addition resulted in the "typical" inhibition profile with IC 50 = 22.2 µM (Fig. 4A). To the contrary, analogous experiments using quisqualate, a competitive GCPII inhibitor with similar potency (IC 50 = 10 µM), produced nearly identical inhibition curves in both experimental setups (Fig. 4B). Consequently, this single set of experiments (there are no other noncompetitive GCPII inhibitors known) suggests that the FP assay is suitable for the identification of both competitive and noncompetitive (allosteric) inhibitors of GCPII as well as offers an easy way to distinguish between the two classes of inhibitors. High-Throughput Screening To determine relevant qualitative/quantitative assay statistics, we carried out five independent experiments using optimized assay conditions together with several known GCPII inhibitors as standards (data not shown). Considering both intra- and interplate variations, the calculated Z′ factor is 0.82, validating the applicability of the assay for HTS applications. 30,31 To minimize the impact of the inherent fluorescence of compounds on the fluorescence polarization readout, we have determined the autofluorescence of compounds in the library at similar excitation/emission wavelengths that were used for the fluorescence polarization (535/595 nm). Of the 10 strongest autofluorescent compounds, 9 were active in the HTS at both 1-µM and 60-µM concentrations, suggesting that beside dynamic/static quenching, the compound autofluorescence is one of the factors contributing to the false-positive determinations. Therefore, a careful choice of the cutoff for autofluorescent compound exclusion is needed to achieve good balance for specific hit identification and false-positive hit exclusion. We have eliminated all compounds with autofluorescence exceeding five times the background level from the hit list as autofluorescent, as shown in Table 2. During our HTS, we noticed that many false-positive readings were associated with intensely colored compounds often yielding high background fluorescence. Such falsepositive readings are, however, intrinsically linked with these types of assays and are difficult to fully eliminate. 31 Overall, out of approximately 20 000 compounds tested, we selected 98 compounds and validated the prospective hits using a radioenzymatic assay in a 96-well plate format. 15 The radioenzymatic counterscreen was performed at concentrations of 100 µM and 10 µM in duplicates. Only compounds that inhibited GCPII enzymatic activity at least We next used the validated assay for an HTS using several distinct small-molecule libraries comprising approximately 20 000 compounds. Libraries were screened at two final concentrations, 1 µM and 60 µM, respectively, as described earlier. The second (higher concentration) screen was required because using 1-µM concentrations of tested compounds (the first screen) yielded only a limited number of positive hits. 2-PMPA and JHU-242, two established competitive GCPII inhibitors with IC 50 values of 300 pM and 20 nM, respectively, were used as internal positive standards throughout screening. A typical layout from a plate is shown in Supplementary Figure S2. For hit identification, we have tested different conditions based on the percentage of probe displacement from the GCPII protein (Fig. 5). When using stringent conditions (percentage of displacement >75 %, mP <130), no hit was identified in a 1-µM screen. Almost half of the hits identified in the 60-µM screen were autofluorescent. When releasing the conditions below 50%, the hit rate in the nonfluorescent compounds increased considerably, as shown in Table 2. Table 2. Hit Rates in the Primary High-Throughput Screen (HTS) A library of nearly 20 000 compounds was screened and data were normalized with the b-score algorithm. GCPII, glutamate carboxypeptidase II. aHits were identified using different cutoffs based on the percentage of probe displacement from the GCPII protein according to mP values. cNumber of hits in the 60-µM screen. bNumber of hits in the 1-µM screen. dNumber of active compounds in the HTS showing at least 5 times higher autofluorescence than the background. from 30% at 100 µM were considered validated hits. As expected, the false-positive rate increases with the relaxation of cutoffs used in the hit selection in the primary screen, as shown in Table 3. For example, all three nonfluorescent compounds that exhibited mP <88 in the primary screen were validated in the secondary screen. On the other hand, only 26 of 39 hits that showed mP <215 in the primary screen were subsequently validated. Generally, relaxation of the cutoffs for hit selection allows for discovery of new scaffolds with relatively lower affinity to GCPII at the cost of a higher false-positive rate. In conclusion, the FP-based assay presented here is an excellent alternative to established GCPII assays and offers many advantageous features that include it being nonhazardous, homogeneous, adaptable to low volumes, and time/costeffective. The robustness of the assay is supported by solid statistics (Z′ = 0.82), compatibility with common solvents, and a wide assay range that spans from low nanomolar to Table 3. Validation of the Primary Hits in the Radiometric Counterscreen Nonfluorescent compounds active in the primary high-throughput screen (HTS) were assayed in the radiometric counterscreen. GCPII, glutamate carboxypeptidase II. Number of compounds showing at least 30% of GCPII inhibition. a b Number of compounds that inhibited GCPII from less than 30% in the radiometric counterscreen. The percentage of false-positive hits was calculated as a ratio of nonvali- c dated compounds and all compounds assayed in the radiometric screen that were selected from the primary HTS according to respective cutoffs. millimolar concentrations of tested compounds. Thus, for the drug developmental purpose of identifying novel inhibitory scaffold leads, the FP assay is ideally suited for HTS of smallcompound libraries. Declaration of Conflicting Interests The authors declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article. Funding The authors disclosed receipt of the following financial support for the research, authorship, and/or publication of this article: Ministry of Education, Youth and Sports of the Czech Republic (ME10031, LC06077); IRG (project number 249220); EMBO (installation grant #1978); and the IBT (AV0Z50520701) provided institutional support. 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Slow Moving Debt Crises* Guido Lorenzoni Iván Werning Northwestern University MIT December 24, 2014 We study slow moving debt crises, self-fulfilling equilibria where high interest rates due to fears of higher future default leads to a gradual but faster accumulation of debt, ultimately validating investors’ fears. We show that slow moving crises arise in a variety of settings, both when fiscal policy follows a given rule or when it is chosen by an optimizing government. We discuss how multiplicity is avoided for low debt levels, for sufficiently responsive fiscal policy rules, and for long enough debt maturities. When the equilibrium is unique, debt dynamics are characterized by a tipping point, below which debt fall and stabilizes and above which debt and default rates grow. We provide game-theoretic foundations for our approach. 1 Introduction Yields on sovereign bonds for Italy, Spain and Portugal shot up dramatically in late 2010 with nervous investors suddenly casting the debt sustainability of these countries into doubt. An important concern for policy makers was the possibility that higher interest rates were self-fulfilling. High interest rates, the argument goes, contribute to the rise in debt over time, eventually driving countries into insolvency, thus justifying higher interest rates in the first place. News coverage illustrates how future debt dynamics were at center stage.\footnote{For example, a \textit{Financial Times}’ report on the Italian bond market cites a pessimistic observer expecting “Italian bonds to perform worse than Spanish debt this summer, as investors focus on the sustainability of Italy’s debt burden,” given Italy’s high initial debt-to-GDP ratio. A more optimistic investor in the same report argues that Italy “can cope with elevated borrowing costs for some time particularly when shorter-dated bond yields remain anchored” and that “it’s critical to bring these yields down, but there is time for Italy to establish that its policies are working.” (\textit{“Investors wary of Italy’s borrowing test”}, \textit{Financial Times}, July 16, 2012.)} Thomson Reuters offered a simple web application, under the title “Ital- We thank comments and suggestions from Manuel Amador, Adrien Auclert, Fernando Broner, Hal Cole, Emmanuel Farhi, Jeffrey Frankel, Francesco Giavazzi, Pablo Kurlat, Hugo Hopenhayn, Kiminori Matsuyama, Juan Pablo Nicolini, Stavros Panageas, Matt Rognlie, Guido Sandleris and Vivian Yue. Nicolás Caramp, Greg Howard and Olivier Wang provided valuable research assistance. Yields subsided in the late summer of 2012 after the European Central Bank’s president, Mario Draghi, unveiled plans to purchase sovereign bonds to help sustain their market price. A view based on self-fulfilling crises was explicitly used to justify such interventions during Draghi’s news conference announcing the Outright Monetary Transactions (OMT) bond-purchasing program (September 6th, 2012), “The assessment of the Governing Council is that we are in a situation now where you have large parts of the Euro Area in what we call a bad equilibrium, namely an equilibrium where you have self-fulfilling expectations. You may have self-fulfilling expectations that generate, that feed upon themselves, and generate adverse, very adverse scenarios. So there is a case for intervening to, in a sense, break these expectations [...] If this view is correct, a credible announcement to do “whatever it takes” is all it takes to rule out bad equilibria, no bond purchases need actually be carried out. To date, this is exactly how it seems to have played out: there have been no purchases by the ECB and no country has applied to the OMT program. In this paper, we build a dynamic model that formalizes this multiple-equilibria view of debt crises. We then use this model to explore how the initial debt level, the fiscal policy regime, and the maturity of debt affect the vulnerability to such crises. In our model, the government sells bonds to a large group of investors to finance shocks to its funding needs. Investors are risk neutral and price bonds according to their expected payoffs, forming expectations over future default probabilities. Given bond prices and fiscal policy, one can compute the path for debt. This, in turn, affects future default probabilities and, through investors’ expectations, bond prices. This feedback loop between interest rates and debt accumulation opens the door to multiple equilibria. When a crisis occurs—a switch from a good to a bad equilibrium path—bond prices jump in response to changes in future default probabilities, but the crisis can play out for some time before default actually occurs. We label this episode a slow moving crisis to distinguish it from a rollover crisis, which is essentially a run on the country’s debt leading to a failed bond auction and immediate default. Both slow moving crises and rollover crises seem relevant to interpret observed turbulence in sovereign debt markets. However, the literature has mostly focused on the latter so our goal here is to highlight and study the slow moving mechanism. \footnote{See the widget \textit{here}.} Multiple equilibria arise due to a coordination problem across investors in sovereign debt markets. The precise way in which the borrower is modeled is not as crucial for multiplicity. In most of the paper, we simply take as given the behavior of the borrower, as summarized by a fixed fiscal rule that determines the primary surplus as a function of the debt level and shocks. Under a fiscal rule, default occurs mechanically when the borrower is unable to finance payments on the existing stock of debt. We also consider versions of our model where fiscal policy is endogenous, chosen by an optimizing government under discretion. Multiple Equilibria.* Our first contribution is a simple characterization of bond price schedules and debt dynamics when the stochastic process for the primary surplus is given by a fiscal policy rule. This construction extends the standard analysis of debt sustainability (e.g., Bohn, 1995; Hall, 2014) to the case of defaultable debt. When all debt is in the form of short-term one-period bonds, we show that the bond price schedule is uniquely determined. However, this does not imply that the equilibrium path is unique because the revenue from debt issuance is not monotone in the amount of bonds issued—we call this revenue function a Laffer curve. Thus, for a given revenue that is needed by the government, there may be multiple bond prices that clear the market on different sides of the Laffer curve. With long-term debt we show the bond price schedule is no longer uniquely determined. Future bond prices now feed back into current bond prices. The coordination problem among investors takes an intertemporal dimension. As a result, the bad equilibrium cannot be prevented by coordinating current investors. In our model, the self-fulfilling nature of crises is typically transitory. If the economy slips down the bad path long enough, eventually debt reaches a high enough level beyond which the good path is no longer possible. Although initially triggered by self-fulfilling pessimism, the crises itself eventually damages fundamentals. This suggests the importance of swiftly applying policies to escape or counteract a bad equilibrium, to avoid it from settling in. Policy Rules and Debt Maturity. We use our model to investigate the role of the policy rule and of the debt maturity in making the economy vulnerable to self-fulfilling crises. We first show that when the fiscal rule is sufficiently active at reducing deficits when debt rises, the equilibrium is unique. The fiscal rule works to offset the negative feedback from interest rates. Higher interest rates induce a rise in debt, but if the borrower takes strong actions to repay when debt levels rises a self-fulfilling crisis is avoided. Note that we may never observe the need for such actions—all that matters is the expectation of such actions out-of-equilibrium. This may explain why some countries are more prone to such crises than others. The usual requirement for stability without default is that the slope of the rule be greater than the interest rate (see, e.g., Hall, 2014). We show that the presence of default risk requires a more aggressive rule, not just because the interest rate is higher but because it responds endogenously to an increase in debt. These conditions are enough to guarantee local stability of a good equilibrium. However, our analysis also uncovers an inherent limitation in these local conditions, in that they cannot be met globally at all debt levels simply because the primary surplus is bounded above by finite tax capacity; Ghosh et al. (2011) refer to this problem as “fiscal fatigue.” This creates the potential for the emergence of a bad equilibrium, even within regions where the fiscal rule is aggressive, in which debt is expected to grow to levels where the rule is insufficiently responsive. We show that longer debt maturities contribute towards uniqueness. A short maturity requires constant refinancing, exposing the borrower to increases in interest rates and amplifying the feedback effects; in contrast, a longer maturity mutes these forces. This mechanism is distinct from the one at play in rollover crises, where shorter maturities make repayment more costly in the event of a rollover crisis, increasing the strategic motive for default. Tipping Points. Our model captures the idea of a “tipping point” for debt dynamics, a notion which appears loosely in public debates on debt sustainability, but which acquires a precise form in our setting (see also Greenlaw et al., 2013). Even when the equilibrium is unique, there exists a threshold level of debt separating the good and bad paths for debt. Below this threshold, debt, interests rates and default probabilities fall over time; above it, they rise. By implication, the dynamics are very sensitive to debt and other variables near the tipping point. This captures a different source of volatility, with a unique outcome cannot vary with non-fundamental shocks, yet they may be very susceptible to small changes in fundamentals. Optimizing Government. Our focus on fiscal rules allows us to isolate the coordination problem amongst investors. However, our results and analysis do not depend on this modeling choice and we study version of our model with an optimizing borrower, maximizing expected utility under discretion. With additive preferences, multiple equilibria arise from the non-negativity constraint on government consumption. If one ignores this constraint, the equilibrium is unique: there may be a tipping-point threshold, but it is uniquely pinned down by an arbitrage condition that equates the utility of the equilibrium path with falling and rising debt. However, this logic fails when one takes into account that spending cannot be negative: a government just above the threshold, facing high interest rates, may not be able to lower debt below the threshold, preventing the arbitrage condition. Importantly, the non-negativity constraint does not typically bind on the equilibrium path, but matters off the equilibrium path. The more general point is that other relevant constraints lead to equilibrium multiplicity in a similar manner. Governments may face a host of restrictions, such as nonzero lower bounds on spending, upper bounds on taxes, or limits on the speed of change in spending and taxes. Such constraints may not bind along the equilibrium path, but they do condition deviations off the equilibrium path that set the stage for multiplicity. Foundations for Timing and Interest Rate Ceilings. In most of the paper, we take the following approach: past debt obligations and the current surplus determine the government’s financing needs, debt issuances and bond prices are then determined by the market. One may ask, why can the government not choose the quantity of bonds issued and select the equilibrium price? Our view is that this requires an implicit and strong commitment assumption: if the revenue of the bond issuance falls short, the government must adjust its surplus instantaneously and automatically. This seems implausible, as it requires an extremely responsive fiscal policy in the short run. Governments have limited room or desire for sharp adjustments in a such short time frame. Instead, it seems more reasonable to assume the government will issue more bonds to make up for the lower price. This is the assumption we adopt. At the same time, it is undeniable that in any given bond auction the government can enter with a pre-established offering and this seemingly provides the needed commitment. However, the government may quickly return to the market with another offering, undercutting its capacity to commitment in any given auction. The two models in Section 5 provide a formalization of this argument. Namely, we formulate two explicit games with a government that issues bonds in repeated rounds. We assume the government can commit to the bond issuance for the current round, but not for future rounds. Importantly, preferences are not additively separable across rounds, so that lower spending today increases the desire for spending tomorrow. This assumption is especially natural given that each round is best interpreted as a short time interval, such as a day or a week.$^3$ $^3$Outlays on infrastructure investments have the desired property, e.g. lower spending on the bridge today requires more spending to complete the bridge tomorrow. The same is true for regular spending, The first game assumes a potentially unlimited number of rounds. We show that the outcome is exactly as in the timing assumption adopted in most of the paper. The government loses all ability to commit to its bond issuance because it can always reverse or supplement issuances in a future round. The second game limits the number of rounds, but assumes the government is somewhat impatient to obtain funds in earlier rounds. Again, we obtain multiple equilibria of the same nature. Overall, these results indicate that lack of commitment may provide a game-theoretic foundation for the timing assumption we adopt. Some authors, going back to Calvo (1988), have suggested a seemingly simple solution to rule out the bad equilibrium and select the good one: the government can announce a ceiling on interest rates, promising to abstain from bond issuances at higher interest rates. Our two explicit games clarify the inherent difficulties with this approach. In particular, an interest rate ceiling can only work if the government can back such an announcement with a credible commitment to slash spending, or ramp up taxes in the very short run, in the event of a shortfall in bond receipts. As we discussed above, such commitment powers seem implausible. Indeed, an interest rate ceiling violates the very spirit of the approach we pursue here. Unfortunately, in our view there appears to be no easy fix to the multiplicity problem, certainly not by way of interest rate ceilings. Related literature. Aguiar and Amador (2013) provide a recent survey of the sovereign debt literature. The main precursor to our paper is Calvo (1988), who introduced the feedback between interest rates and the debt burden in a two-period model in which the government chooses its financing needs, while debt issuances and interest rates are jointly determined on the bond market. Our main goal is to reinvigorate this approach and expand it to a dynamic setting, more appropriate for the study of slow moving crises. A dynamic setting allows us to explore the conditions for multiple equilibria with respect to debt levels, debt maturity and fiscal policy rules. We also find that the nature of the multiplicity, coupled with stability refinements, is somewhat different in a more dynamic setting with long term bonds. A handful of recent papers also adopt elements of the Calvo (1988) approach. Corsetti and Dedola (2011) and Corsetti and Dedola (2013) investigate whether independent monetary policy is sufficient to insulate a government from confidence crises. Navarro et al. (2014) apply the same approach to a sovereign-default model with short-term debt similar to Arellano (2008), to investigate how likely are sovereign borrowers to enter the multiple equilibrium region. such as on the government payroll and transfers, since temporary shortfalls in these outlays are possible by incurring an implicit and costly debt with government employees or pensioners. Sovereign debt rollover crises were introduced by Giavazzi and Pagano (1989), Alesina et al. (1992) and Cole and Kehoe (1996).\footnote{Chamon (2007) argues that the coordination problem in rollover crises can be avoided by appropriately designing the way in which bonds are underwritten and offered for purchase to investors by investment banks.} Cole and Kehoe (2000) provides a workhorse model for the more recent literature, including Conesa and Kehoe (2012) and Aguiar et al. (2013). We see rollover crises and slow moving crises as complementary explanations for the turbulence in sovereign debt markets. Indeed, rollover crises are also possible in our model and slow moving crises are best thought of as less extreme versions of the same phenomena. For most of the paper we set rollover crises aside to focus on slow moving crises. Our use of a fiscal rule in the baseline model follows the literature on debt sustainability (Bohn, 1995, 2005) and the literature on the interaction of fiscal and monetary policy e.g. Leeper (1991). This literature asks what properties of fiscal policy rules ensures that holders of government debt are repaid with certainty at all future dates (Hall, 2014). Our paper extends this analysis to situations with positive default probability, asking what properties of fiscal policy rules avoid self-fulfilling debt crises. \section{Bond Price Schedules and Debt Dynamics} In this section, we show how to construct bond price functions and maximum debt revenue levels in a setup where the government is committed to follow a fixed fiscal rule and default occurs when the government is unable to raise enough debt revenue to cover its current financing needs. Consider a discrete-time environment, with periods $t = 0, 1, 2, \ldots$. To simplify, we assume that all uncertainty is revealed at some finite date $T < \infty$. This assumption will be relaxed later, but it allows us to solve the model by backward induction, which is both revealing and simple, and ensures that multiplicity is not driven by an infinite horizon. The government generates a sequence of primary fiscal surpluses $\{s_t\}$, representing total taxes collected minus total outlays on government purchases and transfers. A negative realization of $s_t$ corresponds to a primary deficit. The government issues non-contingent bonds in a competitive credit market to a continuum of risk-neutral investors with discount factor $\beta = 1/(1 + r)$. Bonds have geometrically decreasing coupons: a bond issued at $t$ promises to pay the sequence of coupons $$\kappa, (1 - \delta)\kappa, (1 - \delta)^2\kappa, \ldots,$$ where $\delta \in (0, 1)$ and $\kappa > 0$. We normalize and set $\kappa = \delta + r$, so that the bond price equals 1 when the risk of default is zero at all future dates. This well-known formulation of long-term bonds is useful because it avoids having to carry the entire distribution of bonds of different maturities (see Hatchondo and Martinez, 2009). A bond issued at $t - j$ is equivalent to $(1 - \delta)^j$ bonds issued at $t$, so the vector of outstanding bonds can be summarized by a single state variable $b_t$, which is equal to total debt in terms of equivalent newly issued bonds. The parameter $\delta$ controls the maturity of debt, with $\delta = 1$ corresponding to the case of a short-term bond and $\delta = 0$ corresponding to the case of a consol. Absent default, the government budget constraint is $$s_t + q_t(s^t) \cdot \left( b_{t+1}(s^t) - (1 - \delta) b_t(s^{t-1}) \right) = \kappa b_t(s^{t-1}),$$ (1) where $q_t$ is the price of a newly issued bond. Coupon payments on outstanding bonds are covered either by the primary surplus or by sales of newly issued bonds. The fiscal policy rule and shocks to spending and taxes are all embedded in the stochastic process for the primary surplus, governed by $$F(s_t \mid s^{t-1}, b_t),$$ a conditional cumulative distribution function, where $s^{t-1} = (s_1, s_2, \ldots, s_{t-1})$ denotes a history up to period $t - 1$. We assume that $s_t$ is bounded above: $s_t \leq \bar{s} < \infty$. At date $T$ all uncertainty is resolved and the surplus is constant at $s_T$ from then on. We allow the distribution of $s_t$ to depend on current debt $b_t$ to capture policy rules where the government responds to higher debt levels with fiscal efforts to cut spending or raise taxes. Fiscal rules of this kind are commonly adopted in the literature studying solvency (e.g. Bohn, 2005; Ghosh et al., 2011). We assume that the government honors its debts whenever possible, so that default occurs only if the surplus and borrowing are insufficient to refinance outstanding debt. Let $\chi(s^t) = 1$ denote full repayment and $\chi(s^t) = 0$ denote default. We assume that after a default event debtors receive a recovery value $v_t(s^t) \geq 0$. Therefore, bond prices at date $t$ satisfy $$q(s^t) = \beta \mathbb{E} \left[ \chi(s^{t+1}) \left( \kappa + (1 - \delta) q(s^{t+1}) \right) + \left( 1 - \chi(s^{t+1}) \right) \frac{v(s^{t+1})}{b_{t+1}(s^t)} \mid s^t \right].$$ (2) Our focus is on debt dynamics preceding default. Consequently, we characterize the equilibrium up to the first default episode and only derive the path for debt and prices $ b_{t+1}(s^t) $ and $ q_t(s^t) $ along histories for which $ \chi(s^\tau) = 1 $ for all $ \tau \leq t $. Equilibrium. We derive the equilibrium conditions by backward induction. After period $ T $ the surplus is constant, so the government repays if and only if the present value exceeds the debt burden, or \[ s_T \geq rb_T. \] Let the repayment function $ X_T(b_T, s^T) $ equal 1 if this condition is met and 0 otherwise. Note that we have written the last period budget constraint as an inequality, instead of an equality, to allow larger surpluses than those needed to service the debt.$^5$ We now have all the elements to compute the price of debt in period $ T - 1 $ for every possible value of $ b_T $, \[ Q_{T-1}(b_T, s^{T-1}) \equiv \beta \mathbb{E} \left[ X_T(b_T, s^T)(\kappa + 1 - \delta) + \left(1 - X_T(b_T, s^T)\right) \frac{v(s^T)}{b_T} \mid s^{T-1}, b_T \right]. \] The maximal revenue from new debt issuances in period $ T - 1 $ equals \[ m_{T-1}(b_{T-1}, s^{T-1}) \equiv \max_{b_T} \left\{ Q_{T-1}(b_T, s^{T-1}) \cdot (b_T - (1 - \delta)b_{T-1}) \right\}. \] Default can be avoided if and only if \[ \kappa b_{T-1} - s_{T-1} \leq m_{T-1}(b_{T-1}, s_{T-1}). \] Let the repayment function $ X_{T-1}(b_{T-1}, s^{T-1}) $ equal 1 if this inequality is met and 0 otherwise. Whenever $ X_{T-1}(b_{T-1}, s^{T-1}) = 1 $ we select a value of $ b_T $ that solves \[ s_{T-1} + Q_{T-1}(b_T, s^{T-1}) \cdot (b_T - (1 - \delta)b_{T-1}) = \kappa b_{T-1}, \] and denote the selected value as $ B_T(b_{T-1}, s^{T-1}) $. The same procedure can be applied for earlier periods. Supposing we have $ Q_{t+1}, m_{t+1}, X_{t+1} $ and $ B_{t+2} $, we can construct $ Q_t, m_t, X_t $ and $ B_{t+1} $ as follows. In period $ t $ the price function $^5$One should hence interpret $ s_T $ as the potential maximal surplus, not the actual surplus. Of course, if $ s_T > rb_T $, then any slack would be redirected towards lower taxes or increased spending and transfers. We abstract from describing this adjustment. $Q_t$ is given by $$Q_t(b_{t+1}, s^t) \equiv \beta \mathbb{E} \left[ X_{t+1}(b_{t+1}, s^{t+1})(\kappa + (1 - \delta) Q_{t+1}(B_{t+2}(b_{t+1}, s^{t+1}), s^{t+1})) \right.$$ $$\left. + (1 - X_{t+1}(b_{t+1}, s^{t+1})) \frac{v(s^{t+1})}{b_{t+1}} \bigg\| s^t, b_{t+1} \right], \tag{3}$$ the maximal revenue function $m_t$ is given by $$m_t(b_t, s^t) \equiv \max_{b_{t+1}} \left\{ Q_t(b_{t+1}, s^t) \cdot (b_{t+1} - (1 - \delta)b_t) \right\}, \tag{4}$$ and let the repayment function $X_t(b_t, s^t) = 1$ if $s_t + m_t(b_t, s^t) \geq \kappa b_t$ and 0 otherwise. Whenever $X_t(b_t, s^t) = 1$ we select a value of $b_{t+1}$ solving $$s_t + Q_t(b_{t+1}, s^t)(b_{t+1} - (1 - \delta)b_t) = \kappa b_t. \tag{5}$$ and denote the selected value by $B_{t+1}(b_t, s^t)$. Continuing in this way, we can solve iteratively for the functions $m_t, Q_t, X_t, B_{t+1}$ in all earlier periods. In general, equation (5) admits multiple solutions so there may be multiple sequences of functions $\{m_t, Q_t, X_t, B_{t+1}\}$. For any given sequence, we can construct equilibrium outcome paths by iterating on $b_{t+1}(s^t) = B_{t+1}(b_t(s^t), s^t)$ starting with the given level of initial debt $b_0$; evaluating $q_t(s^t) = Q_t(b_t(s^t), s^t)$ then gives the sequence of bond prices. Multiplicity, Selection and Timing Assumptions. If at each juncture in the backward induction one always selects the lowest $b_{t+1}$ solving equation (5) the recursion pins down a unique sequence $\{m_t, Q_t, X_t, B_{t+1}\}$ and a unique outcome $b_t(s^t)$ and $q_t(s^t)$. Proposition 1. There is a unique equilibrium satisfying the requirement that $B_{t+1}(b_t, s^t)$ always equal the lowest possible solution to (5). If, instead, we do not impose a selection criterion, multiple equilibria arise whenever (5) admits multiple solutions for some realizations of $s^t$ and $b_t$. This will be the approach we follow in the rest of the paper. Let us conclude this section discussing briefly alternative approaches to selection and multiplicity. The sovereign-debt literature following Eaton and Gersovitz (1981)—and the subsequent quantitative literature started by Arellano (2008)—make the assumption that the government chooses the quantity of bonds it auctions each period and then investors bid and determine the bond price. This timing assumption acts as a selection criterion picking a unique value of $b_{t+1}$ in each period, and thus leads to uniqueness.\footnote{In finite horizon versions of the models in Eaton and Gersovitz (1981) and Arellano (2008) the backward induction argument behind Proposition 1 can be easily extended to prove uniqueness. In the infinite horizon case things are more difficult, since a backward induction argument is unavailable. Auclert and Rognlie (2014) show uniqueness in the infinite horizon case under some conditions.} Implicit in this timing is an assumption that the government has the ability to commit to a given bond issuance, both on and off the equilibrium path. However, committing to a given bond issuance requires a credible commitment to cut spending or raise taxes if bond prices turn out lower than expected. In practice, the credibility of an announcement of this kind seems questionable.\footnote{Given a non-negativity constraints on spending and an upper bound on tax revenues, one also has to worry about the very feasibility of committing to a given level of bond issuances for any realization of the price $q_t$ off the equilibrium path. Consider a setup with short-term debt, where the budget constraint is $q_t b_{t+1} \geq b_t - s_t$. Given a committed level $b_{t+1}$, if the price is low enough and the maximum achievable primary surplus is too low to fully repay $b_t$, then it is infeasible for the government to fulfill its commitment: either $b_{t+1}$ has to be increased, or the government has to default. The timing in Cole and Kehoe (2000), by allowing for default triggered by low bond prices, has the virtue of ensuring that payoffs are well defined for all possible strategies.} Suppose a government is running a bond auction every week. On a given week, the government announces it will sell bonds with a face value of $100bn$, expecting a price of $1$, and will use the revenue to finance its current deficit needs of $100bn$. If the bond price turns out to be 90 cents, the government is short $10bn$. Should we expect the government to immediately implement tax increases or spending cuts for $10bn$, or should we expect it to increase its bond issuances in the following weeks? We see the second form of adjustment as more plausible in the short run. In the model presented here, in which the government follows a fiscal rule, the primary surplus is fixed at the beginning of each period. In this context, we are naturally led to choose the timing assumption in which spending and taxes are fixed in the short run and, given bond prices, the government adjusts bond issuances to satisfy the budget constraint (5). All solutions to (5) are legitimate equilibrium outcomes. A more general approach would be to allow for both margins of adjustment, and assume the fiscal rule adjusts the primary surplus \textit{and} bond issuances to the current bond price. If it responds to the current price sufficiently, then this can rule out multiplicity. The idea is very similar to the logic that rules out multiplicity with a policy rule that reacts to the stock of accumulated debt, the main focus of this paper. However, we think this latter margin is more realistic. We shall return to timing and commitment issues towards the end of the paper, in Section 5. 3 Short and Long Debt In this section we specialize the model laid out in the previous section. We first consider the case of short-term debt. We then consider a specific environment with long-term debt. In both setups we introduce a debt Laffer curve and investigate the relation between the shape of this curve and multiplicity. 3.1 Short-Term Debt With short term debt, $\delta = 1$, the price functions are uniquely determined by backward induction. Proposition 2. With short-term debt $\delta = 1$ the functions $m_t$, $Q_t$, and $X_t$ are uniquely defined and the function $m_t(b_t, s^t)$ does not depend on $b_t$. Laffer Curves and Multiplicity. Proposition 2 does not imply that the equilibrium path is unique. Multiple equilibria exist whenever $$Q_t(b_{t+1}, s^t)b_{t+1} = (1 + r)b_t - s_t \quad (6)$$ admits multiple solutions for $b_{t+1}$. The expression $Q_t(b_{t+1}, s^t)b_{t+1}$ defines a relation between debt issuance $b_{t+1}$ and revenue. This Laffer curve, as we call it, is in general non-monotone because an increase in $b_{t+1}$ reduces the probability of repayment at $t + 1$, reducing the price that investors are willing to pay for bonds. To see this, consider first the case with zero recovery, $v_t(s^t) = 0$ for all $s^t$. The bond price $Q_t(b_{t+1}, s^t)$ is then zero for $b_{t+1}$ sufficiently large.\footnote{This follows because default at $t + 1$ is certain if $m_t(b_{t+1}, s^{t+1}) + s_{t+1} < (1 + r)b_{t+1}$ for $b_{t+1}$ large enough, given a bounded support for $s_{t+1}$.} This ensures that the Laffer curve has at least two sides, implying the existence of multiple equilibrium paths. Proposition 3 (Multiplicity). Suppose there is no recovery value, $v(s^t) = 0$. If $(1 + r)b_0 - s_0 < m_0(b_0, s^0)$ then there are at least two equilibrium paths for debt and interest rates. The left panel of Figure 1 plots the Laffer curve. The amount the government must finance $(1 + r)b_t - s_t$ is represented by the dashed horizontal line. There are two equilibrium values for $b_{t+1}$. The high-debt equilibrium is sustained by a higher interest rate that is self fulfilling: a lower bond price forces the government to sell more bonds to meet its financial obligations; this higher debt leads to a higher probability of default in the future, lowering the price of the bond, which justifies the pessimistic outlook. This two-way feedback between high interest rates and high debt opens the door to multiple equilibria. With a positive recovery value the Laffer curve converges to the recovery value for high debt. This implies a unique equilibrium for low enough financing needs. This case is illustrated in Figure 2. Proposition 4. Suppose the recovery value is bounded away from zero, $v(s^t) \geq \phi > 0$. Then for any history $s^t$, there is a unique $b_{t+1}$ that solves (6) if $(1 + r)b_t - s_t$ is low enough. Figure 1 illustrates that a sufficient reduction in the initial debt level $b_t$ shifts the dashed red line downwards, eliminating the bad equilibrium. What are the effects of inherited debt $b_t$? Along the good side of the Laffer curve an increase in $b_t$ raises the current interest rate as well and the entire path of bond issuances and interest rates. Higher debt also increases the potential for multiple equilibria. This creates a feedback, from past equilibria selection, into the future. For example, if a bad equilibrium is selected at $t$, this raises $b_{t+1}$ and the interest rate at $t + 1$ even if the good equilibrium is expected to be played at $t + 1$. It also raises the potential for equilibrium multiplicity. Notably, with short debt, there is no feedback running in the opposite direction, from the future to the present: as implied by Proposition 2 the Laffer curve $Q_t(b', s^t)b'$ is uniquely determined and independent of the equilibrium selection in future periods. Thus, expectations of bad equilibrium selection in the future have no effects in the current period. As we shall see in Section 3.2, this conclusion is no longer true with long-term debt. Stable Equilibrium Selection. Equilibrium points where the Laffer curve is locally decreasing are “unstable” in the Walrasian sense that a small increase in the price of bonds reduces the supply by more than the demand, creating excess demand. These equilibria are also pathological on other grounds. First, they are also unlikely to be stable with respect to most forms of learning dynamics. Second, Frankel, Morris and Pauzner (2003) show that global games do not select such equilibria. Finally, these equilibria lead to counterintuitive comparative statics: an increase in the current debt level $b_t$ increases the bond price $q_t$, i.e. higher financing needs lower the equilibrium interest rate. For all these reasons, we discard unstable equilibria and only consider stable equilibria, which in the present context requires the Laffer curve to be locally increasing. With short term debt, multiple stable equilibria can only be obtained with primitives that generate a Laffer curve with multiple peaks. If the surplus process is fully exogenous (i.e., does not respond to $b_t$) and there is no recovery, one requires assumptions on the surplus distribution. Our next result shows that one needs a non-monotone hazard rate. Proposition 5. Suppose the recovery value is zero $v(s^t) = 0$ and the surplus process is independent of the debt level. If the hazard rate $\frac{f(s_t\|s^{t-1})}{1-F(s_t\|s^{t-1})}$ is monotone then the Laffer curve is single peaked and there is a unique equilibrium path that is interior and stable. One way to obtain multiple steady state equilibria is to specify distributions with non-monotone hazard rates. Navarro et al. (2014) show that a specification with a form of disaster risk can yield multi peaked Laffer curves and explore their implications. Another approach is to consider responsive policy rules. When debt affects the distribution for surplus this may generate multiple peaks, even if the conditional distribution satisfies the monotone hazard condition. However, as we shall see, once we introduce long term debt, multiple stable equilibria are possible even when the Laffer curve is single-peaked. Rollover Crises. The same Walrasian tatonnement logic also leads us to consider the possibility of a different type of equilibrium, which is similar to a rollover crisis a la Cole and Kehoe (2000). Consider the left panel of Figure 1. Suppose we start immediately to the right of the bad, unstable equilibrium. At that point, there is an excess supply of bonds so bond prices should fall, pushing us further to the right. This continues until we reach a level of bond issuance associated with a zero probability of repayment and zero bond prices. This suggests the presence of a third, stable equilibrium, with a zero bond price and default in period $t$; a similar logic applies with a positive recovery value, for sufficiently high financing needs $(1 + r)b_t - s_t$. To allow for this possibility, we must relax the assumption that default only happens when there is no issuance $b_{t+1}$ that allows the government to finance $b_t - s_t$, and introduce the possibility of default triggered by zero bond prices today. This possibility can be interpreted as a rollover crisis, where pessimistic investors force immediate default and this default makes future repayments impossible, justifying investors’ expectations. As discussed in the introduction, rollover crises are the focus of Cole and Kehoe (2000) and a large subsequent literature. For the remainder of this paper we set rollover crises aside to focus on slow moving crises. However, it is important to keep in mind that when one takes rollover crises into account, then multiplicity is relatively pervasive with short term debt, even when the Laffer curve is single peaked. ### 3.2 Long-Term Debt We now turn to our benchmark case with long-term bonds. Long-term debt allows us to fully develop our idea of slow-moving crises, in which higher spreads lead to a gradual increase in debt servicing costs, as the government only replaces a fraction of maturing bonds with newly issued ones. It is important for two other reasons. First, in most advanced economies the bulk of the debt is in the form of relatively long maturities, rather than three-month or one-year bonds (Arellano and Ramanarayanan, 2012). For example, the average maturity of sovereign debt for Greece, Spain, Portugal and Italy was 5-7 years over the 2000-2009 period. Second, it is widely believed that short-term borrowing exposes a sovereign borrower to debt crises and that longer maturities provides some protection. In the context of a rollover debt crises, Cole and Kehoe (1996) find support for this view. It is of interest to see if the same is true for slow moving debt crises. #### A Special Case with Uncertainty at $T$ We first consider a case where all uncertainty is concentrated at some date $T > 0$. This special case is insightful because it can be mapped into the Laffer curve diagram, providing a bridge to the results with short term debt. For $t \geq T$ the surplus is constant at $s_t = rS$, with $S$ drawn from a continuous distribution $F(S)$. For $t < T$, the surplus is given by $$s_t = (1 - \lambda)s_{t-1} + \lambda(\alpha_0 + \alpha_1 b_t). \tag{7}$$ Here $\alpha_0 + \alpha_1 b_t$ is a target surplus, which is increasing in the debt level if $\alpha_1 > 0$. The surplus adjusts to its target at a speed determined by $\lambda$. The parameter $\alpha_1$ plays an important role: larger values represent a more aggressive fiscal response to debt. Given the concentration of news at $T$, default during the first stage can only occur at $t = 0$. We proceed by assuming that default does not occur during the first stage. If this construction does not yield an equilibrium, default is unavoidable and occurs at $t = 0$. Assuming no default during the first stage, for $t < T - 1$, the bond price satisfies the difference equation (using the normalization for $\kappa$) $$q_t - 1 = \frac{1 - \delta}{1 + r} (q_{t+1} - 1), \quad (8)$$ In period $T - 1$ just before the resolution of uncertainty $$q_{T-1} = 1 - F(b_T) + \beta \frac{\phi}{b_T} \int_0^{b_T} S \, dF(S). \quad (9)$$ The government’s budget constraint for $t < T$ can be written as (using, once again, the normalization for $\kappa$) $$s_t + (q_t - 1)(b_{t+1} - (1 - \delta)b_t) + b_{t+1} = (1 + r)b_t. \quad (10)$$ Equations (7), (8) and (10) describe the dynamics for $s_t$, $q_t$ and $b_t$, respectively. The initial values for debt and surplus, $b_0$ and $s_0$, are given, while equation (9) provides a boundary condition for $q_{T-1}$. To find an equilibrium, we proceed as follows. For each candidate value for the initial price $q_0 \in (0, \infty)$, we solve (7), (8) and (10) forward and find terminal values $b_T$ and $q_{T-1}$. If these values satisfy (9) we have an equilibrium. Equation (9) is equivalent to \[ q_{T-1}b_T = (1 - F(b_T))b_T + \beta\phi \int_0^{b_T} S \, dF(S), \] This is a Laffer curve similar to the one analyzed in the case of short-term debt. This construction is represented graphically in Figure 3 plotting $ b_T $ against $ q_{T-1}b_T $. The single peaked curve is the Laffer curve. The downward sloping curve plots the values of $ b_T $ and $ q_{T-1}b_T $ obtained by solving (7), (8) and (10) forward for all values of $ q_0 \in (0, \infty) $. Equilibria are represented by intersections of these two curves. The following parameters were chosen to capture some elements of the Italian case \[ T = 120, \quad \delta = \frac{1}{7} \cdot \Delta, \quad \beta = 1.02^{-\Delta}, \quad \phi = 0.7, \quad \log S \sim N \left(0.3, 0.1^2\right), \] Here $ \Delta $ represents the length of a time period, measured in annual terms. We set $ \Delta = \frac{1}{12} $ to represent a month. In our example, all uncertainty is resolved in 10 years and average debt maturity is 7 years. The risk-free interest rate is 2% and the recovery rate in case of default is 70%. The distribution of the present value of surplus, after uncertainty is resolved has mean 1.357 and standard deviation 0.136. It is useful to interpret all these numbers as being relative to a country’s GDP. The initial conditions are set to \[ s_0 = -0.1 \cdot \Delta, \quad b_0 = 1, \] and the fiscal policy parameters are \[ \lambda = \Delta, \quad \alpha_0 = 0, \quad \alpha_1 = 0.02, \] so that a unit increase in the debt stock implies a fiscal effort to increase the surplus by 0.02 in annual terms; note that this would exactly stabilize the debt with a risk free interest of 2%. Figure 3 shows the presence of three equilibria as the intersection of the two solid lines (the dashed lines will be described below). Importantly, both the first and third equilibrium are stable, in the sense discussed earlier. Thus, in the presence of long-term debt it is possible to obtain multiple equilibria that are interior and stable even with a Laffer curve that is singled peaked. Figure 4 shows the dynamics for the primary surplus, debt and bond prices for the two stable equilibria, which we term “good” (solid lines) and “bad” (dashed lines). This stylized example is able to capture various features of recent episodes of sovereign market turbulence. Sovereign bond yields experience a sudden and unexpected jump, when shifting unexpectedly from the good to the bad equilibrium path. The debt-to-GDP ratio increases slowly but steadily. Auctions for new debt issues continue without any signs of illiquidity, but interest rates climb along with the level of debt. Large differences in debt dynamics appears gradually, as bond prices diverge and a larger fraction of debt is issued at crisis prices. Eventual Uniqueness. A characteristic feature of our model is that multiplicity only plays out in the early phase of a crisis. Indeed, along both equilibrium paths, multiplicity eventually vanishes. Figure 3 illustrates this point. Each dashed and dotted line corresponds to a different time horizon and initial debt condition. In particular, we plot them for $t = 14$, and $t = 35$ and use as initial conditions the values of $s_t$ and $b_t$ reached under the good and the bad equilibrium paths from Figure 4. At $t = 14$ the two dashed lines show that multiplicity is still present. For example, the top dashed line indicates that it would be possible to snap out of a crisis after enduring the bad path for 14 months and switch to a good path.\footnote{Clearly, the switch needs to be unexpected for prices to be in equilibrium between $t = 0$ and $t = 14$.} However, after the crises has gone on for 35 months a switch is no longer possible, the dotted line representing $t = 35$ features only one intersection. There are two reasons why multiplicity disappears as we approach $T$. First, there is a direct or mechanical effect, since the remaining time for debt to accumulate or decumulate shortens, weakening the feedback loop that gives rise to multiplicity. Second, along the bad path debt may grow to a high enough level making the bad path the only possible outcome; conversely, along the good path debt may fall to a low enough level making the good path the only possible outcome. In Section 4.1 we consider a stationary model where this first effect is not present, but the second effect still implies that the intermediate levels of debt where multiplicity is possible is transitory. Note that even if we switch from the bad path to the good path, unexpectedly, the economy inherits a higher debt level and higher interest rates with it. This can be seen in the figure: the new leftmost intersection with the upper dashed line is further to the right, up the good side of the Laffer curve, relative to the intersection of the two solid lines, representing the outcome if the economy had never ventured off the good equilibrium path. Fiscal Rules. How does the fiscal policy rule affect the equilibrium or the existence of multiple equilibria? Figure 5 shows the effects of increasing $\alpha_1$, while adjusting $\alpha_0$ to keep the good equilibrium unchanged. As shown, a high enough value for $\alpha_1$ rules out the bad equilibrium. As investors contemplate the effect of lower bond prices and increased debt issuances that entails, they also realize that the government will make a greater fiscal adjustment in the future. This helps counter the feedback loop between interest rates and debt. Of course, an extremely responsive fiscal rule might, in principle, ensure that debt is stabilized for any sequence of interest rates. Or, even more extreme, prevent default altogether. It is important to emphasize that nothing as drastic as this is required to obtain a unique equilibrium. In our parameterization, lower bond prices do lead to higher debt accumulation; higher values of $\alpha_1$ mitigate the rise in debt, but never offset it completely. Initial Debt. What are the effects of initial debt? Figure 6 shows the parameter space $(\alpha_1, b_0)$ and divide it into four regions. We now make no adjustment to $\alpha_0$. In the red region there is a single equilibrium, in the bottom portion debt is low and on the good side of the Laffer curve, while in the upper portion (above pink region) the unique equilibrium lies on the bad side of the Laffer curve. There are three equilibria in the pink region, just as in our calibrated example. In the yellow region no equilibrium with debt exists, implying immediate default at $t = 0$. Consider for example, the case $\alpha_1 = 0.01$ in the graph, in which four cases are possible. For low levels of $b_0$, we get a unique equilibrium on the increasing portion of the Laffer curve (lower portion of the red region). For higher levels of $b_0$, we have three equilibria, as depicted in Figure 6 (pink region). For even higher levels of $b_0$, we have a unique equilibrium again, but this time on the bad side of the Laffer curve. Finally, for very high values of $b_0$, there is no equilibrium without default. Debt Maturity. Consider next the impact of debt maturity, captured by $\delta$. Figure 5 shows the effects of varying $\delta$ around our benchmark value, while adjusting $\alpha_0$ to keep the good equilibrium unchanged. A longer maturity, with a low enough value for $\delta$, leads to a unique equilibrium. Intuitively, shorter maturities require greater refinancing, increasing the exposure to self-fulfilling high interest rates. The debt burden of longer maturities, in contrast, is less sensitive to the interest rate, mitigating the feedback loop that leads to equilibrium multiplicity. The right panel in Figure 6 is similar to the left panel, but over the parameter space $(\delta, b_0)$ instead of $(\alpha, b_0)$. Again, we divide the figure into four regions. There are three equilibria in the pink region, just as in our calibrated example. In the red region there is a single equilibrium. In the bottom portion of the red region the equilibrium lies on the good side of the Laffer curve, while in the upper portion (above the pink region) it is on the bad side of the Laffer curve. In the yellow region no equilibrium exists, implying immediate default at $t = 0$. For given $\delta$, we see the same effects with respect the level of initial debt. Turning to the effects of $\delta$, shorter maturities, higher values for $\delta$, place the economy in a “danger zone” (pink region) with 3 equilibrium values for the interest rate. Still higher values for $\delta$ may lead to a unique bad equilibrium (upper red region) or to non-existence prompting immediate default (upper right, yellow region). These last two conclusions depend on the fact that $\alpha_0$ was not adjusted here, unlike in Figure 5. ## 4 Tipping Points and Optimizing Governments This section explores a stationary setting where all uncertainty is resolved after the arrival of a Poisson shock. For convenience, we now work in continuous time, which allows us to study the model’s dynamics on a phase diagram. We first consider fiscal policy described Figure 6: Regions with unique equilibrium (red), three equilibria (pink) or immediate default (yellow). by a fiscal rule and then consider an optimizing government with additive preferences. 4.1 Fiscal Rules Time is continuous and runs forever. Investors are risk neutral discounting at rate $r$. Bonds issued at time $t$ pay a coupon $\kappa e^{-\delta(\tau-t)}$ for all $\tau > t$, the continuous-time analog of the bonds used in previous sections. We adopt the normalization $\kappa = r + \delta$ again, so that the bond price equals 1 in the absence of default risk. The primary surplus evolves in two stages. In the first stage, it is a deterministic function of the stock of outstanding debt $b$, $$s = h(b),$$ where $h$ is a weakly increasing function with $h(b) = \bar{s} > 0$ for $b \geq \bar{b}$. For simplicity, this fiscal rule imposes a direct relationship between $b$ and $s$ in levels, rather than of a relation between $b$ and the rate of change of $s$ as in Section 3.2. At a Poisson arrival rate $\lambda$ we reach the second stage, where all uncertainty is resolved. The present value of future surpluses, $S$, is drawn from a continuous distribution $F(S)$ over $[\underline{S}, \overline{S}]$, with $\underline{S} \geq 0$. If $S \geq b$ default is avoided and the bond price equals 1. If $S < b$ bond holders obtain a recovery value $\phi S$, with $\phi < 1$. Thus, the bond price upon entering the second stage but immediately before the resolution of uncertainty is $$q = \Psi(b) \equiv 1 - F(b) + \frac{\phi}{b} \int_{\underline{S}}^{b} S \, dF(S).$$ We now derive the dynamics for $q$ and $b$ during the first stage. The assumption that $\bar{s} > 0$ ensure that default never occurs within the first stage, as we discuss further below. Thus, in the first stage the bond price solves $$rq = \kappa - \delta q + \dot{q} + \lambda (\Psi(b) - q), \tag{11}$$ Bonds decay at rate $\delta$, pay coupon $\kappa$, earn a capital gain $\dot{q}$ before uncertainty is revealed, and have an expected capital gain $\Psi(b) - q$ with Poisson arrival $\lambda$. The government budget constraint is $$h(b) + q(\dot{b} + \delta b) = \kappa b, \tag{12}$$ The dynamics of $q$ and $b$ solve the ODEs (11)–(12). We develop boundary conditions below. Steady States. Steady states are found at the intersection of the loci $\dot{q} = 0$ and $\dot{b} = 0$. The locus $\dot{q} = 0$ is given by $$q = \frac{\kappa + \lambda \Psi(b)}{r + \delta + \lambda} \tag{13}$$ and is downward sloping since $\Psi'(b) < 0$. A larger stock of bonds implies a smaller probability of repayment after the resolution of uncertainty, lowering bond prices. The locus $\dot{b} = 0$ is given by $$q = \frac{\kappa b - h(b)}{\delta b} \tag{14}$$ and is decreasing if and only if $$h'(b) > \kappa - \delta q. \tag{15}$$ We assume that there is a range of $b$ for which (15) is satisfied, so the $\dot{b} = 0$ locus is decreasing on that range. As we shall see, this assumption is necessary to ensure the existence of a stable steady state. On the other hand, our assumption that $h$ is bounded above at $\bar{s}$ implies that for high enough levels of debt (15) is violated and the locus $\dot{b} = 0$ is increasing. In Figure 7 we show two examples. In each graph, the blue line represents the $\dot{q} = 0$ locus and the green line the $\dot{b} = 0$ locus. Both examples display two steady states. A low-debt steady state, in which bond prices are high, debt issuances $\delta qb$ cover a large fraction of the coupon payments $\kappa b$ and the government runs a low primary surplus, consistent with its policy rule $h(b)$. And a high-debt steady state, in which bond prices are low and debt issuances cover a smaller portion of coupon payments, so the government needs to run a larger surplus. We will return shortly to the dynamics of these two examples. Boundary Conditions. The ODEs must be complemented by boundary conditions. We consider two types of boundary conditions: either the economy converges to a steady state with constant $b$ and $q$, or it converges to a path with ever growing debt and ever decreasing bond prices. The path with ever growing debt can be characterized analytically using the fact that $h(b)$ and $S$ are bounded above and that these bounds become binding for large enough $b$. Given these properties, it is easy to show that there exists a cutoff $\hat{b}$ such that for any initial debt level $b(0) \geq \hat{b}$, there is a path for $b$ and $q$ that satisfies (11)–(12), $b \to \infty$ and $q \to 0$.\footnote{The cutoff is \[ \hat{b} = \max \left\{ \bar{s}, \bar{S}, [\bar{s} + \delta \vartheta] / \kappa \right\}, \] with $\vartheta$ defined below in the text.} Along this path the primary surplus is constant at $\bar{s} > 0$, lenders anticipate certain default as soon as stage 2 is reached, and the total value of debt is constant and equal to \[ b q = \vartheta \equiv \frac{\bar{s} + \lambda \Psi(\bar{S})}{r + \lambda}. \] Effectively, an investor that always buys new issuances gets the expected value of the surplus in stage 1 plus the expected recovery value in stage 2. Therefore, we use as boundary condition the point $(\hat{q}, \hat{b})$, where $\hat{q} \equiv \vartheta / \hat{b}$. It is simple to impose alternative boundary conditions. For example, we could assume that whenever debt reaches some high arbitrary threshold $\hat{b}$ this triggers a renegotiation between investors and the borrower, perhaps intermediated by the IMF or some other organization. As long as we can predict the outcome of such a renegotiation, this pins down the value of debt at $\hat{b}$, providing a boundary condition to solve the ODE system. Stable Steady States. For a steady state to serve as a boundary condition it must be locally stable. Our first result provides a necessary and sufficient condition for local (saddle-path) stability. Lemma 1. A steady state with positive debt is locally stable if and only if the $\dot{b} = 0$ locus is downward sloping and steeper than the $\dot{q} = 0$ locus, or equivalently, $$h'(b) > \kappa - \delta q - \frac{\delta \lambda}{r + \delta + \lambda} \Psi'(b) b.$$ \hspace{1cm} (16) In a steady state with no default risk $q = 1$ and $\lambda \Psi'(b) = 0$, so condition (16) reduces to $h'(b) > r$. This is the standard stability condition used for a fiscal rule with no default risk. In the literature, conditions analogous to $h'(b) > r$ are used to describe a “Ricardian regime” or a “passive” fiscal policy in the terminology of Leeper (1991). When default risk is positive, local stability requires a stronger condition. Condition (16) is stronger than $h'(b) > r$ for two reasons. First, the average cost of debt servicing (coupon payments net of receipts from replacing depreciated bonds) is higher with default risk, since $\kappa - \delta q = r + \delta (1 - q) > r$. Second, the marginal cost of debt servicing is higher than the average cost because $q$ is endogenous and decreasing in $b$. This effect is captured by the last term in (16), since $\Psi'(b) < 0$. Notice that (16) is stronger than condition (15). The latter condition ensures that the $\dot{b} = 0$ locus is decreasing, which the former ensures that the $\dot{b} = 0$ locus is steeper than the $\dot{q} = 0$ locus. When it comes to ruling out multiple equilibria, stability is a helpful property. It produces virtuous dynamics that favor a good equilibrium path. However, given the model non-linearities, the existence of a stable steady state is not enough to rule out other steady states or multiple equilibria. Indeed, multiple steady states are always present whenever one of the steady state is stable. Proposition 6. If there exists a stable steady state with positive debt, then there exists an unstable steady state with higher debt. The result follows from the fact that surplus is bounded above by $\bar{s} > 0$, implying that the fiscal policy rule cannot be too responsive at high debt levels. Indeed, for high enough debt the locus for $\dot{b} = 0$ is increasing and must intersect the decreasing locus for $\dot{q} = 0$. Multiple Equilibria. We now examine the possibility of multiple equilibria. The next proposition establishes the existence of a Markov equilibrium and provides a sufficient condition for multiplicity. For simplicity, we focus on the case in which there is a single stable steady state. Proposition 7. Suppose there is a unique stable steady state $(b^s, q^s)$ and let $(b^u, q^u)$ be the unstable steady state, with $b^s < b^u$. Then there are two functions $Q^- : [b^-, \infty) \to \mathbb{R}_+$ and $Q^+ : (-\infty, b^+] \to \mathbb{R}_+$ with $b^- \leq b^u \leq b^+$ with $Q^-(b) < Q^+(b)$ for $b \in [b^-, b^+]$. For any threshold $\hat{b} \in [b^-, b^+]$ there is a Markov equilibrium with \[ Q(b) = \begin{cases} Q^+(b) & \text{for } b \leq \hat{b}, \\ Q^-(b) & \text{for } b > \hat{b}. \end{cases} \] Debt dynamics satisfy $\dot{b} < 0$ for $b < \hat{b}$ and $\dot{b} > 0$ for $b > \hat{b}$. Suppose that at the unstable steady state \[4\delta\lambda\Psi'(b^u)q^ub^u + (\delta q^u + h'(b^u) + \lambda\Psi(b^u))^2 < 0,\] then $b^- < b^+$, so there are multiple Markov equilibria. The condition for multiplicity in the proposition is sufficient but not necessary. Multiple equilibria can also arise when both eigenvalues are real and positive if the nonlinearity of the system generates an overlapping interval for both paths. The proposition shows that two possible outcomes are possible. When $b^- < b^+$ the domains of the two functions $Q^-$ and $Q^+$ overlap and there are multiple Markov equilibria because any intermediate threshold can serve to switch between $Q^-$ and $Q^+$. When $b^- = b^+$ the equilibrium is unique. Figure 7 illustrate these two cases. In both panels, the low-debt steady state is saddle-path stable and the high-debt steady state is not, as can be inspected from the slopes of the $b = 0$ and $\dot{q} = 0$ loci. We show two paths that satisfy the ODE system: a black path that converges to the low-debt steady state boundary and a red path that converges to the upper-debt boundary. The left panel displays an example where the high-debt steady state has local spiral-like dynamics and the two paths unwind outwards from the high-debt steady state (the linearized system’s eigenvalues are complex). For the path converging to the low-debt steady state corresponds to $Q^+$; while the path converging to the upper debt boundary corresponds to $Q^-$. The two paths overlap over an interval that contains the high-debt steady state, $b^u$. Any threshold $\hat{b}$ within this interval defines a price function $Q(b)$ that switches between $Q^+$ and $Q^-$ at $\hat{b}$. Eventual Uniqueness. Note that along the bad path debt eventually exits the interval of multiplicity given by $[b^-, b^+]$. For some time the good path may remain available, but there is a point of no return. A self-fulfilling crisis driven by bad expectations eventually turns into an insolvency crisis with bad fundamentals. This result is reminiscent of a result obtained in the non-stationary model of Section 3.2. There were two forces at work there: a shrinking time horizon and the level of debt. In the current stationary setting only the latter force is at work. Tipping Points with Uniqueness. Multiple steady states do not imply multiple equilibria. The right panel of Figure 7 shows a case with two steady states and a unique equilibrium, with $b^- = b^+$. At the high debt unstable steady state $b^u$ the two eigenvalues are real and positive. As a result the dynamics do not spiral, so the good and bad path to not overlap. Although the equilibrium is unique, long-run dynamics are very sensitive to initial conditions. Just below the high steady state, $b^u$, debt converge to the low steady state $b(t) \to b^s$; just above the high steady state, debt grows. This formalizes the notion that debt dynamics may display a “tipping point” where debt-sustainability concerns drastically alter debt dynamics. An Example Based on Italy. We now adapt the model and choose parameters to capture the dynamics of bond prices and government debt for Italy during the summer of 2012. We first adapt the model slightly by introducing growth. It is easy to reinterpret our model in terms of debt-to-GDP and primary-surplus-to-GDP ratios. The only equation that needs to be modified is the government budget constraint which becomes $$q (b + (\delta + g) b) = \kappa b - h(b),$$ where $g$ is the growth rate of GDP. We also allow the long run interest rate to be a random variable, drawn after the realization of uncertainty. This only affects the calculation of the $\Psi$ function which becomes $$\Psi(b) \equiv \int_{S \geq b} \frac{\kappa}{\tilde{r} + \delta} dF(\tilde{r}, S) + \phi \int_{S < b} \frac{S}{b} dF(\tilde{r}, S),$$ where $F$ is the joint distribution of $\tilde{r}$ and $S$. The fiscal rule is chosen to fit the observed relation between the debt-to-GDP ratio and the primary surplus in the period 1988–2012. A linear regression of the primary surplus on the debt-to-GDP ratio yields $\alpha_0 = -0.13$ and $\alpha_1 = 0.135$. We also assume the fiscal surplus is bounded above at $\bar{s} = 6\%$ and use the rule $$s = \min \left\{ \alpha_0 + \alpha_1 b, \bar{s} \right\}.$$ We choose $\delta = 1/7$ to match the average maturity of Italian government debt, which is about 7 years. We choose $r = 3\%$ to match the 10 year nominal bond yield in Germany in 2011 and $g = 2\%$ to capture nominal growth equal to the ECB inflation target of 2% plus zero real growth. We assume that the interest rate after the resolution of uncertainty is $\tilde{r} = 5\%$. We choose $\phi = 0.5$ and assume that $S$ is normally distributed. The mean and variance of $S$ are chosen so that in the low-debt steady state debt is essentially safe (with a spread of 10 basis points) and so that the high-debt steady state is $b = 1.3$. We start the economy at $b = 1.2$, which corresponds to Italy’s debt-to-GDP ratio in 2011. Given the parameters above, the model features multiple equilibria and $b = 1.2$ is in the multiplicity region. The dynamics of bond spreads, of the primary surplus and of debt-to-GDP are plotted in Figure 8. We can then imagine Italy following a path of slow debt reduction, as in the purple-line equilibrium. At date 0, if investors’ sentiment shift to the bad equilibrium path, spreads jump from 50bp to 220bp, which is roughly the order of magnitude of the increase in spreads in the summer of 2011.\footnote{Yields on 10-year Italian bonds went from 4.75 in May 2011 to 7.6 in November of the same year. Similar magnitudes of “sentiment” shocks can be read off the estimate of the effects of OMT announcements in Krishnamurthy et al. (2013).} Therefore, this simple model is able to account for a crisis in which spreads increase suddenly, but not to the point of shutting off Italy from financial markets, and in which debt dynamics only slowly incorporate the effect of the higher spreads. ### 4.2 An Optimizing Government In this section, we consider a model analogous to the stationary model from the previous subsection, but we derive fiscal policy endogenously from an optimizing government with additively separable preferences lacking commitment. The goal is to show that the a similar multiplicity of equilibrium is present here. The government now has additively separable preferences $$\int_0^\infty e^{-\rho t} u(c(t)) dt$$ where $c$ is government spending, $u(c) = \frac{c^{1-\sigma}}{1-\sigma}$ and $\sigma, \rho > 0$. As in Section 4.1, we work in continuous time with an infinite horizon. Lenders are risk neutral with discount rate $r$, the country issues long-term bonds with coupon $\kappa$ that decays at rate $\delta$, and we set $\kappa = r + \delta$ so the bond price is 1 if there is no default risk. Uncertainty is fully resolved at some random date with Poisson arrival rate $\lambda$, at which point we enter stage 2 and the government receives a constant stream of tax revenue $\tilde{y}$ drawn from the continuous distribution $H(\tilde{y})$. The government then decides to repay or default. In the latter case tax revenue is reduced to $\eta \tilde{y}$ forever, with $\eta < 1$. We assume the country is not excluded from financial markets upon default.\footnote{The exact same results obtain if they are, provided $r = \rho$.} The country repays if and only if the present value of tax revenue net of repayment is greater than that after default, $$\tilde{y} - rb \geq \eta \tilde{y}. \tag{17}$$ The value to the government immediately before uncertainty is resolved is $$W(b) = \frac{1}{\hat{\rho}} \int_0^\infty u \left( \frac{\hat{\rho}}{r} \max \langle \tilde{y} - rb, \eta \tilde{y} \rangle \right) dH(\tilde{y}),$$ for $\hat{\rho} = \rho + \left( \frac{1}{\sigma} - 1 \right) (\rho - r)$.\footnote{In general $\hat{\rho} \neq \rho$ because the government does not consume a constant path, unless $\rho = r$. We also have $\hat{\rho} = \rho$ in the logarithmic case $\sigma = 1$.} If default occurs, investors recover a proportion of the tax revenue $\zeta \tilde{y}$ and we assume $\eta + \zeta < 1$. Define $$S \equiv \frac{1 - \eta}{r} \tilde{y} \quad \text{and} \quad F(S) = H \left( \frac{r}{1 - \eta} S \right),$$ where $F$ is the c.d.f. for $S$. Condition (17) is then equivalent to $S \geq b$ and investors recover in present value $\phi S$, where $\phi \equiv \frac{\zeta}{1 - \eta} < 1$. The pricing condition before the Poisson event is then identical to equation (11) from Section 4.1, which we rewrite here for convenience: $$\dot{q} = (r + \delta + \lambda) q - \kappa - \lambda \Psi(b), \tag{18}$$ where, just as before, $\Psi(b) \equiv 1 - F(b) + \frac{\phi}{b} \int_S^b S dF(S)$. During stage 1, before the resolution of uncertainty the government receives a constant $y$ facing the budget constraint $$y - c + q \left( \dot{b} + \delta b \right) = \kappa b.$$ This is identical to equation (12) except that the primary surplus $y - c$ is now chosen by the government. Given the presence of a positive recovery rate, we must introduce some limit on debt issuance to ensure the borrower’s problem is well defined. We do so by assuming that if $b$ reaches some upper bound $\bar{b}$ before the resolution of uncertainty, renegotiation takes place between the borrower and its creditors. Following renegotiation, the government agrees to receive a net transfer $\tau$ (possibly negative) in all future periods before the resolution of uncertainty and not to issue any additional debt, so the creditors will receive the expected value $\Psi(\bar{b})\bar{b}$ when uncertainty is resolved. Markov Equilibria. A Markov equilibrium is a price function $Q(b)$ and a government consumption function $C(b)$ such that: (i) government behavior is optimal taking the price function as given; (ii) the price function provides a fair price to investors given government behavior. We also require $Q$ to be piecewise differentiable. Just as in Section 4.1 the function $Q$ may have a point of discontinuity at a threshold that divides a path with falling and rising debt. Let $V(b)$ denote the value function before the resolution of uncertainty. The Hamilton-Jacobi-Bellman equation associated to the government’s optimization problem is $$0 = \max_{c \geq 0} \left\{ u(c) + V'(b) \left( \frac{\kappa b - y + c}{Q(b)} - \delta b \right) + \lambda (W(b) - V(b)) - \rho V(b) \right\},$$ with first-order condition for an interior solution $$Q(b)u'(c) = -V'(b).$$ The bond price must satisfy (18) along the path induced by government policy $C(b)$. Differentiating $q(t) = Q(b(t))$ along an equilibrium path gives $\dot{q} = Q'(b)\dot{b}$ where $Q'(b)$ can be interpreted as the left derivative if $\dot{b} < 0$ and the right derivative if $\dot{b} > 0$. Rewriting condition (18) in terms of $Q$ gives $$Q'(b) \left( \frac{\kappa b - y + c}{Q(b)} - \delta b \right) = (r + \delta + \lambda)Q(b) - \kappa - \lambda \Psi(b).$$ ODEs and Boundary Conditions. Equations (19) and (20) provide a system of ordinary differential equations (ODEs) for the pair of functions $V(b)$ and $Q(b)$. There are two alternative boundary conditions. The first is at $b = S$, the lowest value in the support of $S$. This represents the safe level of debt where default is avoided. We assume $r = \rho$. The second boundary condition is obtained by assuming that there exists a high enough level of debt $\bar{b}$ where renegotiation is triggered. We assume this delivers some given values to the borrower and investors, pinning down $V(\bar{b})$ and $Q(\bar{b})$. An Example with Multiple Equilibria. We construct a numerical example displaying multiple equilibria. The example is meant as an illustrative, not as a calibration. The parameters are set to $$r = \rho = 0.1, \quad \delta = 2, \quad \lambda = 0.1, \quad \eta = 0.5, \quad \zeta = 0.1, \quad \sigma = 4.$$ The distribution of $\bar{y}$ is chosen such that $S$ is uniformly distributed on $[10, 100]$. The value of $y$ is set so that the model admits a steady state at $b = 0$ with no default and $q = 1$. The upper bound for debt is $\bar{b} = 30$ and we assume that upon reaching this level, investors provide a transfer to the borrower equal to $\tau = \frac{1}{2}\lambda\Psi(\bar{b})\bar{b}$. In other words, they split the residual value of debt equally. Figure 9a plots consumption and bond price functions $C^-(b)$ and $Q^-(b)$ consistent with a path with $\dot{b} < 0$ converging to $b = 0$. We solve the HBJ equation (19) and the pricing equation (20) moving upwards from the steady state at $b = 0$. Also shown, in the top panel, is a dashed green line representing the consumption level that would yield $\dot{b} = 0$, which is above $C^-(b)$ since $\dot{b} < 0$. Figure 9b is analogous, but for the path with $\dot{b} > 0$ converging to the renegotiation boundary $\hat{b}$, solved using the ODEs starting at $\hat{b}$ and moving downwards. Importantly, for debt above $b''$ setting $\dot{b} = 0$ requires negative consumption. In other words, given the bond price in the lower panel, feasibility requires $\dot{b} > 0$ for all $b > b''$. In that region, bond prices are so low that the revenue from replacing old bonds $q\delta b$, plus current income $y$, are not sufficient to cover the coupon payment $\kappa b$. The borrower needs to go into further debt to finance the difference even it made the maximal effort of setting $c = 0$. In Figure 10, we plot the value function $V(b)$ both paths. Whenever the borrower can select which path to be on, it chooses the one with the highest value: $\dot{b} < 0$ to the left of $b'$ and $\dot{b} > 0$ to the right of $b'$. Indeed, this constitutes a Markov equilibrium, with a cutoff of $b'$. If it were not for the non-negativity constraint on consumption, this would be the unique equilibrium. However, the borrower may lack the power to select equilibria in the region $(b'', b')$: if investors price bonds according to $Q^+$ the borrower must choose a path with $\dot{b} > 0$ leading to $\hat{b}$. But conditional on doing so, the borrower chooses the optimal path leading to $\hat{b}$, validating investors’ expectations. This implies that we can choose any cutoff $\hat{b} \in (b'', b']$ and construct a Markov equilibrium, as we did in Section 4.1. Proposition 8. For any $\hat{b} \in (b'', b']$, there is a Markov equilibrium with \[ Q(b) = \begin{cases} Q^-(b) & b \leq \hat{b} \\ Q^+(b) & b > \hat{b} \end{cases} \quad \text{and} \quad C(b) = \begin{cases} C^-(b) & b \leq \hat{b} \\ C^+(b) & b > \hat{b}' \end{cases} \] Equilibria are Pareto ranked by the threshold $\hat{b}$, with the best equilibrium $\hat{b} = b'$. \footnote{Within the region $[0, b'']$ the equilibrium is unique. To understand why, suppose the we have a threshold equilibrium with $b' < b''$. Then for a borrower just above $b'$ there is a discrete drop in utility. This is not consistent with optimal behavior: a borrower would willingly sacrifice lower consumption for a small amount of time to set $\dot{b} < 0$ and reach $b'$ in order to experience a discrete improvement in utility. This argument breaks down, however, in the region $(b'', b')$, precisely because $\dot{b} < 0$ is no longer feasible.} 5 Commitment and Multiplicity In previous sections, we showed that the government budget constraint may be satisfied at various bond prices, creating vulnerability to self-fulfilling crises. We assumed that the government cannot select the best bond price by, for example, committing to the quantity of bonds issued. Commitment of this kind can be interpreted as a timing convention where the government issues a certain amount of debt and then investors bid on these bonds determining the price, as in Eaton and Gersovitz (1981). Instead, we have assumed that the borrower takes the bond price as given, which may be interpreted as the reverse timing assumption or, equivalently, as a situation where the government fixes the amount it borrows, the funds it needs today, but does so at a variable interest rate determined by the market, as in Calvo (1988). In this section, we study simple game-theoretic models that allow the government to commit to bond issuances in the very short run, but provide microfoundations for our timing assumption. In a sense, we adopt the Eaton and Gersovitz (1981) timing, but obtain the Calvo (1988) outcome. We endow the government with partial commitment powers: it can commit to sell a fixed amount of bonds in the present auction, but cannot make binding commitments regarding future auctions. The key idea is that if a bond auction delivers a lower price the government is expected to make further bond issuances to make up for the shortfall. Lack of commitment across auctions renders short-run commitment, within an auction, ineffective. We present two models. The first model features a potentially unbounded number of bond auctions within each period; the government cares about total spending within the period. This delivers a very sharp result: equilibrium outcomes coincide exactly with those studied in previous sections. The idea is reminiscent of the Coase theorem, whereby a durable goods (in our case, long term bonds) monopolist competes intertemporally with itself and is reduced to competitive behavior. The second model has a finite number of rounds, but assumes impatience, a preference for earlier rounds. Depending on parameters, multiple equilibria of the same nature arise. Overall, our results show that the opportunity to raise funds in the future may send a borrower to the wrong side of the Laffer curve. An intertemporal commitment problem leads to an intertemporal coordination failure. 5.1 A Game with No Commitment The idea of the first model is to split each period into rounds, similar to the sequential banking model in Bizer and DeMarzo (1992).\footnote{The main differences with their setup are that (a) they studied a particular investment model with moral hazard; (b) they allow debt to have seniority clauses; as a result of which (c) the equilibrium in their model is unique. Instead, we focus on a general borrowing problem, without seniority clauses (not employed in sovereign debt contexts) and focus on the potential for multiple equilibria.} Formally, we allow for a potentially infinite number of rounds within a period, but the important point is that the government can always return to the market. The government values total spending within the period, across all rounds. It can commit to the quantity of bonds it issues in the current round, but not to future rounds. A period may be thought of as a month, a quarter or a year, over which the government’s funding needs are determined by fiscal policy decisions that adjust slowly. Rounds are best thought of as days over which auctions of Treasury bonds take place. The government’s objective function is \[ u(c) + \beta V(b), \] where $ c $ is spending in the first period and $ b $ is the stock of bonds issued in the first period that are to be repaid in the second period. Both $ u $ and $ V $ are decreasing, differentiable and concave functions. We can interpret $ u $ as the payoff resulting from a full specification of the benefits of public expenditure and the costs of taxation and $ V $ as the expectation of a value function in an optimizing model with an infinite horizon. The government receives a given tax revenue $ y $ and has a stock of bonds $ b_- $ inherited from the past that it needs to repay at the end of the first period. Thus, in the first period it must borrow to finance $ c - y + b_- $. There is a continuum of risk neutral atomistic investors with discount factor $ \beta $. Because of risk neutrality and because all bond holders are treated equally, only the expected payment by the government in the second period is required to determine price bonds. If the total debt owed to investors is $ b $, the expected repayment per bond is given by the non-increasing function $\Psi(b)$. This function encapsulates all the relevant considerations regarding repayment, including the probability of default as well as the recovery value in the case of default and how these vary with the level of indebtedness. Note that this framework could capture strategic default or moral hazard by the government, as all these considerations can be embedded in $V$ and $\Psi$. The first period is divided into infinite rounds $i = 1, 2, \ldots$ and the government can run an auction in each round. Think of auctions taking place in real time at $t = 0, \frac{1}{2}, \frac{2}{3}, \frac{3}{4}, \ldots$. At $t = 1$, the government collects the revenue from all these auctions, repays $b_-$, buys $c$, and the payoff $u(c)$ is realized. Finally, at $t = 2$ the payoff $V(b)$ is realized. Letting $d_i$ denote bond issuances in round $i$, total bonds issued in period 1 are then $$b = \sum_{i=0}^{\infty} d_i.$$ At each round $i$ the investors bid price $q_i$ for the issuance $d_i$. The crucial assumption we make is that in each auction the government cannot commit to the size of debt issuances in future auctions. Strategies are described by functions $d_i = D_i(d^{i-1}, q^{i-1})$ and $q_i = Q_i(d^i, q^{i-1})$, where superscripts denote sequences up to round $i$. A subgame perfect equilibrium requires that: i. In round $i$, after any history $(d^{i-1}, q^{i-1})$, the government strategy $D_j$ for the remaining rounds $j = i, i+1, \ldots$ is optimal, given that future prices satisfy $q_j = Q(d^j, q^{j-1})$ at $j = i, i+1, \ldots$ ii. The price in round $i$ after history $(d^i, q^{i-1})$ satisfies $Q(d^i, q^{i-1}) = \Psi(\sum_{i=0}^{\infty} d_i)$ where $\{d_i\}$ is computed using the government strategy $D_j$ for $j = i, i+1, \ldots$ and future bond prices $Q_j$ for $j = i+1, \ldots$ For an equilibrium to be well defined, the sequence $\{d_i\}$ must be summable in equilibrium and after any possible deviation. Moreover, since investors are atomistic, the only restriction on prices is that they be consistent with expected repayment, which in turn is determined by total debt issued. Observe that along an equilibrium path the bond price is constant across rounds $q_i = q^$. We can then denote by $(c^, b^, q^)$ an equilibrium outcome of the game in terms of government spending, total debt issued and bond price. The main result of this section is a tight characterization of all possible equilibrium outcomes. Proposition 9. A triplet $(c^, b^, q^)$ is the outcome of a subgame perfect, pure strategy equilibrium if and only if \[(c^, b^) \in \arg \max_{c, b} u(c) + \beta V(b) \quad \text{s.t.} \quad c + b_- = y + q^b\] and \[q^* = \beta \Psi(b^).\] The assumption that a further round is always available delivers equilibria with outcomes that are equivalent to that of a price-taking government. The government solving the maximization problem in Proposition 9 is the polar opposite of a government that can fully commit to issuances and solves \[\max_{c, b} u(c) + \beta V(b) \quad \text{s.t.} \quad c + b_- = y + \beta \Psi(b)b.\] This is the assumption typically adopted in the literature following Eaton and Gersovitz (1981). Instead, we assume that the government can commit to bond issuances in each round, but found that the outcome is as if* it lacked any such commitment, as in Calvo (1988). ### 5.2 A Game with Limited Commitment We now look at an intermediate case where no commitment is available. We develop a simple three-period model, with one auction per period. The Game. There are three periods, $t = 0, 1, 2$. The government wishes to finance consumption in all three periods, but has income available only in the last period. It issues a long-term bonds that pay in period 2. To relate the current setting with the previous one it may be useful to think of $t = 0, 1$ as two rounds within the “first period” and $t = 2$ as the “second period”. In period 0, the government decides how many bonds $b_1$ to sell. Next, an auction takes place and risk neutral investors bid $q_0$ for these bonds,$^{16}$ the government receives $q_0 b_1$ from investors and uses it to finance spending \[c_0 = q_0 b_1.\] In period 1, the government chooses $b_2$, the investors bid $q_1$, and the government raises $^{16}$The particular auction protocol is not important, but for concreteness we can assume investors play a second price auction. $q_1 (b_2 - b_1)$ financing spending $$c_1 = q_1 (b_2 - b_1).$$ Finally, in period 2 the random income $y$ is drawn from a cumulative distribution function $F(y)$ on $[0, \infty)$. The government then decides to repay or default on debt. In the event of default all income $y$ is lost: there is no recovery value for investors and government consumption is zero. Thus, the government repays if $y \geq b_2$ and defaults otherwise. Investors are risk neutral and do not discount future payoffs. The government objective is to maximize expected utility $$EU(c_0, c_1, c_2).$$ Key to our results will be that $U$ is not additively separable between $t = 0$ and $t = 1$. Strategies and Equilibrium. The government’s strategy is given by a choice for $b_1$ and a function $B_2(b_1, q_0)$ that gives $b_2$ for each past history $(b_1, q_0)$. The investors’ strategy is summarized by two pricing functions $Q_0(b_1)$ and $Q_1(b_1, q_0, b_2)$. We study subgame perfect equilibria. In period 1, investors bid $$Q_1(b_1, q_0, b_2) = 1 - F(b_2),$$ so the price is independent of $b_1$ and $q_0$. In period 1, given $b_1$ and $q_0$, the government then solves $$\max_{b_2} EU(q_0 b_1, (1 - F(b_2)) (b_2 - b_1), \max\{y - b_2, 0\}). \tag{21}$$ Assume, for simplicity, that this problem yields a unique best response $B_2(b_1, q_0)$. In period 0, investors bid $$q_0 = 1 - F(B_2(b_1, q_0)). \tag{22}$$ The fact that $q_0$ appears on both sides of this equation is crucial in generating multiplicity. A necessary condition for multiplicity is that $B_2(b_1, q_0)$ be decreasing in $q_0$ for some value of $b_1$. Since $q_0$ enters the maximization problem (21) by determining the value of $c_0$, this requires non-separability of $U$ between $c_0$ and $c_1$. This provides a channel by which a high realized bond price $q_0$, by allowing the government to finance a high level of spending in period 0, reduces the incentive to finance high-spending in period 1. Below, we work out a specific example in which this effect is present. Depending on the value of $b_1$, there may be multiple values of $q_0$ that solve (22). Let $\mathcal{Q}(b_1)$ be a function that selects a solution to (22) for each $b_1$. Let $B_2(b_1) = B_2(b_1, \mathcal{Q}(b_1))$ denote the associated value for $b_2$.\footnote{We could easily extend the analysis to introduce a sunspot and allow a stochastic selection of equilibria.} The choice of $b_1$ at $t = 0$ must maximize \begin{equation} \mathbb{E}U(Q(b_1)b_1, Q(b_1) \cdot (B_2(b_1) - b_1), \max\{y - B_2(b_1), 0\}). \end{equation} Summing up, an equilibrium is characterized by a value $b_1$ and by functions $B_2(b_1, q_0)$, $Q(b_1)$ and $B_2(b_1)$ such that: $b_1$ solves the maximization problem (23), $B_2(b_1, q_0)$ solves the maximization problem (21), $Q(b_1)$ solves equation (22) and $B_2(b_1) = B_2(b_1, Q(b_1))$. An Example with Multiplicity. For concreteness, we now present an example that allows us to solve the model analytically and provide conditions for equilibrium multiplicity. We let income have an exponential distribution $F(y) = 1 - e^{-\lambda y}$ with $\lambda > 0$. We adopt the utility function $$U(c_0, c_1, c_2) = \alpha \min\{c_0, \bar{c}\} + \theta \min\{c_0 + c_1, \bar{c}\} + c_2.$$ This utility function captures the idea that in the first two periods the government has a target level of spending $\bar{c}$ and has a preference for early spending. The parameter $\theta > 1$ determines the loss from not meeting the target $\bar{c}$, while the parameter $\alpha > 0$ measures the desire for early spending.\footnote{For example, investment spending on infrastructure requires some total outlay over an extended time horizon, but with a preference for early completion. As another example consider the payment of government wages. The payment may be delayed, if needed, at a cost, since workers are impatient and demand compensation.} Before proceeding we make a number of parametric assumptions. We assume $\bar{c}$ is below the peak of the Laffer curve $\bar{c} < \max_b e^{-\lambda b}b = (\lambda e)^{-1}$; denote the two solutions to $\bar{c} = e^{-\lambda b}b$ by $\underline{b} < \bar{b}$. We also assume that $\theta(1 - \lambda \underline{b}) > 1$, to ensure that at the good equilibrium the government has a sufficiently strong incentive to spend in periods 0 and 1. Our next result shows the possibility of multiple equilibria. Proposition 10. There is always a good equilibrium with strategy $B_2(b_1) = \underline{b}$ and outcome $b_1 = b_2 = \underline{b}$. If $$\alpha \left[1 - 1/\theta - \lambda \left(\bar{b} - \underline{b}\right)\right] \bar{b} > \bar{b} - \underline{b},$$ there is also a bad equilibrium with outcome $b_1 = b_2 = \bar{b}$. In both equilibria $c_0 = \bar{c}$. Total spending $c_0 + c_1 = \bar{c}$ is identical in both the good and bad equilibrium, but the bad equilibrium lies on the wrong side of a Laffer curve. In both equilibria all bond issuances take place in the first period. However, the possibility of further bond issuances in period 1 is crucial, otherwise only the good outcome is an equilibrium. At $t = 1$, the government can commit to the number of bonds it issues, so it chooses a level of $b_2$ on the increasing side of the Laffer curve for new issuances, given by $$ (1 - F(b_2))(b_2 - b_1). $$ Given our functional forms, this implies $1 - \lambda(b_2 - b_1) \geq 0$. If the government could commit to total debt $b_2 = b_1 = b$ at time $t = 0$, the commitment Laffer curve for total debt would be $$ (1 - F(b))b. $$ The slope of this Laffer curve is $1 - \lambda b$, which can be negative at $b = \bar{b}$ even if $1 - \lambda(b_2 - b_1) = 1 > 0$. Thus, the bad equilibrium has total debt on the wrong side of the commitment Laffer curve. Moreover, at date 0 the government cannot improve matters by issuing slightly less debt $b_1 < \bar{b}$, because investors expect the government to make up for this by issuing the remainder $\bar{b} - b_1$ at $t = 1$ to reach $b_2 = \bar{b}$. Thus, the pricing function $Q_0(b_1)$ is flat for $b_1$ near $\bar{b}$, so the Laffer curve at $t = 0$, which is equal to $$ Q_0(b_1)b_1 = (1 - F(B_2(b_1)))b_1, $$ is locally increasing. Getting to a lower price, that lies on the good side of the commitment Laffer curve, is possible, but requires a discrete reduction in debt $b_1$ below a cutoff $\hat{b}_1 < \bar{b}$, which is derived in the appendix. However, if $\alpha$ is large enough the effort of reducing $b_1$ below $\hat{b}_1$ becomes too costly in terms of delayed spending, sustaining the bad equilibrium. 6 Conclusions Our formal analysis supports the idea that countries may become entrapped in self-fulfilling crises. 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However, when $\delta = 1$, the bond issuance function $B_T$ does not affect the construction of the repayment function $X_{T-1}$ and of the pricing function $Q_{T-2}$, as repayment only depends on the maximum of the function $Q_{T-1}(b_T, s^{T-1}) b_T$ and the term $(1 - \delta) Q_{T-1}(B_T(b_{T-1}, s^{T-1}), s^{T-1})$ in (3) disappears when $\delta = 1$. The same argument applies in all previous periods. 7.2 Proof of Proposition 5 In the case considered, the Laffer curve takes the form $[1 - F((1 + r)b - m)]b$ (omitting time subscripts and dependence on $s^t$ to simplify notation). The slope of the Laffer curve is $$1 - F((1 + r)b - m) - (1 + r)f((1 + r)b - m)b$$ which has the same sign of $$1 - (1 + r)\frac{f((1 + r)b - m)}{1 - F((1 + r)b - m)}b.$$ So if $f/(1 - F)$ is monotone non-decreasing, the derivative can only change sign once. 7.3 Proof of Lemma 1 Using steady-state conditions, the Jacobian can be written as $$J = \begin{bmatrix} \frac{\kappa - h'(b)}{q} - \delta & -\frac{\delta b}{q} \\ -\lambda \Psi'(b) & r + \delta + \lambda \end{bmatrix}.$$ A necessary and sufficient condition for a saddle is a negative determinant of $J$, i.e., $J_{11}J_{22} < J_{12}J_{21}$. Since $J_{12} < 0$ and $J_{22} > 0$, this is equivalent to $-J_{11}/J_{12} < -J_{21}/J_{22}$, which means that the $\dot{b} = 0$ locus is downward sloping and steeper than the $\dot{q} = 0$ locus. Condition (16) then follows. 7.4 Proof of Proposition 6 Consider the functions on the right-hand sides of (13) and (14), which are both continuous for $ b > 0 $. If there is a saddle-path stable steady state at $ b' $, the second function is steeper, from Lemma 1, and so is below the first function at $ b' + \epsilon $ for some $ \epsilon > 0 $. Taking limits for $ b \to \infty $ the second function yields $ q \to \kappa / \delta $ and the first yields \[ q \to \frac{\kappa + \lambda \Psi(\bar{S})}{r + \delta + \lambda} < \frac{\kappa}{\delta}, \] where the inequality can be proved using $ \Psi(\bar{S}) < 1 $ and $ \kappa = r + \delta $. Therefore, the second function is above the first for some $ b'' $ large enough. The intermediate value theorem implies that a second steady state exists in $ (b' + \epsilon, b'') $. 7.5 Proof of Proposition 7 Consider the path that solves our ODE system going backwards in time, starting on the saddle path converging to the low-debt steady state, at some value of $ b = b' + \epsilon $. Given a small enough $ \epsilon > 0 $ the saddle path must lie above the $ \dot{q} = 0 $ locus. Moreover, between $ b' $ and $ b'' $ the $ \dot{q} = 0 $ locus lies strictly above the $ \dot{b} = 0 $ locus. Therefore, the path can never cross the $ \dot{q} = 0 $ locus because along the path $ \dot{b} < 0 $ and $ \dot{q} > 0 $. Therefore, it is possible to solve the ODE backwards until $ b $ approaches $ b'' $ from below. This implies that for all $ b(0) < b'' $ we can select a path with $ \dot{b} < 0 $ and $ b \to b' $. Consider next the path that solves the ODE going backwards starting at $ (\hat{b}, \hat{q}) $. By construction the point $ (\hat{b}, \hat{q}) $ must lie in the region of the phase diagram below both the $ \dot{b} = 0 $ locus and the $ \dot{q} = 0 $ locus (to see this notice that at the definition of $ \hat{b} $ implies that $ \dot{b} > 0 $ at $ (\hat{b}, \hat{q}) $ and the constancy of $ qb $ implies $ \dot{q} < 0 $). If $ \hat{b} < b'' $ the path with $ qb = \hat{v} $ is an equilibrium for all initial conditions in $[b, \infty)$, so the interesting case is $ \hat{b} > b'' $. In this case, we can solve backward the ODE. As long as $ b > b'' $ the $ \dot{b} = 0 $ locus lies strictly above the $ \dot{q} = 0 $ locus. Therefore, the path can never cross the $ \dot{q} = 0 $ locus, because along the path $ \dot{b} > 0 $ and $ \dot{q} < 0 $. Therefore, it is possible to solve the ODE backwards until $ b $ approaches $ b'' $ from above. This implies that for all $ b(0) > b'' $ we can select a path with $ \dot{b} > 0 $ and $ b \to \infty $. Turning to multiplicity, consider the first path constructed above. As we approach $ b'' $ two possibilities arise. Either $ q $ remains bounded away from its steady state value $ q'' $ or $ q $ converges to $ q'' $. In the first case, $ \dot{b} $ is bounded above by a negative value, so we must cross $ b'' $ and can extend the solution in some interval $[b'', b'' + \epsilon)$. In this case, we have multiple equilibria because for some $ b > b'' $ we can select both an equilibrium path with $ \dot{b} < 0 $ and an equilibrium path with $ \dot{b} > 0 $. In the second case, the path converges to the steady state $(b'', q'')$ along a monotone path with $\dot{b} < 0$. However, if the local dynamics near $(b'', q'')$ are characterized by a spiral, we reach a contradiction (since the path must cross the arms of the spiral and then convergence can no longer be monotone). ### 7.6 Proof of Proposition 9 We start with the sufficiency part, by constructing an equilibrium which implements the desired outcome. The equilibrium pricing function sets the price $Q(d^i, q^{i-1}) = q^$ for any history $(d^i, q^{i-1})$ with $q^{i-1} = \{q^, ..., q^\}$. The strategy of the government is to issue $b^ - \sum_{j=0}^{i} d_j$ after any history with $q^{i-1} = \{q^, ..., q^\}$.$^{19}$ The resulting equilibrium play is that the government issues $b^$ in the first auction and no further auction takes place. Since at each round the price is independent of the amount of bonds issued, the government cannot gain by changing its bonds issuances. Investors, on the other hand, expect that if the government deviates and offers anything other than $b^ - \sum_{j=0}^{i} d_j$ in the current round, it will adjust its issuances in the next round so as to reach the debt level $b^$. This justifies their bid being independent of the amount of bonds issued in the current round. Turning to the necessity part, suppose we have an equilibrium with outcome $(s, b)$ and define $q = (b_--c)/b$. We want to prove that $q = MRS \equiv V'(b)/u'(s)$. Suppose, towards a contradiction, that we have a proposed equilibrium where instead $q \neq MRS$. For concreteness suppose $q > MRS$. The other case is symmetric. In equilibrium the borrower is supposed to exit with $(b, c)$ at some round. Suppose that instead, upon reaching this round, the government considers a deviation, does not exit and instead issues a small extra $\varepsilon > 0$ amount of debt in the next round, for a current total of \[ \tilde{b} = b + \varepsilon. \] The market must then respond with a price $\tilde{q}$ for this round. The current price yields a current revised consumption \[ \tilde{c} = c + \tilde{q}\varepsilon. \] In the equilibrium of the ensuing sub-game, the price in all future rounds must be constant and given by $\tilde{q} = \tilde{q}^ = G(\tilde{b}^)$ where $\tilde{b}^$ is the end outcome for debt following this sub-game. The associated end outcome for consumption is then $\tilde{c}^* = c + \tilde{q}(\tilde{b}^* - b)$. $^{19}$It is not difficult to complete the description of the equilibrium constructing continuation strategies after histories with $q_i \neq q^$. However, given the atomistic nature of investors, these off-equilibrium paths are irrelevant for the borrower’s maximization problem. The following inequalities hold \[ u(c) + V(b) \geq u(\bar{c}^) + V(\bar{b}^) \geq u(\bar{c}) + V(\bar{b}). \] (24) The first inequality follows because $(b, c)$ is an equilibrium outcome. The second because otherwise in the sub-game the borrower would prefer to stop after the initial deviation. We can now prove that the end outcome of the sub-game cannot have more total debt than the initial deviation, that is, $\bar{b}^ \leq \bar{b}$. Suppose, by contradiction, that $\bar{b}^* > \bar{b}$. Let \[ \lambda = \frac{\bar{b} - b}{\bar{b}^* - b} \in (0, 1), \] and notice that \[ (\bar{b}, \bar{c}) = (1 - \lambda)(b, c) + \lambda(\bar{b}^, \bar{c}^). \] Strict concavity and the first inequality in (24) then imply $u(\bar{c}^) + V(\bar{b}^) < u(\bar{c}) + V(\bar{b})$, which contradicts the second inequality in (24). Since the function $G(b)/b$ is non-increasing in $b$, $\bar{b}^* \leq \bar{b}$ implies \[ \tilde{q} = \frac{G(\bar{b}^)}{\bar{b}^} \geq \frac{G(\bar{b})}{\bar{b}}. \] By choosing an initial deviation with $\varepsilon > 0$ small enough, the borrower can ensure that the lower bound on $\tilde{q}$ is arbitrarily close to $q$, since $G(\bar{b})/\bar{b} \to q$ as $\bar{b} \to b$. But then, since $q > MRS$, this implies that along this deviation the borrower can sell bonds at a price $\tilde{q} > MRS$, which implies $u(\bar{c}) + V(\bar{b}) > u(c) + V(b)$. Therefore, if the proposed equilibrium satisfies $q > MRS$, there is a profitable deviation by the borrower, a contradiction. ### 7.7 Proof of Proposition 10 We start by characterizing the government’s optimal choice for debt $B_2(b_1, q_0)$ at $t = 1$, given values of $b_1$ and $q_0$. Lemma 2. Given $q_0$ and $b_1$, the optimal choice of $b_2$ must satisfy either \[ q_0 b_1 + (1 - F(b_2))(b_2 - b_1) < \bar{c} \] \[ \theta(1 - \lambda(b_2 - b_1)) = 1 \] or \[ q_0 b_1 + (1 - F(b_2))(b_2 - b_1) = \bar{c} \] \[ \theta(1 - \lambda(b_2 - b_1)) \geq 1. \] Proof. In equilibrium we always have $ q_0 b_1 \leq \bar{c} $. Therefore, the marginal benefit of increasing $ b_2 $ is \[ \theta(1 - F(b_2) - f(b_2)(b_2 - b_1)) - (1 - F(b_2)) = (1 - F(b_2))[\theta(1 - \lambda(b_2 - b_1)) - 1] \] if $ c_0 + (1 - F(b_2))(b_2 - b_1) < \bar{c} $ and 0 otherwise. The statement follows immediately. $ \square $ Define the cutoff \[ \hat{b}_1 = \bar{b} - \frac{1}{\lambda}\left(1 - \frac{1}{\theta}\right) \in \left(0, \bar{b}\right). \] (25) We can now characterize the continuation equilibria that arise after the choice of $ b_1 $ by the government at date 0, that is, we look for candidates for the equilibrium selections $ Q_0(b_1) $ and $ B_2(b_1) $. We first consider the case in which $ b_1 $ is below the cutoff $ \hat{b}_1 $. Lemma 3. If $ b_1 < \hat{b}_1 $ there is a unique continuation equilibrium, with $ b_2 = \underline{b} $. If $ b_1 \geq \hat{b}_1 $ there are two continuation equilibria, one with $ b_2 = \underline{b} $ and one with $ b_2 = \bar{b} $. Proof. The equilibrium with $ b_2 = \underline{b} $ exists because $ (1 - F(b_2))b_2 = \bar{c} $ at $ b_2 = \underline{b} $ and the assumption that $ \theta(1 - \lambda\underline{b}) > 1 $ implies $ \theta(1 - \lambda(b_2 - b_1)) > 1 $ for any $ b_1 \geq 0 $. To prove uniqueness notice that we cannot have $ b_2 \in (\underline{b}, \bar{b}) $ in equilibrium, otherwise $ e^{-\lambda b_2}b_2 > \bar{c} $, we cannot have $ b_2 \geq \bar{b} $, otherwise $ \theta(1 - \lambda(b_2 - b_1)) < 1 $, and we cannot have $ b_2 < \underline{b} $, otherwise $ e^{-\lambda b_2}b_2 < \bar{c} $ and $ \theta(1 - \lambda(b_2 - b_1)) > 1 $ (always using Lemma 2). The second equilibrium exists because $ b_1 \geq \hat{b}_1 $ is equivalent to \[ \theta\left(1 - \lambda\left(\bar{b} - b_1\right)\right) \geq 1. \] $ \square $ The lemma implies that a possible selection for continuation equilibria is \[ B_2(b_1) = \begin{cases} \underline{b} & \text{if } b_1 \leq \hat{b}_1 \\ \bar{b} & \text{if } b_1 > \hat{b}_1 \end{cases}. \] We go back to period 0 and study the government’s optimization problem with this selection. The government chooses $b_1$ to maximize $$\alpha e^{-\lambda B_2(b_1)} b_1 + \theta \min \left\{ e^{-\lambda B_2(b_1)} B_2(b_1), \bar{c} \right\} + \frac{1}{\lambda} e^{-\lambda B_2(b_1)}. $$ The government faces a trade-off here. If it chooses $b_1 \leq \hat{b}_1$ it ensures that in the continuation game investors will expect low issuance of bonds in period 1 and so only $\underline{b}$ bonds will be eventually issued, keeping the government on the good side of the Laffer curve. However, to keep $b_1$ low the government foregoes the benefits from early spending $\alpha$. In particular, choosing $0 \leq b_1 \leq \hat{b}_1$ we have $$\alpha e^{-\lambda \underline{b}} b_1 + \theta \bar{c} + \frac{1}{\lambda} e^{-\lambda \underline{b}}. $$ While choosing $\hat{b}_1 < b_1 \leq \bar{b}$ we have $$\alpha e^{-\lambda \bar{b}} b_1 + \theta \bar{c} + \frac{1}{\lambda} e^{-\lambda \bar{b}}. $$ Clearly, the only possible optimal choices are $b_1 = \hat{b}_1$ and $b_1 = \bar{b}$. It is optimal to choose $b_1 = \bar{b}$ if $$\alpha e^{-\lambda \bar{b}} \bar{b} + \frac{1}{\lambda} e^{-\lambda \bar{b}} > \alpha e^{-\lambda \underline{b}} \hat{b}_1 + \frac{1}{\lambda} e^{-\lambda \underline{b}}. $$ Using (25) to substitute for $\hat{b}_1$ in this inequality completes the proof.
RBI/2016-17/227 FIDD.CO.LBS.BC.No.21/02.08.001/2016-17 The Chairmen & Managing Directors All Lead Banks Dear Sir/Madam, Formation of twenty one new districts in the State of Telangana Assignment of Lead Bank Responsibility The Government of Telangana vide Gazette Notification dated October 11, 2016 had notified the formation of twenty one new districts in the State of Telangana. It has been decided to assign the lead bank responsibility of the twenty one new districts as detailed below:- \| Sr No \| Newly carved district \| Erstwhile District \| Mandals in the district including New Mandals \| Lead Bank Responsibility assigned to \| \|---\|---\|---\|---\|---\| \| 1 \| Adilabad \| Adilabad \| Adilabad (Urban) Adilabad Rural (New) Mavala (New) Gudihatnoor Bazarhatnoor Bela Boath Jainath Tamsi Bheempur Talamadugu Neradigonda Ichoda Sirikonda (New) \| State Bank of Hyderabad \| वत तीय समाव शन और वकास वभाग, क न द य काया लय,10 वी म िजल, क द य काया लय भवन, शहद भगतस ह माग ,पोस ट बॉक स स . 10014,म बई -400001 े ् र् र् र् ् ुं Financial Inclusion & Development Dept, Central Office,10th Floor, Central Office Building, Shahid Bhagat Singh Marg,P.B.No.10014,Mumbai-1 टेल Tel:022-22601000 फैक्सः 91-22-22621011/22610943/22610948 ई -मेल : email@example.com "चेतावनी ह द आसान ह ,इसका प योग बढ़ाइए। ं ्र: - मेल रज़वब क द्वारा डाक, एसएमएस या फोन कॉल क ेजरए कसी क भी व्यिक्तगत जानकार जैस े ब क क ेखाते का ब्यौरा, पासवडर् आद नहंं मांगी जाती है। यह धन रखने या देने का प्रस् ताव भी नहं करता है। ऐसे प्रस् ताव का कसी भी तरके से जवाब मत दिजए। " Caution: RBI never sends mails, SMSs or makes calls asking for personal information like bank account details, passwords, etc. It never keeps or offers funds to anyone. Please do not respond in any manner to such offers. February 16, 2017 \| \| \| \| Indravelly Narnoor Gadiguda (New) Utnoor \| \| \|---\|---\|---\|---\|---\| \| 2 \| Nirmal \| Adilabad \| Nirmal Rural Soan Dilawarpur Narsapur G Kaddam Peddur Dasturabad Khanapur Mamada Pembi Laxmanchanda Sarangapur Kubeer Kuntala Bhainsa Mudhole Basar Lokeshwaram Tanoor \| State Bank of Hyderabad \| \| 3 \| Komram Bheem (H Q at Asifabad) \| Adilabad \| Sirpur (U) Lingapur Jainoor Tiryani Asifabad Kerameri Wankidi Rebbena Bejjur Penchicalpet Kagaznagar Koutala Chintalamanepally Dahegoan Sirpur-T \| State Bank of Hyderabad \| \| \| \| \| Naspur(New) Hajipur(New) Mandamarri Dandepally Jannaram Kasipet Bellampally Vemanpally Nennel Tandur Bheemini Kannepally (New) \| \| \| \|---\|---\|---\|---\|---\|---\| \| 5 \| Karimnagar \| Karimnagar \| Karimnagar Kothapally Karimnagar Rural Manakondur Thimmapur Ganneruvaram Gangadhara Ramadugu Choppadandi Chigurumamidi Huzurabad Veenavanka V. Saidapur Jammikunta Ellandakunta Shankarapatnam \| State Bank of Hyderabad \| 807 \| \| 6 \| Jagitial \| Karimnagar \| Jagitial Jagitial Rural Raikal Sarangapur Beerpur Dharmapuri Buggaram Pegadapalli Gollapalli Mallial Kodimial Velgatur Korutla Metpalli \| Andhra Bank \| 811 \| \| \| \| \| Mallapur Ibrahimpatnam Medipalli Kathlapur \| \| \|---\|---\|---\|---\|---\| \| 7 \| Peddapalli \| Karimnagar \| Peddapalli Odela Sulthanabad Julapalli Eligaid Dharmaram Ramagundam Anthergaon Palakurthy Srirampur Kamanpur Ramagiri H. Qtrs at Centenary Colony Manthani Mutharam (MNT) \| Andhra Bank \| \| 8 \| Rajanna \| Karimnagar \| Sircilla Thangallapalli Gambhiraopet Vemulawada Vemulawada Rural Chandurthi Rudrangi Boinpalli Yellareddipet Veernapalli Mustabad Illanthakunta Konaraopet \| Andhra Bank \| \| 9 \| Khammam \| Khammam \| Khammam (Urban) Khammam (Rural) Tirumalayapalem Kusumanchi Nelakondapalli Bonakal Chinthakani Mudigonda Konijerla Singareni \| State Bank of Hyderabad \| \| \| \| \| Kamepalli Madhira Yerrupalem Wyra Raghunadhapalem Sathupalli Vemsoor Penuballi Kalluru Thallada Enkoor \| \| \|---\|---\|---\|---\|---\| \| 10 \| Bhadradri \| Khammam \| Kothagudem Palvoncha Tekulapalli Yellandu Chandrugonda Aswaraopeta Mulkalapally Dammapeta Gundala Julurpadu Sujathanagar Chunchupalli Laxmidevipalli Allapalli Annapureddypalli Bhadrachalam Dummugudem Cherla Burgampahad Aswapuram Manuguru Pinapaka Karakagudem \| State Bank of Hyderabad \| \| 11 \| Medak \| Medak \| Medak Havelighanapur Papannatpet Shankarampet- R Ramayampet Nizampet Shankarampet- A Tekmal \| State Bank of India \| \| \| \| \| Thoguta Doultabad Mirdoddi Dubbak Cherial Komuravelli Gajwel Jagdevpur Kondapak Mulug Markook Wargal Raipole \| \| \|---\|---\|---\|---\|---\| \| \| \| Karimnagar \| Husnabad Akkannapet Koheda Bejjanki \| \| \| \| \| Warangal \| Maddur \| \| \| 14 \| Nalgonda \| Nalgonda \| Chandur Chityal Kanagal Kattangur Munugode Nakrekal Nalgonda Narketpally Thipparthy Kethepally Shaligouraram Dameracherla Adavidevulapalli Miryalaguda Vemulapally Anumula (Haliya) Nidmanoor Peddavoora Tripuraram Madugulapalli Tirumalagiri Sagar Chandampeta Chinthapally Devarakonda \| State Bank of Hyderabad \| \| \| \| \| Gundlapally Gurrampode Konda Mallepally Marriguda Nampally Pedda Adesherlapally Neredugommu \| \| \|---\|---\|---\|---\|---\| \| 15 \| Suryapet \| Nalgonda \| Athmakur (S) Chivemla Mothey Jajireddygudem Nuthanakal Penpahad Suryapet Thirumalagiri Thungaturthy Garidepally Nereducherla Nagaram Maddirala Palakeedu Chilkur Huzurnagar Kodad Mattampally Mellachervu Munagala Nadigudem Ananthagiri Chinthalapalem (Mallareddygudem) \| State Bank of Hyderabad \| \| 16 \| Yadadri Head Quarter at Bhongiri \| Nalgonda \| Alair Motakonduru Rajapeta Mothkur Thurkapally Yadagirigutta Bhongir Bibinagar Bommala Ramaram Athmakur (M) \| Canara Bank \| \| \| \| \| Addaguduru B. Pochmpally Ramannapet Valigonda Choutuppal Narayanpur \| \| \|---\|---\|---\|---\|---\| \| 17 \| Nizamabad \| Nizamabad \| Nizamabad South Nizamabad North Nizamabad Rural Mugpal “New” Dichpally Dharpally Indalwai Sirikonda Navipet Makloor Armoor Balkonda Mendora Mupkal Kammarpally Vailpoor Morthad Yergatla Bheemgal Nandipet Jakranpally Bodhan Yedapally Renjal Kotagiri Varni Rudrur \| State Bank of Hyderabad \| \| \| \| \| Banswada Birkur Nasrullabad Bichkunda Jukkal Pitlam Pedda Kodapgal Madnoor Nizamsagar Yellareddy Nagireddypet Lingampet Gandhari \| \| \| \|---\|---\|---\|---\|---\|---\| \| 19 \| Warangal (Urban) \| Warangal \| Warangal Khila Warangal Hanamkonda Khazipet Dharmasagar Velair Inavole Hasanparthy \| State Bank of India \| 808 \| \| \| \| Karimnagar \| Elkathurthy Bheemadevarpalli Kamalapur \| \| \| \| 20 \| Warangal (Rural) \| Warangal \| Rayaparthy Wardhannapet Sangem Parvathagiri Geesugonda Athmakur Shayampet Duggondi Damera Parkal Narsampet Chennaraopet Nallabelli Duggondi Khanapur Nekkonda \| Andhra Bank \| 831 \| \| 21 \| Mahabubabad \| Warangal \| Mahabubabad Kuravi \| State Bank of India \| 833 \| \| \| \| \| Kesamudram Dornakal Gudur Kothaguda Gangaram \| \| \|---\|---\|---\|---\|---\| \| \| \| Khammam \| Bayyaram Garla \| \| \| \| \| Warangal \| Chinnagudur Danthalapalle Thorrur Nellikudur Maripeda Narsimhulapet Peddavangara \| \| \| 22 \| Jangaon (New) \| Warangal \| Jangoan Lingala Ghanpur Bachannapet Devaruppula Narmetta Tharigoppula Ragunathpally \| State Bank of Hyderabad \| \| \| \| Nalgonda \| Gundala \| \| \| \| \| Warangal \| Ghanpur (Stn) Chilpur Zaffergadh Palakurthy Kodakandla \| \| \| 23 \| Jayashankar District HQ at Bhupalpalli \| Warangal \| Bhupalpally Ghanpur (Mulug) Regonda Mogullapally Chityal Tekumatla \| State Bank of Hyderabad \| \| \| \| Karimnagar \| Malhalrao Kataram Mahadevpur Palimela Mahamutharam \| \| \| \| \| Warangal \| Mulug Venkatapur Govindaraopet Tadvai \| \| \| \| \| \| Eturunagaram Kannaigudem Mangapet \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| Khammam \| Venkatapuram Wajedu \| \| \| \| 24 \| Mahabubnagar \| Mahabubnagar \| Mahabubnagar (R ) Mahabubnagar (U) Moosapet Addakal Bhoothpur Hanwada Koilkonda Rajapur Balanagar Nawabpet Jadcherla Midjil Devarakadra Chinnachintha- Kunta \| State Bank of India \| 834 \| \| \| \| Ranga Reddy \| Gandeed \| \| \| \| \| \| Mahabubnagar \| Narayanpet Damargidda Dhanwada Marikal Kosgi Maddur Utkoor Narwa Makthal Maganoor Krishna \| \| \| \| 25 \| Nagarkurnool \| Mahabubnagar \| Bijinapally Nagarkurnool Peddakothapally Telkapally Thimmajipet Tadoor Kollapur Pentlavelli Kodair Kalwakurthy \| Andhra Bank \| 839 \| \| \| \| \| Urkonda Veldanda Vangoor Charakonda Achampet Amrabad Padara Balmoor Lingal Uppununthala \| \| \| \|---\|---\|---\|---\|---\|---\| \| 26 \| Wanaparthy \| Mahabubnagar \| Wanaparthy Gopalpet Revally Peddamandadi Ghanpoor Pangal Pebbair Srirangapur Weepanagandla Chinnambavi Kothakota Madanapur Atmakoor Amarachintha \| Andhra Bank \| 841 \| \| 27 \| Jogulamba Hq at Gadwal \| Mahabubnagar \| Gadwal Dharoor Ghattu Itikyala Undavelly Manopad Ieeja Alampur Waddepally Rajoli Kaloor Thimmandoddi Maldakal \| Andhra Bank \| 844 \| \| 28 \| Ranga Reddy \| Ranga Reddy \| Hayathnagar Abdullapurmet Ibrahimpatnam Manchal Yacharam \| State Bank of Hyderabad \| 838 \| \| \| \| Mahabubnagar \| Madgul \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| Ranga Reddy \| Serilingampally Rajendranagar Gandipet Shamshabad \| \| \| \| \| \| Mahabubnagar \| Nandigama Kothur Farooqnagar Keshampet Kondurg Choudergudem \| \| \| \| \| \| Ranga Reddy \| Saroornagar Balapur Maheshwaram Kandukur \| \| \| \| \| \| Mahabubnagar \| Kadthal Amangal Thalakondapally \| \| \| \| \| \| Ranga Reddy \| Shankarpalle Moinabad Shabad Chevella \| \| \| \| 29 \| Medchal- Malkajgiri \| Ranga Reddy \| Medchal Shamirpet Keesara Kapra Ghatkesar Medipally Uppal Malkajgiri Alwal Qutballapur Dundigal Gandimaisamma Bachupally Balanagar Kukatpally \| Canara Bank \| 845 \| \| 30 \| Vikarabad \| Ranga Reddy \| Marpalle Mominpet Nawabpet Vikarabad Pudur \| State Bank of Hyderabad \| 847 \| Kulkacherla Doma Pargi Dharur Kotepally Bantwaram Peddemul Yelal Mahabubnagar Ranga Reddy Kodangal Bommaraspet Basheerabad Doulthabad Tandur 31 Hyderabad There is no change to the existing district of Hyderabad State Bank of Hyderabad 800 2. Further, the District Working Codes of new districts have also been allotted for the purpose of BSR reporting by banks. 3. There is no change in the lead bank responsibilities of the erstwhile districts in the State of Telangana. Yours faithfully (Ajay Kumar Misra) Chief General Manager
Influence MAGAZINE MAKE IT COUNT An eight-week study for leadership teams BUILDING A CULTURE OF EVALUATION EIGHT INSIGHTFUL STUDIES STEPHEN B LANDI NO DISCUSSIONGUIDE MAKE IT COUNT 1 Building a Culture of Evaluation: Eight Insightful Studies The Value of Evaluation Assess: What value does your church or organization place on regular evaluation? Insights and Ideas While evaluation can feel emotional, it's actually biblical. The apostle Paul said to "examine yourselves" (2 Corinthians 13:5). Lamentations 3:40 says, "Let us examine our ways and test them, and let us return to the Lord." Even the Bereans "examined the Scriptures every day to see if what Paul said was true" (Acts 17:11). If we're honest, we know there is enormous value in evaluation. As a starting point, consider these four benefits: T he idea of evaluation can stir a variety of emotions. Evaluation invigorates some people because it precedes the opportunity for change. Others find it frightening, thinking, I must be doing something wrong. Still others see it as nothing more than a spirit of criticism masked as a strategy for improvement. 1. Evaluation makes improvement possible. Without evaluation we would quickly move into mediocrity or, worse, irrelevance. Evaluation helps you maintain a continual posture of improvement. It forces you to mine for best practices, welcome outside feedback and perspective, and maximize your impact. 3. Evaluation enhances the stewardship of time, energy and money. When we stop evaluating, we are ultimately excusing our willingness to steward wisely the time, energy and money God entrusts to us. Evaluation helps us identify waste of resources, develop more effective practices, and become increasingly efficient as a ministry. Plus, God has a record of blessing good stewardship. 2. Evaluation builds credibility with others. When we fail to evaluate our lives, our ministries, and our strategies, leaders and teams around us begin to question our credibility. They start to wonder, Does he even know how bad things are? Does she even see what's happening around her? Evaluation helps your team members know you're in touch with what's going on. As brutal as they can be, facts are ultimately your friends. 4. Evaluation strengthens culture. Choosing to evaluate programs, strategies, staff and volunteers helps you build a stronger, healthier culture. It keeps the church flexible, strategic and focused, while continually cultivating a spirit of excellence. Without evaluation, culture tends to drift toward complexity (we just keep adding more programs), mediocrity (we become content with average), and inflexibility (we become resistant to change). Each of these values of evaluation have the power to open the door to more fruitfulness in your life, ministry, and church or organization. But it begins with a willingness on your part to embrace honest evaluation. Reflect and Discuss 2. What do we regularly evaluate as a church or organization? 1. What typically comes to your mind when you think about evaluation? 3. Which of the four values of evaluation most challenge you? Apply To benefit from evaluation, you must willingly embrace its value. Take some time to pray through any resistance you have to evaluation. What is making you resistant? How has evaluation hurt you in the past? What change do you need to make in your attitude toward evaluation so you can grow and benefit from all it has to offer? The Value of Evaluation Assess: What value does your church or organization place on regular evaluation? The idea of evaluation can stir a variety of emotions. " Examine yourselves … " (2 Corinthians 13:5). " Let us examine our ways and test them, and let us return to the Lord" (Lamentations 3:40). The Bereans "examined the Scriptures every day to see if what Paul said was true" (Acts 17:11). Four benefits of evaluation: 1. Evaluation makes ________________________________ possible. 2. Evaluation builds ________________________________ with others. 3. Evaluation enhances the ________________________________ of time, energy and money. 4. Evaluation strengthens ________________________________. Without evaluation, culture tends to drift toward complexity (we just keep adding more programs), mediocrity (we become content with average), and inflexibility (we become resistant to change). Each of these values of evaluation have the power to open the door to more fruitfulness in your life, ministry, church and organization. But it begins with a willingness on your part to embrace honest evaluation. Apply To benefit from evaluation, you must willingly embrace its value. Take some time to pray through any resistance you have to evaluation. What is making you resistant? How has evaluation hurt you in the past? What change do you need to make in your attitude toward evaluation so you can grow and benefit from all it has to offer? MAKE IT COUNT 2 Building a Culture of Evaluation: Eight Insightful Studies The Keys to Effective Evaluation Team Review: What did the Lord reveal to you as you prayed through your attitude toward evaluation? Assess: What keys are essential for making evaluation an effective part of an organization? Insights and Ideas Three things are essential for effective evaluation: B uilding a culture of evaluation requires certain elements that promote a healthy environment. Without these, evaluation can become out of balance, and even produce dysfunction within a church or organization. With these elements, evaluation becomes a catalyst to improve your personal and organizational health. 1. The right system. Effective evaluation usually requires a system, strategy or process to provide the highest value. That system might include surveys, an evaluation form or a series of questions. For example, if you are evaluating a ministry program, do you want to distribute a survey to your members, ask the leaders a series of evaluation questions, or provide an opportunity for anonymous feedback? Without a clearly developed system, evaluation can feel haphazard, incomplete or even confusing. 3. The right speed. Effective evaluation requires an appropriate pace. When it happens too frequently, evaluation can feel like constant criticism. When it happens irregularly, small cracks can turn into major problems. Managing evaluation at the right speed allows for a healthy tension to develop between celebrating progress and evaluating how to improve. The right speed engrains evaluation into the schedule and rhythm of the organization. 2. The right spirit. The motive and delivery of evaluation are critical. The wrong spirit will break trust and foster suspicion. But the right spirit will draw out the best insights and provide the greatest perspective. What is the right spirit? You need a balance of candor and care. In other words, your evaluation process needs to welcome honest, candid feedback that is delivered in a caring and respectful way. There's no magic formula for the perfect balance of candor and care. Leaders must simply model candor in a trust-filled, compassionate and caring way. Proverbs 15:4 says, "Gentle words are a tree of life; a deceitful tongue crushes the spirit" (NLT). Truthfulness combined with gentleness should accompany evaluation. The right system, spirit and speed build evaluation into the culture of a church or organization. The right system makes evaluation purposeful. The right spirit makes evaluation people-friendly. And the right speed makes evaluation predictable. Together, these elements lead to evaluation that makes the team and organization stronger. Reflect and Discuss 2. What kind of spirit do we tend to have in our evaluation efforts? What can we do to reflect a better spirit? 1. What kind of evaluation system is currently in place in our church or organization? How can we make this system more purposeful and strategic? 3. What's the right speed to evaluate the following areas: staff, volunteers, services, ministries and events? Apply Work together as a team to determine the best way to implement the right system, spirit and speed in your evaluation processes. Do different staff or team members need to lead the evaluation process for different areas? Determine the right next steps to move your evaluation efforts forward in a healthy and effective way. 2 TEAM GUIDE Building a Culture of Evaluation: Eight Insightful Studies The Keys to Effective Evaluation Assess: What keys are essential for making evaluation an effective part of an organization? Building a culture of evaluation requires certain elements that promote a healthy environment. Without these, evaluation can become out of balance, and even produce dysfunction within a church or organization. With these elements, evaluation becomes a catalyst to improve health personally and organizationally. Three things are essential for effective evaluation: 1. The right ________________________________. Effective evaluation usually requires a system, strategy or process to provide the highest value. Without a clearly developed system, evaluation can feel haphazard, incomplete or even confusing. 2. The right ________________________________. The motive and delivery of evalu- ation are critical. The wrong spirit will break trust and foster suspicion. But the right spirit will draw out the best insights and provide the greatest per- spective. What is the right spirit? Candor and care. “Gentle words are a tree of life; a deceitful tongue crushes the spirit” (Proverbs 15:4, NLT). 3. The right ________________________________. Effective evaluation requires an appropriate pace. When it happens too frequently, evaluation can feel like constant criticism. When it happens irregularly, small cracks can turn into major problems. Apply Work together as a team to determine the best way to implement the right system, spirit and speed in your evaluation processes. Do different staff or team members need to lead the evaluation process for different areas? Determine the right next steps to move your evaluation efforts forward in a healthy and effective way. MAKE IT COUNT 3 Building a Culture of Evaluation: Eight Insightful Studies Evaluating Yourself Team Review: What steps have you taken to implement the right system, spirit and speed in your organization's evaluation? Assess: How do you regularly evaluate your personal health in the most important areas of your life? Insights and Ideas Before we evaluate others, we must first look in the mirror. Three practices cultivate healthy self-evaluation: S elf-evaluation is an important part of personal growth. In Psalm 139, David welcomed God's evaluation when he wrote, "Search me, God, and know my heart; test me and know my anxious thoughts. See if there is any offensive way in me, and lead me in the way everlasting" (verses 23–24). And Jesus said, "Why do you look at the speck of sawdust in your brother's eye and pay no attention to the plank in your own eye? How can you say to your brother, 'Let me take the speck out of your eye,' when all the time there is a plank in your own eye? You hypocrite, first take the plank out of your own eye, and then you will see clearly to remove the speck from your brother's eye" (Matthew 7:3–5). 1. Create and monitor a personal health dashboard. Author and pastor Wayne Cordeiro suggests a monthly practice of reviewing a personal dashboard. He recommends giving yourself a grade (A, B, C, D, F) in a variety of areas, such as spiritual life, marriage, family, work and physical health. Creating a dashboard, and reviewing it monthly, can help you make midcourse corrections before you become unhealthy. 3. Create a growth plan with accountability and checkups. A growth plan will help you improve in the areas of weakness your dashboard and outside feedback reveal. However, for a growth plan to work, you not only need a solid plan, but you also need accountability and checkups. In other words, you need someone to hold you accountable to grow, and you need regular checkups to monitor your progress. 2. Welcome outside feedback. All of us have blind spots, but the only way to discover your blind spots is to ask others to help you see them. When you welcome outside feedback from trusted family, friends, coaches and leaders, you gain insight into a variety of areas. Feedback reveals unhealthy habits, cracks in your integrity, a lack of spiritual vibrancy, how you come across to others, unsustainability in your schedule, and a host of other valuable insights. In short, outside feedback helps you address gaps before they undermine your life and leadership. Reflect and Discuss 2. Do you have a personal growth plan? How do you ensure accountability and regular checkups are part of your plan? 1. What might a personal health dashboard look like for you? 3. How do you (or will you) regularly welcome feedback from outside sources? How have you found this feedback helpful? Apply Take three steps to elevate your personal self-evaluation. First, create your own dashboard to monitor health on a monthly basis. Second, schedule time with a trusted advisor who can help you identify blind spots. Finally, based on the review of your dashboard and outside feedback, choose the areas in which you want to grow. Then, create a growth plan with appropriate accountability and checkups to help you improve. Evaluating Yourself Assess: How do you regularly evaluate your personal health in the most important areas of your life? "Search me, God, and know my heart; test me and know my anxious thoughts. See if there is any offensive way in me, and lead me in the way everlasting" (Psalm 139:23–24). "Why do you look at the speck of sawdust in your brother's eye and pay no attention to the plank in your own eye? How can you say to your brother, 'Let me take the speck out of your eye,' when all the time there is a plank in your own eye? You hypocrite, first take the plank out of your own eye, and then you will see clearly to remove the speck from your brother's eye" (Matthew 7:3–5). Three practices to cultivate healthy self-evaluation: 1. Create and monitor a personal health __________________________________. Creating a dashboard, and reviewing it monthly, can help you make mid- course corrections before you become unhealthy. 2. Welcome outside ______________________________________. Feedback reveals unhealthy habits. 3. Create a growth plan with ____________________ and ____________________. A growth plan will help you improve in the areas of weakness your dashboard and outside feedback reveal. Apply Take three steps to elevate your personal self-evaluation. First, create your own dashboard to monitor health on a monthly basis. Second, schedule time with a trusted advisor who can help you identify blind spots. Finally, based on the review of your dashboard and outside feedback, choose the areas in which you want to grow. Then, create a growth plan with appropriate accountability and checkups to help you improve. MAKE IT COUNT 4 Building a Culture of Evaluation: Eight Insightful Studies Evaluating Church Health Team Review: What have you done to evaluate your personal health in the last seven days? Assess: How do you regularly evaluate the overall health of the church or a ministry? Insights and Ideas church's health: T o evaluate the health of the church, you must be deliberate in your efforts. Purposeful evaluation never happens accidently. Three things are essential for evaluating the 1. Courageous leadership. Scripture is full of examples of courageous leadership. Joshua courageously led the Israelites into the Promised Land. Daniel courageously prayed three times a day, despite the threat of death. Esther courageously spoke on behalf of the Jewish people. Nehemiah courageously returned to Jerusalem to rebuild the wall around the city. We need that same kind of courage to face the facts of a church's health. Sometimes those facts are encouraging and worthy of celebration. Other times, evaluation reveals decline, ineffectiveness or a need for painful change. Whatever the case, evaluation begins with a leader who is courageous enough to face the facts. 3. Comprehensive analysis. There are two helpful analysis strategies. The first is a S.W.O.T. analysis. Gather a group of staff and leaders to evaluate the church's strengths (what the church does well), weaknesses (areas where the church is struggling), opportunities (new ideas or opportunities the church can leverage), and threats (things that could be detrimental to the church's health or growth). 2. Clear metrics. To conduct a thorough evaluation of the church's health, you need to identify key metrics and collect appropriate data in each area. The most common are attendance and finances. However, these metrics are not enough. You should also track salvations, baptisms, volunteers, leaders, participation in small groups, firstand second-time donors, per capita giving, and other important areas. Also measure the percentage of your weekend attendance engaging in these areas, and monitor the annual growth or decline of those percentages. Finally, measure stories of life change, community transformation and missions impact. Are you reaching the lost? Are you developing disciples? Are you mobilizing people for ministry? Clear metrics help you see the overall picture. If you don't know where you are, you'll have difficulty navigating to a better destination. A second approach is to evaluate the church, a ministry, an event, or a service with four questions: What's right? What's wrong? What's missing? What's confusing? Both strategies will help you analyze current health and potential areas of improvement. Reflect and Discuss 2. What metrics do you evaluate regularly? On what new metrics do you need to collect data? 1. On a scale from 1 to 10, how would you assess your courage as a leader when it comes to facing the facts? 3. Do you need to conduct a S.W.O.T. analysis of the church as a whole? With which ministries do you need to ask the four questions? Apply Conduct a S.W.O.T. analysis of the church, and/or ask the four questions regarding a specific ministry in the church. From the results of each analysis, put together an action plan to make improvements. Evaluating Church Health Assess: How do you regularly evaluate the overall health of the church or a ministry? To evaluate the health of the church, you must be deliberate in your efforts. Purposeful evaluation never happens accidently. Three things are essential for evaluating the church's health: 1. Courageous ________________________________. We need courage to face the facts of a church's health. Sometimes those facts are encouraging and worthy of celebration. Other times, evaluation reveals decline, ineffectiveness or a need for painful change. Whatever the case, evaluation begins with a leader who is courageous enough to face the facts. 2. Clear ________________________________. To conduct a thorough evaluation of the church's health, you need to identify key metrics and collect appropriate data in each area. Clear metrics help you see the overall picture. If you don't know where you are, you'll have difficulty navigating to a better destination. 3. Comprehensive ________________________________. There are two helpful analysis strategies. The first is a S.W.O.T. analysis. Gather a group of staff and leaders to evaluate the church's strengths (what the church does well), weaknesses (areas where the church is struggling), opportunities (new ideas or opportunities the church can leverage), and threats (things that could be a threat to the church's health or growth). A second approach is to evaluate the church, a ministry, an event, or a service with four questions: What's right? What's wrong? What's missing? What's confusing? Apply Conduct a S.W.O.T. analysis on the church, and/or ask the four questions regarding a specific ministry in the church. From the results of each analysis, put together an action plan to make improvements. MAKE IT COUNT 5 Building a Culture of Evaluation: Eight Insightful Studies Evaluating Strategies Team Review: What did your S.W.O.T. analysis reveal about your organization, church or a ministry within your church? Assess: What does it look like to evaluate the strategies in your church or organization? Insights and Ideas Organizational strategies require a similar discipline of counting the cost to ensure we're adopting strategies that provide the best path forward. However, developing a strategy and evaluating a strategy are two different things. After all, every strategy has a shelf life. To evaluate a strategy's effectiveness, ask four probing questions: I n the Gospel of Luke, Jesus challenged the crowds to count the cost of being His disciples. He compared it to building a tower when He said, "Suppose one of you wants to build a tower. Won't you first sit down and estimate the cost to see if you have enough money to complete it? For if you lay the foundation and are not able to finish it, everyone who sees it will ridicule you, saying, 'This person began to build and wasn't able to finish'" (Luke 14:28–30). 1. Is the strategy fulfilling the purpose for which it was created? Every strategy is designed to meet a need or solve a problem. When evaluating a strategy's effectiveness, leaders must honestly answer whether the strategy is still fulfilling its original purpose. 3. Is the strategy sustainable in its current design? A strategy may be fulfilling its purpose and be relevant to its target audience, but if it is burning through volunteers and consuming a lot of time, energy and money, it may not be sustainable in its current design. Leaders must determine whether a strategy will work long-term based on the effort required to keep it running. 2. Is the strategy relevant to its target audience? Most strategies focus on a specific group of people. It might be a ministry strategy for children, youth, singles, couples or seniors. Leaders have to remember that these groups usually change over time. What worked with children just a few years ago may not work today. If you're out of touch with your target audience, your strategy may also be irrelevant. 4. Is the strategy able to scale with the growth of the church? It's possible for churches to outgrow strategies. Consider whether your strategy has the ability to grow with the church. If church growth outpaces the scalability of the strategy, it's time for a new strategy. Reflect and Discuss 2. Which of the four strategy questions most challenges you? Why? 1. How often do you evaluate the effectiveness of strategies in your church? 3. Which strategy in your church or organization feels tired or ineffective? What grade would you give the strategy if you filtered it through the four strategy questions? Apply Choose a strategy in the church that is in need of evaluation. Assemble a team to evaluate the strategy with the four probing questions. Based on the responses to each question, what changes does the strategy need? Evaluating Strategies Assess: What does it look like to evaluate the strategies in your church or organization? "Suppose one of you wants to build a tower. Won't you first sit down and estimate the cost to see if you have enough money to complete it? For if you lay the foundation and are not able to finish it, everyone who sees it will ridicule you, saying, 'This person began to build and wasn't able to finish'" (Luke 14:28–30). Four questions for evaluating strategies: 1. Is the strategy fulfilling the ________________________________ for which it was created? Every strategy is designed to meet a need or solve a problem. 2. Is the strategy relevant to its target ________________________________? Most strategies focus on a specific group of people. If you’re out of touch with your target audience, your strategy may also be irrelevant. 3. Is the strategy ________________________________ in its current design? A strat- egy may be fulfilling its purpose and be relevant to its target audience, but if it is burning through volunteers and consuming a lot of time, energy and money, it may not be sustainable in its current design. 4. Is the strategy able to ________________________________ with the growth of the church? If church growth outpaces the scalability of the strategy, it’s time for a new strategy. Apply Choose a strategy in the church that is in need of evaluation. Assemble a team to evaluate the strategy with the four strategy questions. Based on the responses to each question, what changes does the strategy need? Evaluating Staff and Leaders Team Review: Which strategy did you evaluate using the four probing questions? What discoveries did you make in the process? Assess: What system do you have in place to evaluate staff or leaders? Insights and Ideas Like the master, we have a responsibility to evaluate the people we lead. Why? Because God has entrusted us to faithfully steward time, talent, treasure and, most importantly, the mission of Jesus. Two things are essential for evaluating the people who report to us: I n the Parable of the Bags of Gold (Matthew 25:14–30), the master entrusted his wealth to three servants. To one servant he gave five talents, to another two talents, and to another one talent. When the master returned from a long trip, he evaluated each servant. The five-talent and two-talent servants doubled their master's wealth. The master called them " good and faithful" servants and rewarded each accordingly. The third servant buried his talent in the ground, which brought scorn from the master. In this parable, Jesus equates faithfulness with stewardship and growth. 1. Establish measurements. To evaluate staff members, there must be something to evaluate them against. Simply put, you have to identify a measurement to which you can hold them accountable. That measurement could be a series of goals, a personal growth plan or a church-wide initiative. According to the Parable of the Bags of Gold, "After a long time the master of those servants returned and settled accounts with them" (verse 19). The master must have established an expectation previously since he planned to settle accounts. Have you established and communicated a clear measurement (some form of expectation) with your staff or the people you lead? Both ingredients — establishing measurements and evaluating performance — are essential if you want to help your staff grow and reach the next level. Both will help you draw the potential out of people and deliver greater ministry impact. 2. Evaluate performance. Once we establish the measurement (a goal, standard, growth plan, etc.), we are responsible for evaluating performance against that measurement. This evaluation requires a pace and a process. The pace has to do with the frequency of evaluation. The process has to do with the method of evaluation. For example, you might choose to evaluate progress monthly or quarterly by using a series of evaluation questions. You might use a biannual review to monitor performance and progress. We don't know how long it was before the master returned from his trip, but we do know he evaluated performance upon his arrival. Reflect and Discuss 2. Do you have clear measurements for each member of your team? How can you improve these processes? 1. How do you currently evaluate staff and leaders? What are the strengths and weaknesses of your process? 3. What would be a good pace and process for evaluating your staff and teams? Apply Work on a clear plan to establish measurements and evaluate performance with your staff and leaders. Put the process in writing, communicate it to your leaders, and then carefully implement it. You might even talk with other pastors and leaders to explore a variety of evaluation methods. Find what fits in your culture. Evaluating Staff and Leaders Assess: What system do you have in place to evaluate staff or leaders? In the Parable of the Bags of Gold (Matthew 25:14–30), the master entrusted his wealth to three servants. To one servant he gave five talents, to another two talents, and to another one talent. When the master returned from a long trip, he evaluated each servant. The five-talent and two-talent servants doubled their master's wealth. The master called them "good and faithful" servants and rewarded each accordingly. The third servant buried his talent in the ground, which brought scorn from the master. In this parable, Jesus equates faithfulness with stewardship and growth. Two essentials for evaluating staff and leaders: 1. Establish ___________________________________. To evaluate staff members, there must be something to evaluate them against. Simply put, you have to identify a measurement to which you can hold them accountable. 2. Evaluate ___________________________________. Once we establish the mea- surement (a goal, standard, growth plan, etc.), we are responsible for evalu- ating performance against that measurement. This evaluation requires a ____________ and a ______________________ . The pace has to do with the frequency of evaluation. Apply Work on a clear plan to establish measurements and evaluate performance with your staff and leaders. Put the process in writing, communicate it to your leaders, and then carefully implement it. You might even talk with other pastors and leaders to explore a variety of evaluation methods. Find what fits in your culture. Evaluating Culture Team Review: What process did you settle on for evaluating staff and leaders in your church or organization? Assess: What do you think it means to evaluate the health of your church's culture? Insights and Ideas The same is true in a church or organization. There are certain methods, traditions and ways of doing things that form your culture. Sometimes we drift into an unhealthy culture because we weren't intentional about culture creation. N ations have their own languages, customs, food preferences, music styles and governing structures that all contribute to the overall culture. These unique dynamics are not necessarily right or wrong. They just are. The way people do things in a given place make up the culture. Galatians 6:3–5 says, "If anyone thinks they are something when they are not, they deceive themselves. Each one should test their own actions. Then they can take pride in themselves alone, without comparing themselves to someone else, for each one should carry their own load." 1. What we tolerate creates culture. How often do you find yourself frustrated because of a team member's behavior or a broken system? When you fail to deal quickly with these issues, you are actually creating culture. Whatever you tolerate will become ingrained in the culture. How often does this principle play out on an organizational level? We think we're something we are not; as a result, a culture of dysfunction develops. That's why we must test our actions to ensure we're creating a healthy environment. In general, three things create culture: 2. What we celebrate creates culture. The things we celebrate as wins define what we consider most important. As you intentionally celebrate those victories, you are communicating to the rest of the team what you value. You're creating culture around the behaviors and priorities that truly matter. What you tolerate, celebrate and evaluate will set the tone for culture in your church or organization. The question is, have you intentionally defined all three of these? 3. What we evaluate creates culture. The things you consistently evaluate — whether growth patterns, spiritual next steps, leadership deployment, or disciple making — directly impact the kind of culture you're creating. People pay attention to what you evaluate because it signals how you will measure their performances. Choose what you evaluate carefully, knowing your choices create culture. Reflect and Discuss 2. What do people celebrate most often in your environment? How has this shaped your culture? 1. What have you been tolerating in your culture for far too long? When will you address this issue? 3. What are the most important things to evaluate in your church or organization? How and when can you effectively evaluate those areas? Apply Take some time to clearly identify what you tolerate, celebrate and evaluate. Have the courage to address the issues that are lingering and, as a result, undermining your culture. Determine how to intentionally and regularly celebrate what matters most. And identify the areas you should systematically evaluate to ensure you are creating a healthy and vibrant culture. Evaluating Culture Assess: What do you think it means to evaluate the health of your church's culture? "If anyone thinks they are something when they are not, they deceive themselves. Each one should test their own actions. Then they can take pride in themselves alone, without comparing themselves to someone else, for each one should carry their own load" (Galatians 6:3–5). Three things that create culture: 1. What we ________________________________ creates culture. When you fail to deal quickly with these issues, you are actually creating culture. Whatever you tolerate will become ingrained in the culture. 2. What we ________________________________ creates culture. The things we celebrate as wins define what we consider most important. As you intentionally celebrate those victories, you are communicating to the rest of the team what you value. 3. What we ________________________________ creates culture. The things you consistently evaluate — whether growth patterns, spiritual next steps, lead- ership deployment, or disciple making — directly impact the kind of culture you’re creating. What you tolerate, celebrate and evaluate will set the tone for culture in your church or organization. The question is, have you intentionally defined all three of these? Apply Take some time to clearly identify what you tolerate, celebrate and evaluate. Have the courage to address the issues that are lingering and, as a result, undermining your culture. Determine how to intentionally and regularly celebrate what matters most. And identify the areas you should systematically evaluate to ensure you are creating a healthy and vibrant culture. Removing the Frustration From Evaluation Team Review: What discoveries or adjustments did you make by identifying what you tolerate, celebrate and evaluate as a church or organization? Assess: What are the most frustrating aspects of evaluation in your church or organization? Insights and Ideas 1. Recognize the emotional side of evaluation. Everybody responds differently to evaluation. For some, it's an invigorating process. For others, it's downright scary or demoralizing. The response often reflects what kind of evaluation we've received in the past. As leaders, we must recognize the emotional side of evaluation, and then respond appropriately to the concerns and fears team members express. Your appropriate response will foster the trust necessary to build a healthy culture of evaluation in the future. A culture of evaluation can bring extraordinary value to a church or organization. Evaluation can also create tremendous levels of frustration when you fail to handle it correctly. That frustration often occurs when the evaluation is haphazard, or when that evaluation produces no long-term change. When this happens, evaluations feel like a waste of time. Here are three steps you can take to remove the frustration from evaluation: 2. Systematize the process of evaluation. Systematized evaluation only happens when it becomes a part of your calendar. A weekly staff meeting that includes evaluation is more effective if it happens the same day and at the same time each week. The systematic scheduling of the meeting defines expectations for those who participate in the meeting. The same is true of annual employee reviews. When these reviews happen systematically, at the same time of year using the same evaluation process, staff members come to expect them, which removes the frustration of surprise. James 2:14 says, "What good is it, my brothers and sisters, if someone claims to have faith but has no deeds? Can such faith save them?" In other words, faith is only relevant when we combine it with action. The same principle applies to evaluation. Action must always follow evaluation. 3. Utilize the information you glean from evaluation. Another frustration arises when you never act on the information you receive during an evaluation discussion. For example, if you ask team members for feedback on the culture of the organization, but then you never make changes to improve the culture, people will view the act of evaluation as an unnecessary strategy and a waste of time. The goal isn't just to incorporate evaluation into your culture. The goal is for evaluation to lead to a healthier culture. The steps above will help that happen. Reflect and Discuss 2. Which of the three ways to remove frustration needs the most attention in our organization? 1. What frustrations have you experienced when it comes to evaluation? 3. Are there other obstacles you foresee in building a healthy culture of evaluation? What can you do to remove those obstacles? Apply To reduce and remove frustration, determine how to communicate the need for evaluation while remaining sensitive to the emotional objections your team might have. Next, determine the appropriate pace for each form of evaluation you implement (weekly, monthly, annually, etc.). Finally, come up with a safeguard to ensure you'll actually do something with what you learn in the evaluation process. Remember that action must follow evaluation. Removing the Frustration From Evaluation Assess: What are the most frustrating aspects of evaluation in your church or organization? A culture of evaluation can bring extraordinary value to a church or organization. Evaluation can also create tremendous levels of frustration when you fail to handle it correctly. Three steps to remove frustration from evaluation: 1. Recognize the ________________________________ side of evaluation. As leaders, we must recognize the emotional side of evaluation, and then respond appropriately to the concerns and fears team members express. Your appropriate response will foster the trust necessary to build a healthy culture of evaluation in the future. 2. Systematize the ________________________________ of evaluation. Systematized evaluation only happens when it becomes a part of your calendar. 3. Utilize the ________________________________ you glean from evaluation. Another frustration arises when you never act on the information you receive during an evaluation discussion. "What good is it, my brothers and sisters, if someone claims to have faith but has no deeds? Can such faith save them?" (James 2:14). The goal isn't just to incorporate evaluation into your culture. The goal is for evaluation to lead to a healthier culture. The steps above will help that happen. Apply To reduce and remove frustration, determine how to communicate the need for evaluation while remaining sensitive to the emotional objections your team might have. Next, determine the appropriate pace for each form of evaluation you implement (weekly, monthly, annually, etc.). Finally, come up with a safeguard to ensure you'll actually do something with what you learn in the evaluation process. Remember that action must follow evaluation.
Fordham Law School FLASH: The Fordham Law Archive of Scholarship and History Parole Administrative Appeal Decisions Parole Administrative Appeal Documents December 2020 Administrative Appeal Decision - Richburg, Carence (2019-06-28) Follow this and additional works at: https://ir.lawnet.fordham.edu/aad Recommended Citation "Administrative Appeal Decision - Richburg, Carence (2019-06-28)" (2020). Parole Information Project https://ir.lawnet.fordham.edu/aad/59 This Parole Document is brought to you for free and open access by the Parole Administrative Appeal Documents at FLASH: The Fordham Law Archive of Scholarship and History. It has been accepted for inclusion in Parole Administrative Appeal Decisions by an authorized administrator of FLASH: The Fordham Law Archive of Scholarship and History. For more information, please contact firstname.lastname@example.org. STATE OF NEW YORK-BOARD OF PAROLE ADMINISTRATIVE APPEAL DECISION NOTICE Name: Richburg, Carence Facility: Franklin CF NY SID: DIN: 17-A-3741 Appeal ControlNo.: 11-066-18 B · Appearances: Thomas G. Soucia, Esq. Franklin County Public Defender 355 West Main St., Ste. 228 .Malone, New York 12953 Decision appealed: October 2018 decision, denying discretionary release and imposing a hold of 24 months. Board Member(s) ·who participated: Alexander, Drl;lke, Davis Papers considered: Appellant's Brief received April 4, 2019 Appeals Un] t Review: Statement of the Appeals Unit's Findings and Recommendation Records relied upon: Pre-Sentence Investigation Report, Parole Board Report, Interview Transcript, Parole Board Release Decision Notice (Form 9026), COMP AS instrument, Offender Case Plan. _Vacated,remanded fordenovointerview _Modifiedto___ _ _ Vacated, remanded for de novo interview _Modifiedto ___ _ _ Vacated, remanded for de novo interview _Modifiedto___ _ Commissioner If the Final Determination is at variance with Findings and Recommendation of Appeals Unit, written reasons for the Parole Board's determination !!!!!.fil be annexed hereto. . This Final Determination, the related Statement of the Appeals Unit's Findings and the sep~r te,fi 'dings of the Parole Board, if any, were mailed to the Inmate and the Inmate's Counsel, if any, on t' ~ W /6 Distribution: Appeals Unit - Appellant - Appellant's Counsel - Inst. Parole File - Central File P-2002(B) (11/2018) STATE OF NEW YORK – BOARD OF PAROLE APPEALS UNIT FINDINGS & RECOMMENDATION Name: Richburg, Carence Facility: Franklin CF Findings: (Page 1 of 4) DIN: 17-A-3741 AC No.: 11-066-18 B Appellant challenges the October 2018 determination of the Board, denying release and imposing a 24-month hold. Appellant was sentenced to a term of imprisonment of two years with three years of postrelease supervision after having been convicted of Attempted Criminal Possession of a Weapon 2 nd . Appellant is serving his fourth state term of imprisonment with a significant criminal history. In the instant offense, while released on parole, Appellant discharged a firearm in the direction of his victims, causing one victim to suffer a fractured foot, while his other victim, a child less than 17 years of age, sustained a puncture wound to the leg. Appellant raises the following issues in his brief: (1) the Board's decision was arbitrary and capricious, made in violation of applicable legal authority, and relied too heavily upon the serious nature of Appellant's crime of conviction; (2) Appellant's programming, vocational training, positive accomplishments, rehabilitative efforts, disciplinary record, receipt of an Earned Eligibility Certificate (EEC), remorse, certain COMPAS scores, and release plans were not given sufficient consideration by the Board; (3) the Board failed to sufficiently question Appellant during the interview; (4) the Board's decision lacked sufficient detail; and (5) the Board failed to consider Appellant's sentencing minutes. As to the first two issues, Executive Law §259-i(2)(c)(A) requires the Board to consider criteria which is relevant to the specific inmate, including, but not limited to, the inmate's institutional record and criminal behavior. People ex rel. Herbert v. New York State Bd. of Parole, 97 A.D.2d 128, 468 N.Y.S.2d 881 (1st Dept. 1983). While consideration of these factors is mandatory, "the ultimate decision to parole a prisoner is discretionary." Matter of Silmon v. Travis, 95 N.Y.2d 470, 477. Thus, it is well settled that the weight to be accorded the requisite factors is solely within the Board's discretion. See, e.g., Matter of Delacruz v. Annucci, 122 A.D.3d 1413, 997 N.Y.S.2d 872 (4th Dept. 2014); Matter of Hamilton, 119 A.D.3d at 1271; Matter of Garcia v. New York State Div. of Parole, 239 A.D.2d 235, 239, 657 N.Y.S.2d 415, 418 (1st Dept. 1997). The Board need not explicitly refer to each factor in its decision, nor give them equal weight. Matter of Betancourt v. Stanford, 148 A.D.3d 1497, 49 N.Y.S.3d 315 (3d Dept. 2017); Matter of LeGeros v. New York State Bd. of Parole, 139 A.D.3d 1068, 30 N.Y.S.3d 834 (2d Dept. 2016); Matter of Phillips v. Dennison, 41 A.D.3d 17. In the absence of a convincing demonstration that the Board did not consider the statutory factors, it must be presumed that the Board fulfilled its duty. Matter of Fuchino v. Herbert, 255 A.D.2d 914, 914, 680 N.Y.S.2d 389, 390 (4th Dept. 1998); Matter of McLain v. New York State Div. of Parole, 204 A.D.2d 456, 611 N.Y.S.2d 629 (2d Dept. 1994); Matter of McKee v. New York State Bd. of Parole, 157 A.D.2d 944, 945, 550 N.Y.S.2d 204, 205 (3d Dept. 1990); People ex rel. Herbert, 97 A.D.2d 128. STATE OF NEW YORK – BOARD OF PAROLE APPEALS UNIT FINDINGS & RECOMMENDATION Name: Richburg, Carence DIN: 17-A-3741 Facility: Franklin CF AC No.: 11-066-18 B Findings: (Page 2 of 4) Appellant's receipt of an EEC does not automatically guarantee his release, and it does not eliminate consideration of the statutory factors including the instant offense. Matter of Milling v. Berbary, 31 A.D.3d 1202, 1203, 819 N.Y.S.2d 373, 374 (4th Dept.), lv. denied, 7 N.Y.3d 808, 809, 822 N.Y.S.2d 481 (2006); Matter of White v. Dennison, 29 A.D.3d 1144, 814 N.Y.S.2d 393 (3d Dept. 2006); Matter of Barad v. New York State Bd. of Parole, 275 A.D.2d 856, 713 N.Y.S.2d 775, 776 (3d Dept. 2000), lv. denied, 96 N.Y.2d 702, 722 N.Y.S.2d 793 (2001). Where an inmate has been awarded an EEC, the Board may deny release to parole on a finding that there is a reasonable probability that, if such inmate is released, the inmate will not live and remain at liberty without violating the law, and that his release is not compatible with the welfare of society. Correction Law §805; Executive Law §259-i(2)(c)(A); Matter of Heitman v. New York State Bd. of Parole, 214 A.D.2d 673, 625 N.Y.S.2d 264 (2d Dept. 1995); Matter of Salcedo v. Ross, 183 A.D.2d 771, 771, 583 N.Y.S.2d 502, 503 (1st Dept. 1992); Matter of Walker v. Russi, 176 A.D.2d 1185, 576 N.Y.S.2d 51 (3d Dept. 1991), appeal dismissed, 79 N.Y.2d 89 7, 581 N.Y.S.2d 660 (1992). The standard set forth in Executive Law §259-i(2)(c)(A) requiring consideration of whether the inmate's release will so deprecate the seriousness of his crime as to undermine respect for the law does not apply in cases where an EEC has been awarded. In 2011, the law was amended to require procedures incorporating risk and needs principles to "assist" the Board in making parole release decisions. Executive Law § 259–c(4); 9 N.Y.C.R.R. §8002.2(a). The Board satisfies this requirement in part by using the COMPAS instrument. Matter of Montane v. Evans, 116 A.D.3d 197, 202, 981 N.Y.S.2d 866, 870 (3d Dept. 2014); see also Matter of Hawthorne v. Stanford, 135 A.D.3d 1036, 1042, 22 N.Y.S.3d 640, 645 (3d Dept. 2016); Matter of LeGeros v. New York State Bd. of Parole, 139 A.D.3d 1068, 30 N.Y.S.3d 834 (2d Dept. 2016); Matter of Robles v. Fischer, 117 A.D.3d 1558, 1559, 985 N.Y.S.2d 386, 387 (4th Dept. 2014). Notably, the 2011 amendments did not eliminate the requirement that the Board conduct a case-by-case review of each inmate by considering the statutory factors including the instant offense. The amendments also did not change the applicable substantive standards that the Board is required to apply when deciding whether to grant parole. See Executive Law §259-i(2)(c)(A) . Thus, the COMPAS instrument cannot mandate a particular result. Matter of King v. Stanford, 137 A.D.3d 1396, 26 N.Y.S.3d 815 (3d Dept. 2016). Rather, the COMPAS is an additional consideration that the Board must weigh along with applicable statutory factors. See Matter of Rivera v. N.Y. State Div. of Parole, 119 A.D.3d 1107, 1108, 990 N.Y.S.2d 295 (3d Dept. 2014); accord Matter of Dawes v. Annucci, 122 A.D.3d 1059, 994 N.Y.S.2d 747 (3d Dept. 2014); see also Matter of Gonzalvo v. Stanford, 153 A.D.3d 1021, 56 N.Y.S.3d 896 (3d Dept. 2017). Furthermore, declining to afford the COMPAS controlling weight does not violate the 2011 amendments. Matter of King v. Stanford, 137 A.D.3d 1396, 26 N.Y.S.3d 815 (3d Dept. 2016). STATE OF NEW YORK – BOARD OF PAROLE APPEALS UNIT FINDINGS & RECOMMENDATION Name: Richburg, Carence DIN: 17-A-3741 Facility: Franklin CF AC No.: 11-066-18 B Findings: (Page 3 of 4) Inasmuch as Appellant disputes the Board's finding with respect to insight and remorse, it was well within the Board's authority to make an assessment of Appellant's credibility (Matter of Siao-Pao v. Dennison, 51 A.D.3d 105, 108, 854 N.Y.S.2d 348, 351 (1st Dept.), aff'd, 11 N.Y.3d 777, 866 N.Y.S.2d 602 (2008)). Also, the Board is permitted to conclude that the serious nature of the inmate's offense, as well as limited insight and/or remorse, outweigh other factors. See, e.g., Matter of Silmon v. Travis, 95 N.Y.2d 470, 478, 718 N.Y.S.2d 704 (2000), aff'g 266 A.D.2d 296, 297, 698 N.Y.S.2d 685, 686 (2d Dept. 1999); Matter of Beodeker v. Stanford, 164 A.D.3d 1555, 82 N.Y.S.3d 669 (3d Dept. 2018); Matter of Crawford v. New York State Bd. of Parole, 144 A.D.3d 1308, 46 N.Y.S.3d 228 (3d Dept. 2016), lv. denied, 29 N.Y.3d 901, 57 N.Y.S.3d 704 (2017); Matter of Almeyda v. New York State Div. of Parole, 290 A.D.2d 505, 736 N.Y.S.2d 275 (2d Dept. 2002); Matter of Serrano v. N.Y. State Exec. Dep't-Div. of Parole, 261 A.D.2d 163, 164, 689 N.Y.S.2d 504, 505 (1st Dept. 1999). As to the third issue, Appellant was provided the opportunity to discuss with the Board during the interview any issues of interest, and cannot now be heard to complain that certain issues were not discussed, or the extent to which certain issues were discussed. See Matter of Serna v. New York State Division of Parole, 279 A.D.2d 684, 719 N.Y.S. 2d 166 (3d Dept. 2001); Matter of Garcia v. New York State Div. of Parole, 239 A.D.2d 235, 657 N.Y.S.2d 415 (1 st Dept. 1997). As to the fourth issue, the Board's decision satisfied the criteria set out in Executive Law §259-i(2)(a) and 9 N.Y.C.R.R. §8002.3(d), as it was sufficiently detailed to inform the inmate of the reasons for the denial of parole. Matter of Applegate v. New York State Bd. of Parole, 164 A.D.3d 996, 997, 82 N.Y.S.3d 240 (3d Dept. 2018); Matter of Kozlowski v. New York State Bd. of Parole, 108 A.D.3d 435, 968 N.Y.S.2d 87 (1st Dept. 2013); Matter of Little v. Travis, 15 A.D.3d 698, 788 N.Y.S.2d 628 (3d Dept. 2005); Matter of Davis v. Travis, 292 A.D.2d 742, 739 N.Y.S.2d 300 (3d Dept. 2002); People ex rel. Herbert v. New York State Bd. of Parole, 97 A.D.2d 128, 468 N.Y.S.2d 881 (1st Dept. 1983). As to the fifth issue, where the Board had made good faith efforts to obtain the sentencing minutes from the sentencing court, but was unsuccessful, and Appellant failed to produce documentation that the sentencing minutes contained a recommendation as to the suitability of his possible release to parole supervision, the Board's failure to consider the sentencing minutes did not prejudice Appellant and amounted to harmless error. Matter of Matul v. Chair of the New York State Board of Parole, 69 A.D.3d 1196, 894 N.Y.S.2d 200 (3d Dept. 2010); Matter of Midgette v. New York State Division of Parole, 70 A.D. 3d 1039, 895 N.Y.S.2d 530 (2d Dept. 2010). Furthermore, when the sentencing minutes are unavailable at the time of the interview, Appellant is not entitled to a presumption that the sentencing minutes contained a favorable parole recommendation. Matter of Geraci v. Evans, 76 A.D.3d 1161, 907 N.Y.S.2d 726 (3d Dept. 2010); STATE OF NEW YORK – BOARD OF PAROLE APPEALS UNIT FINDINGS & RECOMMENDATION Name: Richburg, Carence DIN: 17-A-3741 Facility: Franklin CF AC No.: 11-066-18 B Findings: (Page 4 of 4) Matter of Midgette, 70 A.D.3d 1039; Matter of Lebron v. Alexander, 68 A.D.3d 1476, 892 N.Y.S.2d 579 (3d Dept. 2009). Recommendation: Affirm.
Vang, Mai (CI-StPaul) From: Ben Johnson <firstname.lastname@example.org> Sent: Friday, October 18, 2019 5:18 PM To: CI-StPaul_LegislativeHearings Subject: Caravalho 578 Lafond Ave. house fire Attachments: 23-2090-G83_CUSTOMER_COPY_FINAL_DRAFT_2T.pdf Marcia Moermond, Per Judy Caravalho's request, you will find attached to this emailed message a copy of the documentation I have on record for Judy Caravalho's insurance settlement for the recent dwelling fire. Please let me know that you received this message. Also, please do not hesitate to contact me if you have any questions, concerns, or need any other documentation. Sincerely, Ben Johnson \| \| 952.484.6202 \|email@example.com Public Insurance Adjuster\|MN Lic. #40214330 State Farm P.O. Box 106169 Atlanta, GA 30348-6169 firstname.lastname@example.org Fax: 1-844-236-3646 Structural Damage Claim Policy When you have a covered structural damage claim to your real property, you should know: We want you to receive quality repair work to restore the damages to your property. * We will provide you with a detailed estimate of the scope of the damage and costs of repairs. Should the contractor you select have questions concerning our estimate, they should contact your claim specialist directly. * Depending upon the complexity of your repair, our estimate may or may not include an allowance for general contractor's overhead and profit. If you have questions regarding general contractor's overhead and profit and whether general contractor services are appropriate for your loss, please contact your claim specialist before proceeding with repairs. * There may be building codes, ordinances, laws, or regulations that affect the repairs of your property. These items may or may not be covered by your policy. Please contact your claim specialist if you have any questions regarding coverage which may be available under your policy. * If you select a contractor whose estimate is the same as or lower than our estimate, based on the same scope of damages, we will pay based upon their estimate. If your contractor's estimate is higher than ours, you should contact your claim specialist prior to beginning repairs. * State Farm® cannot authorize any contractor to proceed with work on your property. Repairs should proceed only with your authorization. * State Farm does not guarantee the quality of the workmanship of any contractor or guarantee that the work will be accomplished within any specific time frame. * It is understood that the contractor is hired by you, our insured, and that they work for you - not State Farm. If you have any questions or need additional information regarding your claim, please contact your claim specialist immediately. CARAVALHO, JUDY State Farm Insured: Estimate: 23-2090-G83 Claim Number: 232090G83 Policy Number: 93-BT-X582-8 Price List: MNMN28_NOV17 New Construction Property: 578 Lafond Ave Saint Paul, MN 55103-1618 Cellular: 651-402-9797 Type of Loss: Fire Deductible: $1,000.00 Date of Loss: 11/16/2017 Date Inspected: 11/16/2017 CARAVALHO, JUDY Summary for Coverage A - Dwelling - 33 Fire, Lightning, & Removal Maximum Additional Amounts Available If Incurred: Rud, Ryan 844-458-4300 x 2534395781 ALL AMOUNTS PAYABLE ARE SUBJECT TO THE TERMS, CONDITIONS AND LIMITS OF YOUR POLICY. Please be advised any legal action concerning this claim must be initiated within 2 years from the date of loss. Any person who submits an application or files a claim with intent to defraud or helps commit a fraud against an insurer is guilty of a crime. 23-2090-G83 Explanation of Building Replacement Cost Benefits RDP with Endorsement Policy Coverage A - Dwelling - 33 Fire, Lightning, & Removal To: Name: CARAVALHO, JUDY Address: 578 Lafond Ave City: Saint Paul State/Zip: MN, 55103-1618 Insured: CARAVALHO, JUDY Claim Number: 232090G83 Date of Loss: 11/16/2017 Cause of Loss: FIRE Your insurance policy provides replacement cost coverage for some or all of the loss or damage to your dwelling or structures. Replacement cost coverage pays the actual and necessary cost of repair or replacement, without a deduction for depreciation, subject to your policy's limit of liability. To receive replacement cost benefits you must: 1. Complete the actual repair or replacement of the damaged part of the property within two years of the date of loss; and 2. Notify us within 30 days after the work has been completed. 3. Confirm completion of repair or replacement, by submitting invoices, receipts or other documentation to your agent or claim office. Until these requirements have been satisfied, our payment(s) to you will be for the actual cash value of the damaged part of the property, which may include a deduction for depreciation. Without waiving the above requirements, we will consider paying replacement cost benefits prior to actual repair or replacement if we determine repair or replacement costs will be incurred because repairs are substantially under way or you present a signed contract acceptable to us. The estimate to repair or replace your damaged property is $275,057.48 . The enclosed claim payment to you of $168,274.82 is for the actual cash value of the damaged property at the time of loss, less any deductible that may apply. We determined the actual cash value by deducting depreciation from the estimated repair or replacement cost. Our estimate details the depreciation applied to your loss. Based on our estimate, the additional amount available to you for replacement cost benefits (recoverable depreciation) is $ 52,536.18 . If you cannot have the repairs completed for the repair/replacement cost estimated, please contact your claim representative prior to beginning repairs. All policy provisions apply to your claim. Any person who submits an application or files a claim with intent to defraud or helps commit a fraud against an insurer is guilty of a crime. R2 2,577.92 Surface Area 307.73 Total Perimeter Length 19.79 Total Hip Length State Farm Source - Eagle View Source - Eagle View 25.78 Number of Squares 60.68 Total Ridge Length CONTINUED - R2 Driveway, sidewalk, concrete steps 0.00 SF Walls 0.00 SF Ceiling 0.00 SF Walls & Ceiling 0.00 SF Floor 0.00 SF Short Wall 0.00 LF Floor Perimeter 0.00 SF Long Wall 0.00 LF Ceil. Perimeter Door Main Level Main Level Dining Room Height: Peaked 1,475.80 SF Walls 2,007.51 SF Walls & Ceiling 105.85 LF Ceil. Perimeter 2' 4" X 6' 8" 531.70 SF Ceiling 472.70 SF Floor 99.62 LF Floor Perimeter Opens into GARAGE Door 2' 4" X 6' 8" Opens into GARAGE CONTINUED - Dining Room Avg. 80.00% CONTINUED - Dining Room Avg. 55.00% Rear Entry CONTINUED - Dining Room QUANTITY UNIT PRICE RCV TAX GCO&P 69. Demolish/remove - bedroom/room (up to 200 sf) 472.70 SF 3.23 0.00 70. Final cleaning - construction - Residential 472.70 SF Totals: Dining Room Door Door 7.60 305.36 16.08 612.78 3,532.72 1,832.18 104.04 21,369.43 172.81 SF Walls 200.24 SF Walls & Ceiling 21.60 LF Ceil. Perimeter 2' 8" X 6' 8" 2' 5" X 6' 8" AGE/LIFE DEPREC. CONDITION DEP % 7,405.28 27.43 SF Ceiling 27.43 SF Floor 21.60 LF Floor Perimeter Opens into Exterior Opens into DEF_1_2_BATH Subroom: Closet (1) 84.83 SF Walls 91.81 SF Walls & Ceiling 6.97 SF Ceiling 6.97 SF Floor 10.60 LF Ceil. Perimeter 10.60 LF Floor Perimeter 80.00% Date: 12/7/2017 4:05 PM 0.17 ACV 1,832.18 104.04 13,964.15 Height: 8' Height: 8' CONTINUED - Rear Entry CONTINUED - Rear Entry 1/2 Bath Height: 8' Door 2' 5" X 6' 8" Opens into REAR_ENTRY CONTINUED - 1/2 Bath Avg. 80.00% CONTINUED - 1/2 Bath Ceiling CONTINUED - Kitchen/Living Room 44.00% CONTINUED - Kitchen/Living Room CONTINUED - Kitchen/Living Room Entry/Foyer Height: 8' Missing Wall - Goes to Floor Door 3' 9" X 6' 8" Opens into LANDING 3' X 6' 8" Opens into Exterior Subroom: Closet (1) 137.33 SF Walls 155.75 SF Walls & Ceiling 17.17 LF Ceil. Perimeter 18.42 SF Ceiling 18.42 SF Floor 17.17 LF Floor Perimeter Door 2' 7" X 6' 8" Opens into ENTRY_FOYER Date: 12/7/2017 4:05 PM Height: 8' CONTINUED - Entry/Foyer Electrical CONTINUED - Entry/Foyer \| 2 4 9" Landing 3' " 6' 10" 5" \| \|---\| CONTINUED - Landing 80.00% CONTINUED - Landing CONTINUED - Garage CONTINUED - Garage CONTINUED - Upper Level \| Cl 3" 4' 9" HLianlelwn 17' 8" 10" 4' 2" 4' 3"3' 5 4' 3' 4" \| oset (1) 3" 4' aCyloseBt e 3" 2' \| \|---\|---\| \| \| B " 7" 2' s Bed p Goes to Ce \| \| Sta ng W \| \| CARAVALHO, JUDY QUANTITY UNIT PRICE 23-2090-G83 CONTINUED - Hallway 230.14 SF Walls 282.65 SF Walls & Ceiling 28.77 LF Ceil. Perimeter 52.51 SF Ceiling 52.51 SF Floor 28.77 LF Floor Perimeter Door 2' 1" X 6' 8" Opens into HALLWAY \| SF \| \| \| \| \|---\|---\|---\|---\| \| sti \| c c \| eili \| ng \| Avg. 80.00% Bathroom Height: 8' CONTINUED - Bathroom Avg. 80.00% CONTINUED - Bathroom Door 2' 9" 365.78 SF Walls 516.33 SF Walls & Ceiling 49.33 LF Ceil. Perimeter 2' 4" X 6' 8" Subroom: Offset (1) 66.24 SF Walls 68.82 SF Walls & Ceiling 8.28 LF Ceil. Perimeter 2.58 SF Ceiling 2.58 SF Floor 8.28 LF Floor Perimeter Subroom: Closet (2) 105.78 SF Walls 120.28 SF Walls & Ceiling 16.83 LF Ceil. Perimeter Height: 8' 14.50 SF Ceiling 14.50 SF Floor 12.50 LF Floor Perimeter Door 4' 4" X 6' 8" Opens into MASTER_BEDRO \| \| ing \| \| al floor .63 SF \| \| \| or cei \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| 1 \| Cl \| ean floo \| \| \| \| \| \| \| \| 67 \| .63 SF \| \| \| \| \| \| \| \| 5/ \| 8" dryw \| \| \| all - hung, taped, ready for 1.33 eiling w/PVA primer - one 0.40 \| d, ready for \| \| \| 1 \| 67.63 \| \| SF \| \| \| \| \| 318. \| \| Seal \| \| the c \| \| \| \| \| 167 \| \| \| .63 SF \| \| \| \| \| \| \| \| \| \| \| \| ceiling (popcorn) texture 0.56 \| \| \| 319. \| A \| \| cous \| \| tic \| \| \| Master Bedroom 150.55 SF Ceiling 150.55 SF Floor 45.00 LF Floor Perimeter Opens into HALLWAY Height: 8' Height: 8' CONTINUED - Master Bedroom Avg. 80.00% CONTINUED - Master Bedroom Bedroom 2 Height: 8' 337.56 SF Walls 442.48 SF Walls & Ceiling 44.83 LF Ceil. Perimeter 104.92 SF Ceiling 104.92 SF Floor 41.67 LF Floor Perimeter 2' 3" X 6' 8" Opens into HALLWAY Subroom: Closet (1) 85.56 SF Walls 95.83 SF Walls & Ceiling 13.33 LF Ceil. Perimeter Height: 8' 10.27 SF Ceiling 10.27 SF Floor 10.17 LF Floor Perimeter Door 3' 2" X 6' 8" Opens into BEDROOM_2 \| 45. Clean \| \| \|---\|---\| \| 11 \| 5.19 \| \| 46. 5 \| /8" \| CONTINUED - Bedroom 2 Avg. 80.00% CONTINUED - Bedroom 2 \| 115 . Fi \| .19 SF nal cleaning - c \| \|---\|---\| \| \| .19 SF \| \| 115 \| .19 SF \| 2' 5" X 6' 8" Opens into HALLWAY Door 4' 3" X 6' 8" Opens into BEDROOM CONTINUED - Bedroom CONTINUED - Bedroom Stairs Height: 17' 3' 5" X 17' Opens into HALLWAY Missing Wall Subroom: Stairs1 (2) 131.31 SF Walls 148.53 SF Walls & Ceiling 17.22 SF Ceiling 49.17 SF Floor 10.33 LF Ceil. Perimeter 17.80 LF Floor Perimeter 3' 4" X 17' Opens into LANDING Subroom: Landing (1) Height: 8' 104.07 SF Walls 127.21 SF Walls & Ceiling 19.76 LF Ceil. Perimeter 23.14 SF Ceiling 23.14 SF Floor 13.01 LF Floor Perimeter Missing Wall 3' 5" X 8' Opens into STAIRS Missing Wall 3' 4" X 8' Opens into STAIRS1 Height: 17' CONTINUED - Stairs CONTINUED - Stairs Missing Wall State Farm 880.11 SF Walls 1,396.73 SF Walls & Ceiling 110.01 LF Ceil. Perimeter 3' 4" X 8' 516.62 SF Ceiling 516.62 SF Floor 110.01 LF Floor Perimeter Opens into STAIRS1 Missing Wall 3' 5" X 8' Opens into STAIRS Basement Height: 8' Landing (1) Missing Wall Missing Wall Missing Wall Missing Wall State Farm 134.88 SF Walls 153.10 SF Walls & Ceiling 10.83 LF Ceil. Perimeter 18.22 SF Ceiling 49.83 SF Floor 19.05 LF Floor Perimeter 3' 5" X 17' Opens into BASEMENT Subroom: Stairs1 (2) Height: 17' 133.33 SF Walls 151.11 SF Walls & Ceiling 10.67 LF Ceil. Perimeter 17.78 SF Ceiling 48.61 SF Floor 18.76 LF Floor Perimeter 3' 4" X 17' Opens into LANDING 3' 4" X 17' Opens into BASEMENT Subroom: Landing (1) Height: 8' 104.07 SF Walls 127.21 SF Walls & Ceiling 19.76 LF Ceil. Perimeter 3' 5" X 8' 23.14 SF Ceiling 23.14 SF Floor 13.01 LF Floor Perimeter Opens into STAIRS Missing Wall 3' 4" X 8' Opens into STAIRS1 Walls Date: 12/7/2017 4:05 PM Stairs Height: 17' CONTINUED - Stairs Total: Basement 384.59 2,349.74 14,244.38 5,570.81 8,673.57 Miscellaneous 0.00 SF Walls 0.00 SF Floor 0.00 SF Ceiling 0.00 SF Short Wall 0.00 SF Walls & Ceiling 0.00 LF Floor Perimeter 0.00 SF Long Wall 0.00 LF Ceil. Perimeter 73.33% CONTINUED - HVAC CONTINUED - Front Elevation Avg. 73.33% CONTINUED - Right Elevation CONTINUED - Left Elevation Avg. 80.00% CONTINUED - Rear Elevation CARAVALHO, JUDY State Farm Line Item Totals: 23-2090-G83 7,317.58 45,738.90 275,057.48 105,782.66 23-2090-G83 169,274.82 Grand Total Areas: 7,407.13 SF Walls 2,804.61 SF Floor 2,804.61 Floor Area 5,912.11 Exterior Wall Area 2,577.92 Surface Area 60.68 Total Ridge Length 2,737.63 SF Ceiling 2,894.71 Total Area 437.90 Exterior Perimeter of Walls 25.78 Number of Squares 19.79 Total Hip Length 10,144.77 SF Walls and Ceiling 840.80 LF Floor Perimeter 868.25 LF Ceil. Perimeter 6,948.19 Interior Wall Area 615.46 Total Perimeter Length Recap of Taxes, Overhead and Profit Estimate: 23-2090-G83 Area: Source - Eagle View State Farm Recap by Room CARAVALHO, JUDY Total 23-2090-G83 222,001.00 100.00% R9 (1) Closet (2)
Modeling of FACTS Devices and Their Application in Intersystem Tie Lines of the United Power System of Central Asia Shukhrat Khamidov * United Power System of Central Asia, Coordinating Dispatching Center "Energy", Tashkent, Uzbekistan. Abstract — The paper analyzes the issues related to the application of flexible alternating current transmission systems (FACTS) for effective control of power flows in the electrical networks of the United Power System of Central Asia. the main electric networks and increases the generating capacity to meet the growing demand. Index Terms — power system, modeling, regulation, mode control, flexible power transmission. I. Introduction The United Power System of Central Asia (UPS CA) transmits electricity to consumers in the Republic of Kyrgyzstan, the Republic of Uzbekistan, four regions of southern Kazakhstan and the "dead-end" regions of Northern Tajikistan. At the same time, the power flows in the UPS do not always allow providing the levels of voltage and flows in cutsets in accordance with the standards. The technical level of emergency control is insufficient. This circumstance reduces the quality of power supply and reliability of the power system, creates prerequisites for serious disturbances of power system operation with severe consequences for the power supply to consumers. In January 2019, the installed capacity of the power plants in the UPS CA was 21.7 GW, electricity output – 89.3 b kWh. The length of 220-500 kV transmission lines was 21006.6 km, including 6054 km of 500 kV overhead lines. An analysis of the UPS operation has revealed some "weaknesses", for example, limited capabilities of parallel operation of power systems in the region due to insufficient transfer capabilities of transmission lines between neighboring power sub-systems, and problems with the voltage regulation at nodes. II. Effective control of UPS CA The region of Central Asia purposefully strengthens ___________________________________________________ * Corresponding author. E-mail: email@example.com http://dx.doi.org/10.25729/esr.2019.03.0006 Received September 11, 2019. Revised October 20, 2019. Accepted Nov. 21, 2019. Available online December 25, 2019. This is an open access article under a Creative Commons Attribution-NonCommercial 4.0 International License. © 2019 ESI SB RAS and authors. All rights reserved. At the Frunzenskaya substation, the voltage went down below specified 510 kV, to 478 kV, increased voltage levels were noted at the YuKGRES substation (up to 542 kV) and Almaty substation (up to 535 kV) due to insufficient operational control of net power flow through the UPS networks. There are problems with voltage regulation at 500 kV North-South transit substations. The sharply variable nature of the flows through this transit is the cause of frequent manual switchings of reactors and the operation of emergency control to switch off (on) the reactors. In some of the UPS operating conditions power flows in individual cutsets exceeded the permissible values by up to 30%. In 2018, the voltage on the busbars of the Tashkent and Syrdaria thermal power plants dropped to 485 kV, under specified 515 kV and 525 kV, respectively. III. Options for the control of operating conditions Successfully developing theory and practice of applying the technology of flexible controlled AC power transmission systems, i.e. FACTS devices, make it possible to carry out the studies and develop recommendations for the adoption of this technology in the UPS of Central Asia. One of the key elements of FACTS is a reactive power source (RPS) capable of both generating and consuming reactive power depending on the required operating parameters and specified characteristics of the power system. The main objectives of the FACTS technology application are [1, 5, 6, 7] to increase the transfer capability of power lines to the thermal limit; maintain a set voltage, optimize power flows in a complex heterogeneous network; and increase the static and dynamic stability of the United Power System (UPS). The FACTS devices are divided into several types depending on their specific purpose. For example, SVC, STATCOM, and TCSC types are used to meet voltage constraints; TC SC, SC, and UPFC types are used to satisfy thermal limits; TCSC and SSSC are used to improve stability. Among the above types of devices, TCSC (Thyristor Controlled Series Capacitor) can be used for control in all three of these cases. The use of FACTS technology allows obtaining various corrective actions depending on the conditions of a specific control problem, reducing the gap between controlled and uncontrolled operating conditions of the UPS, by providing the dispatching personnel with additional degrees of freedom to control power flows and voltage in the network areas with power surplus and shortage. Let us consider two models of power flow calculation in three-phase networks with TCSC device with the view to increasing the efficiency of control of the operating parameters in the UPS of Central Asia. a) A model of power flow for variable impedance control A mathematical model of TCSC based on three-phase susceptance is obtained by combining separate singlephase TCSC modules. To control the active power flow passing through three TCSC channels, the value of the desired susceptance of BTCSC is determined using the Newton-Raphson method [4]. 𝐈 𝐁 𝐔 𝑗 𝐁 Since all three TCSC modules are not related in terms of electromagnetic interaction, the matrix elements from (1) 𝐁 can be determined as follows: 𝐁 𝐁 𝐁 𝐁 𝐁 where Х ph is the equivalent reactance for the fundamental frequency of the network. 𝑗 𝑗 In this case, the governing equation for the three-phase network is a system of three matrix equations (1), i.e. 𝑗 The TCSC admittance can be determined based on the equivalent circuit shown in Fig. 1. Assuming that index "ph" successively takes the values a, b, c, we obtain substitution of subscript 1 in equations (4), (5) by subscript 2. The values of the three-phase power applied to bus 1 are defined by the following equations: 𝑃𝑃 " #$ = 𝑈𝑈" #$𝑈𝑈' #$𝐵𝐵 "' #$) sin(𝛿𝛿" #$ −𝛿𝛿' #$) ; (4) 𝑄𝑄" #$ = −(𝑈𝑈" #$)𝐵𝐵 "" #$,−𝑈𝑈" #$𝑈𝑈 #$𝐵𝐵 "* #$, cos(𝛿𝛿" #$ −𝛿𝛿* #$). (5) The equations of power at bus 2 are obtained by dual Partial derivatives of power equations with respect to 𝐵𝐵𝐵𝐵𝐵𝐵 1 𝑃𝑃 𝑟𝑟𝑟𝑟𝑟𝑟 𝑎𝑎 𝐵𝐵𝐵 𝐵𝐵 𝐵𝐵𝐵 2 𝐵𝐵 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑈 𝑈 𝑈 𝑈 𝐵 𝑈 1 𝑐𝑐 𝑈 2 𝑐𝑐 Figure 1. A TCSC equivalent circuit in a three-phase network (with a susceptance model.) 𝑈 Х ph have the form Then the process of TCSC-based control of active power flow from bus 1 to bus 2 will be described by the following iterated linearized equations: Where ∆𝑃𝑃 "# $%.Х is the imbalance of active power flow 𝑃 b) A model of power flow when controlling the advance angle calculated as ∆ 𝑃 "# $% . Х = 𝑃𝑃 "# $%. Х)*+ −∆ 𝑃 "# $%.Х , ∆Х ph is a continuous increment of reactance of the series connected TCSC. An alternative to equation (6) is the equation obtained using a three-phase model with thyristor advance angles considered as elements of the system state. Figure 2 shows the corresponding equivalent circuit of TCSC. 𝜕 The admittance matrices in each of the considered TCSC models coincide (equations (1-3)). The equations of power (4), (5) also coincide. Therefore, in equation (6) for the case of advance angles control, one should make only the corresponding changes in the matrix elements: 𝜕 𝜕 𝜕 𝜕 𝜕 𝛿 𝛿 𝑈 𝑈 𝛽 𝑃 𝑃 𝑃 𝑃 𝑃 𝜕 𝛿 𝛿 𝑈 𝑈 𝛽 𝜕 𝜕 𝜕 𝜕 𝑈 𝛿 𝛿 𝑈 𝑈 𝛽 𝛿 𝛿 𝑈 𝑈 𝛽 𝜕 𝜕 𝜕 𝜕 𝜕 𝜕 𝜕 𝜕 𝜕 𝑃 𝑃 𝑃 𝑃 𝑃 IV. C onclusion The application of FACTS technology in power systems will open up new opportunities to control power flows in transmission lines by providing transfer capabilities of lines up to the limit of thermal resistance of the wires; to maintain voltage at nodes within standard limits; and increase the static and dynamic stability margins in the system. The reactance of TCSC at the main frequency of the network, as a function of the thyristor advance angle, can be represented by the following equation [2, 3] The presented two models for calculation of power flow in a three-phase network help effectively control the operating parameters of the power system by providing an almost inertia-free generation of control actions to the executive elements of FACTS devices. 𝑋𝑋 𝑎𝑎 1 𝑈𝑈 eferences R [1] Misrikhanov M. SH., Ryabchenko V. N., Khamidov SH. V. Calculation of power flows in electric networks with devices FACTS: Ivanovo State power engineering University. Ivanovo, p.208, 2018, (in Russian.) [2] Acha E. A. FACTS: Modeling and Simulation in Power Networks, E. A. Acha, a.o. – John Wiley & Sons, 2004. [3] Fuerte-Esquivel C. R. A Thyristor Controlled Series Compensator Model for the Power Flow Solution of Practical Power Networks, C. R. Fuerte-Esquivel, E. A. Acha, H. Ambriz-PE'rez, IEEE Trans. Power Systems, No. 15(1), pp. 58-64, 2000. [4] Anderson P. Grid Management and stability, P. Anderson, A. Fouad. - Moscow: Energia, 1980, (in Russian.) [5] Huang, Z. Y. Application of unified power flow controller in interconnected power systems-modeling, interface, control strategy, and case study, Z. Y. Huang [and others], IEEE Press, 2000, No. 2-Z. Pgs.: 817824. [6] Song, Y. H. Flexible AC Transmission Systems (FACTS), Y. H. Song, A. T. Johns. – London: IEEE Press, 1999. [7] Hingorani N. G. Flexible AC Transmission Systems (FACTS), Overview, Hingorani N. G., Paper presented at the Panel Session of FACTS. IEEE PES 1990 Winter Meeting. Atlanta, 1990. Shukhrat Khamidov has the D. Sc. degree in engineering. He works as a leading engineer for the United Power System of Central Asia, Coordinating Dispatching Center "Energy", Tashkent, Uzbekistan. His main research interests are Operation of Electrical Systems and Networks.
ORIGINAL ARTICLE Secular Trends in An Indian Intensive Care Unit-database Derived Epidemiology: The Stride Study Manu Varma MK 1 , Bhuvana Krishna 2 , Sriram Sampath 3 Abstract Context: The Indian Society of Critical Care Medicine (ISCCM), had taken an initiative to enable all Indian ICUs (Intensive Care Unit) to capture and store relevant data in a systematic manner in an electronic database: "CHITRA" (Customized Health in Intensive Care Trainable Research and Analysis tool). Aims: This study was aimed at capturing, and summarising longitudinal epidemiological data from a single tertiary care hospital ICU (Intensive Care Unit), based on a pre-existing database and the CHITRA (Customized Health in Intensive Care Trainable Research and Analysis tool) system. Settings and design: Prospective Observational Methods and material: Data was extracted from two databases, a pre-existing database, arbitrarily named pre-CHITRA (January 2006 to April 2014), and the CHITRATM database (October 2015 to January 2018). Diagnoses of the patients admitted were tabulated using the ICD10 (International Statistical Classification of Diseases and Related Health Problems 10th Revision) coding format. The outcomes were summarised and cross tabulated. Statistical analysis used: Cross tabulations were used to display summarized data, analysis of outcomes were done using t test and regression analyses, and correspondence analysis was used to explore associations of descriptors. Results: A total of 18940 patients were admitted, with a male preponderance, and the median age was fifty-two years. Most of admissions were from emergency (62%). The age (0.3, p = 0.000, CI (0.2 - 0.38)) and mean APACHE II score of patients had increased over the years (0.18, p = 0.000 CI (0.12-0.25). The ICU mortality had decreased significantly over the years (–0.04, p = 0.000, CI (–0.05 to –0.03)). The most common admission diagnosis in the pre-CHITRA database was general symptoms and signs (ICD10 R50-R69), and in the CHITRA database was Type1 Respiratory failure (ICD 10 J96.90). Conclusion: This study has shown the utility of the CHITRA system in capturing epidemiological data from a single centre. Keywords: Customized Health in Intensive Care Trainable Research and Analysis tool (CHITRA), International Statistical Classification of Diseases and Related Health Problems 10th Revision (ICD 10), Admission Diagnosis, Comorbidity, Intensive Care Unit (ICU) Key messages: The utility of the CHITRA system in capturing epidemiological data has been shown. Indian Journal of Critical Care Medicine (2019): 10.5005/jp-journals-10071-23175 Introduction The practice and services provided by intensive care units (ICUs) vary across and within the countries. 1 Patients in different ICUs can exhibit substantial variations in comorbidities, casemix, and severity of illness scores. In ICUs, secular variations in patient population and severity of illness are not unexpected. 2,3 Longitudinal epidemiological studies can be utilized to assess and quantify the impact of changes in healthcare delivery. 4 Studies have compared mortality among gender and different age groups. 4,5 A time series analysis in United States ICU from 1988 to 2012 showed mortality reduction accompanied by an increase in severity of illness and chronic health conditions. 6 Current available epidemiological studies from Indian ICUs are restricted to multicentre cross-sectional studies or descriptive studies pertaining to specific subgroups of patients. 7,8 1–3Department of Critical Care Medicine, St. John's Medical College and Hospital, Bangalore, Karnataka Corresponding Author: Bhuvana Krishna, Department of Critical Care Medicine, St. John's Medical College and Hospital, Bangalore, Karnataka, Phone: +919945693221, e-mail: bhuvana.11@gmail. com How to cite this article: Manu Varma MK, Krishna B, Sampath S. Secular Trends in An Indian Intensive Care Unit-Database Derived Epidemiology: The Stride Study. Indian J Crit Care Med 2019;23(6):251–257. Source of support: Nil Conflict of interest: None In Indian ICUs, organized data collection and analysis are at different stages of development. 9 Current utilization of computing technology in Indian ICUs are limited to the most basic technology, such as access to laboratory data or medical imaging. 10 The private healthcare sector in India has a limited form of electronic health records (EHR) but has not begun public exchange of health information to improve quality of care; however, the situation is changing due to the efforts being made by government and industry. 11 In the year 2014, Indian Society of Critical Care Medicine (ISCCM), took an initiative to enable all Indian ICUs to capture and store relevant data in a systematic manner in an electronic data base "CHITRA" (Customized Health in Intensive Care Trainable Research and Analysis tool). 12 This database did not require a sophisticated EHR, and aimed to be an independent system. 12 The current study is aimed at capturing and summarizing longitudinal epidemiological data from a single tertiary care hospital ICU, based on a preexisting database and the CHITRA system. © The Author(s). 2019 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (https://creativecommons. org/licenses/by-nc/4.0/), which permits unrestricted use, distribution, and non-commercial reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Subjects and Methods The study was performed in a 30-bedded tertiary care ICU of 1,200 beds medical college hospital. Approval was obtained from the Institutional Ethics Committee (IEC; Ref No. 237/2015). Informed consent was obtained from the legally authorized representative at admission. Data was extracted from two databases, a preexisting database and the CHITRA TM database. The preexisting database had information of patients who were admitted to the ICU between January 2006 and April 2014. This database will henceforth be referred to as pre-CHITRA database in this article. Patients admitted to the ICU between 1st October 2015 and 1st January 2018 had data captured at bedside computers in which the CHITRA database had been installed. Material for this study was extracted from both databases. Admitting diagnoses of each patient was classified as comorbidities or disease by the medical staff and was entered into CHITRA database. Data necessary for calculating severity of illness was captured by ICU secretarial staff who had been trained for data entry. At discharge, outcomes were captured by secretarial and senior nursing staff. Formal training was given to medical and nursing staff to ensure that data entry was part of their daily work pattern. Random checks were done to ensure completeness and accuracy of data capture. The diagnoses of the patients admitted from year 2006 to 2014 were extracted from pre-CHITRA database and tabulated using the ICD10 (International Statistical Classification of Diseases and Related Health Problems 10th Revision) coding format. 13 Admission diagnoses entered in the pre-CHITRA database had been stored as ICD9 codes, which are now obsolete. These ICD9 codes were then converted to current ICD10 codes using mapping tools provided by the Unified Medical Language System (UMLS) terminology services of the U.S National Library of Medicine, National Institutes of Health. 14 The CHITRA database automatically generated and stored the data as SNOMED CT TM (Systematized Nomenclature of Medical Terms, Clinical Terms http://www.snomed.org) codes from the entered variables. To facilitate communication and understanding, these SNOMED codes were converted to ICD10 codes by using the mapping tools mentioned above. The CHITRA database also allowed classification of data as diseases and comorbidities. Relevant outcomes were also extracted from both databases using customized scripts. Outcomes Measured Demographic details: Age, length of stay (LOS), gender, and source of admission were tabulated and status at discharge from ICU was captured. The length of ICU stay for each ICD10 code was calculated as a difference between the date of admission and date of ICU discharge. The acute physiology scores, APACHE II (Acute Physiology and Chronic Health Evaluation II), were calculated from the acute physiological variables that were entered into the databases. 15 The information collected and results generated were classified as pre-CHITRA and CHITRA data. Data cleaning, analysis, and tabulation were performed using the statistical software STATA (TM) v14. 16 Admission diagnoses were tabulated using the ICD10 system. The most common disease codes were summarized and cross tabulated with respect to measured outcomes, from both pre-CHITRA and CHITRA databases. Statistical Analysis The outcomes were summarized and cross tabulated for display. Analysis of continuous measure outcomes were compared using t test, and regression analyses were done with outcomes as dependent variables and time as the independent variable. The change in proportion of ICD10 classes over time was shown using a stacked area chart. Most frequent associations of comorbidities and diseases were displayed using the STATA command "tabplot" and represented as a heat map. As patients could have multiple overlapping comorbidities and diseases, cross tabulation would have not been appropriate to explore underlying associations between comorbidities, and between comorbidities and diseases. The most common comorbidities and associated diseases were subjected to correspondence analysis using the command "ca" in STATA(TM) v14. 16 The R software package was used to generate rotational 3D plots after correspondence analysis. 17,18 Results The data in this study were extracted from clinical information systems used in the ICU for the past 12 years. From 2006 to 2014, data were extracted from the pre-CHITRA database and following this period, the CHITRA database was used. Table 1 shows demographics of all patients admitted to ICU and cross tabulated against clinical outcomes. A total of 18,940 patients were admitted with a male preponderance, and the median age of 52 years. Most of the admissions were from emergency room (62%), followed by inpatient wards (30%). Figure 1 shows the trends in age, APACHE score, and ICU mortality over the years. Regression analyses has shown that the age (coef. 0.30, p = 0.00, CI 0.23–0.38), and APACHE II scores (coef. 0.18, p = 0.000, CI 0.12–0.25) of patients had increased over the years. The ICU mortality had decreased (coef. 0.04, p = 0.000, CI -0.05– -0.03) over the years. The most common acute admission diagnoses and corresponding ICD10 classification of disease codes from preCHITRA database are shown in Table 2. The two most common admission diagnoses which could be grouped together under an ICD10 class were, a) general symptoms and signs (ICD10 R50-R69) in 1,432 (10%) patients, and b) renal failure (ICD10 N17-19) in 1,412 (10%) patients. There were 573 admissions due to diseases of liver (ICD10 K70-K77) and this group had the highest mortality (41.01%). Fig. 1: Trend of age, APACHE II and death of patients at admission and outcomes in ICU Age in years, APACHE II and patients died in ICU are shown as mean and 95% confidence intervals, APACHE II: Acute Physiology and Chronic Health Evaluation II, ICU: Intensive Care Unit Table 1: Demography APACHE II : Acute Physiology And Chronic Health Evaluation II, DAMA: Discharge against medical advice, IQR: Interquartile range, LOS: Length of stay in ICU, SD:standard deviation Table 2: Pre-CHITRA (2006-2014) common diagnoses on admission APACHE II: Acute Physiology And Chronic Health Evaluation II, DAMA: Discharge Against Medical Advice, ICU: Intensive care unit, ICD10: Inter national Statistical Classification of Diseases and Related Health Problems 10th Revision, LOS: Length of stay in ICU. N: Numbers of diagnoses, %-in number of subjects, SD: Standard deviation Table 3: Chitra (2015–2017) most common diagnosis APACHE II: Acute Physiology And Chronic Health Evaluation II, DAMA: Discharge Against Medical Advice ICU: Intensive care unit, ICD10: International Statistical Classification of Diseases and Related Health Problems 10th Revision, LOS: Length of stay in ICU. N: Numbers of diagnoses, %-in number of subjects, SD: Standard deviation Information from October 2015 to January 2018, which had been extracted from the CHITRA database, is shown in Table 3. Cross tabulations of the most common diseases with their severity of illness scores, corresponding mortalities, and length of stay have been displayed. Discharge against medical advice (DAMA) and death in ICU are shown as ICU mortality to provide more conservative estimates of ICU survival. Type 1 respiratory failure (ICD10 J96.90) was most common diagnosis made at admission. It was followed by acute renal failure and pneumonia. Septic shock (ICD 10 R65.21) had highest mortality (52%) in the CHITRA dataset. There are 22 ICD10 classes, and all are not relevant in adult ICUs. For ease of visual display, they have been collapsed into 12 mutually exclusive classes. The variation in numbers of diagnoses in these ICD10 classes over time has been shown as a percentage of the total number of diagnoses in the stacked area chart in Figure 2. The secular trends in ICD10 diagnostic classes at admission for the last 12 years can be appreciated by the variation in the areas occupied by each ICD10 class. The increase in number of external causes of morbidity/trauma and miscellaneous diagnoses can be appreciated by the increase in area occupied by these disease classes over time. From 2015 onwards in the CHITRA database, comorbidities and admission diagnoses were captured as separate entities. There were 12,691 diagnoses from 4,908 patients of which 3,552 (28%) were recorded as comorbidities and 9,139 (72%) were recorded as diseases. There was an average of four diseases (range 1–15) entered as diagnoses for each patient. There was an average of one comorbidity recorded for each patient (range 0–10), and 30% of patients did not have any comorbidity recorded. Circulatory system (hypertension and heart disease) co-morbidities and endocrine (diabetes mellitus) comorbidities comprised more than 80% of the recorded comorbidities. As each patient could have many comorbidities and diseases, the commonly encountered associations between comorbidities and diseases are displayed in Figure 3. The most common comorbidities are shown as columns and the disease percentages for each column are shown as a heat map in the Figure 3. The shaded area is proportional to the figures in the columns. Trauma, miscellaneous, and toxicology were major associated diseases (30%) in patients without any comorbidities. Patients with respiratory system related comorbidities had Circulatory: ICD10 I, External causes of morbidity/Trauma: ICD10 S-T, V-Y, Respiratory: ICD10 J, Genito_Urinary: ICD10 N, Endocrine: ICD 10 E, Miscellaneous: ICD10 R(Not elsewhere classified), Digestive:ICD10K,Nervous:ICD10 F-G, Haematological: ICD10 C-D,Infectious:ICD10A-B, Connective: ICD10 L-M, Obstetric: ICD10 O-P increased admission with an acute diagnosis from respiratory disease (36%). A three-dimensional (3D) rotational plot of a correspondence analysis of comorbidities and diseases is shown in Figure 4 in two dimensions. These three dimensions could visualize 90% of the variability of the data. The 3D plots were rotated to optimize visualizations and associations. Diseases and comorbidities clustered close to the intersection of the three axes are not strongly associated. Digestive co-morbidities and diseases are clustered close to each other in one axis and far away from the intersection displaying the strong association. Cardiovascular, endocrine and genitourinary comorbidities and diseases were expectedly clustered together along an axis. The respiratory comorbidities were not associated with any other disease other than respiratory disease. 1: No Comorbidity, 2: Miscellaneous external disease (ICD10 H, L, M, Q-R, S-Z), 3: Circulatory (ICD10 I), 4: Endocrine (ICD10 E), 5: Genito-Urinary (ICD10 N), 6: Digestive (ICD10 K), 7: Respiratory (ICD10 J), 8: Nervous (ICD10 F-G), 9: Haematological-Neoplastic (ICD10 C-D), 10: Infectious and parasitic (ICD10 A-B) Fig. 4: Three-dimensional plot of correspondence analysis comorbidities and diseases Com, comorbidity; Dis, disease; None, no comorbidity; Misc, miscellaneous external disease (ICD10 H, L, M, Q-R, S-Z); CVS, circulatory (ICD10 I); Endoc, endocrine (ICD10 E); GenUrin, genito-urinary (ICD10 N); Digest, digestive (ICD10 K); Resp, respiratory (ICD10 J); CNS, nervous (ICD10 F-G); Haem, haematological-neoplastic (ICD10 C-D); ID, infectious and parasitic (ICD10 A-B) No comorbidities and miscellaneous diseases were associated, but this is not well seen in the projection in Figure 4. Discussion This study has captured epidemiological trends over a 12-year period from a single center. The ICU continued to be a closed ICU since 2006 and there were no major changes in organizational structure and no specialized units were introduced. Data from over 18,000 patients have been tabulated with key outcome parameters and disease codes, which could serve as a reference point for future comparisons for Indian ICUs. This study has also shown the utility of the CHITRA system in capturing epidemiological data. The median age at admission to ICU in our study (52 years) differed from ICON audit (62 years) and KIND study (64.3 years), which is not unexpected as developing countries have younger populations. 19,20 Of the total admissions, male patients were higher in number with male to female ratio of 1.73:1. Similar higher male to female admissions were shown from Korean, Austrian, and American ICUs. 20–22 In this study, most of the admissions were from emergency room followed by inpatient wards, similar to the data from American ICUs. 22 Studies from Korea, Austria, and Scandinavia have reported mortality rates in ICU of 13.8%, 17.6%, and 16.9%, respectively. 20,21,23 The mortality over our study period was higher than these studies (23%). This is even higher when compared to data from INDICAPS (18.1%) and ICON audit (14%). 7,19 Average APACHE II of patients who survived ICU in our study was 18, and who did not survive ICU was 23. This is comparable to the INDICAPS study where the mean APACHE II at admission of survivors was 16.1 and non survivors was 23.6. 7 The dissimilarity in mortality noted between our study and INDICAPS study may be due to differences in health care system across the countries. In a developing country, financial constraint may compel family members to opt for discharging patients against medical advice (DAMA). The APACHE II scores for these DAMA patients is similar to the patients who died in ICU suggesting that severity of illness and perceived poor prognosis may have influenced this decision. In our study, there was a trend towards decrease in ICU mortality over the years despite an increase in age and APACHE II score which may reflect improvement in general standards of critical care over the last decade. This is supported by published data from the same institution in 1998, where the average age was 42 years, and the ICU mortality rate was 38%. 24 Length of stay in ICU remained unchanged around 2 days over the study period. ICON audit showed mean LOS of 3 days. 19 Data form US has shown significant decrease in mortality (from 5.81% to 5.7%) and length of ICU stay (from 3.11 to 3.0 days) over 5 years (2009 to 2013). 25 From pre-CHITRA database (Table 2), largest admission diagnosis group was with general symptoms and signs (ICD9R50-69) which could include fever, hemorrhage, shock, and other unspecified illness. The next common diagnostic group i.e. renal failure (ICD9- N17-19, 10%), was followed by pneumonia (ICD9- J1315.9, 7%) and accidents (ICD9 -V01-X59, 6%). This contrasts with the data from developed countries which show cardiovascular diseases, trauma, surgery, and surgery unspecified as most frequent reasons for ICU admissions. 21 The multicenter point prevalence study of infection, EPIC II, has shown that pneumonia was the most common diagnosis among infections. 26 It is difficult to draw conclusions from data which were collected a decade ago as the standards for documentation of diagnoses would have varied. From 2015, the CHITRA database was used for data collection, and the inbuilt mapping of text to SNOMED probably improved the accuracy of classification. This data (Table 3), shows respiratory failure as the most common reason for ICU admission, followed by acute renal failure, septic shock, and pneumonia. The INDICAPS study had shown diseases involving the cardiovascular system as the most common reason for ICU admission to medical ICU. 7 The stacked area chart (Fig. 2) shows a general decrease in proportion of circulatory system diseases and endocrine diseases over the study period. Also, there was an observed increase in proportion of trauma and miscellaneous (toxicology) diseases. Fiveyear trends in US had shown decrease in both cardiovascular and toxicology diseases with increase in endocrine disorders, especially diabetes related complications. 25 Our observations reflect changing case-mix and demographics of admitted patients. As expected, patients without any comorbidities had miscellaneous, trauma, and toxin related admissions, as compared to other acute admission diagnosis. The 3D plotting of the correspondence analysis revealed interesting associations, which was not shown in standard cross tabulations. A report from Spanish health survey gives a comprehensive explanation of correspondence analysis applied in the context of nation's state of health. 27 By visualizing the table in the form of a map of points representing the rows and columns of the table, it has shown the use of correspondence analysis to interpret a simple cross tabulation. 27 The CHITRA application has allowed comorbidities and diseases to be accurately coded and captured. To the best of our knowledge, 3D plotting of a correspondence analysis between ICU comorbidities and diseases has not been commonly reported. Clinical information systems deployed in the ICU will continue to generate multi-dimensional data and 3D plots are part of the toolkits for multivariate data analysis. 28 Our study had a number of limitations. The diagnoses tabulated are from those recorded at admission and are not confirmed diagnoses. The diagnoses have been abstracted from records, and in the earlier years, there was no rigor in documentation. Metrics tabulated are indicative of outcomes, considering the presence of at least that disease as diagnosis. Presence of additional diagnosis may have had an unfavorable impact on outcomes. An outcome like 90-day mortality would have been more appropriate but was logically difficult to capture. The most common disease groupings have been displayed. Efficient visual presentation of all combinations of diseases and outcomes, from such a large group of patients, and diagnoses is difficult. The goal of creating national datasets will be served if more ICUs engage in systematic collection and collation of epidemiological data. Local and national level diagnostic, procedural and outcome data has to be captured to optimize health care delivery. Accurate collection, storage, and analysis of this high dimensional data will need planning of information technology resources. The CHITRA system can be adapted and effectively utilized for further multicenter epidemiological studies in the future. Conclusion Intensive care units are data rich environments and collection and analysis of this high dimensional data will require adoption of new technologies. This study has shown the utility of the CHITRA system, which was developed by the ISCCM in capturing and storing epidemiological data in a systematic manner. Acknowledgement We acknowledge ISCCM for developing CHITRA and granting us the permission to utilize and publish data from the same. References 1. Wunsch H, Angus DC, Harrison DA, Collange O, Fowler R, Hoste EA, et al. Variation in critical care services across North America and Western Europe. Crit Care Med. 2008;36(10):2787–2793. doi: 10.1097/ CCM.0b013e318186aec8 2. Hartl WH, Wolf H, Schneider CP, Küchenhoff H, Jauch K-W. Secular trends in mortality associated with new therapeutic strategies in surgical critical illness. 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Lancet Respir Med. 2014;2(5):380–386. doi: 10.1016/S2213-2600(14)70061-X 20. Park J, Jeon K, Chung CR, Yang JH, Cho YH, Cho J, et al. A nationwide analysis of intensive care unit admissions, 2009–2014–The Korean ICU National Data (KIND) study. J Crit Care. 2018;44:24–30. doi: 10.1016/j. jcrc.2017.09.017 21. Valentin A, Jordan B, Lang T, Hiesmayr M, Metnitz PG. Genderrelated differences in intensive care: a multiple-center cohort study of therapeutic interventions and outcome in critically ill patients. Crit Care Med.. 2003;31(7):1901–1907. doi: 10.1097/01. CCM.0000069347.78151.50 22. Mahmood K, Eldeirawi K, Wahidi MM. Association of gender with outcomes in critically ill patients. Crit Care. 2012;16(3):R92. doi: 10.1186/cc11355 23. Strand K, Walther SM, Reinikainen M, Ala-Kokko T, Nolin T, Martner J, et al. Variations in the length of stay of intensive care unit nonsurvivors in three Scandinavian countries. Crit care. 2010;14(5):R175. doi: 10.1186/cc9279 24. Sampath S, Fay M, Pais P. Use of the logistic organ dysfunction system to study mortality in an Indian intensive care unit. Natl Med J India. 1999;12(6):258–261. 25. Lilly CM, Swami S, Liu X, Riker RR, Badawi O. Five-Year Trends of Critical Care Practice and Outcomes. Chest. 2017;152(4):723–735. 26. Vincent J-L, Rello J, Marshall J, Silva E, Anzueto A, Martin CD, et al. International study of the prevalence and outcomes of infection in intensive care units. Jama. 2009;302(21):2323–2329. 27. Greenacre M. Correspondence analysis of the Spanish National Health Survey. Gac Sanit. 2002;16(2):160–170. 28. Friedman HP. Strategies for Multivariate Data Analysis: Case Studies. In: Acquisition, Analysis and Use of Clinical Transplant Data. Springer; 1987. p. 51–68.
March/April Where can I fi nd a church that uses the Prayer- Volume , Number V l N b M I I e Bi-Monthly Magazine of the Prayer Book Society Book? Page Refl ections from the Page Editor's Desk Richard Hooker on e Book of Common Prayer in Irish Gaelic, Common Prayer Page e Book of the Common Prayer, Page Hooker, Book V, chapter Page xxiv e Book of Common Page Prayer, Hooker, Book V, chapter Page xxv e Book of Common Prayer, Page Hooker, Book V, chapter Page xxvi e Book of Common Page Prayer, / e BCP annotated Page All Saints Church, Char- Page lottesville, Va. e offi cial Book of Page Homilies Prayer Books, CD's & new Page Books E Worship the Lord in the Beauty of Holiness We list parishes using the BCP by state or area, their ecclesiastical jurisdiction (Episcopal Church or "Continuing Church"), and all of their services, if from the , or the ones that use the BCP. e Reformed Episcopal Church uses a Prayer Book which includes both the (Church of England) and much from the . Concerned Churchmen. is directory does not tell what prayer book is used. You may order from the editor, Mrs. Jane Nones, Dupont Avenue South, Minneapolis, MN , telephone: () . An excellent reference is the Directory of Traditional Anglican and Episcopal Parishes, published by the Fellowship of Please let us know of other parishes that use the BCP. We are glad to know of them, and also that folks are reading Mandate. Since we can only list each parish once, it might be a good idea to keep the issues of Mandate that have this column to use for future reference. Southeast Florida (partial listing) e Church of the Guardian Angels (Episcopal Church, FinFNA) West Palm Beach/Lake Worth/ Lantana Boca Raton/Deerfi eld Beach Drew Street St. Peter's Church (Anglican Province of America) Cardinal Lane Sunday, : pm Holy Communion (Saturday) Lantana, FL - : am Holy Communion (Advent Easter Day) e Rev. David C. Kennedy, SSC, Rector : am Holy Communion e Rev. James C. Stoutsenberger, Assisting Priest e Church of the Holy Spirit (Anglican Province of Christ the King) West Palm Beach, FL - Sunday, : am Morning Prayer : am Holy Communion e Rt. Rev. Edward E. LeCour, Rector : pm Evening Prayer St. Augustine's Church (Anglican Catholic Church) West Palm Beach, FL Forest Hill Boulevard e Rev. James G. Monroe, SSC, Priest- Sunday, : am Holy Communion in-Charge e Venerable John D. Shuman, Assistant Please write the Rev. Fr. David C. Kennedy, SSC at Cardinal Lane, Lantana, FL - if you know of parishes that use the BCP. Needless to say it will take a long time to list them all! Praise God for that!!! SE nd Terrace Deerfi eld Beach, FL Sunday, : am Holy Communion Boynton Beach/Delray Beach E. Martin Luther King Jr. Blvd. (NE th Avenue) St. Cuthbert's Church (Episcopal Church) Boynton Beach, FL - Sunday, : am Holy Communion e Rev. David C. Kennedy, SSC, Rector St. Mary's Church (Anglican Province of America) Homewood Boulevard Delray Beach, FL Sunday, : am Holy Communion : am Holy Communion e Rev. Erich A. Zwingert, SSC, Rector e Rev. Canon Richard A. Smith, Assistant e Rev. Robert H. Hammes, Deacon T M March/April Editor: Volume , N umber T e Rev'd Dr.. Peter Toon•Design/Layout: Boldface Graphics Michael W. Freeland (Pennsylvania); Dr.. Herb Guerry (Georgia); e Rev'd David C Kennedy SSC (Florida); e Rev'd Bill Martin (California); e Members of the Board of Directors of the Prayer Book Society: he Rev'd Wayland Coe (Texas); e Rev'd Joseph S. Falzone (Pennsylvania); Mr. e Rev'd Jonathan Ostman III, SSC (Rhode Island); Mrs Marilyn Ruzicka (New York); Mrs Miriam K. Stauff (Wisconsin); MANDATE is published six times a year by the Prayer Book Society, a non-profi t organization serving the Church. e Rev'd Dr.. Peter Toon (England); Mr. Luther Dan Wallis (California); & Mr. W. Denman Zirkle (Florida). All gifts to the P.B.S. are tax deductible. Recipients of Mandate are encouraged to send a minimum gift of .. M Editorial and all other correspondence: P.O. Box , Philadelphia, PA . Phone --PBS-. E world-wide web address is http://www.episcopalian.org/pbs Postmaster: Please send address changes to the above address. Page Refl ections from the Editor's Desk By e Rev'd Dr. PeterToon It has always seemed odd, sometimes amazing, to me that, amongst those members of the Episcopal Church who bemoan her downward spiral into apostasy, very few (Anglo-Catholic or Evangelical) entertain the possibility that her public, offi cial Liturgy was and is a major cause of that apostasy. "ECUSA may be apostate but its Liturgy is OK." being persuaded by theories of dynamic equivalency for translation work, they do not seriously consider whether the Psalter should be used for genuine Christian worship or whether the NIV and NRSV are suitable versions for reading in public worship. If a Church (e.g. the ECUSA) is in doctrinal, moral and numerical decline, the probability is that anything she produces will be aff ected by that decline, especially if she produces a whole new prayer book and with it rejects her former So while Catholics have been deeply upset by the feminist agenda & successes in the ECUSA with its ordination of women and the changing of God-language to please radical women, and while the Evangelicals have been upset by the seeming setting aside of the authority of Scripture, it does not seem to occur to them that the It is hard for me to forget two common attitudes with respect to the ECUSA prayer book. formularies (BCP, Ordinal & Articles of Religion) in so doing. (a) An Anglo-Catholic view: this is that the prayer book is the best Anglican prayer book since the fi rst edition of the BCP () for like that of it is truly catholic. It is held that the BCP was heavily protestantised by Archbishop Cranmer to make what became the nd edition of , which (with few changes) prayer book with its additional services in the s & s, and the momentum of liturgy and doctrine therein expressed, actually was and is a vehicle for the promotion of what they dislike. at is, while they use the rites in their own ways for their own churchmanship, the larger church constituency uses the same rites, and those spawned after and approved by the General Convention, to promote the very agendas that the traditional catholics and evangelicals hate! And this does became the classic English edition of . e American Liturgical Commission (though fi lled primarily with modern liberally inclined liturgists!) recovered the truly catholic elements of the western tradition in the texts and rites of their book. Evidence of this includes the new "Shape" of the Eucharist, the inclusion of "the Peace" and the placing of the Gloria at the beginning of the Mass; they also point to the availability of a rite for auricular confession and to the Holy Week and Easter Eve services. not seem to bother them or alert them to the true nature of the book as one signifi cant encouragement to apostasy. What is not usually mentioned is that all these "catholic" provisions come in a reduced or revised form and do not have their full patristic or catholic fl avour (as my learned friend Professor Charles Caldwell often pointed out). (b) An Evangelical view: this is that the Rite II services in "contemporary language" provide the necessary ingredients of intelligibility, simplicity, accessibility, relevance and meaningfulness and so are a means of making their services and outreach popular and attractive. So they pay little attention to the actual doctrinal content – i.e., they do not check it against the doctrinal content of the classic BCP & the Articles of Religion in terms of who is God, who is Jesus and what is salvation. Further, Various reasons come to mind for the support of the book by those who claim to be orthodox and biblical. Some have known nothing else but the book and it gave them a certain measure of freedom; others have felt committed to the book for it is the offi cial Prayer Book of the Church in which they were ordained and in whose pension fund is vested their future livelihood; then the bishops have gone to great lengths to push this prayer book; further, it is the ECUSA which has (in many cases) allowed priests and laity a second marriage in church with a blessing and thus their very daily life and relations are dependent upon that Church, whose liturgy they are thus not quickly disposed to criticize. Whatever be the fundamental reasons, it is an amazing phenomenon that those who are so critical of the ECUSA, of its bishops, its general convention's legislation and so on, should both use the book as though it were fully and truly orthodox, and further should call it by a name that is a huge lie (it is not a genuine Book of Common Prayer at all but a book of varied services!). M Page E M Page E Richard Hooker ( to ) on Common Prayer & Public Worship Richard Hooker (d.) is best known as the Apologist for the Anglican Way of Reformed Catholicism & as the Defender of the Episcopal and liturgical Church of England against the Elizabethan Puritans, who wished to make the English National Church into a Presbyterian Church, modelled on the Church in the canton of Geneva. "O God, who hast enlightened thy Church by the teaching of thy servant Richard Hooker: Enrich us evermore, we beseech thee, with thy heavenly grace, and raise up faithful witnesses who by their life and doctrine will set forth the truth of thy salvation; through Jesus Christ our Lord. Amen." He wrote e Laws of Ecclesiastical Polity in eight books. Book Five, with its short chapters, is the longest of the eight and deals primarily with the worship of the Church. e text of this may be read in John Keble's edition of e Laws ( th edition, Oxford, ). what is the assembling of the Church to pray than the sending of Angels upward? God's heavenly inspirations and our holy desires are as so many Angels of communication and commerce between God and us. As teaching brings us to know that God is our supreme truth; so prayer testifi es that we acknowledge him as our sovereign good. ere are two specialized studies of Book Five – Ronald Bayne's Of the Laws of Ecclesiastical Polity, the Fifth Book, London, , & F. Paget's Introduction to the Fifth Book of Hooker's Ecclesiastical Polity, Oxford, . en there is John S Marshall's, Hooker's eology of Common Prayer. e Fifth Book of the Polity Paraphrased and expanded into a Commentary on the Prayer Book, University of the South, Tennessee, . Besides, since all inferior causes in the world are dependent on God as the Most High; and the higher the cause is, the more it desires to impart virtue unto things beneath it; how should any kind of service we do or can do fi nd greater acceptance than prayer, which shows our concurrence with him in desiring that in which his very nature most delights? After discussing the public reading of Holy Scripture and the place of sermons in worship, he turned in chapters xxiii to xxvi to the subject of Prayer and specifi cally to Public Prayer/Worship. All the time he had in mind the Puritan claim that their services, in which the Sermon was central and wherein there was little or no fi xed content, better represented the scriptural norms for worship. What follows is a paraphrase of chapters xxiii to xxvi. To appreciate what he writes we need to realize that (\|) he is writing against Puritanism, and () that we come out of a religious culture where it is taken for granted that prayer is fi rst individual and then, if we choose to make it so, corporate. He is arguing for the superiority of corporate, public and common prayer. Chapter xxiii Of Prayer If it is true that Angels have their continual communication between the throne of God in heaven and his Church militant here on earth, where should we fi nd this more verifi ed than in these two spiritual exercises, of teaching and prayer? For what is the assembling of the Church to learn than the receiving of angels descended from above? And e knowledge which we have on earth concerning things that are done in heaven is small. Yet we do know this of the Saints in heaven, that they pray (Revelation :). And therefore prayer being a work common to the Church triumphant as well as militant, a work common unto men with Angels, should we not think that our lives are celestial and divine to the extent that we spend time in the exercise of prayer? We are not surprised to learn that the most comforting visitations, which God has sent people from above, have occurred especially during times of prayer, as their natural opportunities (Daniel :; Acts :). What can be bestowed on others more easily and yet more fruitfully than our prayers? If we give counsel, only the simpler people need it; if alms, only the poor are relieved; but by prayer we do good to all. And whereas every other duty is only revealed as time and opportunity require, for prayer all times are convenient. When we are not able to do any other things for people's benefi t, when through maliciousness or unkindness they will not condescend to accept any other good from our hands, prayer is that which we always have in our power to bestow, and they never in theirs to refuse. So "God forbid," said Samuel, speaking unto a most unthankful people, a people weary of his most virtuous government over them, "God forbid that I should sin against the Lord and cease to pray for you" ( Samuel :). Prayer is the fi rst thing with which a righteous life begins and the last with which it ends. e Prayer Book of Sick, the Burial of the Dead, and service for Ash Wednesday. Only the Bible was needed alongside this Booke to conduct services. is title indicates that the contents are threefold: () the common prayer, referring to the choiroffi ce of the canonical hours, here reduced to two, Mattins and Evensong, together with the common prayer of procession, the Litany and Suff rages; () the administracion of the sacraments - Baptism, Confi rmation, Holy Communion, Penance, Matrimony and Unction of the Sick [all except Ordination for which as yet no provision made], and () other rites and ceremonies of the Churche, viz, the Churching of Women, the Visitation of the All these services were after the use of the Churche of England. Hitherto there had been no such Use. e Preface to this Prayer Book mentions fi ve varieties of divine Service – those of Salisbury, Hereford, Bangor, York & Lincoln - but this list is not exhaustive. e diff erences were in details not in basic structure and doctrine. e new Uniformity required by law in had not been known in the Middle Ages in England or Europe. THE booke of the common prayer and administracion of the Sacramentes and other rites and ceremonies of the Churche: after the use of the Churche of England. Music for the services was provided in e booke of Common praier noted prepared by John Merbecke and published in . Page M E Richard Hooker on Common Prayer () is holy and religious duty of service towards God concerns us one way in that we are human beings, and another way in that we are joined as parts to that visible, mystical Body which is his Church. As human beings we make our own choice of time, place and form for prayer, according to our own private, pressing needs (see Psalm :; Daniel : & Acts :); but the service, which we do as members of a public body, is public and for that cause must necessarily be judged so much worthier than the private service, even as a whole society exceeds the worth of any one of its members. erefore, it is to be noted that most special promises are made unto Christian assemblies in the New Testament (e.g., Matthew :). Chapter xxiv Of Public Prayer ough St Paul was as likely to prevail with God in prayer as any mortal, nevertheless he thought it much more for God's glory and his own good, if prayers might be made and thanks off ered on his behalf by a number of people (see Corinthians :). When the prince and people of Nineveh assembled themselves as a principal army of supplicants, it was not in the power of God to withstand them (see Jonah -). () When we pray together in public we do so What I write concerning the power of public prayer in the Church of God agrees with what Tertullian (c - c ) wrote [Apology c. ]: "We come by troops to the place of assembly, that being formed into a congregation, we may be supplicants to besiege God with our prayers. Such petitions are acceptable to him." with much more satisfaction than we do individually in private, because what we ask for in public is the request of all of us, approved as needful and good in the judgment of all. Further, in public prayer, if the zeal and devotion towards God of some is slack, then the alacrity and fervour of others serve as a horseman's spur. St Basil the Great (d.) says: "For even prayer itself when it does not have the company of many voices to strengthen it, is not itself (Epistle )." Finally, the good which we do by public prayer is more than can be done in private. For besides the benefi t which each of us gains for himself, the whole church is much edifi ed by his good example; and, consequently, whereas secret neglect by any of us of our duty in public prayer is but only our own hurt, it is also true that one person's contempt of the common prayer of the Church of God may be and often is more hurtful unto many. It is with such thoughts that the Prophet David so often vows unto God the sacrifi ce of praise and thanksgiving in the congregation (see Psalms : & :); so earnestly urges others to sing praises unto the Lord in his courts, in his sanctuary before the memorial of his holiness (Psalms : & :); and so much complains of his own uncomfortable exile, wherein, although he sustained many most grievous indignities, and endured the absence of pleasures and honours previously enjoyed, yet as if this one were his only grief and the rest not felt, his speeches are all of the heavenly benefi t of public assemblies, and the happiness of such as had free access unto them (Psalms :; : & :). Neither Archaic Nor Obsolete: e English Language of Prayer and Worship e Prayer Book Society and the authors sincerely believe that this is a very important book. It supports the claims and encourages the activities of those who desire to worship God using the forms of words that have become holy and uniquely meaningful through long usage in English language services — in e Book of Common Prayer, e King James Bible, and the Hymnal (). by the Rev'd Drs. Peter Toon and Louis Tarsitano We intend this book to serve several basic purposes: () To explain how the traditional English way of addressing God in the " ou" form developed over the centuries; () To show when it came under attack and why there was a determined attempt to replace it with the "You" form; () To show the richness and stability, the reverence and the intimacy, of this traditional idiom of prayer; () To note the instability of the "You" language, which seems to absorb all the latest fads and ideologies as they appear in the church. Please order several copies now for yourself and also as a present for others (e.g., your Rector & Lay Readers). e Prayer Book of In this second edition of the Prayer Book in the reign of Edward VI, the title is amended, by the removal of "the" before common prayer and the substituting of "in the Churche of England" for "of the Churche: after the use of the Churche of Englande." than the beginning, and so on. e booke of common prayer & administracion of the Sacramentes and other rites and Ceremonies in the Church of England. Also the Book now contains the form & manner of making & consecrating of Bishops, Priests and Deacons. Inside the Book the Daily Offi ces are renamed "Morning and Evening Prayer" and each is given a long penitential introduction. e word "Mass" disappears from the title of the Holy Communion, the structure of the Prayer of Consecration is simplifi ed, the Ten Commandments replace the ninefold Kyrie, the Gloria is placed at the end rather In general, this Prayer Book reveals a greater conformity to the new Protestant theology developed in Europe by Luther and Calvin than did that of . After the death of Edward VI on July , , the use of this Book was suspended during the reign of Mary I from to . With minor changes it returned into use when Elizabeth I came to the throne. M Page E Chapter xxv Of the Form of Common Prayer Richard Hooker on Common Prayer the potential and power to help devotion; so much more does the Minister with whom the people of God join themselves in this action, for he is the one that stands and speaks in the presence of God for them. e authority of his place, the fervour of his zeal, the piety and gravity of his whole behaviour must of necessity exceedingly both grace and set forward the service that he leads therein. To this end, therefore, it has always been thought in the Church that all things concerning public worship should be done with the most solemnity and majesty that the wisest could devise. Public and private prayer are of course diff erent. In private prayer secrecy rather than outward show is commended, whereas in public prayer, which involves a whole congregation, more care has to be taken of external appearance. us the assembling of people for public worship has always been regarded as a solemn matter. . One major reason why religious persons fi nd from experience that their souls are infl amed with the love of public devotion is this. e reverend and solemn order of common prayer has such virtue, force and effi cacy that it helps overcome that spiritual impotence and weakness which is naturally in us. Without the order of common prayer we are the less able to off er unto God that heavenly service, with such aff ection of heart and disposition of the powers of the soul, as he requires. . Although the place of assembly [e.g., the parish church] serves for a variety of public uses, its primary purpose is for the saying of Common Prayer. Our Lord confi rms this primary purpose of the sanctuary by his sanctifying the Temple in Jerusalem and calling it "the House of Prayer" even though he was aware that the Temple was appointed by God's favour and providence for a variety of other, special uses and services. e authority of his calling also serves to promote public prayer. If God has so far received him into favour, as to impose upon him by the hands of men that offi ce of blessing the people in his name, and making intercession to him in theirs, is not his very ordination a seal as it were to us, that the selfsame divine love, which has chosen the instrument to work with, will by that same instrument eff ect the thing whereunto he ordained it, in blessing his people and accepting the prayers which his servant off ers up unto God for them? is offi ce, we recall, God has sanctifi ed with his own most gracious promise and also has ratifi ed that promise in the ministries of those who have fulfi lled this calling. In the light of their ordination and vocation, the ancient Christians usually gave God's ministers the title of "God's most beloved" [theophilestatous], since they were ordained to procure by their prayers his love and favour towards all. To develop this theme further. If, as the gravest of the ancient Fathers were persuaded and often plainly teach, it be the case that the house of prayer is a Court beautifi ed with the presence of celestial powers, that there we stand, we pray, we sing hymns unto God, joining our voices with those of the angels; and if it be that with reference to the house of God the Apostle Paul requires ( Cor.:) so great care to be taken of decency for the Angels' sake; how can we come to the house of prayer, and not be moved with the very glory of the place itself so as to frame our [thoughts and] aff ections in an appropriate spirit of prayer, whose petitions the Almighty sits there to hear, and his Angels are present to attend to? When this way of thinking was grafted in the minds of men centuries ago, no penal statutes were needed to draw them unto public prayer. e warning bell was no sooner heard, than the churches were immediately fi lled and the pavements covered with prostrate bodies and washed with their tears of devout joy. . Even as the place of public prayer, though belonging to the external context of worship, has Virtue and godliness of life are required at the hands of the minister of God, not only in that he is to teach and to instruct the people (who for the most part are rather led away by the ill example, than directed aright by the wholesome instruction of them, whose life swerves from the rule of their own doctrine), but also much more in regard of this other part of his function, to be a godly example of holy living. In this regard, whether we respect the weakness of the people, who are apt to hate and despise the sanctuary when they which minister within it are of such wickedness as the sons of Eli were (see Samuel -); or else whether we consider the inclination of God himself, who Again, if there is not zeal and fervency in the Minister that off ers for the rest those petitions and supplications which they, by their joyful acclamations [of Amen], must ratify; if he does not praise God with all his might; if he does not pour out his soul in prayer; if he does not take their causes to heart, or if he does not speak as Moses, Daniel and Ezra did for their people; then how should there be in them anything other than frozen coldness, since the one from whom their aff ections should take fi re, seems himself not to be on fi re? e Prayer Book of Here for the fi rst time the Ordinal and the Psalter were formally made part of e Book of Common Prayer and included in the full title. or said in churches: And the Form & Manner of Making, Ordaining and Consecrating of Bishops, Priests and Deacons. THE BOOK of Common-Prayer and Administration of the Sacraments, and other Rites and Ceremonies of the Church according to the Use of the Church of England, together with the Psalter or Psalms of David, pointed as they are to be sung After the Civil War, the rule of Oliver Cromwell and then the return of King Charles II to England, it was necessary to set in order the Church of England including authorizing a Prayer Book. e new edition of the Prayer Book was approved by Convocation in December and by the King in Council on February . is Prayer Book was an amended form of that authorized in the reigns of Elizabeth I and James I, and it contained a new Preface. is edition remains the offi cial Prayer Book of the Church of England, and with e irtyNine Articles (printed at the end of the Prayer Book from ), constitute the Formularies of the Church. It is widely used in the Church of England and in the British Commonwealth in either its original English or in translation. It was used in America from to . M Page E Chapter xxvi Of them that do not like to have any set form of Common Prayer Richard Hooker on Common Prayer poetry, and for a prayer which might be repeated often, in circumstances diff erent from what caused its fi rst appearance. For that very hymn of Moses became later a part of the ordinary Jewish liturgy; as also did other such prayers composed later. . It is as though God himself did not provide for his Priests the very speech with which they were charged to bless the people (Numbers :); or as if our Lord, in order to prevent this enthusiasm for extempore and voluntary prayers, had not left us of his own framing one prayer [ e Lord's Prayer], which might both remain as a part of the Church liturgy, and also serve as a pattern by which to construct all other prayers with effi cacy, yet without excess of words. . To the present time no man has ever been so impious as plainly and directly to condemn prayer. e best strategy possessed by Satan, who knows that his kingdom is shaken more by the public devout prayers of God's Church than anything else, is to slander their form and manner so as both to bring them into contempt and to undermine the power of people's devotion towards them. From this strategy, and no other forge, a strange conceit has proceeded, that to serve God with any set form of common prayer is superstitious. e Jewish books of common prayer contained partly hymns taken out of the holy Scripture, partly benedictions, thanksgivings, supplications, penned by such as have been from time to time the governors of that synagogue. ese they sorted into their several times and places, some to begin the service of God with, and some to end, some to go before and some to follow, and some to be placed between the divine readings of the Law and the Prophets. e Evangelist Matthew evidently alludes to their custom of fi nishing the Passover with certain Psalms (-), when he says that after the cup delivered by our Saviour unto his apostles "they sung" (Matthew :) and went forth to the mount of Olives. If prayers are only accepted by God if they are always newly conceived, according to the needs of present occasions; if it is right to judge God by our own bellies, and to imagine that he hates to have the selfsame supplications often repeated, even as we do to be fed every day without alteration or change of diet; if prayers are actions which ought to waste away in the making; if being retained and used again as prayers, they become but instruments of superstition: then surely we cannot excuse Moses, who gave occasion of scandal to the world, by not being content to praise the name of Almighty God according to the usual naked simplicity of God's Spirit for that admirable victory given them against Pharaoh (Exodus ). But, in the Song of Moses unto the Lord after the deliverance, a precedent was set for forming prayers as . As the Jews had their songs of Moses and David and the rest, so the Church of Christ from the very beginning has both used the same and besides them other of like nature, the song of the Virgin Mary, the song of Zechariah, the song of Simeon, and such hymns as the Apostle doth often speak of saying, "I will pray and sing with the Spirit ( Corinthians :):" again "in psalms, hymns and songs making melody unto the Lord and that heartily" (Ephesians :). Hymns and psalms are such kinds of prayer as are not usually conceived suddenly, but are framed by meditation beforehand, or else are inspired by prophetic illumination, as at that time it appears they were when God, by extraordinary gifts of the Spirit, enabled men to fulfi l all parts of service necessary for the edifying of his Church. Please remember e Prayer Book Society in your will. e American Prayer Book of / e Ordinal was approved and added in and e Articles of Religion in . the relation to the mother Church of England and continuity of the life and ministry of that Church in the newly organized Church in America. e Preface is important in that it establishes The General Convention of the Protestant Episcopal Church met in and adapted the English Prayer Book of in this way. () Prayers for the President and Congress replaced prayers for the British monarch and parliament; () e Athanasian Creed was omitted as were also the Magnifi cat and Nunc Dimittis in Evening Prayer; () e Scottish Prayer of Consecration (via the Scottish Communion Offi ce of ) was adopted to replace that of in the Service of Holy Communion; () New services were added – Visitation of Prisoners, anksgiving for the fruit of the earth, and Forms of Family Prayer. is edition of the American Prayer Book was offi cially revised in and again in . at which is called " e Book of Common Prayer of " is not a revision of the classic Prayer Book but a new kind of Prayer Book, containing a variety of services in traditional and modern language forms. erefore the edition remains THE Book of Common Prayer in the U.S.A. Page Annotating the Book of Common Prayer arranged by R.Mant . e full titles of the four popular commentaries published both sides of the Atlantic are: From to the First World War learned men produced for publishing companies, including the SPCK, many diff erent, annotated editions of e Book of Common Prayer, which contained notes, explanations, comments and introductions of varying length, quality and churchmanship. e Prayer Book Interleaved with historical illustrations and explanatory notes arranged parallel to the text, by the Rev. W.M. Campion & the Rev. W.J. Beaumont, with a preface by the Lord Bishop of Ely [E.H. Browne]. [First published in , it remained in print through editions until .] Most people who use e Book of Common Prayer desire to understand its structure and contents, so that they can use it more devoutly and effi ciently. e last edition of an annotated BCP appeared in when the Oxford University Press of New York City published e Oxford American Prayer Book Commentary which included the text of the American Book of Common Prayer of on one page and commentary on the opposite page by Massey H. Shepherd, Jr. e Annotated Book of Common Prayer, being an historical, ritual & theological commentary on the devotional system of the Church of England… edited by J.H. Blunt. [First published with its last edition in .] is Oxford book was not, however, the fi rst Prayer Book Commentary to have been published in the USA. Bishop T.C. Brownell was the editor of one that fi rst appeared in and this was reprinted regularly until at least . Its title was e Family Prayer Book or e Book of Common Prayer accompanied by a general commentary. While the Protestant Episcopal Church of the USA produced two commentaries and imported four or more others, the mother Church of the Anglican Family, the Church of England, produced at least twenty-fi ve and maybe even thirty editions of the BCP , where notes or commentary or introductions were added to the text. ese were of varied quality and some were often reprinted while others only appeared once or twice. ere were also published in the USA in the th and th centuries several other commentaries on the American Prayer Book. ese had originally been written with reference to the English BCP of and were adapted to the American one (edition of or later of ). e editors of these were the Rev'd W.M. Campion with the Rev'd W.J. Beaumont ( e Prayer Book Interleaved), Canon J. H. Blunt ( e Annotated Book of Common Prayer), Bishop A. Barry ( e Teacher's Prayer Book), the Rev'd F.E. Warren ( e BCP with Commentary for Teachers and Students). ose which were often reprinted in new and improved editions in England, were those mentioned above with respect to America, together with two others. First, one which made use of the notes of William M. Burkitt ( –). is fi rst appeared in and was often reprinted by several printers until as e Book of Common Prayer…with notes & annotations by Wm Burkitt. And second, one which was edited by Bishop Richard Mant (-) and printed between and as e Book of Common Prayer with notes explanatory, practical and historical…selected and e Book of Common Prayer with commentary for teachers & students containing historical introduction [First published in and then commentary rewritten for new edition in by E.E. Warren, and in print until the late s.] e Teacher's Prayer Book, being the Book of Common Prayer with introductions, analyses and notes…by A. Barry (). e fi rst edition of this text was in with a th edition in . An examination of the twenty-fi ve or so other annotated prayer books that only had small print runs would take us into the theological and liturgical emphases and controversies of the th century. For example, one that was published in and had three printings until was entitled, e Book of Common Prayer…with explanatory notes compiled from all former ritualists. One edition which is of particular interest to those who want a profound devotional commentary on the BCP is e Whole Book of Common Prayer with notes selected from eminent divines, printed by J. & R. Childs of Bungay, Suff olk in . It was reprinted in and is extremely rare. Meanwhile, there is much valuable information on the BCP in two books that are readily available second hand: Liturgy & Worship, edited by W.K. Lowther Clarke and A New History of the Book of Common Prayer, by Procter and Frere. It would seem that the time is ripe for the Prayer Book Societies of the Anglican Communion to produce a good Annotated BCP! e task of putting the major editions referred to above on to CD's, using pdf, and for use on computers has begun and proceeds slowly within the American Prayer Book Society. e Annotated Prayer Book produced by Canon Blunt has been placed on a CD by Irene Tees and will soon be available from the On-Line Store to be opened by the Prayer Book Society, as well as from the usual address of the PBS in Philadelphia. e Rev'd Dr. Peter Toon All Saints Church Charlottesville, Virginia We truly think that the Prayer Book tradition confers a beautiful living reality to this ideal, pro- When visitors come to All Saints parish the fi rst thing they notice is a passage of Scripture quoted at the bottom of the bulletin for the Sunday service: ey continued steadfastly in the Apostles doctrine and fellowship, and in the breaking of the bread, and in the prayers (Acts :). is pinpoints one of the major emphasizes of All Saints, a parish in the Diocese of the Eastern United States within the Anglican Church in America: a focus on apostolic faith and worship as set forth in the Holy Scriptures and as lived in the ancient Church. viding forms of service that are biblical and doctrinally sound and in keeping with the great spiritual heritage of the Western Church. Sunday worship at All Saints centers around the Holy Communion as found in the American Book of Common Prayer. e service is defi nitely celebrated in the high church tradition, and those coming from a contemporary language service. deaconesses (the other being Sister Arlyn Newcomb), seems to increase week by week. At the end of Holy Communion we have a procession of twenty-fi ve to thirty little ones to the altar rail for a blessing. We have a large number of young families in the parish and I hope and pray we continued to be blessed by more. We are also very blessed to attract students from the University of Virginia who are looking for a parish home. is gives us a good number of bright young people who are both intellectually sharp and spiritually hungry for the Gospel. According to our Rector none of the UVA students, who drive about seven miles to get to the parish, has ever once expressed a desire for a traditional Lutheran or Roman Catholic background fi nd the words prayed and the ceremonial employed very familiar. However, this isn't done simply to preserve things the way they were in the Episcopal Church of decades past. Happily, the Sacrament of Holy Baptism is celebrated frequently at All Saints as well. In the last two years many children have entered in the Christian fold at our font. e number of infants and toddlers taken care in the nursery each Lord's Day by Sister Lynda Gerlach, one of our devoted In order to address the needs of both mind and spirit, we off er a number of classes geared toward students and adults. "How to Study the Bible," "Science and the Christian Faith," " e Cruelty of Heresy" and "What is a Just War?" have been Sunday School topics. Our commitment to Christian education is e rector, Father Glenn Spencer, is the archdeacon for the Diocese and has been at All Saints for the past twelve years. Previously he worked as a chaplain at Duke University Medical Center and Director of Pastoral Care at Charter Medical Center in North Carolina. Our curates are the Rev. Michael Kerouac, a priest who also serves as chaplain at the Miller School, the Rev. Dr. Gene Godbold, a deacon (formally trained in biochemistry and employed as a scientifi c researcher), and the Rev. Dr. Lawrence Adams, a deacon, political scientist, and a scholar in residence at the Center for Christian Study. also fostered by our involvement in the Center for Christian Study here in Charlottesville. Over the past year several clergy and lay scholars from our parish have given lectures at the Center on theological and cultural subjects. To our great benefi t we have an excellent staff of clergy at the parish. We also have a very visible presence on the world wide web, thanks to the excellent work done by Christopher Hoebeke: Several traditional Anglican web sites have a link to a site Chris designed that allows you to set up the Daily Offi ce throughout the entire year using several scripture e classic Prayer Book is used because it has stood the test of time and has been used by Anglican Christians for over years. Many of the members of our parish came to All Saints from faith traditions outside of the Anglican tradition (or from no faith tradition at all). ose who have come and stayed often say it is because in the classical Anglican way of prayer they fi nd worship that is biblical, orthodox, and in keeping with the traditions of the undivided Catholic Church. All who come to All Saints fi nd a Christian home that truly centers on the preaching of the true and lively Word and the right administration of the Holy Sacraments. Page M E M Page E translations. He also helped me set up a site where I've listed biographies of some notable Anglicans. To visit our parish site, please go to www.allsaintsa nglican.org and enjoy what you see! In terms of our choir we have one of the most gifted groups I think I've ever heard. ey are led by our organist and music director Roger Sethmann. Having the classic hymns sung so reverently and robustly focuses mind and heart on the mysteries of the faith. As Saint Augustine once remarked Song is prayer prayed twice. Our street address is: All Saints Anglican Church, Ivy Road, Charlottesville, VA . Faith according to the Anglican tradition, rooted in Holy Scripture, the two Creeds, and the weekly Holy Communion given in the Prayer Book tradition. However, it isn't mired in disputes of the past nor does it seek to be a repository for how the way things used to be. e Anglican Church is not, nor should it be, a museum piece. All Saints seeks to be a living parish with an evangelical mandate to win others to Christ and to worship the Blessed Trinity in the beauty of holiness through the Sacraments ordained by Our Lord, taking the true Faith and worship of the ancient Church into the future. In short, All Saints seeks to live the Catholic [Derrick L. Hassert, postdoctoral fellow at the University of Virginia and postulant for Holy Orders within the Anglican Church in America.] e First History of the Continuing Anglican Movement is now available from Tractarian Press! A History of the Continuing Anglican Movement Divided We Stand: by Douglas Bess Send Check or Money Order for $22.00 to: Chronicles the formation and histories of various Continuing groups, including the ACC, ACA, APCK, EMC, and others. Divided We Stand is a 314 page, 51/2 x 81/2 paperback, ISBN 0-9719636-0-6. Tractarian Press 5225 Canyon Crest Drive, 71-295 • Riverside, CA 92507 Or visit our website at tractarianpress.com Continued from Page had all one original mould, and that the public prayers of the people of God in well-established churches were never dependent on day-to-day inspiration and ex tempore prayer. . But of all helps for due performance of this service of public prayer the greatest is the very existence and availability of, e Book of Common Prayer, which framed with common advice, has both for matter and form prescribed whatsoever is publicly done in worship. No doubt from God it has proceeded; and by us it must be acknowledged a work of his singular care and providence, that the Church has always through the centuries held a prescribed form of common prayer, although not in all things everywhere the same, yet for the most part retaining much the same shape and content. So that if the liturgies of all ancient churches throughout the world are compared amongst themselves, it may be easily perceived that they . To him who considers (i) the grievous and scandalous inconveniences to which they make themselves daily subject, with whom any blind and secret corner is judged a fi t house of common prayer; (ii) the manifold confusions which they fall into where every man's private spirit and gift (as they term it) is the only Bishop who ordains him to this ministry; (iii) the irksome deformities whereby through endless and senseless eff usions of undigested prayers they often disgrace in a most insuff erable manner the worthiest part of Christian duty towards God – that is, those who are subject to no certain order in public worship, but pray both what and how they please: I say to him, who duly weighs all these things, the reasons cannot be obscure, why God in public prayer so much respects the solemnity of places where, the authority and calling of persons by whom, and the precise appointment even with what words or sentences, his name should be called upon amongst his people. requires the lifting up of pure hands in prayer, and has given the world plainly to understand that the wicked, although they cry, shall not be heard (see John :; Jeremiah :; Ezekiel :); they are no fi t supplicants to seek his mercy on behalf of others, whose own unrepented sins provoke his just indignation. "Let thy Priests therefore, O Lord, be evermore clothed with righteousness, that thy saints may thereby with more devotion rejoice and sing (Psalm :)." Whatever are the Anglican Books of Homilies? ere is the question as to the authority of the Book(s) of Homilies, which are dependent upon the authority of the formulary we know as e irty-Nine Articles of Religion (). ( e other two formularies of the Anglican Way are the BCP and the Ordinal.) Do they have authority? When a sermon was not to be preached at Holy Communion, according to the Book of Common Prayer of , "After the Crede, if there be no sermon, shal follow one of the homelies already set forth, or hereafter to be set forth by commune auchthoritie." e rubric remains substantially unchanged to the present day in the Prayer Book of the Church of England. It was widely obeyed during the reigns of King Edward VI & Queen Elizabeth I (-). In fact in the parish churches of Shakespeare's England sermons were heard less frequently than the homilies. ey were strongly defended against Puritan attacks in Elizabeth's reign. ( e Puritans objected to a minister reading a sermon written by another person.) In Article XI on Justifi cation we are told that a full exposition of the doctrine is contained in the Homily of Justifi cation, which is Homily III in the First Book. is strongly suggests that to know the doctrine of justifi cation by faith of the Reformed Church of England we need to study this Homily. us this Homily has a specifi c, doctrinal authority. In the Church of England in the sixteenth century sermons could not be preached by every incumbent (rector/vicar of a parish). A licence was needed, for which an M.A. degree (usually from Oxford or Cambridge) was a usual qualifi cation. In e Book of Common Prayer no sermon is scheduled or required in the rubrics at either Morning or Evening Prayer, or with the Litany, but one is required in the Order for the Holy Communion. e Book of Homilies, as the rubric states, is in fact two books bound together. e fi rst book of twelve () written sermons was published in the reign of Edward VI in , and the second book of twenty-one () in the reign of Elizabeth in . Archbishop Cranmer is the major name behind the fi rst book and Bishop Jewel behind the second. Article XXXV describes the second Book of Homilies and states that it contains "a godly and wholesome doctrine and necessary for these times". en it refers to the First Book and then of both Books says: "We judge them to be read in churches by the Ministers, diligently and distinctly, that they may be understanded of the people." is suggests that the Homilies teach and illustrate the worship, doctrine and discipline of the Church of England in a general way and in their essential contents (rather than their rhetorical style and internal organization) are to be received as the doctrine of the Church of England. e emphasis that they be read "diligently and distinctly" is notable for they are not in any way popular sermons. ey are much more demanding than the average sermon on today in any church. e topics of the fi rst book of homilies are: sin, salvation, justifi cation, faith, good works and the Christian life of faithfulness and obedience. Often a homily was divided into two or three e topics of the second book of homilies include: Christmas, Easter, Whitsuntide, Rogationtide, Marriage, Common Prayer, the Sacraments, Idolatry and godly living. parts and read on consecutive Sundays. It is surprising that the Homilies have not enriched the English language with proverbial phrases as have the Bible and the Prayer Book. is may be partly because most of the homilies are in any case solidly biblical, and secondly perhaps because now that they are so little known we do not recognize every phrase they put into circulation. Shakespeare is said to have derived from them his ideas about the necessity for order and respect for authority. If an Anglican Province sets aside the Articles of Religion then it would seem that the Homilies have no authority at all for they are dependent on the existence and authority of the Articles. However, in Elizabeth I's day they were required to be used by other personal forms of authority, especially that of the Queen herself. It is surely time for a new edition and one is being planned for by Edgeways Books an imprint of e Brynmill Press Ltd of England. It would appear that in the Book of Homilies is no longer in print (according to British Books in print). And it is surely time for more people of the Anglican Way to become acquainted with them and their teaching. To this end the Prayer Book Society has released a double CD whereon are recorded the fi rst six Homilies, read by Dr. Toon. ese are available from the OnLine Store or the PBS Offi ce in Philadelphia. Page M E Page e Book of Common Prayer: Why Does Its Language Work So Well, and Where May I Obtain a Copy? It is written in a formal, not informal, language, composed of texts produced to be spoken/chanted aloud either by a single person or by the congre- First published in and, in revised and edited forms, published many times since, e Book of Common Prayer is still in print and still works in a dignifi ed and effi cient way for public worship. Why so? gation. Further, it is characterized by being the address of an inferior to a superior, never of an equal to an equal. Its purpose is not primarily the communication of information but the vocal expression of the inner convictions of faith, hope and love. It is designed to be read out not once only but often, week by week or day by day, and become the more meaningful by this constant use. Obtaining a Prayer Book . A pew edition of the Book of Common Prayer is also available in red binding from the Anglican Parishes Association, Fairway Drive, Athens, GA. for . including postage; a box of copies is available for ., postage included. Call --. . Copies of both the English Book of Common Prayer and the American Book of Common Prayer (in leather and cloth) may be obtained from Oxford University Press in New York City (--, Bible Department). Discounts for bulk orders from churches. FROM THE PRAYER BOOK SOCIETY ON LINE STORE www.anglicanmarketplace.com or the PBS OFFICE, P.O. Box 35220, Philadelphia, PA 19128-0220 (1-800-PBS-1928) Four Music C D's * Morning Prayer with the Litany from St omas' Church Houston; Recordings on a CD of * Evening Prayer with Anthem from St John's, Savannah, * Merbecke's setting to the Services recorded in NYC in . * Holy Communion with anthem & hymns from St omas' Church Houston, and ree non-music C D's * Selected th Century Homilies (speech); and * Blunt's Annotated Prayer Book (pdf); * Homilettes on BCP prayers (speech) by Dr. Peter Toon. * Neither Archaic Nor Obsolete: the Language of Common Prayer and Public Worship, by Dr. Toon & Dr. Tarsitano; Two Books * Spanish BCP Abbreviated edition (M & E P, Litany & HC). e Society for the Preservation of the Book of Common Prayer ( e Prayer Book Society) P.O. Box Philadelphia, PA - NONPROFIT ORG. US POSTAGE PAID Permit No. FORT WORTH, TX
research-article 847673 research-article2019 PAT 0010.1177/2632010X19847673Clinical PathologyOliveira-Netto et al Procalcitonin, C-Reactive Protein, Albumin, and Blood Cultures as Early Markers of Sepsis Diagnosis or Predictors of Outcome: A Prospective Analysis Ana Cristina Schmidt de Oliveira-Netto 1 , Luis G Morello 2,3 Libera M Dalla-Costa 4,5 , Ricardo R Petterle 6 , Rafael M Fontana 7 , Danieli Conte 3 , Luciane A Pereira 3 and Sonia M Raboni 1,7, 1Postgraduate Program in Internal Medicine and Health Science, Universidade Federal do Paraná, Curitiba, Brazil. 2 Instituto de Biologia Molecular do Paraná, Curitiba, Brazil. 3 Laboratory of Applied Science and Technology in Health (LASTH), Instituto Carlos Chagas, Fundação Oswaldo Cruz, Curitiba, Brazil. 4 Laboratory of Bacteriology, Universidade Federal do Paraná, Curitiba, Brazil. 5Faculdades e Instituto de Pesquisa Pelé Pequeno Príncipe, Curitiba, Brazil. 6 Statistic, Setor de Ciências da Saúde, Universidade Federal do Paraná, Curitiba, Brazil. 7Infectious Disease Division, Universidade Federal do Paraná, Curitiba, Brazil. ABSTRACT Purpose: Sepsis is a condition with high mortality rates and its diagnosis remains a challenge. We assessed epidemiological, clinical data, multiple biomarker profiles, and blood culture with respect to sepsis diagnosis and predictors of outcome. Methods: In total, 183 patients who were suspected of having sepsis and underwent blood culture collection were followed up for 7 days. Sepsis-related Organ Failure Assessment (SOFA) and Acute Physiology and Chronic Health Evaluation (APACHE) II scores were calculated daily; biomarkers and blood culture test results were evaluated. Results: In total, 78 (43%) had sepsis, 50 (27%) had septic shock, and 55 (30%) had no sepsis. Blood culture was positive in 28% and 42% of the sepsis and septic shock groups, respectively (P <.001). Regarding clinical profiles and biomarker values, there were no differences between the sepsis and non-sepsis groups, but significant differences were observed in the septic shock group. Multivariate logistic regression models revealed that age, serum albumin level, APACHE II, and SOFA 1 st day scores were the independent variables for death. Conclusions: The challenge in the diagnosis of sepsis continues as clinical and laboratory differences found between the groups were due to septic shock. Older aged patients with lower albumin levels and higher APACHE II and SOFA 1 st day scores have a greater probability of mortality. Keywords: sepsis, biomarkers, procalcitonin, C-reactive protein, epidemiology RECEIVED: February 22, 2019. ACCEPTED: April 9, 2019. Type: Original Research Nacional de Pesquisa – CNPq. LMDC, DC, LAP, and SMR were supported by fellowships from CNPq. Funding: The author(s) disclosed receipt of the following financial support for the research, authorship, and/or publication of this article: This work was supported by grants from FINEP – Financiadora de Estudos e Projetos – Ministério da Ciência e Tecnologia (grant number # 01.12.0519.00); Universidade Federal do Paraná – UFPR; and Conselho Introduction In Brazil, data on sepsis burden are scarce since information is obtained from non-official databases. Previously, the PROGRESS study (2002-2005) showed a mortality rate of 65%, which is Worldwide, sepsis is a condition with high mortality rates, and despite advances in medicine, it remains very serious. In addition, it is associated with cognitive, physical, and psychological deficits in survivors. 1 Seeking to standardize diagnosis and therapy of sepsis, since 1991, various consensus have emerged to guide clinical interventions and improve outcomes. In the latest guideline reported in 2016, it was suggested new definitions for sepsis and for septic shock. 2–4 Declaration of conflicting interests: The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article. CORRESPONDING AUTHOR: Serviço de Infectologia, Universidade Federal do Paraná, Rua General Carneiro, 180, 3 andar, Curitiba – PR 82060-900, Brazil. Email: email@example.com higher than the global rate of 49.6%. 5 After this study, a group of Brazilian and Argentinian researchers created the Latin American Sepsis Institute (ILAS) to compute data, produce scientific material, and regulate sepsis care in these countries. Subsequently, in association with the Brazilian Research in Intensive Care Network, the ILAS concluded a study that helped quantify the sepsis situation in Brazil. The Sepsis Prevalence Assessment Database (SPREAD) consisted of a 1-day point prevalence study with follow-up of patients with sepsis in ICU in Brazil. From 2632 randomly selected patients, 794 had sepsis (30.2/100 ICU beds). The ICU sepsis incidence was 36.3/1000 patient-days, and the mortality rate was 55.7%. 6 https://doi.org/10.1177/2632010X19847673 Clinical Pathology Volume 12: 1–7 © The Author(s) 2019 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/2632010X19847673 Despite the high sepsis frequency, its diagnosis remains a challenge, and clinical profile, bacterial identification, and inflammatory markers have been used for early diagnosis and correct clinical management. Among inflammatory markers, procalcitonin (PCT), a peptide precursor of calcitonin, which increases in inflammatory and infectious process, has been considered an early diagnostic marker. 7 C-reactive protein (CRP) and serum albumin levels have also been suggested as predictors of therapeutic response and outcomes in sepsis. 8–10 In this study, we report the epidemiological, clinical, and laboratory profiles of a hospitalized patient cohort from a tertiary care academic hospital and investigate whether PCT, CRP, and albumin serum levels and blood culture results could predict sepsis diagnosis and outcome. Material and Methods Study design and patients This was a longitudinal Cohort study carried out at a tertiary care center in Curitiba, Southern Brazil. Patients were included from April 2015 to December 2015 and were followed up for 7 days. The Institutional Review Board approved this study (IRB: # 03377612.5.0000.0096), and all included patients provided written informed consent. Data collection was performed using a predesigned form and patients were enrolled using a convenience sampling method. During the follow-up, clinical data, laboratory data, organic dysfunction score (SOFA), inflammatory activity, perfusion tests, and disease outcomes were evaluated. At the end, the patients were classified as sepsis (Group 1), septic shock (Group 2), and no sepsis (Group 3), according to the third international consensus guideline (Sepsis-3). 4 Patients over 18 years old who were hospitalized with suspicion of sepsis and who had a blood culture sample collected were included in the study. Samples for blood culture, PCT and CRP determinations were collected by peripheral venous puncture at the same time. Sepsis-related Organ Failure Assessment (SOFA) score 11 and Acute Physiology and Chronic Health Evaluation (APACHE) II score 12 were calculated daily by the same researcher until the seventh day of follow-up. The comorbid illness components of the Charlson comorbidity score were prospectively abstracted from the medical records. 13 Laboratory data Blood samples were obtained by standard venipuncture, and routine assays were performed to assess hemogram, renal and hepatic functions, CRP, albumin, and PCT. For blood culture, two samples were collected for aerobic and anaerobic culture, and another sample was collected from the catheter to test for venous catheter infections. Conventional blood culturing was performed using an aliquot of 5 to 10 mL whole blood, which was inoculated into BACTEC_H aerobic and anaerobic bottles (Becton Dickinson, Sparks, MD). BACTEC Plus bottles were used for patients under antibiotic therapy, and standard bottles were used for untreated patients. Two sets of blood samples from two different sites were collected at the same time. The bottles were then incubated in a BACTEC FX (Becton Dickinson) automated blood culture system. An aliquot that was taken from the bottles flagged positive for Gram stain and was cultured on solid media for subsequent analysis. Identification of microorganisms was performed in the VITEK automated system (BioMérieux, Hazelwood, MO). Serum PCT levels were measured using enzyme-linked fluorescent assays LIAISON® B.R.A.H.M.S PCT® II GEN (Thermo Fisher Scientific, B.R.A.H.M.S GmbH, Hennigsdorf), with a lower reference limit of 0.05 ng/mL. Serum CRP levels were measured using an immunoturbidimetric assay, the Multigent CRP Vario assay (Abbott Laboratories Inc, Abbott Park, IL), and the lower reference limit for the assay was 0.05 mg/ dL. The quantitation of albumin in human serum or plasma was carried out using the Albumin BCG assay by Bromocresol Green methodology (Abbott Laboratories Inc), and the reference range for adults was 3.5 to 5.0 g/dL. Statistical analysis Statistical analysis was performed using R Development Core Team, Version 3.4.0. 14 Categorical variables are expressed as numbers and percentages, whereas continuous variables are expressed as medians and interquartile ranges (IQRs). Although multiple episodes of sepsis are possible, we only included the first episode from each patient. The primary endpoint of this study was sepsis diagnosis and the secondary endpoint was patient outcome on discharge from hospital. Through receiver operating characteristic (ROC) analyses, the associations between the biochemical markers' predictive performance, sepsis diagnosis, and outcome were assessed. For those variables with significant associations, the cutoff value and the area under the curve (AUC) were determined. Covariates were examined in a univariate analysis to determine their association with sepsis/septic shock diagnosis and with mortality. Using a stepwise conditional procedure, multivariate logistic regression models were conducted to identify independent predictors of both endpoints. Odds ratio (OR) and 95% confidence intervals were calculated for the variables with significant difference. P-values <.05 were considered statistically significant. Results Patients characteristics A total of 221 samples were taken from 183 patients; some of them presented more than one episode of suspected sepsis. Among the 183 patients, 106 (58%) were male, and the median age was 54 years (IQR 37-69). The majority of patients' possibility of survival in 10 years was above 90%, and 143 (78%) patients had some comorbidity. A total of 118 (64%) patients were in the ICU. The medians of APACHE II and SOFA 1 st day scores were 16 (IQR Table 1.Demographic, clinical, and laboratory findings in study groups (n = 183). \| Group 1 \| Group 2 \| Group 3 \| \|---\|---\|---\| \| Sepsis, N = 78 (%) \| Septic shock, N = 50 (%) \| Non-sepsis, N = 55 (%) \| Abbreviations: APACHE, Acute Physiology and Chronic Health Evaluation; CRP, C-reactive protein; IQR, interquartile range; NS, non significant; PCT, procalcitonin; SOFA, Sepsis-related Organ Failure Assessment. Significant values are in bold. aA total of 40 patients do not have any comorbidities. bSignificant differences only for Group 2. Figure 1.Infection sources of community- and hospital-acquired infections. 11-22) and 4 (IQR 2-8), respectively. Patients were divided into three groups: sepsis (78 cases/43%), septic shock (50 cases/27%), and non-sepsis (55 cases/30%). Demographic, clinical, and laboratory findings between the groups are compared in Table 1. common in cases of hospital- than in community-acquired infections, being Gram-positive bacteria the most frequent. Other pathogens that were found are depicted in Figure 2. Sepsis resulted from hospital- or community-acquired infections in 74 (58%) and 54 (42%) cases, respectively. For hospital-acquired infections, the main sources of infections were lung- (45%) and catheter- (30%) related infections. Among community-acquired infections, the main sources of infections were lung- (31%) and abdomen- (22%) related infections (Figure 1). The origin of primary sepsis and septic shock was the lung and catheter, respectively. Clinical scores, biological markers, and sepsis diagnosis Overall mortality was 39%, and the mortality rate for sepsis patients, septic shock patients, and non-septic patients was 31%, 68%, and 25%, respectively. Fatality case number, serum albumin, CRP, PCT levels, positive blood culture, and APACHE II and SOFA 1 st day scores were significantly different in Group 2 (septic shock) patients compared with those in Groups 1 and 3 (Table 1). No statistical difference was found between Group 1 and Group 3, and no clinical or laboratory finding was shown to help in identifying these two groups. Blood culture was positive in 43 patients with 22 (28%) occurring in the septic group and 21 (42%) occurring in the septic shock group (P <.001). Positive cultures were more Table 2.Demographic, clinical, and biomarker findings in predicting outcome in studied patients (n = 183 patients). \| Variable \| Discharge, n = 111 (%) \| Death, n = 72 (%) \| Unadjusted analysis \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| \| P-value \| P-value \| OR \| Abbreviation: APACHE, Acute Physiology and Chronic Health Evaluation; CI, confidence interval; CRP, C-reactive protein; IQR, interquartile range; OR: odds ratio; PCT, procalcitonin; SOFA, Sepsis-related Organ Failure Assessment. Significant values are in bold. Clinical scores, biological markers, and outcomes The univariate relationship between demographic data, clinical scores, and each biochemical marker and outcome are shown in Table 2. The levels of PCT and serum albumin were associated with fatality case rate. A multiple logistic regression model adjusted for age, albumin, PCT, platelets, positive blood culture, APACHE II, SOFA scores, and final classification was performed to predict the outcome. The independent variables found were age, albumin level, APACHE II, and SOFA scores. the AUCs obtained were 0.66 (0.58-0.75), 0.59 (0.49-0.69), and 0.67 (0.58-0.75), respectively, for death prediction (Figure 3). Discussion This study focused on clinical-epidemiological and biomarkers profiles of patients admitted to the tertiary public hospital in southern Brazil for a period of 1 year. Regarding the epidemiological characteristics, predominance of male was in agreement with that reported in previous local and worldwide studies, 16,17 but the median age was lower than that observed in most centers and private hospitals in Brazil. The same was observed in the 2004 Brazilian Sepsis Epidemiological Study, which showed a younger median age of the public hospitals compared with the private hospitals. 15-20 The ROC curve calculated the PCT, CRP, and albumin levels with respect to death outcome (adjusted for age, gender, comorbidities, APACHE II, SOFA 1 st day, and final classification), and Figure 3.Receiver operating characteristic (ROC) curves for procalcitonin, CRP, and albumin to predict fatality. The presence or absence of comorbidities did not influence the outcome, and no association was found between sepsis severity and baseline disease. These data are divergent when analyzing other epidemiological studies. In the study conducted in Australia and New Zealand, there was a significant decrease in sepsis fatality rate between the beginning (35% in 2000) and the end of the analysis (18% in 2012). It was observed that septic patients who were younger and without comorbidities had a lower mortality rate (4.6%), which shows that the presence of comorbidities may influence the outcome. 16 Another retrospective study carried out in Catalunya from 2008 to 2012 also showed a relationship between mortality and the presence of comorbidities. 21 hypoalbuminemia was a better predictor of early mortality than the SOFA severity score. Similar to the present study, Yin et al observed higher mortality among septic patients with lower albumin levels and higher APACHE II and SOFA scores. In this study, the cut-off value of albumin was 2.9 mg/ dL, ie, patients with albumin levels lower than 2.9 mg/dL had a worse outcome. 9 In this study, 78% patients presented some comorbidity with no difference between the groups. However, most patients (n = 147; 80%) had a Charlson comorbidity score ⩽4 (that means a low risk of death in 10 years). It could be an explanation why we do not found a correlation between mortality and the Charlson comorbidity score. Excluding these patients to assess the impact of the presence of comorbidities would make the sample in each group very small, and the findings could not be adequately assessed. The CRP levels had poor application to the initial diagnosis of sepsis, it seems that its evaluation sequentially should be recommended, and a decline from the 3rd and 5th day is associated with a better prognosis of the disease, 24 but these data were not evaluated in this study. Regarding infection sites, the lungs were the main infection sites as described previously. However, this similarity did not occur with respect to the second most frequent site of nosocomial infection, which was catheter-related infection. Usually, these infections generally account for less than 4% in most studies. This difference is probably due to difficult to implement protocols for catheter insertion, maintenance, and early withdrawal of the venous catheters. Since this is a preventable infection, efforts to introduce technical protocols should be intensified. 5,6,15,19–22 Concerning the difference in albumin levels between groups, it may be a marker of severity and also would not aid in the diagnosis. Magnussen and colleagues 23 evaluated 1844 adults with community-acquired bacteremia and found that Considering the biomarkers, all differences found were in the septic shock group, probably due to hemodynamic changes present. However, no significant difference between patients with and without sepsis was found. As septic shock is a very well characterized clinical entity, it would not require biomarkers for its differential diagnosis. A comprehensive extensive review of more than 178 different biomarkers showed that individually, all are limited in the differentiation between sepsis and another inflammatory state. Even the most widely used as PCT and CRP were not useful. 27 A simple blood sample evaluated with multiple biomarkers and cross-results with data from electronic medical records could contribute to the diagnosis of sepsis, as well as its prognosis. 28 However, defining such biomarkers, their time and frequency of collections are still challenges in clinical practice. In 2015, a meta-analysis comprising 12 studies on PCT and sepsis showed its correlation with increased risk of mortality. High single values or non-clearance would indicate a higher risk of death. 25 Likewise, in the present analysis, there was a correlation between PCT levels and mortality, but it was not confirmed when the adjusted analysis was performed. However, this marker was not related to the diagnosis of sepsis. 25 It would serve as collaborator in the differential diagnosis of sepsis, but could not be used as unique criteria. 26 The definition of the etiological agent and the focus of the infection are also essential in the management of the patient. They allow the optimization of antimicrobial therapy, aside from other types of therapeutic interventions such as drainage of infection sites. The predominance of Gram-positive bacteria (27%) was in agreement with current studies that have shown an increase in their isolation in sepsis in the last 25 years. 17,20,29,30 Blood cultures were considered contaminated if there were more than two microorganisms growing in a sample or if there was growth of non-coagulase-producing staphylococcus (CoNS) in the sample. However, despite the increase in the number of infections by this organism in recent years, it is still very common as a contaminant in blood culture samples. All CoNS cases were extensively reviewed and only those situations where this pathogen was considered the causal agent of infection were included. Between 2004 and 2009, 1001 patients admitted to a university hospital in Singapore for severe sepsis were evaluated. It was found that patients with negative blood cultures had lower APACHE II and SOFA values and lower mortality. In the current study, this difference was also significant, higher scores of APACHE II and SOFA 1 st day were present when blood culture was positive. However, these results did not differentiate the microorganisms. 33 Previous studies reported that PCT levels greater than 2 ng/mL would be related to a higher number of positive blood cultures, but this was not observed in this study. Even with the dichotomization of the values, this difference was not significant. 31,32 This study has limitations. One limitation is that the inclusion of patients was done via convenience sampling, as the suspected cases of sepsis were identified by the attending physician. In addition, the dosages of the investigated biomarkers were not performed serially, which could have increased the chance of obtaining some correlation between the findings and sepsis diagnosis. However, the data obtained will contribute in increasing the knowledge of the burden of this syndrome in the region. Sepsis is a clinical condition triggered by an infectious process, and its rapid identification and early therapy have a significant impact on mortality reduction. There is still no specific biomarker for sepsis diagnosis nor for the prediction of its outcome, and it seems that sequential dosages of multiple biomarkers could be useful, but it needs to be further evaluated. Author Contributions Methodology, formal analysis, investigation, draft writing: ACSON. Statistical analysis: RLP. Evaluation of patients: RMF. laboratory tests: DC and LAP Conceptualization, method design, result analysis, writing – review & editing, project administration and funding acquisition: LGO, LMDC and SMR. ORCID iDs Ricardo R Petterle https://orcid.org/0000-0001-7735-1077 Sonia M Raboni https://orcid.org/0000-0001-7907-7585 References 2. Bone R, Balk R, Cerra F, et al. accplsccm consensus conference for sepsis and organ failure and. Chest. 1992;101:1644–1655. 1. Iwashyna TJ, Ely EW, Smith DM, Langa KM. Long-term cognitive impairment and functional disability among survivors of severe sepsis. JAMA. 2010;304: 1787–1794. 3. Levy MM, Fink MP, Marshall JC, et al. 2001 SCCM/ESICM/ACCP/ATS/SIS International Sepsis Definitions Conference. Crit Care Med. 2003;31:1250–1256. 4. Singer M, Deutschman CS, Seymour CW, et al. The third international consensus definitions for sepsis and septic shock (Sepsis-3). JAMA. 2016;315: 801–810. 6. Machado FR, Cavalcanti AB, Bozza FA, et al. The epidemiology of sepsis in Brazilian intensive care units (the Sepsis PREvalence Assessment Database, SPREAD): an observational study. Lancet Infect Dis. 2017;17:1180–1189. 5. Beale R, Reinhart K, Brunkhorst FM, et al. Promoting global research excellence in severe sepsis (PROGRESS): lessons from an international sepsis registry. Infection. 2009;37:222–232. 7. Mencacci A, Leli C, Cardaccia A, et al. Procalcitonin predicts real-time PCR results in blood samples from patients with suspected sepsis. PLoS ONE. 2012;7:e53279. 9. Yin M, Si L, Qin W, et al. Predictive value of serum albumin level for the prognosis of severe sepsis without exogenous human albumin administration : a prospective cohort study. J Intensive Care Med. 2018;33:687–694. 8. Ryu JA, Yang JH, Lee D, et al. Clinical usefulness of procalcitonin and C-reactive protein as outcome predictors in critically ill patients with severe sepsis and septic shock. PLoS ONE. 2015;10:e0138150. 10. Viasus D, Garcia-Vidal C, Simonetti A, et al. Prognostic value of serum albumin levels in hospitalized adults with community-acquired pneumonia. J Infect. 2013;66:415–423. 12. Knaus WA, Draper EA, Wagner DP, Zimmerman JE. APACHE II: a severity of disease classification system. Crit Care Med. 1985;13:818–829. 11. Vincent JL, Moreno R, Takala J, et al. The SOFA (Sepsis-related Organ Failure Assessment) score to describe organ dysfunction/failure. Intensive Care Med. 1996;22:707–710. 13. Charlson ME, Pompei P, Ales KL, MacKenzie CR. A new method of classifying prognostic comorbidity in longitudinal studies: development and validation. J Chronic Dis. 1987;40:373–383. 15. Silva E, Pedro Mde A, Sogayar AC, et al. Brazilian sepsis epidemiological study (BASES study). Crit Care. 2004;8:R251–R260. 14. R Core Team. The R Project for Statistical Computing, 2013:1-12. R-Project. http://www.R-Project.Org/ 16. Kaukonen K-M, Bailey M, Suzuki S, Pilcher D, Bellomo R. Mortality related to severe sepsis and septic shock among critically ill patients in Australia and New Zealand, 2000-2012. JAMA. 2014;311:1308–1316. 18. Reinhart K, Daniels R, Kissoon N, Machado FR, Schachter RD, Finfer S. Recognizing sepsis as a global health priority—a WHO resolution. N Engl J Med. 2017;377:414–417. 17. Martin GS, Mannino DM, Eaton S, Moss M. The epidemiology of sepsis in the United States from 1979 through 2000. N Engl J Med. 2003;348: 1546–1554. 19. Sales Júnior JAL, David CM, Hatum R, et al. Sepse Brasil: Estudo Epidemiológico da Sepse em Unidades de terapia intensiva Brasileiras* an epidemiological study of sepsis in intensive care units. Sepsis Brazil study. Rev Bras Ter Intensiva. 2006;18:9–17. 21. Yebenes JC, Ruiz-Rodriguez JC, Ferrer R, et al. Epidemiology of sepsis in Catalonia: analysis of incidence and outcomes in a European setting. Ann Intensive Care. 2017;7:19–10. 20. Vincent J-L, Sakr Y, Sprung CL, et al. Sepsis in European intensive care units: results of the SOAP study. Crit Care Med. 2006;34:344–353. 22. Shelley SM, Edwards JR, Banberg W, et al. HHS public access. Multistate point-prevalence survey of health care-associated infections. N Engl J Med. 2014;370:1198–1208. 24. Povoa P, Teixeira-Pinto AM, Carneiro AH. C-reactive protein, an early marker of community-acquired sepsis resolution: a multi-center prospective observational study. Crit Care. 2011;15:R169. 23. Magnussen B, Oren Gradel K, Gorm Jensen T, et al. Association between hypoalbuminaemia and mortality in patients with community-acquired bacteraemia is primarily related to acute disorders. PLoS ONE. 2016;11:e0160466. 25. Liu D, Su L, Han G, Yan P, Xie L. Prognostic value of procalcitonin in adult patients with sepsis: a systematic review and meta-analysis. Plos One. 2015;10:e0129450. 27. Pierrakos C, Vincent JL. Sepsis biomarkers: a review. Crit Care. 2010;14:1–18. 26. Tsalik EL, Jaggers LB, Glickman SW, et al. Discriminative value of inflammatory biomarkers for suspected sepsis. J Emerg Med. 2012;43:97–106. 28. Taneja I, Reddy B, Damhorst G, et al. Combining biomarkers with EMR data to identify patients in different phases of sepsis. Sci Rep. 2017;7:10800–10812. 30. Martin GS. Sepsis, severe sepsis and septic shock: changes in incidence, pathogens and outcomes. Expert Rev Anti Infect Ther. 2012;10:701–706. 29. Bassetti M, Righi E, Carnelutti A. Bloodstream infections in the intensive care unit. Virulence. 2016;7:267–279. 31. Arai T, Ohta S, Tsurukiri J, et al. Procalcitonin levels predict to identify bacterial strains in blood cultures of septic patients. Am J Emerg Med. 2016;34: 2150–2153. 33. Phua J, Ngerng WJ, See KC, et al. Characteristics and outcomes of culture- negative versus culture-positive severe sepsis. Crit Care. 2013;17:R202. 32. Brodska H, Malickova K, Adamkova V, Benakova H, Stastna MM, Zima T. 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O ceanography The Official Magazine of the Oceanography Society CITATION Greene, C.H. 2010. Review of World Ocean Census: A Global Survey of Marine Life by D. Trew Crist, G. Scowcroft, and J. Harding Jr. Oceanography 23(1):229–231, doi:10.5670/oceanog.2010.107. , COPYRIGHT This article has been published in Oceanography, Volume 23, Number 1, a quarterly journal of The Oceanography Society. Copyright 2010 by The Oceanography Society. All rights reserved. USAGE Permission is granted to copy this article for use in teaching and research. Republication, systematic reproduction, or collective redistribution of any portion of this article by photocopy machine, reposting, or other means is permitted only with the approval of The Oceanography Society. Send all correspondence to: email@example.com or The Oceanography Society, PO Box 1931, Rockville, MD 20849-1931, USA. employs technological advances new to marine science, such as ceramic spheres to provide buoyancy at pressures close to 16,000 pounds per square inch and a micro-fiber-optic cable the width of a human hair that can transmit multiple video streams along with vehicle sensor and navigation data to scientists aboard ship through a 20-km-long tether. While testing the vehicle's sampling capability, we discovered the anthropogenic legacy of mounds of spent munitions and gunpowder-filled tubes at 500-m depth. Coincident with this find in the Pacific was the discovery of massive damage caused by fisheries trawling on the Corner Rise seamounts in the North Atlantic. These recent experiences made only too real Koslow's major points: that deep-sea science has a storied history and a legacy of exploration that extends to the current day and that the deep sea remains largely unexplored, although even the most far reaches are not only explorable by humans but have already been negatively impacted by us. He reminds us that we also have the power to steward the future health and use of the deep sea. The Silent Deep is a unique and wonderful companion to the few other deep-sea textbooks that exist, such as Gage and Tyler's Deep-Sea Biology: A Natural History of Organisms at the Deep Sea Floor (1991, Cambridge University Press). However, I know of no other volume of work that so readily describes human impacts on the deep ocean, including the rapid spread and damage of trawling, the buildup of humanity's Enumerating the Sea's Dwindling Bounty A Review of World Ocean Census: A Global Survey of Marine Life By Darlene Trew Crist, Gail Scowcroft, and James Harding, Jr., Firefly Books, 2009, ISBN 978-1-554-074341, Hardcover, 256 pages, $40 US Reviewed by Charles H. Greene During the first decade of the new millennium, a revolutionary approach to studying life in the sea was launched— The Census of Marine Life. Assembling over 2000 ocean scientists from 82 nations, the Census set out to answer three fundamental questions: * What once lived in the global ocean? * What is living there now? * What will live there in the future? In addressing the above questions, the Census evolved into an unusual mixture of nineteenth-, twentieth-, and twenty-first-century ocean science. Like the Challenger expedition of the midnineteenth century, the Census placed a strong emphasis on ocean exploration and cataloguing marine biodiversity. At the same time, it pioneered entirely new technologies to study the distribution, abundance, and genetic structure of marine populations as well as the behaviors of individual animals in the wild. It is not an exaggeration to state that over the past decade, the Census has played a fundamental role in transforming the study of life in the sea. toxic pollutants in deepwater life forms, the potential consequences of climate change and ocean acidification, and the future mining of seabed minerals and methane hydrates for hydrocarbons. The public needs to know what is at stake. From a single cigarette butt to megatons of radioactive waste, we have and will continue to impact the deep ocean. I highly recommend this book for anyone with an interest in deep-sea ecosystems—and the future of our planet. Tim Shank (firstname.lastname@example.org) is Associate Scientist, Biology Department, Woods Hole Oceanographic Institution, Woods Hole, MA, USA. He is involved in several international projects on the biology and genetics of vent, seep, and seamount fauna from around the world. So, what has enabled the Census to play such a transformative role in marine biological research? During a decade in which federal support for such research was modest at best, the Sloan Foundation was able to use its own resources to leverage a large commitment of funding for the Census from Oceanography March 2010 229 other private sources. Historically, when funding for marine biological research is adequate, scientific creativity and innovation can flourish. In contrast, when funding is scarce, the review process becomes more combative, the proposals become more conservative, and the odds are stacked heavily against truly innovative science. Certainly, the decade-long infusion of over half a billion dollars into marine biological research set the stage for the Census' success. However, funding alone cannot ensure success. Projects had to be vetted in some sort of review process, and if creativity and innovation were to emerge, risks had to be taken. Did the Census only support the best scientific projects available? Probably not, and it is fair to guess that some would never have survived the peer-review process at traditional funding agencies like the National Science Foundation. Nevertheless, the Census did select themes and support projects that can only be described as game changers. The Future of Marine Animal Populations (FMAP) project was perhaps the most controversial and successful. By supporting conservation-oriented marine ecologists to look into the history of recent fishing practices and project future trends, the Census stirred up a hornet's nest of controversy with fisheries biologists and managers. Remarkably, rather than spinning out of control, this controversy eventually brought both sides to the table and a consensus perspective emerged by the end of the decade (Worm et al., 2009). Obviously, not all of the Census projects will conclude as gracefully and on such a high note as the FMAP project. Nevertheless, as the Census draws to 230 Oceanography Vol.23, No.1 a conclusion, it is an appropriate time to assess its accomplishments. World Ocean Census: A Global Survey of Marine Life is the first attempt to present these accomplishments in a format that is accessible to a broad audience. With its striking photography and high production standards, the book unfolds as a visual celebration of the Census. Marine biodiversity and the excitement of ocean exploration come alive as the reader thumbs through the pages and marvels at images collected from Census projects throughout the world ocean. As a coffee-table book, World Ocean Census succeeds admirably. The text of World Ocean Census is not consistently up to the standards of its photography. Like the Census itself, the book is organized into three sections focusing on the past, present, and future of life in the sea. Unfortunately, coverage of these topics is uneven, and the quality of the narrative varies considerably from chapter to chapter. The narrative is at its best when it brings to life the personalities of the scientists participating in the Census. I particularly enjoyed Chapter 4 on "Animals as Ocean Observers" and Chapter 8 on "Unraveling the Mysteries of New Life-Forms." Chapter 4 captures the excitement of scientists conducting animal tracking studies and the challenges they face in tagging animals in some of the world's most extreme environments. Chapter 8 is equally engaging, letting the reader share in the thrill of discovery as Census scientists describe the excitement of finding new species. The narrative hits its low points when it gets caught up in cataloguing technology rather than biodiversity. For example, Chapter 3 on "Expanding the Use of Technology" was very disappointing. Normally, this topic would be of special interest to me. However, I found the descriptions of a wide variety of technologies in this chapter to be superficial and occasionally misleading. The development and use of state-of-the-art technology has been critical to the success of the Census; nevertheless, I would recommend skipping over this chapter and reading the much more enjoyable Chapter 4. Perhaps an appendix describing the technology in greater detail would have satisfied the more technologically inclined reader without disrupting the flow of the narrative. Among its many themes, the most memorable message of World Ocean Census is that we must explore the ocean and understand it biodiversity before it is too late. This theme is expressed most eloquently in the book's foreword by Sylvia Earle: The importance of the Census is made urgent because at the same time that more is being learned about the diversity of life in the sea…more is being lost. However, this statement is not meant to imply that we are simply in a race against the clock to catalogue marine biodiversity before it disappears. Rather, the critical point is that only after we achieve a better appreciation of marine biodiversity can we fully comprehend and address the threats that humanity poses to the ocean environment and its inhabitants. There are several occasions early in the narrative when this message is communicated in a subtle manner. One example is Chapter 5 on "Disappearing Ice Oceans." This chapter has a chilling effect, leaving the reader with haunting images of spectacularly colorful animals living in polar environments that are gradually disappearing due to some of the most dramatic, climate-induced changes on the planet. In the final section of the book— "What Will Live in the Ocean?"—all subtlety is cast aside, and the authors forcefully draw attention to the impacts humans are having on marine populations. Chapter 9 on "Forecasting the Future" highlights the threat of extinction from overfishing faced by many large animal populations in the ocean. In addition to the species targeted by fisheries, numerous fish, sea turtle, and marine mammal populations are being driven toward extinction by their incidental capture or entanglement in fishing gear. Despite its overall sobering theme, the chapter ends on an optimistic note, describing how a change in lobster fishing practices can benefit both lobsterman and North Atlantic right whales. brain tumor and passed away after only a few months. His death left his young protégé, Boris Worm, in the crosshairs of the opposition critical of the project's findings and conclusions. Fortunately, this episode, touched by tragedy, ended in triumph as Worm worked with the opposition to mediate their differences and achieve a critical consensus. Stories from the Census like this one, which convey some of the human drama associated with studying life in the sea, may help capture the public's imagination and hopefully raise its awareness in time to make a difference. World Ocean Census is a start in the right direction, but there are still many stories left to tell. Charles H. Greene (email@example.com) is Director, Ocean Resources and Ecosystems Program, Department of Earth and Atmospheric Sciences, Cornell University, Ithaca, NY, USA. The book's final chapter, "The Path Forward," continues the litany of human threats to the ocean and its inhabitants. Ocean acidification, anoxic dead zones, and the jellification of marine ecosystems are each given their due. One can only hope that lay readers fascinated by the book's earlier focus on marine biodiversity do not become too discouraged reading about how humans are decimating that biodiversity. Like the previous chapter, this one also ends on an optimistic note—concluding that the Census has made a difference and will help humans become better stewards of their ocean planet. It is worth noting that World Ocean Census was written prior to the Census' completion this year. Therefore, we can anticipate more comprehensive treatments of its scientific findings after the project's synthesis phase is completed. However, beyond its scientific findings, the Census has other stories that still need to be told. Any endeavor of this size, involving so many people passionate about what they are doing, will lead to compelling stories with elements of comedy and tragedy, failure and triumph. One example emerged during the Ocean Futures project. At the height of the controversy this project stirred up, its leader Ransom Myers developed a Reference Worm, B., R. Hilborn, J.K. Baum, T.A. Branch, J.S. Collie, C. Costello, M.J. Fogarty, E.A. Fulton, J.A. Hutchings, S. Jennings, and others. 2009. Rebuilding global fisheries. Science 325:578– 585, doi:10.1126/science.1173146 The Oceanography Society is on Facebook! Become a fan. http://www.facebook.com/#!/pages/ The-Oceanography-Society-TOS/274812976299 Oceanography March 2010 231
An Alternative Derivation of the Landau–Lifshitz–Gilbert Equation for Saturated Ferromagnets Jiashi Yang Department of Mechanical and Materials Engineering University of Nebraska-Lincoln, Lincoln, NE 68588-0526, USA firstname.lastname@example.org Abstract The Landau–Lifshitz–Gilbert equation for rigid and saturated ferromagnets is derived using a twocontinuum model constructed by H.F. Tiersten for elastic and saturated ferromagnets. The relevant basic laws of physics are applied systematically to the two continua or their combination. The exchange interaction is introduced into the model through surface distributed magnetic couples. This leads to a continuum theory with magnetization gradients in the stored energy density. The saturation condition of the magnetization functions as constraints on the energy density and has implications in the constitutive relations. Keywords: ferromagnetic; LL equation; LLG equation; saturation; spin wave 1. Introduction In ferromagnetic solids, microscopic magnetic moments may align themselves to form regions with spontaneous magnetization below the Curie temperature. This is because of the exchange interaction among neighboring magnetic moments, which is quantum mechanical in nature. In saturated ferromagnets, the magnetization vector has a fixed magnitude and can change its direction only. A disturbance of the aligned magnetic moments can propagate as what is called spin waves which are governed by the well-known Landau–Lifshitz (LL) equation. The LL equation can be obtained from continuum modeling by including the magnetization gradient into the stored energy density [1], or from discrete models of interacting magnetic moments followed by taking the continuum limit [2]. When damping is included, the LL equation becomes the more general Landau–Lifshitz–Gilbert (LLG) equation [3]. There are also relatively recent reports on the derivation of the LL or LLG equation [4]. In deformable materials, spin waves may interact with elastic waves which is referred to as phononmagnon interaction. Continuum theories of phonon-magnon interactions in saturated ferromagnetoelastic solids can be found in [5-13]. In particular, H.F. Tiersten constructed a two-continuum model from which the theory of saturated ferromagnetoelasticity was established by applying the relevant physical laws to the two continua or their combination [5]. While the theory of rigid ferromagnets may be viewed as a special case of the theory of elastic ferromagnets, the reduction of the theory of elastic ferromagnets in [5] to rigid ferromagnets needs some effort because the theory in [5] is rather complicated. Therefore it is worthwhile to construct the theory of rigid ferromagnets directly from the two-continuum model in [5] which is carried out below. Different from [5] where the magnetic field vector H is used to express the magnetic couple on a magnetic moment, the magnetic induction vector B is used below which is the same as what is in the later paper [9] by H.F. Tiersten. The reason of using B instead of H is because of the current-loop model of magnetic moments in [9,14] where the couple on a current loop is calculated from the Biot–Savart law in terms of B. Another difference from [5] is that the SI unit system is used below instead of Gaussian units. 2. Saturated Ferromagnets We use the Cartesian tensor notation [15]. The spatial coordinates are written as xk or x. V, S and C represent volumes, surfaces and curves fixed in space. The outward unit normal of S is n. Consider the following vector field of the magnetization density per unit volume in a stationary and rigid ferromagnet: M ( , ) t M x. (1) For saturated ferromagnets we have the following saturation condition: where Ms is a constant (saturation magnetization) and s is not a tensor index. Mathematically, (2) is a constraint on M. With differentiations with respect to t and/or x, (2) implies that Although the magnitude of M cannot change because of the saturation condition, M can still change its direction as described by the rotation or angular displacement δθ = \|δM\|/\|M\| in Fig. 1. M We introduce an angular displacement vector δθ by Then where the following vector identity has been used [16]: We also introduce an angular velocity vector for a saturated M through The power of a magnetic couple Γ = M×B on a saturated M during an angular motion of M is given by where we have used the following vector identity [16]: Following [5], we write the angular momentum of M as where γ is the gyromagnetic ratio which is a negative number. 3. Two-Continuum Model Saturated ferromagnetic insulators can be modeled by the two interpenetrating and interacting continua shown in Fig. 2 [5]. One is called the spin continuum which carries distributed magnetic moments. The other is the lattice continuum which is assumed to be rigid. The two continua cannot displace relatively with respect to each other, but the magnetic moments can rotate with respect to the lattice. The two continua interact through a local force f L and a local couple c L produced by an effective local magnetic induction B L [9,14], i.e., As a moment vector, c L is shown by double arrows in Fig. 2. The spin continuum is assumed to be massless. It experiences a magnetic body force f M and a magnetic body couple c M produced by the Maxwellian magnetic induction B M : The spin continuum also experiences a distributed couple M×F per unit area on its boundary surface due to an effective exchange field F whose nature is quantum mechanical. The use of a surface distribution of F for the short-range exchange interaction is the key of the formulation in [5]. Since F and B L act on M through cross products, the components of F and B L along M have no contributions. Hence it can be assumed that [5] The lattice continuum is under the usual mechanical surface traction t and mechanical body force f, in addition to the interactions with the spin continuum through –f L and –c L . The combined continuum in Fig. 3 shows the loads external to the two continua only without their interactions which are internal. 4. Integral Balance Laws The relevant balance laws from physics are 0 C d H x , (16) where U is the internal energy density per unit volume, R the body heat source per unit volume, q the heat flux vector, θ the absolute temperature and η the entropy density per unit volume. (17) and (18) are the linear and angular momentum equations for the spin continuum alone. Those for the lattice continuum alone are not of interest and therefore are left out. (19) and (20) are the energy equation and the second law of thermodynamics of the combined continuum. The magnetic power in (19), –M·∂B M /∂t [9,14], is based on the current-loop model for magnetic moments. This is the same as [9] but is different from [5] where (8) was used for both of the two terms for magnetic powers on the right-hand side of (19). These two different approaches lead to theories with the same mathematical structure, but the physical interpretations of the energy densities involved are different. 5. Differential Balance Laws The differential forms of (15) and (16) for the quasistatic magnetic fields are Since the spin continuum is massless, the linear momentum equation in (17) simply leads to (23) is not needed in the theoretical framework below. The linear momentum equation of the spin continuum will be necessary when the spin continuum is no longer massless and can displace from the lattice continuum. For the angular momentum equation in (18), we introduce an exchange tensor A by [5] which is restricted by (13) through Then the angular momentum equation in (18) can be brought into the following differential form using (24) and the divergence theorem: As a cross product, the first term on the left-hand side of (26) is perpendicular to M. Dotting both sides of (26) by M, we have The right-hand side of (27) vanishes because of the constraint due to saturation in (3)1. Then (27) reduces to To satisfy (28), we impose the following restriction on A [5]: With the use of (29), the angular momentum equation in (26) reduces to (30) can be written as where, k lk l (32) is the well-known LL equation in the literature. B eff is the total effective magnetic induction. B ex is the effective exchange induction. If we take a dot product of both sides of the angular momentum equation in (30) with the following vector which is along the ω in (7): we obtain which will be useful later. The differential forms of (19) and (20) can be obtained using the divergence theorem as: 6. Constitutive Relations With the use of (34), the energy equation in (35) becomes Under the following Legendre transform: (37) becomes Substituting (38) into (36) and eliminating R using (39), we obtain the Clausius–Duhem inequality as For constitutive relations we break B L into reversible and dissipative parts and assume For simplicity we are not considering possible dissipations related to the exchange interaction. The reversible part of (41)1 is chosen to satisfy Then the energy equation in (39) and the Clausius–Duhem inequality in (40) become (43) is the heat or dissipation equation. With we write (42) as Let Then We substitute (48) into (46) and use Lagrange multipliers λ and Li to introduce the constrains in (3)1,3. This yields or (50) implies the following reversible constitutive relations: Since we have assumed (13) and (14) which impose restrictions on F and B L , we can use (13) and (14) to determine Li and λ [5]. From (25) which is an implication of (13), we have A·M = 0 or, with the use of (51)2, (52) determines that From (14) we have As a sufficient condition of (54), we impose With the use of (51)1, we have, from (55)1, where (3)2 has been used. (56) determines that Using (53) and (57), we write (51)1,2 as where A is restricted by (29). The dissipative constitutive relations are restricted by (44) and (55)2. When damping is present, the LLG equation in the literature has the following from: where β is a damping coefficient. (59) can be written as On the other hand, with the theoretical framework developed in the above, from (31), (32) and (41), we can write Comparing (59) and (61), we identify which satisfies (55)2. Thus the theoretical framework derived in the above can reduce to the LLG equation. If the thermal term in (44) is neglected, (44) reduces to Then, with the use of (62), we have which implies that β ≥ 0. 7. Summary of Equations In summary, the field equations are 0 H , (66) For constitutive relations, we have i F, ;; i j i F M M , (70) R L i F 1 1 F F M, 2 2, k i k i j B M M M M i, () s k s k j MMMM which are restricted by (29), (44) and (55)2. (66) allows the introduction of a scalar potential ψ as follows: In addition, we have Then (65), (67) and (68) can be written as five equations for ψ, θ and the three components of M. On a boundary surface with an outward unit normal n, possible boundary conditions are the prescriptions of [5] where θ is the absolute temperature and δθ is the angular displacement of M. In dynamic problems, instead of δθ, its time derivative ω may be prescribed. 8. Cubic Crystals As a simple example of constitutive relations, consider the case of small magnetization with small magnetization gradients. We take which consists of two of the many possible terms in a long expression in [5]. The symmetry of αmn ensures that (29) is satisfied. We consider the special case of cubic crystals of class (m3m) with αim = αδim. Then (71)2 generates The effective exchange field B ex has the following expression according to (32): which is a common expression for B ex (or H ex ) in the literature for cubic crystals, e.g., [4] where an expression like (78) is obtained for H ex from a discrete model of magnetic moments in cubic crystals. 9. Conclusions Equations for rigid and saturated ferromagnets are derived systematically from the two-continuum model constructed by H.F. Tiersten. The constitutive relations satisfy the saturation condition of magnetization. It is a magnetization gradient theory in the sense that the stored energy depends on the magnetization gradient in addition the magnetization itself. The equations derived can reduce to the LLG equation as a special case. The constitutive equations are for general material anisotropy and can be specialized to any crystal classes. References [1] L.D. Landau and E.M. Lifshitz, Electrodynamics of Continuous Media, 2nd ed., Butterworth– Heinemann, Linacre House, Jordan Hill, Oxford, 1984. [2] E.Y. Tsymbal, Introduction to Solid State Physics https://unlcms.unl.edu/cas/physics/tsymbal/teaching/SSP-927/index.shtml. , [3] T.L. Gilbert, A phenomenological theory of damping in ferromagnetic materials, IEEE Trans. Magn., 40, 3443–3449, 2004. [4] M. Krawczyk, M.L. Sokolovskyy, J.W. Klos and S. Mamica, On the formulation of the exchange field in the Landau–Lifshitz equation for spin-wave calculation in magnonic crystals, Adv. Condens. Matter Phys., 2012, 764783, 2012. . [5] H.F. Tiersten, Coupled magnetomechanical equation for magnetically saturated insulators, J. Math Phys., 5, 1298–1318, 1964. [6] H.F. Tiersten, Variational principle for saturated magnetoelastic insulators, J. Math. Phys., 6, 779– 787, 1965. [7] H.F. Tiersten, Thickness vibrations of saturated magnetoelastic plates, J. Appl. Phys., 36, 2250–2259, 1965. [8] H.F. Tiersten, Surface coupling in magnetoelastic interactions, in: Surface Mechanics, ASME, New York, 1969, pp.120–142. [9] H.F. Tiersten and C.F. Tsai, On the interaction of the electromagnetic field with heat conducting deformable insulators, J. Math. Phys., 13, 361–378, 1972. [10] W.F. Brown Jr., Theory of magnetoelastic effects in ferromagnetism, J. Appl. Phys., 36, 994–1000, 1965. [11] W.F. Brown Jr., Magnetoelastic Interactions, Springer–Verlag, New York, 1966. [12] G.A. Maugin and A.C. Eringen, Deformable magnetically saturated media. I. Field equations, J. Math. Phys. 13, 143–155, 1972. [13] G.A. Maugin and A.C. Eringen, Deformable magnetically saturated media. II. Constitutive theory, J. Math. Phys. 13, 1334–1347, 1972. [14] H.F. Tiersten, A Development of the Equations of Electromagnetism in Material Continua, Springer, New York, 1990. [15] A.C. Eringen, Mechanics of Continua, Robert E. Krieger, Huntington, New York, 1980. [16] G.E. Hay, Vector and Tensor Analysis, Dover, New York, 1958.
Leaf nutrients not specific leaf area are consistent indicators of elevated nutrient 1 inputs 2 Jennifer Firn 1* , James McGree 1 , Eric Harvey 2 , Habacuc Flores 3 , Martin Schütz 4 , 3 Yvonne M. Buckley 5 , Elizabeth Borer 3 , Eric Seabloom 3 , Kimberly J. La Pierre 6 , 4 Andrew M. MacDougall 7 , Suzanne M. Prober 8 , Carly J. Stevens 9 , Lauren Sullivan 3 , 5 Erica Porter 1 , Emma Ladouceur 10, Charlotte Allen 1 , Karine H. Moromizato 1 , John W. 6 Morgan 11 , W. Stanley Harpole 10,12,13 , Yann Hautier 14 , Nico Eisenhauer 10 , Justin 7 Wright 15 , Peter B. Adler 16 , Carlos Alberto Arnillas 17 , Jonathan D. Bakker 18 , Lori 8 Biederman 19 , Arthur A.D. Broadbent 9,20 , Cynthia S. Brown 21 , Miguel N. Bugalho 22 , 9 Maria C. Caldeira 23 , Elsa Cleland 24 , Anne Ebeling 25 , Philip A. Fay 26 , Nicole 10 Hagenah 27 , Andrew R. Kleinhesselink 28 , Rachel Mitchell 29 , Joslin L Moore 30 , Carla 11 Nogueira 23 , Pablo Luis Peri 31 , Christiane Roscher 10,12 , Melinda Smith 32 , Peter D. 12 Wragg 3 , and Anita C. Risch 4 13 1Queensland University of Technology (QUT), Brisbane, QLD, 4001 Australia 14 Ontario Canada M5S 3B2. 16 2Department Of Ecology and Evolutionary Biology, University of Toronto, Toronto 15 3 Dept. of Ecology, Evolution, and Behavior, University of MN, St. Paul, MN 55108 17 Zürcherstrasse 111, 8903 Birmensdorf, Switzerland 19 4Swiss Federal Institute for Forest, Snow and Landscape Research (WSL), 18 5School of Natural Sciences, Zoology, Trinity College Dublin, Dublin 2, Ireland 20 7Department of Integrative Biology, University of Guelph, Guelph, Ontario, N1G 22 6Smithsonian Environmental Research Center, Edgewater, Maryland 21037 USA 21 2W1, Canada 23 9Lancaster Environment Centre, Lancaster University, Lancaster, LA1 4YQ, UK. 25 8CSIRO Land and Water, Wembley, WA 6913, Australia 24 10German Centre for Integrative Biodiversity Research (iDiv) Halle-Jena-Leipzig, 26 11Department of Ecology, Environment and Evolution, La Trobe UniversityBundoora, 28 Deutscher Platz 5e, Leipzig 04103, Germany. 27 Vic., Australia 29 Research – UFZ, Permoserstrasse 15, Leipzig 04318, Germany. 31 12Department of Physiological Diversity, Helmholtz Center for Environmental 30 13Institute of Biology, Martin Luther University Halle-Wittenberg, Am Kirchtor 1, 32 14Ecology and Biodiversity Group, Department of Biology, Utrecht University, 34 Halle (Saale) 06108, Germany. 33 Padualaan 8, 3584 CH Utrecht, 14 Netherlands 35 15Department of Biology, Duke University, Durham, North Carolina 27708, USA 36 16Department of Wildland Resources and the Ecology Center, Utah State University, 37 Logan, Utah 84322, USA 38 ScarboroughToronto, ON, Canada 40 17Department of Physical and Environmental Sciences, University of Toronto‐ 39 18School of Environmental and Forest Sciences, University of Washington, Seattle, 41 19Department of Ecology, Evolution, and Organismal Biology, Iowa State University, 43 Washington 98195, USA 42 Ames, IA, USA 44 University of Manchester, Oxford Road, Manchester, M13 9PT, UK 46 20School of Earth and Environmental Sciences, Michael Smith Building, The 45 21 Department of Bio-agricultural Sciences and Pest Management, 1177 Campus 47 22Centre for Applied Ecology (CEABN-InBIO), School of Agriculture, University of 49 Delivery, Colorado State University, Fort Collins, CO 80523 USA 48 Lisbon, Portugal 50 24Division of Biological Sciences, University of California San Diego, La Jolla CA 52 23Forest Research Centre, School of Agriculture, University of Lisbon, Portugal 51 92103 53 Jena, Germany 55 25Institute of Ecology and Evolution, University of Jena, Dornburger Str. 159, 07743 54 26United States Department of Agriculture Agricultural Research Service, Grassland 56 27Mammal Research Institute, Department of Zoology and Entomology, University of 58 Soil and Water Research Lab, Temple, Texas 76502, USA 57 Pretoria, Pretoria, South Africa 59 Department of Ecology and Evolutionary Biology, 621 Charles E. Young Drive 28 South Box 95160 Los Angeles CA 90095 United States 61 60 29School of Earth Sciences and Environmental Sustainability, Northern Arizona 62 30School of Biological Sciences, Monash University, Victoria 3800, Australia 64 University, 525 S. Beaver St, Box 5694, Flagstaff, AZ 86011, USA 63 31Instituto nacional de Tecnología Agropecuaria (INTA), PO Box 332, Río Gallegos, 65 CONICET. 67 Santa Cruz, Argentina. 2. Universidad Nacional de la Patagonia Austral (UNPA). 3. 66 32Department of Biology, Colorado State University, Fort Collins, CO 80523 68 Correspondence to: email@example.com 69 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 Abstract Leaf traits are frequently measured in ecology to provide a 'common currency' for predicting how anthropogenic pressures impact ecosystem function. Here, we test whether leaf traits consistently respond to experimental treatments across 27 globally distributed grassland sites across four continents. We find specific leaf area (SLA; leaf area per unit mass), a commonly measured morphological trait to infer shifts between plant growth strategies, did not respond to up to four years of soil nutrient additions. Leaf nitrogen, phosphorus and potassium concentrations did increase in response to the addition of each respective soil nutrient. We found few significant changes in leaf traits when vertebrate herbivores were excluded in the short-term. Leaf nitrogen and potassium concentrations were positively correlated with species turnover, suggesting interspecific trait variation was a significant predictor of leaf nitrogen and potassium, but not of leaf phosphorus concentration. Climatic conditions and pre-treatment soil nutrient levels also accounted for significant amounts of variation in the leaf traits measured. Overall, we find that leaf morphological traits such as SLA are not appropriate indicators of plant response to anthropogenic perturbations in grasslands. Text: Biodiversity loss is accelerating at an alarming rate, particularly in grasslands due to eutrophication linked to agricultural intensification and industrial pollution 1 , and altered trophic level interactions such as reduced consumption by native hervivores 2,3 . These anthropogenic pressures also impact species composition, potentially selecting for species with particular traits, and thereby affecting ecosystem function 4,5 . Functionally relevant traits, rather than species richness, have been increasingly used as a "common currency" to assess the consequences of biodiversity loss 6,7 on ecosystem functioning 8,9 . Leaf traits are commonly used, and considered as 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 part of the 'Holy Grail' 6,10 set of traits, to predict plant-animal interactions 11 , community composition and ecosystem function in response to perturbations 12 . Ecology's focus on leaf traits is based on strong eco-physiological evidence that leaves represent important investment strategies for plant growth and survival. Plants invest photosynthate and mineral nutrients in the construction of leaves, which capture light to produce more photosynthate 13,14 . Leaf traits such as specific leaf area (SLA) and leaf nutrient concentrations are typically used as comparative measures of how plants capitalize on these investments. SLA, measured as leaf area per unit mass, represents a trade-off between surface area for capturing photons and thickness related to structural adaptations for water conservation and herbivore defence. Indeed, leaf traits correlate across a continuum of fast to slow returns-on-investment, known as the leaf economic spectrum (LES) 14-16 . Fast-growing species, which are adept at resource acquisition and tend to dominate in regions with high rainfall levels and soils where resource availability is not limiting, are hypothesized to have higher SLAs and leaf nutrient concentrations 10,17 . High SLA is associated with lower costs of leaf construction, and higher rates of herbivory as tissue becomes more palatable 6 . Additionally, higher species turnover and palatability are also positively correlated with leaf nitrogen (N), phosphorus (P), and potassium (K) concentrations 14-16 . By contrast, slower-growing species, which exhibit resource conservation, are hypothesized to have lower SLAs and leaf nutrient concentrations 14-17 . As a result, slow-growing species are less palatable to herbivores, while having a longer leaf life span. Trade-offs between leaf traits discovered in the LES were shaped over evolutionary timeframes as successful trait combinations are selected for and unfavourable combinations are selected against. LES relationships were built from 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 comparative relationships among leaves collected across biomes ranging from tundra to tropical forests 14 . However, the extent to which rapid changes in structuring forces such as soil nutrient availability and reduced herbivory result in predictable shifts in trait values within a biome, like grasslands, remains equivocal 6 . Indeed, in agriculture the growth-dilution effect postulates that leaf nutrient concentrations may not increase in response to fertiliser because increased plant growth outpaces nutrient accumulation in tissue 18 SLA and leaf nutrient concentrations are commonly used as surrogate measures of broad-scale biogeographical differences 12 . However, leaf trait responses of individual species are also influenced by short-term local-scale abiotic and biotic factors. Climatic and edaphic conditions interact with fertilization and changes in natural disturbance regimes to sculpt community composition and ultimately ecosystem functioning 5,10,11,19,20 . Given the complex sets of interactions that may explain leaf trait responses to short-term environmental change, a modelling approach is necessary to discern interactions that may otherwise be missed when using traditional bi-variate analyses 21,22 . In a global experimental test, we quantified how leaf traits in grasslands change in response to the addition of soil nutrients (i.e., N, P and K) and the exclusion of vertebrate herbivores. We sampled leaf traits from the Nutrient Network (NutNet) 23 cross-continental distributed experiment established at 27 sites (Fig. 1, Supplementary Table 1). This experimental network allowed us to test how commonly measured leaf traits respond to environmental change across grasslands. At the majority of sites, we sampled leaf traits after three to four years of treatment (five sites after two years and 22 of the 27 sites after three to four years; see Supplementary Table 1 for detailed information on each site). 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 At each site, three blocks of ten 5 m x 5 m plots were established, and two experiments initiated: 1) a full factorial nutrient addition experiment, including the addition of all factorial combinations of N, P and K+µ, where the subscript +µ refers to the inclusion of ten other micronutrients in the first application year as part of the K addition treatment (see Borer et al. 23 and Methods for more detail), and 2) a combination full nutrient addition (NPK+µ addition) and herbivore exclusion experiment where fences were built to exclude vertebrate herbivores that were larger in weight than 50 g (for more details see Methods ). Relative cover was visually estimated before the experiment began and prior to the leaf harvest period, when leaf traits were collected from the three to five most dominant species in each plot. Overall, 243 species were sampled across the 27 sites, including grasses, forbs and legumes, and 2664 leaf samples were measured for leaf area, leaf dry weight, and leaf N, P and K concentrations 24 . Overall the sampled species accounted for 26% of the total vegetation cover at the time when leaves were collected. The effect sizes of the mean leaf trait values for all species in response to the experimental treatments were estimated using multilevel regression models in a hierarchical Bayesian framework using integrated nested Laplace approximation 25 , where the random effect structure included block nested in site nested in species. SLA values were log-transformed to meet assumptions of normality in the multilevel regression model. Results and discussion We found that SLA did not increase consistently with the treatments. We did, however, find evidence of a small but significant increase in SLA in the NP (mean log(SLA) = 8.79 mm 2 /g) and NPK fertiliser treatments (mean log(SLA) = 8.81 mm 2 /g) compared to the control (mean log(SLA) = 8.69 mm 2 /g), suggesting 178 179 180 181 182 183 184 185 186 187 188 189 190 191 192 193 194 195 simultaneous increases in availability of N and P may be necessary to find consistent increases in SLA in grasslands (Fig. 2a) 26 . When we considered the variation explained by the random effects in the model, SLA showed the highest variability of any of the measured leaf traits at the site level (Fig. 3: ~75% of the variation in SLA in response to treatments was explained among sites), suggesting variation in SLA may be explained by other local abiotic and biotic factors not included in these models. These results provide a new mechanistic understanding of previous NutNet studies, which found that plant aboveground biomass increased in response to nutrient enrichment and fencing treatments, with the highest increase being recorded in the fencing treatments after just three years 27,28 . Our results indicate this increase in plant biomass is not explained by an increase in SLA, but instead may be explained by the number of leaves, stems and other structural elements produced. N, P and K leaf concentrations increased significantly when the corresponding nutrients were applied as fertiliser (Fig. 2). Previous NutNet studies have found multiple-nutrient constraints on aboveground net primary production, including increased vegetation cover and biomass 29 . Leaf N concentration also increased in leaves with PK+µ fertilization (Fig. 2b), a likely reflection of the increased availability of N in soils 30 and the importance of other nutrient limitations for increasing plant N uptake. Leaf P showed the opposite trend to leaf N and decreased in concentration when either N or NK+µ were applied as fertiliser (Fig. 2c). This trend likely reflects the limited availability of phosphate to plants, because of its high affinity to soil particles 31 , as otherwise we may have found an increase in Leaf P when limitations were lifted by the addition of other essential nutrients 26 . Leaf K concentration showed the highest variation associated with 'species' random effects (~60%, Fig. 3). The 202 203 204 205 206 207 208 209 210 211 212 213 214 215 216 217 218 219 220 fencing treatment did not significantly alter leaf nutrient concentrations only when soil nutrient addition was combined with the fencing treatment (Fig. 2). Our findings of an increase in leaf nutrient concentrations in response to the fertiliser treatments could be explained by intraspecific trait variation (increases shown by the same species over time) and by interspecific changes in dominant species following the application of treatments. After treatment initiation, changes in dominant species were observed at some study sites, whereas little change was observed at other sites. This difference is important because increases in leaf nutrient concentrations could be explained by two mechanisms: 1. current species increase their uptake of nutrients (i.e. intraspecific trait variation) 32 and 2. new species are recruited into the dominant class (i.e. interspecific trait variation) as the increased nutrient availability favours their growth and establishment 33 . Therefore, we evaluated the effects of temporal species turnover on leaf trait responses. We estimated temporal species turnover using Bray Curtis dissimilarity for the three to five most dominant species in each plot comparing pretreatment species composition with composition when the leaf traits were measured, two to four years later. Given the global extent of our study sites and the high amounts of variation in leaf traits found at the site level, particularly for SLA (Fig. 3), we also evaluated the effects of climatic conditions and pre-treatment soil nutrient levels. We used structural equation models to examine the influence of these additional possible drivers (see supplementary material for details on model development including Supplementary Fig. 1 to 3). Because we did not find evidence of a leaf trait response to the fencing treatments, we did not further evaluate these treatments, only the nutrient addition treatments. Overall, the R 2 values for each of the leaf nutrient trait response variables were high, indicating a strong explanatory power of the models; 227 228 229 230 231 232 233 234 235 236 237 238 239 240 241 242 243 244 245 leaf K had the highest R 2 value and SLA the lowest (leaf N, R 2 = 0.53; leaf P, R 2 = 0.32; leaf K, R 2 = 0.55; SLA, R 2 = 0.11). All leaf traits varied with climatic and edaphic conditions (Fig. 4 and Supplementary Fig. 4). The nutrient addition treatments explained considerable amounts of variation in the leaf nutrient contents but not in SLA. Species temporal turnover was positively correlated with leaf nitrogen and potassium contents, but significant correlations were not found with the leaf phosphorus content or SLA. This result shows that a portion of the increase in the leaf nitrogen and potassium contents was explained by interspecific variation, suggesting some selection effect of the addition of these nutrients on species composition; whereas the positive response of leaf phosphorus was explained by intraspecific trait variation. These findings corroborate other studies that have also found considerable amounts of variation in leaf chemical traits are explained by intraspecific variation 32 . The duration of the nutrient addition treatments (represented as year in Fig 4 and Supplementary Fig. 4) was also positively correlated with species temporal turnover, suggesting that sites with longer treatment durations had higher species turnover. Co-variances among the leaf nutrient contents were high in the structural equation model, but SLA showed the lowest co-variation with all leaf nutrient contents (Supplementary Table 2). Before trait-based ecological studies can scale the responses of leaf traits from individuals to communities and ecosystems 10 , a more definitive understanding of when, where and how to interpret changes in plant trait values is needed. This includes how to match plant traits to appropriate environmental conditions depending on the characteristics of specific ecosystems. This necessitates testing plant trait responses in experimental studies, particularly in relation to local and short-term environmental changes or disturbances 6 . We found using a global common 252 253 254 255 256 257 258 259 260 261 262 263 264 265 266 267 268 269 270 experimental test of leaf trait responses, that leaf nutrient concentrations responded consistently to short-term nutrient additions, and this response is explained by both changes in dominant species and the ability of current dominant species to take up more nutrients when available. The SLA of the dominant species did not increase consistently in response to short-term nutrient addition treatments. Our findings corroborate a recent meta-analysis that found higher intraspecific variation in leaf nutrients than in morphological traits such as SLA 32 . Based on these findings, if species composition within treatment plots continues to turn over, we may find a clearer response in SLA. Contrary to expectations, we found little evidence of a consistent short-term increase in SLA or leaf nutrient concentrations to reduced vertebrate herbivory (fencing treatment). The lack of consistent response to the fencing treatment might be due to variation in vertebrate herbivore pressure at these globally distributed grassland sites. The majority of previous studies that have found a consistent increase in SLA and leaf nutrient concentrations with the exclusion of vertebrate herbivores focused on the impacts of cattle and sheep 5,35-37 , whose grazing pressure tends to be higher and known for selectivity of plant tissue for increased palatability and nutrition 38 . Here, only eight of our 27 grasslands included a recent or current history of domestic grazing. Other studies that have excluded wild herbivores have found the strongest increases in SLA and leaf nutrient concentrations, when invertebrate herbivores were also excluded 11,27,39 ; where in this experiment we only excluded vertebrate herbivores. Our findings have implications for how leaf traits are used to infer responses to local-scale environmental perturbations within grassland ecosystems. SLA should be interpreted carefully when used as a predictor of functional response to environmental change within grasslands. SLA has been found to be a reliable 277 278 279 280 281 282 283 284 indicator of plant resource utilization strategies at biogeographical-scales 19 . However, a global-scale experimental test demonstrated that SLA is not a consistent indicator of the short-term response of plants to increased soil nutrients or the exclusion of vertebrate herbivores. Broad-scale biogeographical trait relationships, such as the worldwide leaf economic spectrum 14 , do not necessarily correlate as plant functional responses to short-term disturbance and changing abiotic conditions. Our results show that changes in individual traits, in the same species or because of species turnover, do not necessarily represent a 'common currency' for comparing ecosystem-level responses in grasslands to anthropogenic perturbations. When it comes to dominant plant species, leaf nutrients are responsive to elevated soil nutrients, even across sites characterized by very different climatic and edaphic conditions, and are potentially more consistent plant functional response traits than SLA, particularly in the shortterm. Methods 285 Network of experimental sites 286 287 288 289 290 291 The 27 study sites are part of the Nutrient Network, a cooperative globally distributed experiment (Fig. 1 and Table S1 in Supporting Information, http://www.nutnet.org/). Each experimental site had a randomized block design, and at most sites, three replicate blocks divided of ten 5 m x 5 m plots were established, resulting in a total of 30 plots per site. 292 293 294 295 We quantified climatic variables (mean annual temperature, mean annual precipitation, temperature variation which is a measure of seasonality (calculate as the standard deviation 100), precipitation variation which is a measure of seasonality (calculated as the coefficient of variation) for each site using modelled values sourced from the WorldClim Global Climate database (version 1.4; http://www.worldclim.org). The sites included in this study represented a wide range of climatic conditions with mean annual temperatures ranging from 0.3 ºC (alpine grassland in Switzerland) to 18.4 ºC (semi-arid C4 perennial grassland in Australia) and mean annual precipitation ranging from 262 mm (shrub steppe in the USA) to 1898 mm (montane grassland in the USA). 302 Nutrient addition experiment In this experiment, we established a set of nutrient addition treatments that 303 included a full factorial combination of three essential plant macronutrients (N, P, 304 K+µ), including a control. The following rates of nutrients, obtained from the same 305 chemical sources, were applied at all sites: 10 g N m -2 yr -1 as timed-release urea, 10 g 306 P m -2 yr -1 as triple super phosphate, and 10 g K m -2 yr -1 as potassium sulphate plus a 307 once-off addition (100 g m -2 yr -1 ) of macro- and micro-nutrients (i.e., Fe, S, Mg, Mn, 308 Cu, Zn, B, Mo, Ca). At all sites, N, P, and K fertilisers were applied annually, 309 whereas micro-nutrients were applied once at the start of the study to avoid toxicity 310 and only in treatments that included K. Sites entered the NutNet in different years 311 (2007-2014) and usually measured leaf traits after 3-4 years of nutrient addition 312 (Table S2). Note that ammonium nitrate was used in 2007 at some sites before 313 switching to urea because of increasing difficulty in sourcing ammonium nitrate 314 globally. At a subset of these sites, we tested whether this one-year addition of 315 ammonium nitrate would influence the outcomes of the plant community responses 316 and found no significant effect of nitrogen source 23 . 317 318 319 320 To quantify soil nutrients during the pre-treatment year, we first removed the litter and vegetation from the soil surface and then collected two soil cores (2.5 cm in diameter and 10 cm deep) from each plot. The plot subsamples were composited, 327 328 329 330 331 332 333 334 335 homogenized, and air-dried. The Ecosystems Analysis Laboratory at the University of Nebraska assayed the soils to determine C (%) and N (%) using dry combustion GC analysis (COSTECH ESC 4010 Elemental Analyzer, Costech Analytical Technologies, Valencia, California, USA). Extractable soil P and K and soil pH were assayed at A&L Analytical Laboratory (Memphis, TN). Soil pH was measured using a 1:1 soil to water slurry. Nutrient addition and herbivore exclusion experiment The vertebrate herbivore exclusion treatment was established by fencing two plots within each of the blocks. We designed the fences to exclude large aboveground mammalian herbivores, including ungulates, across a diverse range of grasslands characterized by different herbivores 23 . At most sites, the height of the fences was 180 cm, and the fence design included wire mesh (1-cm holes) across the first 90 cm in addition to a 30-cm outward-facing flange stapled to the ground to exclude burrowing animals; climbing and subterranean animals could potentially have accessed these plots. Cover sampling within treatment plots 336 337 338 339 340 341 342 343 344 At peak biomass, species areal cover was visually estimated using a modified Daubenmire method 40 , where cover is estimated to the nearest 1% within one 1-m 2 sub-plot in each plot. Cover was estimated independently for each species, so the total summed cover may have exceeded 100% for multilayer canopies. In the year when leaf traits were measured at each site (usually after three years of treatment), we used the cover data to identify the top three to five species (although the eight most dominant species were sampled at one site) in each plot to measure leaf traits. We chose to identify the most dominant species in each plot rather than across each site 351 352 353 354 355 356 357 358 359 360 361 362 363 364 365 366 367 368 369 because we wanted to capture the full range of spatial variation in composition and responses to the treatments, including species turnover. Leaf trait collection and trait analyses For each species selected for leaf trait analysis in each plot, we randomly selected five fully developed leaves with little to no signs of herbivore damage from five mature individuals. Sampling followed the standardized protocols detailed by Cornelissen et al. 24 . All leaves from each species in each plot were combined to measure leaf area. Depending on the resources available at each site, leaf area (mm 2 ) was measured using various leaf area meters or using a flatbed scanner (Epson perfection V300) and image analysis software ImageJ; 41 . Thereafter, all leaves were dried at 60 ºC for 48 h and then weighed (dry weight; g). SLA was calculated as leaf area divided by dry weight. SLA was calculated for all five leaves collected from each species in each plot at every site. Dried leaves were then ground, bulked per plot and per species and analysed for leaf nutrient concentrations. The leaf nitrogen content was determined using a LECO TruMac, which is based on a combustion technique that uses thermal conductivity relative to pure gas; the leaf nitrogen content is determined and is considered accurate to within 1%. The leaf potassium, and phosphorus concentrations were determined using laser ablation ICPMS after Duodu et al. 42 with the following exceptions: the internal standard was not added but was measured C, the most abundant naturally occurring element was used, and no extra pulverizing was performed beyond that required for C and N analysis, which consisted of placing a sample and a 2-mmdiameter tungsten carbide ball inside 2-mm plastic centrifuge vials, followed by grinding for 15 min using a TissueLyser©. Leaves (approximately 0.2 g) were compressed in a hydraulic dye, which produced a pellet approximately 5 mm across and 2 mm tall. These pellets were glued to a plastic tray in groups of ~100 and were 370 placed inside the laser chamber. A New Wave 193-nm excimer laser with a True-line 371 cell was connected to an Agilent 8800 ICPMS. The laser beam was 65 microns in 372 diameter and was rastered across a length of approximately 500 microns for 373 approximately 50 seconds, five times per sample with a 30-second washout or 374 background between rasters. The laser fluence at the laser exit was approximately 2 375 J/cm 2 , and the repetition rate was 7 Hz. The reference material was NIST NBS peach 376 leaves 43 , and NIST NBS spinach 44 was used as a monitoring standard; these were 377 analysed every three samples (15 rasters) for moderately close sample-standard 378 bracketing. The average and standard deviation of each element in each sample were 379 calculated and reported after the method presented by Longerich et al. 45 using Iloite 380 data reduction software. 46 381 Data analyses 382 Hierarchical Bayesian multilevel regression models 383 We developed multilevel regression models in a hierarchical Bayesian 384 framework. All analyses were run using the integrated nested Laplace approximation 385 (INLA 25 ) interfaced with the R statistical computing package (v. 3.3.2) 47 . The default 386 priors in INLA were used for all analyses, which included the normal distribution 387 specified as N (mean, precision), fixed effects: intercept = N (0,0), slopes = N 388 (0,0.001), and variances modelled as log-precision with priors of log-gamma (1, 5e- 389 5), which was specified as log-gamma (shape, inverse-scale). The random effect 390 structure was constructed to reflect the design of the experiment, and its structure was 391 fixed for all models, regardless of whether each component explained a significant 392 source of variability. 393 We ran separate models for each of leaf trait (i.e., specific leaf area, leaf N, P and K concentrations), where yijkl denoted the response, and xjk = (x1jk, x2jk,..., xpjk) denoted the ith observation from the jth block at the kth site of the lth plant species (Fig. M1). Specific leaf area was log transformed to meet assumptions of normality. Models were constructed as follows: y ijkl ~ N( jkl , 2 ), 400 wherey ijkl = jkl + u l + v kl + w jkl + e ijkl 402 u l ~ N(0, 2 u ), 403 404 405 406 407 408 409 410 411 v kl w ~ N(0, jkl 2 v ), ~ N(0, 2 w ), and e ijkl ~ N(0, 2 e ) such that 2 u + 2 v + 2 w + 2 e = 2, where jkl is the fixed effects associated with species l and block j at site k, 0 is an estimate of the model intercept, and p represents the slope estimates for each linear predictor, i.e., xpjkl. In addition, ul is the random effect associated with the lth species, vkl is the random effect associated with the kth site (within species l), wjkl is the random effect associated with the jth block (within species l and site k), and eijkl is the residual error associated with the ith response of block j at site k for species l. 418 419 420 421 422 423 424 425 426 Fig. M1: Directed acyclic graph (DAG) used to represent the multilevel regression models in a hierarchical Bayesian framework for the overall model networks that were developed for both the nutrient addition experiment, and the nutrient addition and herbivore exclusion experiment. Once a model was fit, residual plots were inspected for any potential relationships in the data that may not have been captured by the model (residuals were calculated as the observed value of the data minus the posterior mean prediction). Plots of the cross-validated probability integral transform (PIT 48 ) for each model were also inspected. PIT values provide estimates of the probability that the prediction is less than or equal to the corresponding observed data point, conditional on all other data. A histogram and normal quantile-quantile plot of these values were used to assess the calibration of out-of-sample predictions 49 . If the residual and PIT plots were reasonable, then it was concluded that the model provided a satisfactory fit to the data. 427 Structural equation models We began with an initial meta-model (Supplementary Fig. 2) based on a priori 428 expert knowledge and the literature. To correct for the nested experimental design, we 429 included a stratified independent design with blocks nested within sites as stratified 430 variables. We used modification indices 50 to standardize our decisions of adding 431 missing paths to the model. We used the "modindices" function in the lavaan 432 package 50 , which provides a list of all missing path regressions between two variables 433 in the model, as well as the expected effect of the addition on the model data fit (Chi- 434 square value). We used the modification indices in a stepwise approach, adding 435 ecologically sound paths one at a time, until no modification indices were higher than 436 2. This incremental process led to the creation of 18 different models. We then 437 scanned path regressions and pruned all non-significant ones (based on p < 0.05), 438 generating a final 19 th model. Among the 19 competing models, 13 had a significant 439 model-data fit (estimated by maximum likelihood 50 ). To optimize the information- 440 parsimony trade-off, we compared those 13 models using the Akaike information 441 criterion 51 . 442 The selected best model had an AICc difference > 5 with respect to the closest 443 model and an AICc weight of 0.77. To correct for the nested experimental design, we 444 included a stratified independent design with blocks nested within sites as stratified 445 variables. Using the lavaan.survey package, we extracted a robust test statistic 446 (pseudo-maximum likelihood = 23.35, 32 model degrees of freedom, and P = 0.867), 447 indicating a good model-data fit. All analyses were run using R 3.3.2. 448 449 450 451 Data availability: The data that support the findings of this study are available from the corresponding author upon request. Acknowledgements 452 14 Wright, I. J. et al. The worldwide leaf economics spectrum. Nature 428, 821- 500 827, doi:10.1038/nature02403 (2004). 501 15 Westoby, M. & Wright, I. J. Land-plant ecology on the basis of functional 502 traits. Trends in Ecology & Evolution 21, 261-268, 503 doi:10.1016/j.tree.2006.02.004 (2006). 504 16 Diaz, S. et al. The plant traits that drive ecosystems: Evidence from three 505 continents. Journal of Vegetation Science 15, 295-304 (2004). 506 507 17 Garnier, E. et al. Assessing the effects of land-use change on plant traits, 508 communities and ecosystem functioning in grasslands: a standardized methodology and lessons from an application to 11 European sites. Annals of 509 Botany 99, 967-985 (2007). 510 18 Jarrell, W. M. & Beverly, R. B. The dilution effect in plant nutrition studies. 511 Advances in Agonomy 34, 197-224 (1981). 512 19 Dwyer, J. M., Hobbs, R. J. & Mayfield, M. M. Specific leaf area response to 513 environmental gradients through space and time. Ecology 95, 399-410 (2014). 514 20 Leishman, M. R., Haslehurst, T., Ares, A. & Baruch, Z. Leaf trait relationships 515 of native and invasive plants: community- and global-scale comparisons. New 516 Phytologist 176, 635-643 (2007). 517 518 21 Grace, J. B. et al. Guidelines for a graph-theoretic implementation of 519 structural equation modeling. Ecosphere 3, doi:10.1890/ES1812-00048.00041 520 (2012). 22 Grace, J. B. et al. Integrative modelling reveals mechanisms linking 521 productivity and plant species richness. Nature 529, 390 (2016). 522 23 Borer, E. T. et al. Finding generality in ecology: A model for globally 523 distributed experimens. Methods in Ecology and Evolution 5, 65-73 (2014). 524 33 Albert, C. H. et al. Intraspecific functional variabillity: extent, structure and 549 sources of variation. Journal of Ecology 98, 604-613 (2010). 550 551 34 Vitousek, P. M., Porder, S., Houlton, B. Z. & Chadwick, O. A. Terrestrial 552 553 554 555 phosphorus limitation: mechanisms, implications and nitrogen-phosphorus interactions. Ecological Applications 20, 5-15 (2010). Cingolani, A. M., Posse, G. & Collantes, M. B. Plant functional traits, herbivore selectivity and response to sheep grazing in Patagonian steppe 556 grasslands. Journal of Applied Ecology 42, 50-59 (2005). 36 Firn, J., Prober, S. M. & Buckley, Y. M. Plastic traits of an exotic grass 557 contribute to its abundance but are not always favourable. PLoS One 7, 558 e35870 (2012). 559 560 37 Dorrough, J., Ash, J. & McIntyre, S. Plant responses to livestock grazing 561 frequency in an Australian temperate grassland. Ecography 27, 798-810 562 (2004). 38 Whalley, R. D. B. Grassland regeneration and reconstruction: the role of 563 grazing animals. Ecological Management and Restoration 6, 3-4 (2005). 564 565 39 Lind, E. M., Myron, E. P., Giaccai, J. & Parker, J. D. White-tailed deer alters 566 specialist and generalist insect herbivory through plant traits. Environmental 567 Entomology 41, 1409-1416 (2012). 40 Daubenmire, R. A canopy-coverage method of vegetation analysis. Northwest 568 Science 33, 43-64 (1959). 569 41 Abramoff, M. D., Magalhaes, P. J. & Ram, S. J. "Image processing with 570 ImageJ. Biophotonics International 11, 36-42 (2004). 571 42 Duodu, G. O., Goonetilleke, A., Allen, C. & Ayoko, G. Determination of 572 refractive and volatile elements in sediment using laser ablation inductively 573 coupled plasma mass spectrometry. Analytica Chimica Acta 898, 19-27 (2015). 575 43 USA National Institute of Standards and Technology. (Gaithersburg, MD 576 20899, 2017). 577 578 44 USA National Institute of Standards and Technology. (Gaithersburg, MD 579 20899, 2014). 45 Longerich, H. P., Jackson, S. E. & Gunther, D. Laser Ablation Inductively 580 Coupled Plasma Mass Spectrometric Transient Signal Data Acquisition and 581 Analyte Concentration Calculation*. Journal of Analytical Atomic 582 Spectrometry 11, 899-904 (1996). 583 584 46 Paton, C. et al. Improved laser ablation U-Pb zircon geochronology through robust downhole fractionation correction. Geochem. Geophys. Geosyst. 11, 585 doi:10.1029/2009GC002618 (2010). 586 47 R Development Core Team. R: language and environment for statistical 587 computing., (http://www.R-project.org/, Vienna, Austrria, 2013). 588 48 Dawid, A. P. Statistical theory: The prequential approach. Journal of the 589 Royal Statistical Society, Series A 147, 278-292 (1984). 590 49 Czado, C., Gneiting, T. & Held, L. Predictive model assessment for count 591 data. Biometrics 65, 1254-1261 (2009). 592 50 Rosseel, Y. lavaan: An R package for structural equation modelling,. Journal 593 of Statistical Software 48, 1-36 (2012). 594 595 51 Burnham, K. P. & Anderson, D. R. Model selection and mult-model inference: 596 597 598 a practical information-theoretic(Springer, 2002).
CAMBRIDGE INTERNATIONAL EXAMINATIONS GCE Advanced Subsidiary Level and GCE Advanced Level 9696 GEOGRAPHY Paper 1 (Core Geography), maximum raw mark 100 This mark scheme is published as an aid to teachers and candidates, to indicate the requirements of the examination. It shows the basis on which Examiners were instructed to award marks. It does not indicate the details of the discussions that took place at an Examiners' meeting before marking began, which would have considered the acceptability of alternative answers. Mark schemes should be read in conjunction with the question paper and the Principal Examiner Report for Teachers. Cambridge will not enter into discussions about these mark schemes. Cambridge is publishing the mark schemes for the October/November 2012 series for most IGCSE, GCE Advanced Level and Advanced Subsidiary Level components and some Ordinary Level components. \| Page 2 \| Mark Scheme \| Syllabus \| \|---\|---\|---\| \| \| GCE AS/A LEVEL – October/November 2012 \| 9696 \| Section A Hydrology and fluvial geomorphology 1 Fig. 1 shows the flows and stores in a drainage basin. (a) (i) Identify the component labelled A. Interception or vegetation storage (ii) Identify the component labelled B. Infiltration (iii) Identify the component labelled C. Throughflow (iv) Identify the component labelled D. Groundwater flow, base flow [1] [1] [1] [1] (b) Examine the factors that influence the amount of water reaching the groundwater store and the time it takes. The factors influencing the amount of water are precipitation amount and intensity, evapotranspiration, surface flow and throughflow. The way these affect the amount of water need to be examined. The timing is governed mostly by the speed of infiltration and percolation as governed by porosity and permeability of both the soil and bedrock. The best way of answering the question is to use the flow diagram and examine the areas where water movement can be split, such as the relation between throughflow and downward percolation. Suggest 4/2 split for amount and timing. [6] Atmosphere and weather 2 Fig. 2 shows the recent trends in global mean surface temperature and snow cover in the northern hemisphere. (a) Compare the two trends for the period 1920 to 2000. Global mean temperatures show a steady rise whereas snow cover starts decreasing at a later date. For full marks there should be some data extracted from the graphs with general trends and fluctuations noted. There also needs to be some comparison words, such as 'however', 'whereas' for full marks. [4] (b) Explain the trend in global mean surface temperature. Explanation will be in terms of the greenhouse effect and the increase in greenhouse gases as a result of human activities. For reasonable marks (i.e. 4 – 6) the main greenhouse gases should be described, not just carbon dioxide, and the enhanced greenhouse effect discussed. The increase in production of these gases should be related to the trend. Destruction of the ozone gains no credit. [6] \| Page 3 \| Mark Scheme \| Syllabus \| Paper \| \|---\|---\|---\|---\| \| \| GCE AS/A LEVEL – October/November 2012 \| 9696 \| 13 \| Rocks and weathering 3 Fig. 3 shows some of the features associated with plate tectonics. (b) Explain how volcanoes might be formed at different plate margins. Volcanoes can be formed at either divergent or convergent plate margins. At divergent margins, upwelling of magma will produce volcanic landforms. There needs to be some mention of convection currents. Where oceanic plates meet a continental plate or two oceanic plates meet, subduction will occur with melting in the Benioff zone to produce magma which then may force its way to the surface. Hotspot volcanoes, such as Hawaii, are not acceptable. Suggest 3/3 or 4/2 depending on quality of detail. [6] Population 4 Fig. 4 shows the predicted age/sex pyramids for selected world regions in 2025. (a) Name the world region shown in Fig. 4 which is predicted to have: (i) the largest population under 15 years of age Sub-Saharan Africa (1) (ii) a regressive age/sex structure. Europe (1) [2] (b) Describe the differences between the predicted population over 70 years of age in Figs 4A and 4B, using data to support your response. Numbers: Europe's pyramid, in Fig. 4A, is top-heavy, with a large number of people over 70; whereas Western Asia's pyramid is narrow and tapers evenly, with a small number of people surviving over age 70. (2) Age at death: People in Europe live longer and die at higher ages; e.g. cf. 95 – 99 and 100+ age groups, which do not appear on Fig. 4B for Western Asia. (1) Gender: In Europe, females live longer than males (bars are longer on the right side in all age groups over 70). This is not seen/barely noticeable for Western Asia. (1) A full answer involves some data support (but not for all three observations). [4] (c) Choose one of the three world regions shown and suggest the demographic issues it is likely to face in 2025. Europe (Fig. 4A): an ageing population; welfare burden; lack of labour; need for immigrant labour and/or pro-natalist population policies. Western Asia (Fig. 4B): less obvious; perhaps the need to reduce birth rates and to increase life expectancy. Sub-Saharan Africa (Fig. 4C): a youthful population; burden on working adults to support those under 15; population resource-relationships, e.g. growing food demand from population increase; credit links to mortality from AIDS, if offered, which may be inferred from narrowed pyramid; need to reduce fertility rate; loss of adults by emigration (brain drain and brawn drain). A full response comprises the brief explanation of at least two different valid demographic issues. For one issue, max. 3. Comprehensive answers are not required for the modest mark allocation. [4] Migration 5 Fig. 5 shows an extract from a news website about asylum seekers who arrived in Australia by boat in 2010. Asylum seekers who receive official permission to stay in a country are called refugees. (a) According to Fig. 5, which country was the origin of the greatest number of asylum seekers? Afghanistan [1] (b) Describe the distribution of source areas of asylum-seekers shown in Fig. 5. The source areas were LEDCs in Asia and the Middle East, (but not every country). The largest numbers came from a cluster of three countries: Afghanistan, Iran, Iraq, and also from Sri Lanka. Distance appears to make no difference to the flows. Credit 1 but not essential, the idea that the distribution could be more complex as there are 650 asylum seekers shown as 'Other', whose origins may be different, or not known or unverifiable. [4] (c) Suggest reasons why Australia, an MEDC, may be an attractive destination for refugees. Candidates are free to develop their own reasoning, which may include such key ideas about international migration as: * a betterment motive * perception * reports and news received from other migrants * relative proximity, compared to distance to NZ, USA, etc. * accessible by boat, rather than air (fewer documents, identity can be concealed) * established route of people traffickers In addition Australia offers: * help and support to refugees * politically stability, a place of safety * better prospects, e.g. employment, education, healthcare * other Push factors are relevant in relation to pull factors of Australia. Comprehensive answers are not required [5] Settlement dynamics/Migration 6 Table 1 shows information about urban populations and the percentage population living in slums in selected countries in Africa, 1990 – 2010. (a) Name the country in Table 1 predicted to have the lowest percentage of urban population living in slums in 2010. Morocco (b) Compare the growth in urban population in Egypt with the growth in urban population in Nigeria, using data from Table 1 to support your response. There are at least four comparisons that could be made: Absolute increase: in Egypt the urban population grew by approx.10 million in 20 years, but in Nigeria it grew by very much more, 45 million+. Relative increase: for Egypt this represented an increase of 30%, however for Nigeria it was a massive 140%. Level of urban population: in 2010 Egypt was predicted to reach and just pass (34.04 millions) the total urban population in Nigeria in 1990 (33.33 millions) 20 years previously. 10-year periods: both countries' urban populations grew more absolutely between 2000 and 2010, than between 1990 and 2000. Credit each of the above points 1 or with data 2 to the maximum. [4] (c) Suggest two reasons why the percentage of people living in slums in many LEDCs is decreasing. A number of reasons may be credited, including: * increase in the provision of permanent housing/houses with amenities * schemes to improve and upgrade shanty towns and squatter settlements, e.g. clean water, mains power, waste disposal, means areas are reclassified * slum clearance/forced removal * encouraging return migration to source areas * decrease in rate of rural-urban migration (?), so housing supply more able to meet demand * relocation and resettlement, e.g. new towns, agricultural land * other such as general development of the country Credit reasons 2 or 3 to maximum, depending on development and detail. [1] [5] \| Page 7 \| Mark Scheme \| Syllabus \| \|---\|---\|---\| \| \| GCE AS/A LEVEL – October/November 2012 \| 9696 \| Section B Hydrology and fluvial geomorphology 7 (a) (i) Define the terms abrasion and hydraulic action as they apply to river channels. Abrasion is erosion by means of particles carried in the river flow hitting the beds and banks, which are used as a tool for grinding the beds and banks. Hydraulic action is the sheer force of water hitting the beds and banks of a river channel. [4] (ii) Briefly explain what is meant by helicoidal flow. Helicoidal flow is the movement of water in a meander from the inner to outer bank and back again in a downstream direction. For full marks movement across the river as well as downstream will be needed. [3] (b) With the help of diagrams describe the nature and explain the formation of levées and deltas. Both are straightforward river features. A diagram of a levée should show the position of the feature, its relationship to the channel and floodplain and some indication of sediment layering. Explanation will be in terms of high discharge and overbank flows with the coarse material being dropped first, followed by silts and clays. A diagram of a delta should show the river entering a lake or the sea with distributaries or branching channels. The specific shape will be determined by which type of delta is being described. Formation will be in terms of a lessening in velocity on entering the water body leading to a reduced competence. For good marks, there will need to be some mention of flocculation to enable clay sized particles to be deposited. The very best answers might mention topset, forest and bottom set beds, but this is unlikely. The marks should be split equally between the two landforms. If no diagrams, maximum 3 for a very good description of each feature. [8] (c) Explain how human activity might lessen the impacts of river floods. There are two possible components to this question. Human activity can modify drainage basin characteristics to limit the speed and amount of runoff. Changing land use, such as afforestation and changing farming practices, are the obvious points that might be raised. The other way of lessening the impact is by managing the river channel so it can accommodate increased flows. These include the building of artificial levées, straightening and deepening of channels and channel diversion. Moderating of flows using dams and reservoirs can also be expected. Prediction and warning techniques are acceptable. [10] Level 3 Covers both management of the catchment and management of the river channel aspects in a detailed and convincing way. The reasons for river flooding should be outlined followed by a reasoned argument of the scope for human modification. Should demonstrate a clear understanding of the hydrology of modified river channels. [8 – 10] Level 2 Will be aware of some of the ways of lessening the impact but will lack detail and the understanding will be limited in some respect. Will tend to be unbalanced between the two main elements and will probably demonstrate some confusion over velocity/discharge relationships in modified river channels. [5 – 7] Level 1 Will have a limited understanding of the causes of floods and therefore of the measures to lessen their impact. Will probably cover only one of the components, probably the building of levées and perhaps channel deepening. Will exhibit a lack of understanding of river discharge and velocity and how it is affected by river changes. Might be more focused on the impacts. [0 – 4] Atmosphere and weather 8 (a) (i) Define the terms temperature inversion and environmental lapse rate. Temperature inversion is the state of the atmosphere where temperature increases with altitude rather than decreasing. Environmental lapse rate is the rate of decrease of temperature with height in the atmosphere at a given location. [4] (ii) Explain how radiation cooling occurs. Radiation cooling is the cooling of air above the earth's surface as a result of radiation under clear skies at night. For full marks there should be a mention of night time and clear skies. [3] (b) With the help of a diagram or diagrams explain how a mountain front can lead to the development of precipitation. An air mass, approaching a mountain barrier, will be cooled as it is forced to rise over the barrier. Diagrams may show mountain profile with air rising over it, or a lapse rate diagram showing conditional instability. A full explanation of air rising, even though the adiabatic lapse rate is greater than the environmental lapse, and then continuing to rise at the saturated adiabatic rate is needed for marks in the range 6 – 8. A brief description of air being forced to rise and produce rainfall without the explanation of adiabatic rates will rarely reach 4 marks. If no diagram, maximum mark 6. [8] (c) Describe the global pattern of wind systems. Explain how this pattern is produced and why it varies seasonally. The three main patterns are the trade winds, westerlies and polar easterlies. The trade winds occur between the equatorial lows and the sub-tropical highs and blow from the south east in the southern hemisphere and from the north east in the northern hemisphere. The westerlies occur north and south of the trade winds. The monsoon winds might be described but these are merely an extension into the northern Indian Ocean and Bay of Bengal. There is a slight movement of the trade winds north and south with the heat equator but the movement is much less than the pressure systems because of the different thermal properties of the oceans. It is only the monsoons that show a distinct seasonal pattern. The use of the tricellular model is appropriate. Much of the information may be shown by means of a diagram but a diagram is not essential. [10] Level 3 A good description of the trade winds and the westerlies will be provided with the better answers including the polar easterlies. Explanation at this level should be in terms of the global pattern of pressure systems and their seasonal movement and the coriolis force. [8 – 10] Level 2 A general grasp of the patterns with perhaps a concentration on the trade winds. Only a vague understanding of the role of pressure systems and seasonal change might well be omitted. [5 – 7] Level 1 A limited knowledge of the respective winds with little and often inaccurate explanation. [0 – 4] \| Page 11 \| Mark Scheme \| Syllabus \| \|---\|---\|---\| \| \| GCE AS/A LEVEL – October/November 2012 \| 9696 \| Rocks and weathering 9 (a) (i) Define the terms heave and flow as they apply to mass movement on slopes. Heave is the movement, usually of finer particles, vertically out of a slope usually as a result of wetting and drying. A good annotated diagram should be able to obtain full marks. Flow is the downslope movement of material, faster at the top and slower with depth and at the edges, with internal deformation. A diagram will again be useful. [4] (ii) Briefly describe a rockfall and explain how it occurs. Rockfalls occur from steep, often almost vertical jointed and fractured rock faces, usually as a result of freeze-thaw cycles, wetting and drying and other weathering processes. Shaking by earthquakes is also acceptable. For full marks there should be some detail of the nature of the movement and the process involved. [3] (b) Explain how granite is weathered and how this is influenced by its physical structure and chemical composition. Both chemical and physical weathering should be covered. The joints in the rock will aid the processes of both physical and chemical weathering. The main minerals, quartz, feldspar and mica, will largely govern chemical weathering. Quartz is virtually inert, but feldspar and mica, especially feldspar because of its abundance, are susceptible to chemical weathering especially hydrolysis, leading to the production of kaolin. The different colours of the minerals will affect heat absorption and therefore insolation weathering. [8] (c) Explain how human activities may influence the form and development of slopes. This is a wide-ranging question, capable of being answered in many different ways. The syllabus mentions quarrying, mining and dumping of material on the earth's surface. All of these are relevant for the 'form' part of the question. The development of slopes will be affected by mass movements as a result of human activities such as undercutting by road construction and loading of slopes. The role of deforestation in de-stabilising slopes should also be considered. Soil erosion on slopes would also be relevant. This has to be explained as well as described. [10] Level 3 A well balanced answer covering both nature and development of slopes. A good understanding of the processes involved, especially of the way in which slope changes occur. [8 – 10] Level 2 Will try to cover both aspects but will probably be somewhat unbalanced. Understanding of the processes, such as the way deforestation may de-stabilise slopes, will be limited. [5 – 7] Level 1 Will be restricted to brief statements of mining, quarrying, etc. with little knowledge of the way it affects slope development. Understanding of the processes will be partial and imprecise. [0 – 4] \| Page 12 \| Mark Scheme \| Syllabus \| Paper \| \|---\|---\|---\|---\| \| \| GCE AS/A LEVEL – October/November 2012 \| 9696 \| 13 \| Section C: The Human Core Population 10 (a) (i) Give the meaning of the term overpopulation. the situation where there are too many people(1) for the available resources(1) at a given level of technology (likely to be the discriminator) (1) [3] (ii) Describe two ways to reduce the problem of overpopulation. There may be population initiatives (e.g. family planning, transmigration); resource initiatives (e.g. increased food imports, new mining); or technology initiatives (e.g. irrigation in crop production). Different birth control issues would count as one way. Credit valid ways 2 and 2. [4] (b) With the help of examples, explain the causes and the consequences of food shortages. The causes may be conceptualised as problems of production and supply, e.g. \| \| production \| \|---\|---\| \| social \| illiteracy, low skills \| \| economic \| debt, high costs \| \| environmental \| weather, hazards, soil depletion \| \| political \| policy change, mismanagement \| Consequences include hunger, malnutrition, famine, unrest, escalating prices, food riots, etc. Candidates may take LEDC or MEDC contexts or both. Max. 5 for a general response. Credit causes/consequences, 4/4 to 5/3 and 3/5. [8] \| Page 13 \| Mark Scheme \| Syllabus \| \|---\|---\|---\| \| \| GCE AS/A LEVEL – October/November 2012 \| 9696 \| (c) How far do you agree that optimum population exists in theory, but not in real life? The syllabus requires a 'critical appreciation of the concept of … optimum population'. It exists theoretically at the point where population and resource usage is balanced (optimal) to give everybody the highest standard of living. A diagram may assist. In reality, relationships between population and resources are complex and dynamic. A few countries claim to have optimum population, e.g. Singapore, but the country depends on food imports and foreign labour. Candidates will probably Level 3 Make a response from detailed knowledge and strong conceptual understanding. Provide an effective assessment. [8 – 10] Level 2 Make a reasonable attempt, which may contain good points, but which remains partial. Offer a valid, but limited, assessment. [5 – 7] Level 1 Offer one or more basic ideas and struggle to address the issue. Take a descriptive approach, perhaps faulty, making little or no assessment. [0 – 4] Migration/Settlement dynamics 11 (a) Compare the causes of rural-urban migration and urban-rural migration. Movements from rural to urban and from urban to rural areas have different causes. Some candidates may take a push/pull factors approach, but it may be more effective to address causes directly in terms of changes in the life cycle, family life, employment, success, etc. Some similarity of causes may be suggested, notably betterment, which is the fundamental motive of all migratory movements. Contexts may be LEDC or MEDC or both. No credit for consequences (which, in the past, some have confused with causes), max. 4 for one only, given that comparison is needed. [7] (b) For either rural-urban migration or urban-rural migration, describe the impacts on the rural area(s) affected. Any relevant impacts are valid, although the syllabus does make a special mention of population structure (expect 'gaps' and 'bulges'). Again, LEDC or MEDC contexts or both may be taken. Impacts may be on the rural settlements, community dynamics and sectors of the economy such as production or service provision. In many LEDCs rural-urban migration sees grandparents caring for the grandchildren, land abandoned and women left in charge. Urban to rural migration places pressure on resources and infrastructure and may lead to an unbalanced population structure. In MEDCs, retirement migration especially to coastal areas impacts house-building and increases the burden on social services with high percentages of older adults. Credit any rural areas and associated impacts. [8] (c) With reference to one rural settlement or rural area, outline some of the issues of its development and evaluate the responses. The syllabus requires a case study of a village, hamlet or rural area. The issue(s) and associated responses depend largely on the choice made. Credit the clarity of identification of the issue(s), the detail and development of the example and the evaluation of the response (success/failure, financing, unexpected outcomes, further action needed, locations/people helped, etc.) Candidates will probably Level 3 Provide an effective outline of the chosen issue(s) in a detailed context and a developed evaluation of the responses. [8 – 10] Level 2 Make a sound response which may be good in parts, but which is limited in detailed knowledge or in the evaluation given. [5 – 7] Level 1 Offer a basic response which may be quite general or in name only. May struggle to identify the issue(s) and/or to give an evaluation. [0 – 4] \| Page 15 \| Mark Scheme \| Syllabus \| \|---\|---\|---\| \| \| GCE AS/A LEVEL – October/November 2012 \| 9696 \| Settlement dynamics 12 (a) (i) Give the meaning of the term urban renewal. The replacement of old structures/buildings with new ones and the conversion of space/land from one use to another, or the twin processes of redevelopment and improvement, in towns and cities. [2] (ii) Suggest two reasons why urban renewal occurs in the central areas of towns and cities. A number of reasons may be given, including: * deterioration of buildings/no longer fit for purpose * poor living conditions for residential population * inefficient use of prime central land (e.g. low rise) * potential profitability of redevelopment * associated traffic problems and congestion * response to hazardous events, e.g. bomb, fire, earthquake * other, such as re-imaging Credit examples which assist the reasoning. Max. 3 for one. [5] (b) With the help of examples, explain why different groups of people live in different residential areas within urban settlements. Residential segregation, economically, by income (ability to pay, bid-rent) and socially by race/ethnicity (or religion) is commonly observed in urban areas. This results from processes such as invasion and succession, filtering, the operation of the housing market and the outworking of planning decisions; and from behaviours, negatively, in terms of avoidance and repulsion, and positively, in terms of choice and attraction to what the neighbourhoods or communities offer. LEDC or MEDC contexts may be taken. Credit exemplar detail and accounts which are conceptually sound and dynamic. [8] (c) Assess the view that the locations of economic activities in urban areas are moving outwards. Centripetal movement is characteristic of much retail, manufacturing and service industry (space, accessibility, profitability, etc.), yet there is centrifugal movement also and concerns over urban sprawl and 'dead hearts' of cities. Candidates will probably Level 3 Develop a good assessment of different activities, with exemplar detail. Show firm conceptual understanding of urban dynamics. [8 – 10] Level 2 Make a satisfactory but limited response, which may be rather general. The assessment may be broad, partial or lack support. [5 – 7] Level 1 Make one or more basic points in a response which is descriptive rather than evaluative. Write generally about activities or use an example in name only. Offer notes or fragments. [0 – 4]
Chinese Salad Cold Sesame Noodles under Peanut Sauce Cucumber, Napa cabbage and cilantro dressed with soy vinaigrette – 8.95 Lo Mein egg noodles with shredded carrots and bean sprouts, sprinkled with scallions and sesame seeds – 9.95 Made in-house with carrots, celery and cream cheese – 9.95 Crab Rangoon (6) Eggs only, no Dumplings with Pork (6) STARTERS (Choose Pan-Fried or Steamed) Made in-house with fresh ground pork and veggies inside of a made-from-scratch flour wrap – 10.95 Soybeans seasoned with salt – 8.50 Edamame Lettuce Wrap Spring Roll (1) Choose shrimp, chicken or vegetable – 12.50 (Choose with Chicken Made and rolled or Veggies only) or Veggies only) – 2.95 in-house FRIED RICE Plain V vegetables Seasoned & prepared traditional Chinese-style (NOT cooked with soy sauce) – 12.50 egetable P Choose egg or no egg ork – 13.50 C hicken – 13.50 B eef – 14.50 S hrimp – 14.50 C hinese S ausage – 15.50 H ouse Shrimp, chicken and pork – 15.50 Pineapple Shrimp, chicken, and FRESH (never canned) pineapple– 15.50 SOUPS White meat chicken, creamed corn and egg – 4.50 Corn & Chicken – 12.50 S VEGETABLES/TOFU eafood H ot B Mapo Tofu Our seafood soup spiced up with white pepper and vinegar – 4.95 In chicken Vegetable with Soft Tofu broth & S our Hot & Sour Seafood White meat chicken, soft tofu, egg and an assortment of mushrooms in a dark broth, topped with scallions – 4.50 Shrimp, scallop and soft tofu with black and enoki mushrooms – 4.95 – 4.50 Homemade chicken wontons in chicken broth – 4.50 STEAMERS J – 18.50 Chicken ea umbo S hrimp – 20.50 S V callops– 21.50 egetables O nly– 16.50 S Wonton roccoli S with G arlic E auce– 16.50 ggplant S with Soft tofu in a spicy bean curd paste and chili sauce – 16.50 auce G – 16.50 G arlic ai G L an– 16.50 T arden Mixed vegetables with tofu in brown sauce – 16.50 Squares of crispy tofu. Sweet sesame sauce served on the side – 16.50 reasure hanghai C abbage– 16.50 S tring – 16.50 Sesame Tofu S B eans MOO SHU egetables O nly – 16.50 with NO egg Choose with egg or C hicken– 18.50 Pork – 18.50 S hrimp– 19.50 V Szechuan Wonton with Peanut Sauce (8) Teriyaki Beef (4) Homemade chicken wontons under peanut sauce, dumpling sauce and chili oil, sprinkled with scallions – 9.95 Marinated beefon-a-stick – 9.95 W DINNER MENU CLASSIC FAVORITES irecracker P epper S F Garlic Pineapple S hrimp– 19.50 – 17.95 Chicken – 18.95 With Broccoli... (Choose White Sauce Or Brown Sauce) Chicken – 17.95 Beef – 18.95 Shrimp – 19.50 V ith M ixed (Choose White Sauce Or Brown Sauce) egetables (C oral – 17.95 Pork – 18.95 Chicken– 17.95 – 19.50 Beef – 21.95 Shrimp Basil Leaf Scallops White Fish – 17.95 Chicken – 17.95 Shrimp – 19.95 White Fish (choose steamed fillet or stirfried nuggets) – 17.95 Chicken (Cho Cho Chicken) – 17.95 Shrimp – 19.50 Black Bean Cashew Curry (Contains cashew nuts) Chicken – 18.50 Shrimp – 19.95 – 17.95 Chicken – 19.50 Shrimp (Bang Bang Pork– 17.95 – 19.50 Beef Scallops– 21.95 Shrimp General Tso's Chicken– 17.95 Honey Shrimp– 19.95 Shrimp– 19.95 Chicken– 17.95 Hunan – 18.95 Chicken– 17.95 – 19.50 Beef Kung Pao Shrimp (Contains peanuts) Chicken – 18.50 Beef – 18.95 Shrimp – 19.95 Lemon Shrimp Chicken– 17.95 Mala Beef – 18.95 – 19.95 Mongolian* to black pepper. May be spicy due – 17.95 teak– 18.95 – 17.95 Chicken Beef– 18.95 a S C ha – 18.95 Chicken– 17.95 – 19.50 Beef Salt and Pepper Shrimp White Fish nuggets – 18.50 Chicken – 18.50 Pork – 18.50 Shrimp – 19.95 Scallops – 22.50 (Contains sesame seeds) Chicken– 17.95 Beef– 19.50 Shrimp– 19.95 Sesame Sweet & Sour – 18.50 Pork Chicken S – 17.95 – 19.95 Shrimp zechuan B eef– 19.50 Tangerine – 19.50 Chicken– 17.95 – 19.95 Beef Walnut Chicken Shrimp Contains walnuts roasted in-house – 18.50 Chicken – 17.95 Pork) Shrimp) Pork (Julienne Beef– 18.95 NOODLES Sea scallops and jumbo shrimp in a light brown sauce with crispy egg noodles – 23.95 Seafood Pan-Fried Noodles Wide and flat rice noodles. Singapore Rice Noodles Subgum Noodle Soup Contains yellow curry (choose no curry for no spice) With shrimp and chicken – 16.50 With vegetables only (choose egg or no egg) – 14.50 Sea scallops and jumbo shrimp with angel hair pasta and mixed veggies in chicken broth – 23.95 Chow Fun Noodles Vegetable– 16.95• Pork– 17.95 Chicken– 17.95 •Beef– 18.95 Shrimp– 18.95• Seafood (scallops and shrimp) – 20.95 Plain (no proteins or vegetables) – 13.95 Vegetable– 13.95 •Pork– 14.95 Chicken– 14.95• Beef– 15.95 Shrimp– 15.95• House (shrimp, chicken and pork) – 16.50 Seafood (scallops and shrimp) – 18.50 Lo Mein Noodles ) PROTEIN PARTNERS Asian Shrimp & Scallops Seafood Hot Pot Chicken & Shrimp with Broccoli Sea scallops & jumbo shrimp in light brown sauce with mixed vegetables – 23.95 In white sauce with fresh mushrooms, red bell peppers, and snow peas – 23.95 In spicy brown sauce – 20.50 Hunan Delight K Sea scallops, jumbo shrimp, and sliced white meat chicken in spicy brown sauce with broccoli – 21.95 ung with Shrimp & Chicken with Pasta S Jumbo shrimp and chicken tenders, both pan-seared, with angel hair pasta in brown sauce – 21.95 teak & S hrimp with Steak cubes and jumbo shrimp in brown sauce – 23.95 A sparagus Surf & Turf Wan Fu Shrimp & Scallops Jumbo shrimp and steak cubes in sa cha sauce with mixed veggies – 23.95 Sa Cha Shrimp & Beef Pan-seared jumbo shrimp and sea scallops – 23.95 Peanuts Sea scallops, jumbo shrimp, and white meat chicken in kung pao sauce with peanuts and mixed vegetables – 22.50 With celery, mushrooms, red onions and snow peas – 21.95 SPECIALTY ITEMS Lobster Chef Chan Sizzling Steak Steak cubes in black-pepper sauce with fresh mushrooms – 21.95 Ruby Dragon Fish, Fried Ruby Dragon Fish, Steamed Chopped and served IN shell. Choice of Black Bean, Cantonese, Ginger or Salt & Pepper – Market Price Whole red snapper fish with sweet & spicy sauce – Market Price Whole red snapper with fresh ginger and scallion, doused with a light soy-based sauce – Market Price White meat chicken tenders pan-seared, with angel hair pasta in brown sauce – 21.50 Asian Chicken Canton West Lake Duck Crispy jumbo shrimp with special Emperor sauce – 21.50 Emperor Shrimp Pork with Dry Bean Curd San Bei Chicken With green onions – 20.95 White meat chicken tender stew with basil, garlic, ginger, and whole red chili peppers – 20.95 Shrimp with Lobster Sauce Duck breast with onions, served with wheat-flour moo shu wraps & plum sauce for your rolling pleasure – 21.50 Wan Fu Scallops Jumbo shrimp in special white sauce with egg, carrots, scallions and snow peas – 21.50 Large sea scallops, pan-seared – 23.95 The consumption of raw or undercooked meats, fish, eggs and shellfish may be harmful to your health. Before placing your order, please inform your server if a person in your party has a food allergy. We will do our best to accommodate your needs. Please be aware that our restaurant uses ingredients that contain all the major FDA allergens (peanuts, tree nuts, eggs, fish, shellfish, milk, soy and wheat). ao elight P D STARTERS Chinese Salad Cold Sesame Noodles under Peanut Sauce Crab Rangoon (6) Cucumber, Napa cabbage and cilantro dressed with soy vinaigrette – 8.95 (DINNER MENU ALSO AVAILABLE) LUNCH MENU NOODLES Sea scallops and jumbo shrimp in a light brown sauce with crispy egg noodles – 23.95 Wide and flat rice noodles. Seafood Pan-Fried Noodles Soybeans seasoned with salt – 8.50 Lo Mein egg noodles with shredded carrots and bean sprouts, sprinkled with scallions and sesame seeds – 9.95 Made in-house with carrots, celery and cream cheese – 9.95 Dumplings with Pork (6) (Choose Pan-Fried or Steamed) Made in-house with fresh ground pork and veggies inside of a made-from-scratch flour wrap – 10.95 FRIED RICE Seasoned & prepared traditional Chinese-style (NOT cooked with soy sauce) Plain Vegetable Eggs only, no vegetables – 12.50 Choose egg or no egg – 12.50 – 13.50 Pork Beef Chicken– 13.50 – 14.50 – 14.50 Shrimp House Chinese Sausage– 15.50 Shrimp, chicken and pork – 15.50 Edamame Lettuce Wrap Spring Roll (1) Choose shrimp, chicken or vegetable – 12.50 (Choose with Chicken or Veggies only) Made and rolled in-house – 2.95 Homemade chicken wontons under peanut sauce, dumpling sauce and chili oil, sprinkled with scallions – 9.95 Szechuan Wonton with Peanut Sauce (8) Teriyaki Beef (4) Marinated beef-on-a-stick – 9.95 White meat chicken, creamed corn and egg – 4.50 Corn & Chicken Hot & Sour Seafood White meat chicken, soft tofu, egg and an assortment of mushrooms in a dark broth, topped with scallions – 4.50 Shrimp, scallop and soft tofu with black and enoki mushrooms – 4.95 Our seafood soup spiced up with white pepper and vinegar – 4.95 Seafood Hot & Sour Vegetable with Soft Tofu In chicken broth – 4.50 Shrimp, chicken, and FRESH (never canned) pineapple – 15.50 Wonton Homemade chicken wontons in chicken broth – 4.50 Pineapple (Dinner Menu Also Available) The consumption of raw or undercooked meats, fish, eggs and shellfish may be harmful to your health. Before placing your order, please inform your server if a person in your party has a food allergy. We will do our best to accommodate your needs. Please be aware that our restaurant uses ingredients that contain all the major FDA allergens (peanuts, tree nuts, eggs, fish, shellfish, milk, soy and wheat). Chow Fun Noodles Vegetable Singapore Rice Noodles Pork– 17.95• Chicken– 17.95 Beef– 18.95 • Shrimp – 18.95 Seafood (scallops and shrimp) – 20.95 – 16.95 Lo Mein Noodles Subgum Noodle Soup Contains yellow curry (choose no curry for no spice). With shrimp and chicken – 16.50 With vegetables only (choose egg or no egg) – 14.50 Sea scallops and jumbo shrimp with angel hair pasta and mixed veggies in chicken broth – 23.95 Plain (no proteins or vegetables) – 13.95 Vegetable– 13.95 Pork– 14.95 •Chicken– 14.95 Beef– 15.95 • Shrimp – 15.95 House (shrimp, chicken and pork) – 16.50 Seafood (scallops and shrimp) – 18.50 LUNCH COMBINATION PLATTERS Each item below comes with a Veggie Spring Roll & choice of Steamed White Rice or Steamed Brown Rice (Currently, Fried Rice is NOT available as a substitution) With Broccoli... Hunan Chicken– 12.95 Beef– 13.50 •Shrimp– 13.50 With Mixed Vegetables (Coral) Cashew (Choose White Sauce or Brown Sauce) Chicken – 12.95 • Pork – 12.95 Beef – 13.50 • Shrimp – 13.50 C (Contains cashew nuts) Chicken– 12.95• Shrimp– 13.50 urry F Chicken – 12.95 • Shrimp – 13.50 irecracker S hrimp– 13.50 Mixed vegetables with tofu in brown sauce – 12.95 Kung Pao (Contains Peanuts) (Choose White Sauce or Brown Sauce) Chicken – 12.95 • Beef – 13.50 Shrimp – 13.50 L Chicken – 12.95 • Beef – 13.50 emon C hicken– 12.95 ongolian M B eef – 13.50 Pepper Steak *May be spicy due to black pepper Pineapple – 13.50 Chicken – 12.95 • Beef – 13.50 Sa Cha Chicken– 12.95 S Beef– 13.50• Shrimp– 13.50 esame C hicken– 12.95 Sweet & Sour Contains sesame seeds. Chicken– 12.95• Pork– 12.95 Beef– 13.50• Shrimp– 13.50 G eneral T so' s C hicken – 12.95 – 12.95 Garden Treasure Garlic H oney C T Chicken – 12.95 • Pork – 12.95 angerine C hicken– 12.95 Walnut Chicken hicken Contains walnuts roasted in-house – 12.95 (Dinner Menu Also Available) © 2024 MenuWorks®, Greenville, SC, 864-877-7007 – PO 222313 Wan Fu has been serving the Charlotte community quality Chinese cuisine since 1989. Together with the famous Chef Chan, we proudly continue this service today. The meaning of Wan Fu (loosely) translates into "10,000 Happiness." So it is with the utmost sincerity that we wish you a "Wan Fu" experience. You truly are a valued guest. Thank you for allowing us to serve you. Private Dining Full Bar & Wine Dinner Menu Available All Day OPEN 11:30 AM - 2:30 PM Tuesday - Sunday 4:00 PM - 9:00 PM (Closed Mondays) 10719 KETTERING DRIVE CHARLOTTE, NC 28226 (704) 541-1688 WWW.MYWANFU.COM
Flying in the Face of Fairness: Intergenerational Inequities in the Taxation of Air Travel A report for the Intergenerational Foundation Authors: Peter Lockley, Ubina Environmental Consulting Simon Dresner, Policy Studies Institute Table of Contents Foreword This report is groundbreaking. It looks at aviation policy in an entirely new way. The statistics it uses are familiar: £11 billion annual subsidy received by the UK aviation industry through tax-‐free fuel and being zero-‐rated for VAT; the significant —and growing — contribution aviation makes to climate change. What is new is the way the report assesses the implications of these statistics for future generations. Flying in the Face of Fairness produces compelling evidence that future generations will pay the price of the failure of this generation to control flying. It concludes that because total UK emissions are capped, maintaining the subsidy to aviation means that the wider economy will have to shoulder even steeper carbon cuts to accommodate growing aviation emissions. The costs of these extra cuts will be borne by future generations. The report reveals that, even today, it tends to be older – and wealthier – people who benefit most from subsidised flying. It is the 55—64 age group which flies the most. In total the annual subsidy to flying is the equivalent of £400 per UK household or "enough to pay a quarter of the total interest on the UK national debt." If this subsidy was eliminated overnight, the amount of flying would be cut by a third. If, under a more realistic scenario, it was phased out over a period of 20 years, the rate of growth in air travel would be slowed, reducing the need for new runways. Business travel would be the least affected as it is the most resilient to higher fares. This report, though, is much more than a plea to be fair to future generations. It is an economically literate report that spells out the detail of the subsidies received in an informative and convincing manner. Its authors also show a thorough understanding of the science of climate change. It should be essential reading for all those involved in the debate about the future of aviation. John Stewart Chair of UECNA, the pan-European anti-airport-expansion network Main points * UK aviation pays no fuel tax or VAT – effectively subsidies that cost the government over £11 billion each year. * Without these subsidies the cost of a return trip by air would increase by around £100 on average. * The subsidy is equivalent to £400 per UK household and would be enough to pay a quarter of the total interest on UK national debt. * If airline subsidies were eliminated overnight the amount of flying would drop by about a third; but phasing in the changes over 20 years would simply slow the rate of passenger growth. * The impact would be greatest on leisure flights, and so would help reduce the UK's "tourism deficit", while business travel would be more resilient. * Eliminating the subsidies would greatly reduce the case for new runways. * People aged between 55 and 64 benefit more than younger people from government support for flying, because they are flying more, as well as (in all likelihood) spending more per air ticket. * Aviation policy is contributing to climate change, which will affect younger and future generations most. * Because total UK emissions are capped, maintaining the subsidy to aviation means that the wider economy will have to shoulder even steeper carbon cuts to accommodate growing aviation emissions. The costs of these extra cuts will be borne by future generations at large. Executive Summary Outline The UK is living through a period of austerity in which Government expenditure is being cut and (some) taxes are being increased to reduce the deficit, so that future generations are not crippled by the size of the national debt. At the same time, the record Arctic ice-‐melt of summer 2012 has given us a stark reminder of the threat of climate change. Future generations will bear the costs of today's emissions as they suffer the impacts of rising temperatures, and of any investment decisions today that increase emissions, as they will face the task of decarbonising the UK economy. In this context it is important to scrutinise the tax paid by different economic sectors, and the effect of fiscal policy on greenhouse gas emissions. A sector that is under-‐ taxed is arguably contributing to the burden of debt that will be borne by future generations, since the tax shortfall could otherwise be used to reduce the deficit. If the same subsidy is accelerating the growth in greenhouse gas emissions, it has a doubly inequitable impact on future generations. The aviation sector pays no fuel tax or VAT, and in this report we seek to quantify the extent to which aviation can be said to be "under-‐taxed", and put this figure in the context of other national expenditures.(Part 1) We also examine two related issues that raise questions about whether current aviation policy treats different generations fairly. The first is an issue of inter-‐ generational fairness amongst the living – is the favourable tax treatment of aviation benefitting older people more than younger people today?(Part 2) The second issue is the implications of current aviation policy for future generations. Light taxation keeps air travel cheap and stimulates demand. But with growth in demand comes growth in greenhouse gas emissions, the impacts of which will be borne by future generations – although forecasting and monetising these effects is notoriously difficult. The framework chosen for analysing this effect is the target for UK GHG emissions under the Climate Change Act 2008. The more aviation emissions are allowed to grow, the more other sectors will need to reduce their emissions – at a cost that we seek to quantify.(Part 3) The current treatment of aviation not only represents an inadequate fiscal contribution that will contribute to the debt borne by future generations, but is storing up an emissions problem that will be faced in its sharpest, costliest form by future generations. By contrast, gradually increasing the taxation of air travel until it is aligned with taxation of private car travel would improve the UK's public finances and bring emissions down to a level that is manageable (although still costly) in the context of the UK's 2050 climate change objectives. Although it is not the purpose of this report to assess the economic benefits of aviation, we recognise that these are significant. However, we suggest as a general observation that since business flying is far less price-‐sensitive than leisure travel, an increase in air fares would have little effect on levels of business travel and connectivity which are the main drivers of economic benefits. By contrast a reduction in leisure travel may benefit the UK economy, since outbound spending on leisure travel far outweighs inbound spending – the so-‐called "tourism deficit". Key findings Bold numbers in brackets eg(1.1) refer to the relevant section of the report. Part 1 – Is aviation under-‐taxed? * Air Passenger Duty contributed £2.6 billion to the Exchequer in 2011.(1.2) * The European Union Emissions Trading System (EU ETS) will generate a small amount of revenue from the auctioning of emissions allowance. However, since around 70% of airlines' allowances requirements will be allocated free of charge, they are likely to generate windfall profits by passing on the opportunity cost of these permits to passengers. These profits are likely to outweigh their costs.(1.3.1) * Other airline business costs (e.g. airport charges) are sometimes presented to customers as "taxes" at the point of purchase when they are not – although the exact practice varies widely from airline to airline.(1.3.2) * The tax revenue forgone by the exemption of aviation fuel from VAT and duty is around £10.4 billion today.(1.4.1) * The revenue forgone by the zero-‐rating of airline tickets for VAT is around £2.6 billion today.(1.4.2) * Zero-‐rating for VAT allows airlines to reclaim VAT paid on their inputs, which they did to the value of £0.8 billion in FY 2010—2011, even though VAT paid on their outputs was only £0.2 billion.(1.4.2) * Airports can generate revenue from concessions to duty-‐free retailers in the region of £0.3 billion annually, although the loss of excise duty to the Exchequer is probably at least twice this sum.(1.4.3) * The aviation sector (including aerospace) enjoys a range of other benefits that have not been quantified but which support the industry and ultimately suppress airfares: o Route Development Funds – direct Government support to set up marginally profitable air routes(1.5.1) o Underwriting of aerospace exports through the Export Credit Guarantee Department(1.5.3) o Government support for surface access schemes(1.5.2) o Direct state aid to the aerospace sector (at national and EU level) (1.5.4) o Rules allowing aircraft to be leased through offshore structures based in low-‐tax jurisdictions(1.5.5) o Protection through international treaty of the bandwidth used for Air Traffic Control, meaning that commercial airlines do not face full market competition for their use of the radio spectrum.(1.5.6) * The overall quantifiable 'effective subsidy' to the aviation sector is around £11.4 billion today. (1.6) * £11.4 billion represents, for example: o Over £400 per UK household o A quarter of the interest on the UK's national debt.(1.8) o More than is spent annually on GP services or school buildings Part 2 -‐ Intergenerational implications today * The groups with the highest propensity to fly are those aged 55 to 64 and those aged 25 to 34. For leisure flying alone, the 55 to 64 age group takes proportionally the most flights. * The 55—64 age group in particular, as well as flying for leisure more often, also appears to be spending more on air travel than other age groups. * This age group therefore appears to benefit from the tax breaks on fuel duty and VAT that aviation enjoys to a greater extent than do other age groups. Part 3 – Implications for future generations * The current tax status of aviation suppresses airfares and therefore inflates passenger demand. The Department for Transport currently forecasts 470 million passengers and 49 MtCO2 (Metric tonnes of Carbon Dioxide) in 2050. This forecast is based on no new runways; catering for growth by expanding airports would lead to around 520 million passengers and 55 MtCO2.(3.1) * By contrast, gradually applying taxes at the rates identified in Part 1 would slow growth significantly (but not reverse or eliminate it), and reduce the perceived need for additional runways.(3.1) * The policy of the previous Government was to cater for growth at the artificially inflated level, but this policy became untenable because the consequent growth in greenhouse gas (GHG) emissions could not be reconciled with targets under the Climate Change Act 2008.(3.2.1) * The policy of the Coalition Government initially recognised this, but now appears to be veering back towards a predict-‐and-‐provide model, although no decisions on runway capacity will be taken until after the 2015 general election.(3.2.2) * The Committee on Climate Change (CCC) recommends that aviation emissions should be stabilised at around today's levels in order to achieve the UK's climate change objective of an 80% reduction on 1990 levels of GHG emissions by 2050. This would require passenger numbers to be no more than 370 million in 2050.(3.3) * The CCC scenario requires other sectors to make deeper cuts than 80% to achieve the overall objective, since aviation is being allowed an increase of around 100% on 1990 levels. These cuts will cost approximately £7 billion in 2050.(3.3) * Allowing aviation emissions to grow will place an even greater burden on other sectors. The Department for Transport central forecast of 470 million passengers and 49 MtCO2in 2050 implies cuts in other sectors that would cost over £9 billion. Catering for growth by expanding airports would lead to around 520 million passengers and 55 MtCO2— implying cuts in other sectors that would cost over £10 billion. (3.3) * The costs to other sectors in 2050 are likely to be underestimates, since: o Emissions reductions become progressively more expensive as the required cuts become steeper (since the easy/cheap reduction measures are implemented first). o Aviation has significant non-‐CO2 impacts that approximately double its overall contribution to climate change (compared to the effects of CO2 alone). Accounting for these impacts without policies to limit growth would require emissions reductions in other sectors that are probably not feasible.(3.3) PART 1 – Is aviation under-‐taxed? 1.1 Context International aviation enjoys an exemption from fuel tax that has its origins in the 1944 Chicago Convention, the treaty that laid the foundations for the modern international air transport system. The exemption has been cemented in the numerous bilateral air services agreements concluded between pairs of countries. 1 There is nothing to prevent any government levying duty on fuel used for domestic flights, as do the United States and Germany. But domestic aviation accounts for a far smaller proportion of fuel consumption than international aviation for every country in the world with the exception of the United States. Aviation fuel is also exempt from VAT, and the sector enjoys a range of other fiscal privileges, as well as receiving some public funding for ancillary activities such as research and development or surface access to airports. A number of countries have introduced substitute taxes on the aviation sector in the form of ticket taxes (or quasi-‐ticket taxes) that partly counterbalance this favourable treatment: for instance France, Germany and Ireland, as well as the United Kingdom, which has levied Air Passenger Duty (APD) since 1994. 2 Section 1 of this report discusses the fiscal treatment of the aviation sector and aims to quantify both taxes paid and taxes forgone (where this is feasible) in order to arrive at a figure for the size of the notional "subsidy" enjoyed by aviation. The sector has also entered the European Emissions Trading System (EU ETS). The extent (if any) to which this imposes a cost is discussed in section 1.3.1 below. 1.2 Tax paid – Air Passenger Duty (APD) The aviation sector contributed £2 billion to the Exchequer through APD in 2010 and £2.6 billion in 2011. 3 This figure is forecast by the Office for Budget Responsibility to rise to £3.0 billion in FY 2013—14 and to £3.9 billion in FY 2016—17. 4 1 For example, the so-‐called "Open Skies" Treaty is the bilateral air services agreement between the EU and the United States. 3 Air Passenger Duty Bulletin, HMRC, April 2012 2 APD is not strictly a 'ticket tax' but an excise duty levied on the airline per passenger carried, but the cost is almost universally passed through by airlines to passengers and listed as a separate cost item in the total ticket price. 4 Economic and Fiscal Outlook, Office for Budget Responsibility, March 2012, Table 4.7 on page 101. Note that the OBR forecasts are for fiscal years only; other figures are given for calendar years. 1.3 Other taxes? 1.3.1 EU ETS Since 1 January 2012, all flights to and from EU airports have been included within the European Emissions Trading System (EU ETS). This is often presented by airlines as equivalent to a tax, but in fact the small amount of government revenue generated by auctioning allowances is likely to be far outweighed by the revenues airlines can generate by passing through the cost of free allowances. The overall effect of EU ETS is discussed briefly below and more fully in Appendix 2. Airlines will be required to surrender emissions allowances equivalent to the total CO2 they have emitted on these routes at the end of each year. Airlines can acquire emissions allowances in one of three ways: * through free allocation: 85% of the sector's total "cap" (approximately, 2005 levels of emissions) will be distributed free of charge; * or by purchasing them from other private sources: chiefly other economic entities covered by the EU ETS or from Clean Development Mechanism projects in developing countries * by purchasing them from a government auction (of the remaining 15% of the cap); Since governments keep the proceeds of emissions auctions, they represent a revenue transfer from the aviation sector 5 to the public purse. The UK government's receipts from auctioning aviation EU ETS credits are likely to amount to only a few tens of million pounds. The total cost of purchasing allowances (both from auctioning and Clean Development Mechanism projects) for the 20 largest UK-‐administered airlines has been estimated as £76 million per annum, 6 and would increase if aviation grows. Crucially, though, the EU ETS represents an effective subsidy to airlines as well as a cost, since a large proportion of emissions allowances will be given out for free. This amounts to handing airlines an economically valuable resource for nothing, and in these circumstances airlines will seek to recoup the opportunity cost of using (rather than selling) the allowances by passing on their cost to passengers, resulting in a windfall profit — as happened in the electricity generation sector. The considerable debate about the extent to which this will happen in the airline sector is summarised in Appendix 2. Estimates range from 29% to 150% with a majority of commentators expecting an average of around 100% (with differential effects on freight, low-‐cost and full-‐service airlines). 5 Although the activity base is different to that for Air Passenger Duty – see Appendix 2 for details. 6 Aviation emissions and the EU ETS, Sandbag, 2012 What is clear, however, is that — since around 70% of airlines' emissions permits required in 2012 will be allocated for free — a cost pass-‐through of only 30% is required to break even, which is at the very bottom of the estimated range. EU ETS is therefore overwhelmingly likely to be profitable for airlines. Profit estimates are given in Appendix 2 for a range of allowance prices and cost pass-‐ through rates. These range from £100 million to £720 million. The true extent of any windfall will only be known once the empirical data is available. Given this uncertainty, and the fact that the activity basis differs from the fuel duty and VAT estimates above (i.e. incoming and outgoing flights by major UK-‐ administered airlines vs. flights from UK airports), neither the auctioning revenues nor the windfall effect is included in the overall summary of UK aviation's effective subsidy given in Section 1.6 below. 1.3.2 Airline costs presented as "taxes" Anyone who has flown on a low-‐cost airline in the last decade will be familiar with the fact that the final cost of a fare is often well above the advertised ticket price. The Advertising Standards Agency has now cracked down on the practice of luring customers in with eye-‐catching but misleadingly low fares. Nonetheless, many airlines still break down the overall cost of the fare into elements that represent their own business costs, and present these to the customer as if they were government taxes, giving the impression that aviation is taxed more heavily than it really is. To take an example, on the day of writing, a Ryanair flight from London Gatwick to Dublin, departing 7 September 2012, could be booked for a total of £64.09. This price was itemised as in Table 1: Table 1: Components of a sample low-‐cost fare Source: Ryanair.com Of the three items labelled 'Taxes / Fees', only APD is a tax: * The "aviation insurance / PRM levy" is, as a further page on Ryanair's website clarifies, a combination of two elements: i) a surcharge to reflect the increased insurance costs faced by airlines after the 9/11 terrorist attacks, and ii) a small surcharge to recoup the cost of providing special assistance for passengers with reduced mobility (PRM). 7 On any analysis, these are costs of doing business, not "fees" or even less, "taxes". * The "UK Passenger Service Tax" is, in Ryanair's own words "a charge made by the airport authority to an airline for the use of the terminal, runway, emergency services, security facilities etc." Therefore it is not a tax, and it is not levied by the UK. Of the other additional cost items: * the "EU 261 Levy" recoups the cost of compensating stranded passengers where flights are cancelled for reasons beyond its control; * "Web check-‐in" is self explanatory; and * The tiny ETS levy represents the total cost of purely environmental policies to the traveller – although Ryanair is correct not to label it as a tax. Practices vary from airline to airline. Some exclude fuel surcharges from the ticket price, lumping them in with "taxes and charges". The combinations of costs into a single "charge" are often inexplicable and obscure the value of the individual costs being added, e.g. Flybe charges as one item a fee of £8 for "Security, Insurance & Emissions Trading System". As a footnote, passengers can claim back the APD they have paid when they cancel a flight, even where every other element of the fare is non-‐refundable. Almost all airlines, however, charge an administration fee for the refund that often means it is not worthwhile to claim it. Ryanair charges a £17 administration fee, but APD on all Ryanair flights is only £13. Collecting these taxes on behalf of the Government then effectively refusing to refund them when they are no longer payable is reportedly a significant income stream for some airlines. 7 See www.ryanair.com/en/questions/what-‐is-‐covered-‐by-‐taxes-‐fees-‐and-‐charges-‐in-‐my-‐reservation 1.4 Tax foregone 1.4.1 Taxes on fuel The tax paid by the aviation sector should be considered in the light of "tax forgone"– the notional revenue that would be due if aviation fuel attracted fuel duty and VAT. The notional duty rate used for this comparison is the rate of fuel duty on petrol and diesel paid by private motorists, compounded by the rate of VAT (which is added after fuel duty). Note that there is no single Government rationale for setting this rate, and even if legal and political obstacles to aviation fuel duty were removed, the aviation rate could be set independently of the road vehicle rate. Arguments could be advanced for setting the rate both higher (flying is generally more discretionary than driving) and lower (for instance, the risk that airlines will refuel abroad to avoid tax) and in any case it would be advisable to phase in any tax increase on aviation gradually. But flying and driving are the two activities of private individuals that consume by far the largest volumes of hydrocarbon fuel, and the existing fuel duty rate is therefore the obvious choice to highlight the discrepancy in the tax treatment of the two. The Department for Transport (DfT) estimated the forgone fuel duty at £8.5 billion in 2008, 8 but this figure apparently does not include the forgone VAT on fuel. Since that time, aviation fuel consumption has declined somewhat due to a reduction in passenger demand resulting from the economic downturn. On the other hand, the rate of road fuel duty has increased. VAT rates have also fluctuated between 15% and 20% over the period. Table 2 below sets out the broad evolution of these parameters. 9 Table 2: Fuel Duty and VAT forgone on aviation fuel, 2008—1012 \| Year \| Fuel Duty (p/l) \| VAT \| Effective fuel tax rate (p/l) \| Aviation fuel consumption (bn litres) \| Tax forgone (£ bn) \| \|---\|---\|---\|---\|---\|---\| \| 2008 \| 50.35 \| 17.5% \| 59.16 \| 16 \| £9.5 \| \| 2009 \| 54.19 \| 15% \| 62.32 \| 15.3 \| £9.5 \| \| 2010 \| 57.19 \| 17.5% \| 67.2 \| 14.5 \| £9.7 \| \| 2011 \| 57.95 \| 20% \| 69.54 \| 15.0 (est) \| £10.4 \| \| 2012 \| 57.95 \| 20% \| 69.54 \| n/a \| n/a \| 8 The future of aviation: Government response to the Committee's First Report of Session 2009–10, House of Commons Transport Committee, February 2010, page 8 9 The tax rates for the majority of the calendar year in question are given although in some cases they were altered part-‐way through the year. Note that fuel consumption data for 2011 has been estimated by increasing the 2010 figure in line with the growth in passenger numbers (approximately 4% in 2011 over 2010). As fuel consumption has closely tracked passenger numbers at UK airports since 1990 (see figure 1 below), it is reasonable to assume a proportionate increase in UK aviation fuel consumption. Source: CAA Airport Statistics, Defra GHG statistics Applying the effective combined fuel tax rate for 2011 to the estimated fuel consumption of the aviation sector gives a total for fuel taxes forgone in 2011 of £10.4 billion. 1.4.2 VAT on tickets Airline ticket sales are zero-‐rated for VAT. 10 The forgone VAT on airline tickets therefore represents a further significant way in which tax is not charged on the 10 Zero-‐rating is different to, and more favorable than, VAT exemption. HMRC explain that: "If you sell zero-‐rated goods or services, you can generally reclaim VAT on any purchases that relate to those sales. This is in contrast to if you sell only exempt goods or services, where you cannot normally reclaim VAT on your purchases." Seewww.hmrc.gov.uk/vat/forms-‐rates/rates/rates.htm sector. In 2010, total household spending on air travel was £12.4 billion. 11 If VAT had been charged on this expenditure at the 2010 rate of 17.5%, it would have amounted to some £2.2 billion. Assuming that expenditure grew in line with passenger numbers in 2011, and applying the 2011 VAT rate of 20%, the forgone VAT on tickets would have been approximately £2.6 billion. This is the notional figure that could be collected if VAT were to be introduced on tickets. However, the airline industry today reclaims VAT that it has paid on purchases related to sales of airline tickets, as allowed by HMRC rules for zero-‐rated products and services. In addition, aircraft repair and maintenance, and sales and charters or civil aeroplanes are zero-‐rated for VAT. Information release by HMRC under Freedom of Information rules has allowed the value of this arrangement to the industry to be quantified: in FY 2010—11, the passenger and freight air transport sectors declared output tax of £210m and claimed input tax of £804m, meaning the net VAT bill was a transfer of £583million from the Exchequer to the industry. The total size of the annual VAT benefit to aviation is therefore around £3.2 billion, since rather than claiming £0.6 billion as it does today, the industry should be contributing £2.6 billion. 1.4.3 Duty-‐free shopping Duty-‐free shopping was introduced at Shannon airport in Ireland in 1947 and has grown into a global business worth US$46 billion today, of which 34% is in Europe. Heathrow airport alone is reported to have had duty-‐free sales of over US$1billion (£640million) in 2010. 12 There seems littlea priori justification for this anomaly: it undermines the public health objectives of taxing alcohol and tobacco, deprives the state of revenue and provides an artificial boost to aviation. Duty-‐free for intra-‐EU passengers was abolished in 1999. The loss to the Exchequer of tax that would have been levied on the sale of goods should be considered separately from the additional revenue that airports can leverage from sales generated by the tax concession. While the former exacerbates the UK's fiscal balance sheet, it is the latter that can be used to cross-‐subsidise airport charges and so ultimately reduce airfares and stimulate additional demand. All duty-‐free goods are exempt from VAT, and in addition alcohol and tobacco are exempt from the additional duties they attract. 11 Consumer Trends Q4 2011, Office of National Statistics, March 2012, item 7.3.3 12 By the Tax-‐Free World Association, seewww.multivu.com/mnr/53836-‐tfwa The loss to the Exchequer from duty-‐free sales is therefore at least 20% of the total sales and is likely to be significantly higher – tax (VAT and excise duty) accounts for an average of 74% of the cost of a bottle of spirits, 56% of a bottle of wine 13 and 78—88% of the cost of a packet of cigarettes. 14 On a conservative estimate that tax would represent an additional 50% cost on the value of duty free goods, the tax forgone at Heathrow alone is over £300 million per annum. Concessions charged to duty-‐free retailers are an important source of revenue for airport operators. Revenue from duty-‐free was the single largest component of retail revenue for BAA Ltd in 2011 and raised over £140 million, or around £1.30 per passenger. 15 Revenue from duty-‐free retail at Gatwick was worth nearly £60 million in 2011, or around £2 per passenger. 16 As these airports represent around two-‐thirds of UK passengers, the overall value of the concession to the aviation sector is estimated at around £0.3 bn in 2011 – although this is the more conservative figure, as the loss to the Exchequer is likely to be higher. 1.5 Other ways in which aviation receives favourable treatment There are numerous other ways in which the aviation and aerospace sectors receive favourable treatment. These are discussed briefly below, but are not included in the final assessment of the size of aviation's overall tax break due to difficulties in establishing comparisons. Some, however, are considerable in size, and all in one way or another boost the profitability of the industry, keeping airfares low and stimulating demand. 1.5.1 Route Development Funds Route Development Funds (RDFs) are government support given to airlines to develop new air services – subsidising additional new routes that airlines would otherwise be unwilling to risk. Although relatively modest in scale, RDFs are a direct way in which government subsidy increases aviation activity. Changes to EU State Aid Guidelines from 2005 restricted the circumstances in which such funds could be disbursed, but even within this newly restricted framework, the European Commission approved up to £25 million of RDF grants by the UK Government in 2006. These went to authorities in Wales, the North East of England and North West of England to support airlines with up to 50% of marketing costs and airport charges on eligible new routes. 17 13 According to the Wine and Spirit Trade Association, seewww.wsta.co.uk/taxation.html 15 Annual report and financial statements for the year ended 31 December 2011, BAA Ltd, pp. 10-‐11 BAA Ltd is the group owning the companies that operate Heathrow, Stansted, Edinburgh, Glasgow, Aberdeen and Southampton airports. 14 According to the Tobacco Manufacturers' Association, seewww.the-‐tma.org.uk/policy-‐ legislation/taxation/ 16 Gatwick Airport Ltd: Report and Financial Statements for the year ended 31 March 2011, page 16. 17 See Letter 'C (2006) 1844 final' from the European Commission of 16 May 2006. The State Aid Guidelines are currently being reviewed, and the UK is pressing the European Commission for greater liberalisation, apparently so that it can expand this subsidy in order "help with the establishment of new services at airports outside the South East, where such aid would not distort competition." 18 1.5.2 Road access support The policy of the previous Government was that airport operators should bear the costs of improving surface transport links to airports where the airport was the sole beneficiary. 19 Since even road schemes that directly serve airports will usually have other beneficiaries (e.g. by removing airport traffic from other roads), this policy allowed for public funds to contribute to numerous airport surface access schemes. The Coalition is continuing this support. Its latest draft policy document lists the following: * £165 million for the Airport Link Road to Manchester Airport; * £18 million for the construction of a road link between Doncaster and Robin Hood Airport; * £19.5 million for junction enhancements to the M1 which will improve access to Luton Airport; * £160 million for widening the A453 between Nottingham, the M1 and East Midlands Airport. 20 1.5.3 Export finance assistance for the aerospace sector The UK's Export Credit Guarantee Department (ECGD, now also using the name UK Export Finance) "complements the private market by providing assistance to exporters and investors, principally in the form of insurance and guarantees to banks". 21 Support for the aerospace sector (almost exclusively to Airbus) dominates its activities: in 2011—12 it issued 31 separate guarantees for civil aerospace contracts, amounting to £1,832 million (out of a total of £2,318 million). The guarantees supported the delivery of 132 aircraft — 26% of the total aircraft delivered by Airbus. The ECGD is largely financed by its own income – the guarantees for civil aerospace generated £65.5 million of premiums in 2011—12. Therefore the size of the guarantee should not be taken as equivalent to a subsidy to the sector. 18 Draft Aviation Policy Framework, Department for Transport, July 2012, para 2.58 20 19 The Future of Air Transport, Department for Transport, December 2003, para 4.58 Draft Aviation Policy Framework , Department for Transport, July 2012, paras 2.68, 2.81, 2.82 21 All quotations and figures in this section taken fromAnnual Report and Accounts 2011–12, Export Credits Guarantee Department, June 2012 The effective subsidy is the difference between the premiums Airbus paid to ECGD and the premiums it would have had to pay to a commercial lender. The function of the ECGD is to guarantee loans that the private sector would otherwise be unwilling to provide, so it is impossible to estimate the true value of its support to Airbus. 1.5.4 Government support for the aerospace sector In 2004 the United States initiated a complaint at the World Trade Organization (WTO) challenging a variety of assistance measures provided by the European Community and four individual Member States (France, Germany, UK and Spain) to Airbus. The measures included support from a wide range of sources for research, development and launch of large civil aircraft in the period 1995—2004. A detailed history of the complaint is beyond the scope of the report, but a selection of the measures examined by the WTO panel is given at Annex 1, in order to give a flavour of the state support enjoyed by Airbus. Loans from the European Investment Bank total nearly €1billion, while grants under the Fourth, Fifth and Sixth Framework Programmes amount to well over €1billion. 1.5.5 Offshore structure for aircraft leasing amounting to tax avoidance Airlines traditionally bought aircraft from manufacturers by taking out bank loans. Aircraft leasing originally emerged for a number of reasons. There can be tax advantages for both the airline and the lender if the transaction is instead structured as a lease. Changes in UK tax regulations in 2006 eliminated many of the advantages for leases taken out since then, but there still are some tax advantages. 22 Cross-‐border leasing allows leases to be structured in a way to take advantages of differences in the tax treatment of leases in different jurisdictions. Ireland offers particularly favourable treatment of leasing companies and has many double taxation treaties. It is the main international centre for aircraft leasing; nine of the ten biggest aircraft leasing companies operate there. Leasing companies based in jurisdictions with favourable tax treatment can make a profit offering aircraft leases at lower rates than they would if based in countries such as the UK. Competition between the companies means that airlines also benefit from these tax avoidance arrangements by the leasing companies. Under the Tax Avoidance Disclosure Regulations, HMRC has to be notified of any cross-‐border lease in excess of £10 million where one party is entitled to capital allowances. It is not possible for us to estimate the scale of the taxes avoided by UK airlines leasing aircraft. 22 Business Leasing Manual, HM Revenue & Customs, 2007. See: http://www.hmrc.gov.uk/leasing/ 1.5.6 Protected spectrum rights The radio spectrum is managed in the UK by the telecommunications regulator Ofcom. As demand for telecommunications increases, spectrum is becoming an increasingly scarce resource. Ofcom's response has been to seek efficient use of the spectrum by moving towards market pricing. The part of the spectrum used for aeronautical navigation is protected by international treaty 23 . Ofcom is therefore unable to apply the pure market approach of spectrum auctioning to these frequencies. 24 Instead it is seeking to extend the use of "Administered Incentive Pricing", by setting fees that reflect demand pressures as well as simply the costs of managing the spectrum. It hopes that this will lead to more efficient allocation of spectrumamongst aeronautical users. However it remains of the view that in the absence of international restrictions, aeronautical spectrum users would face competition from other users. 25 1.6 Quantifying the effective subsidy to UK aviation today The figure of a £10 billion effective subsidy has been used for some time in the debate around aviation taxation. 26 It was confirmed as a reasonable estimate by the Government as recently as 2010 (for the year 2008), although the DfT cautioned that it should be regarded as a notional, first-‐order estimate and that should taxation at this level be applied, there would be substantial behavioural effects to consider — in other words, this amount of money would never in practice be raised for the Exchequer by applying taxes at these rates, as it would act as a disincentive that reduced levels of aviation activity. This survey suggests that the figure of £10 billion remains a reasonable estimate – see Table 1 below. While aviation activity has been reduced slightly since 2008, and the tax-‐take from APD has increased slightly, the rate of both fuel duty and VAT has increased, increasing the notional revenue forgone per litre of kerosene. 23 As a signatory to the International Telecommunications Union ("ITU"), the UK has international treaty obligations to ensure non-‐interference with the use of spectrum in the band 117.975 to 137 MHz for aeronautical communications. 25 Applying spectrum pricing to the Aeronautical sector: A second consultation, Ofcom, December 2009. 24 Spectrum auctioning can generate significant sums of money – the auction of spectrum for the UK's 3G mobile network raised £22.5bn in 2000. The 4G auction is planned for 2013. 26 At least since the publication ofThe Hidden Cost of Flying, Aviation Environment Federation 2003. Table 3: Approximate size of effective subsidy to UK aviation, 2011 (£bn) \| \| \| £ b n \| \|---\|---\|---\| \| APD \| -‐2.6 \| \| \| EU ETS \| -‐ \| \| \| Fuel t axes \| 10.4 \| \| \| VAT on tickets \| 2.6 \| \| \| Reclaimed VAT \| 0.6 \| \| \| Duty free \| 0.3 \| \| \| Rounded Total \| 11.3 \| \| 1.7 The effective subsidy and economic benefits Aviation brings significant economic benefits to the UK and has an economic output of around £17 billion. 27 These benefits, cannot however, be compared to the size of the effective subsidy or be said to "outweigh" it. Tax breaks that keep the price of flying artificially low only stimulate demand at the margin – the policy is not one of "spending" £11 billion to get £17 billion of benefits, but to get the additional benefits from those who would be deterred from flying if prices were higher in the absence of any subsidy. The price elasticity of demand for business flying is very much lower than that for leisure flying; 28 in other words business travellers are more willing to pay higher prices to continue to fly and an increase in airfares would depress leisure travel to a much greater extent than business travel. Since the majority of benefits to the UK economy are derived from business travellers, this implies that prices could be raised without inflicting significant damage to the overall economic benefits delivered by the sector. Indeed, it is arguable that leisure travellers export wealth, since the total spent abroad by leisure travellers (approx. £31 bn in 2011) is far greater than that spent in the UK by foreign visitors (approx. £18 bn in 2011). 29 The net effect of reducing demand for air travel would therefore be to increase demand for holidays in the UK, boosting our tourism sector overall and keeping more economic activity flowing in our economy, rather than abroad. 27 Draft Aviation Policy Framework, Department for Transport, July 2012, para 1.8. 29 SeeOverseas Travel And Tourism -‐ Q4 2011, Office for National Statistics, April 2012. 28 UK passenger forecasts assume -‐0.7 for leisure and -‐0.2 for business travel.UK Aviation Forecasts, Department for Transport, August 2011, para 2.18 1.8 The effective subsidy in context – some comparisons £11.3 billion represents: * £180 a year, or £3.50 a week, for every man, woman and child in the UK; * £510 a year, or nearly £10 a week, for every household in the UK; * Around £100 per passenger departing from a UK airport; * More than the annual budget of the Home Office or Ministry of Justice. By way of illustration, an additional £11 billion of Government Revenue could be used to: * Easily exceed spending on GP services (currently £7.7bn), Community Healthcare (£8.4bn) or Mental Health services (£8.4bn); * Almost double investment in school buildings (currently £5.9bn), or increase the schools budget (£52.8bn) by 20% overall; * Increase spending on defence equipment (£22.7 bn) by 50%; * Fund the activities of the Home Office (£10.5bn), Ministry of Justice (£9.5bn), Department of Energy and Climate Change (£8.1bn) or Department for International Development (£7.7bn), or fund the Department for Environment, Food and Rural Affairs (£2.7bn) four times over. * Finance a quarter of the UK's annual debt interest (currently £43.9bn) Part 2 – intergenerational implications today 2.1 Frequency of flying amongst different age groups The Civil Aviation Authority (CAA) conducts annual passenger surveys at a selection of the UK's largest airports. The CAA surveys include data on passengers' age, income, socio-‐economic group. It has been noted before from this data that there is a significantly higher propensity to fly amongst better-‐off sections of society. Since it is known that (up until retirement age), higher age groups have higher incomes, we set out to test the proposition that older people also have a higher propensity to fly than younger people. CAA data are split between UK and foreign passengers. We have taken data only for UK passengers, as it is these who are directly influenced by UK policies in their choice of when and whether to fly. Firstly the data for the 12 airports surveyed by CAA 30 in 2010 were aggregated to give UK totals. Secondly, the age ranges were equalised as far as possible, given the mix of age bands presented by CAA. 31 Thirdly, 2011 census data for England and Wales were used to convert the raw percentages of passengers in each age band into relative frequency of flying – that is how often those in a given age group fly, compared to the national average. The results are presented in Graph 1 for all passengers, and for leisure and business passengers separately in Graphs 2 and 3. 30 Birmingham, Doncaster, East Midlands, Gatwick, Heathrow, Humberside, Leeds Bradford, Liverpool, London City, Luton, Manchester and Stansted. SeeCAA Passenger Survey Report 2010, Civil Aviation Authority, 2010 31 The CAA age groups are a mixture of 5 and 10-‐year bands, with some irregularities in the youngest age bands. charity no: 1142 230 23 The three graphs alone show that people of working age fly more than those older and younger. The frequency of flying overall is greatest among those 55 to 64 and those 25 to 34, with slightly less flying by the age groups in between. This tendency is more marked for leisure flying, where the 55 to 64 and 25 to 34 age groups fly substantially more than the 35 to 44 and 45 to 54 age groups, who in turn fly substantially more than those younger and older than working age. The reason for this trend is most likely that people do the most travelling for leisure in early adulthood, before they have children, and in late middle age, after children have left home. The graph of flying for business instead shows the 35 to 44 and 45 to 54 age groups doing the most flying. 2.2 Expenditure on foreign holidays Data from the 2010 Living Costs and Food (LCF) Survey is presented below, looking at how expenditure on foreign holidays varies according to age. The LCF records expenditure on package holidays. Graph 4 below shows that of households according to the age group of a household reference person (HRP). 32 It can be seen that households with an HRP aged 65 to 74 spend the most on package holidays. They spend an average of £770 per household per annum. However, the pattern of expenditure increasing with age, before falling back in households with an HRP aged over 75, could perhaps be explained by older people being more likely to go on package holidays, while younger people may be more likely to book their holidays independently. 32 The "household reference person" is the person in the household with the highest income. If two or more people have the same income, the oldest one is the household reference person. LCF records expenditure on package holidays in a different way to how it records most expenditure. Respondents are asked about any package holiday they have paid for in the last three months. For most items of expenditure, including the purchase of air tickets for leisure travel, but not part of a package holiday, respondents are asked only about expenditure in the two-‐week period they keep the expenditure diary. Data on expenditure for air tickets that are not part of a package holidays are put together with taxi fares and water travel fares in the published data, so the figures include some additional expenditures. It can be seen in Graph 5 below that households with an HRP in the 50 to 64 age range have the highest expenditure by a considerable margin. On average, those households spend £490 per year on air tickets, water travel fares and taxis. An attempt was made to calculate expenditure on foreign holidays by adding together all categories of expenditure that include it. However, figures for air tickets are put together with taxi fares and water travel fares, so the figures include some additional expenditure. Households with an HRP in the age range 50 to 64 on average spend more per household on foreign holidays than other age groups. Expenditure is expressed relative to the average, which is £1230 per year. Expenditure in households with an HRP aged 50 to 64 is 1.55 times that, or £1900 per year. However, the average size of household varies by age. Households with an HRP aged 30 to 49 are the largest (on average 3.0 people), while households with an HRP aged 75 or older are the smallest (on average 1.4 people). When expenditure is calculated per person, the pattern is somewhat different. The age ranges 50 to 64 and 65 to 74 spend most per person. Average expenditure across the population is £530 per person. Average expenditure among households with an HRP aged 50 to 64 is about £870 per year. Average expenditure among households with an HRP aged 65 to 74 is about £880 per year. However, this comparison is not entirely fair. As well as household size declining as children leave the home, there are more single households in the oldest age groups and they will pay more for holidays because of single supplements. That may explain why expenditure per person on foreign holidays is highest in the 65 to 74 age group, even though people that age take relatively few leisure flights. 2.3 Discussion People aged 55 to 64 have the highest propensity of any age group to fly for leisure purposes. Furthermore, people in this age range appear to spend somewhat more on flights than those in other age groups. The published data from the Living Costs and Food Survey is not disaggregated sufficiently for this conclusion to be presented as a certainty. There may be other factors increasing the spending of older age groups on foreign travel – for instance a higher number of foreign cruises, or a preference for more expensive accommodation at their destinations. Nonetheless, it is consistent with the data — and the general observation that older age groups are willing to pay more for more comfortable modes of travel — to suggest that the 55 to 64 age group in particular, as well as flying for leisure more often, is spending more on air travel than other age groups. This age group therefore appears to benefit from the tax breaks that aviation enjoys to a greater extent than other age groups do. Part 3 – Implications for future generations 3.1 Effect of the subsidy on demand forecasts The effect of the tax break or subsidy that aviation receives, compared to the taxation of other activities, is to increase demand for air travel as it is cheaper than it would otherwise be. Just how large this increase is depends on the price sensitivity of demand for air travel. The latest official demand forecasts were published in 2011. 33 The number of passengers is projected to recover from the decline since 2007 and rise from 211 million passengers per annum in 2010 to 335 million in 2030 (within the range 300 million to 380 million) and to 470 million in 2050 (within the range 280 million to 515 million). These forecasts imply average annual growth in passenger numbers to 2050 of 2.0% (within the range 1.5—2.3%), significantly lower than the 3.7% average seen in the twenty years from 1990 to 2010. These forecasts are much lower than DfT's previous forecasts. The two main reasons for this change were that policy had changed to rule out new runways in the South East, and the effect of the recession — suspending air traffic growth and taking it off the path of exponential growth it had been following. 34 Nonetheless, in this scenario emissions are forecast to grow to 49 MtCO2in 2050 (in the range 40—58 MtCO2). 35 The forecasts do not specify how much CO2 would result from a scenario of "unconstrained" airport capacity growth, but passenger numbers would increase a further 10% to 520 mppa (million passengers per annum) in 2050 (compared to 470 mppa). 36 The increase in emissions would be approximately in proportion to this; they would therefore total around 55 MtCO2in 2050. These projections are based on a number of assumptions, including future taxation. The level of APD is assumed to remain constant in real terms, but the traded price of carbon in the EU ETS rises from £14/tCO2 today to £70/tCO2 in 2030 to £200/tCO2 in 2050 and is assumed to be added to the cost of air fares. 37 By comparison, fuel duty on petrol and diesel is equivalent to a carbon tax on those fuels of around £270 per tonne of CO2. 33 UK Aviation Forecasts, Department for Transport, August 2011. 35 UK Aviation Forecasts, Department for Transport, August 2011, table 3.5 on page 84 34 UK Air Passenger Demand Forecasts Briefing, Aviation Environment Federation, June 2012. http://www.aef.org.uk/uploads/AEF_Passenger_Forecasts_analysis_1.pdf 36 ibid, see paras 1.12 and 1.14 37 ibid, para 2.36 To take a simplistic scenario, if fuel duty and VAT were introduced in full on airline tickets tomorrow, their price would rise by approximately 88% on average. How much that price increase would reduce demand for air travel depends on the price elasticity of demand. For example, if the price elasticity of a product was -‐1 then that would mean that increasing the price of that product by 100% (doubling it) would reduce demand by 50% (halving it). Various studies have made estimates of the price elasticity of demand for air travel. The 2011 UK aviation forecast takes the average elasticity of demand for UK air travel as -‐0.6. That implies that if fuel duty and VAT were introduced in full tomorrow it would lead to a reduction in demand for air travel of approximately 35%. However, nobody is suggesting doing anything so sudden as that because it would clearly have a dislocating economic effect. Note, though, that even then the Treasury would gain over £6 billion of the £9 billion from fuel duty and VAT on tickets that air travel does not pay currently. In reality, such taxation would have to be phased in gradually, rather than in a manner that would cause such disruption. It is not possible to make a detailed estimate of the effect of phasing in taxation at these levels without access to the complex DfT passenger forecasting model. However this exercise was conducted in 2002, at the behest of a group of environmental organisations (the Council for the Protection of Rural England, the Aviation Environment Federation and Friends of the Earth): a level of taxation equivalent to fuel duty and VAT were phased in over a period of twenty years from 2005 to 2025. The result was that whereas in the official forecast at that time the number of passengers was predicted to rise from 180 million in 2000 to 500 million in 2030, in the scenario where taxation was increased in stages then the number of passengers rose more slowly to 315 million in 2030 – a reduction of 37% over the central forecast, without any disruptive effect. 38 The results cannot be directly compared to the effect on today's forecasts, since a number of assumptions in the central forecast at the time (and the total tax level to be added) were somewhat different to those prevailing today. The results from the full model run do, however, validate the assumption that phasing in taxation at a level equivalent to that levied on private car travel would significantly slow (but not reverse or even eliminate) the growth in aviation – and therefore reduce the perceived need for additional airport capacity. Note that EU rules about VAT now only allow it to be at three levels in a country: zero, a reduced rate (currently 5% in the UK) and the standard rate (currently 20% in the UK), so it would not be possible to phase in VAT so gradually. However, since at 38 Fly Now, Grieve Later, Aviation Environment Federation, June 2005, page 16 present levels APD raises almost exactly the same as VAT would, APD could be swapped for VAT at a point during the transition. 3.2 A self-‐fulfilling policy? 3.2.1 Aviation policy under New Labour From 2003 to 2010 UK aviation Policy was set by theFuture of Air Transport White Paper, which set out detailed airport-‐by-‐airport proposals for significant growth in UK aviation (from around 200 to nearly 600 mppa in 2050). This policy was widely identified (not just by environmental groups but by Parliamentary Select Committees and the Government's own sustainability watchdog) as a "predict-‐and-‐provide" policy, of the sort that has been discredited for road building in the 1990s. The approach was to forecast the demand for aviation (as discussed in Section 3.1 above, inflated by its artificial cheapness) and then to provide matching capacity. 39 This failed to apply insight gained from roads policy that making capacity available was itself a driver of demand; furthermore as artificially cheap air travel came to be enjoyed by more and more people it became evermore difficult to raise its price through taxation, since people had come to expect regular, cheap foreign travel and were increasingly basing their lives around it (for instance by buying second homes close to regional airports abroad, or working in one country and commuting home at the weekend). As well as the increase in noise and other local environmental impacts that came with aviation growth, it came to be recognised that the increase in greenhouse gas (GHG) emissions was difficult to reconcile with the UK's long-‐term objectives on tackling climate change. The issue was given sharp focus by the passing of the Climate Change Act 2008, which set legally-‐binding targets for the UK to reduce GHG emission by 80% on 1990 levels by 2050. The Act established an expert advisory body, the Committee on Climate Change (CCC), whose initial reports into pathways to achieving the target recommended that a reasonable contribution from the aviation sector to achieving the UK's overall 2050 target would be to constrain absolute emissions 40 at around today's levels. 41 This target – for absolute aviation emissions to be no more than 37.5 MtCO2in 2050 – was adopted by the previous Government, which asked the CCC to report on how it could be achieved. The CCC's subsequent aviation report identified that even with likely advances in aircraft technology, airline efficiency and biofuels, and a carbon 39 Although the White Paper professed to reject this approach, it did in fact provide capacity for over 90% of the demand increase it forecast. 41 Building a low-‐carbon economy – the UK's contribution to tackling climate change,Committee on Cliamte Change, December 2008, Chapter 2. 40 "Absolute" or "gross" emissions are those actually emitted; "net" emissions refers to the gross total minus any emissions allowances purchased to offset them, for instance through the EU ETS. price that rose gradually to £200/tCO2 in 2050, the maximum number of passengers in 2050 compatible with the target was 370 mppa. 42 The airport capacity allowed for in the White Paper, on the other hand, would see passenger numbers increasing to nearly 500 mppa (even allowing for the effects of the significant carbon price). The CCC concluded that: Meeting the 2050 target […] is therefore likely to require policy measures to restrain demand which go beyond our central projected carbon price. The policy instruments which could achieve this restraint include a carbon tax on top of the forecast carbon price, limits to further airport expansion, and restrictions on the allocation of take-‐off and landing slots even where airports have the theoretical capacity available. 43 In other words, the CCC report laid bare the inconsistency between the Government's airports policy and its climate change objectives, and called for a package of demand restraint measures, including higher taxation. 3.2.2 Coalition Government policy The Coalition Government immediately cancelled Heathrow's third runway and ruled out new runways at Gatwick and Stansted. 44 In its first scoping consultation on a new aviation policy (in March 2011), the Government rejected the approach of the White Paper as taking insufficient account of the challenge of climate change: The previous government's 2003 White Paper, The Future of Air Transport, is fundamentally out of date, because it fails to give sufficient weight to the challenge of climate change. In maintaining its support for new runways – in particular at Heathrow – in the face of the local environmental impacts and mounting evidence of aviation's growing contribution towards climate change, the previous government got the balance wrong. It failed to adapt its policies to the fact that climate change has become one of the gravest threats we face. 45 The DfT published its response to the CCC in August 2011, alongside revised forecasts for passenger numbers and CO2emissions. As a result of the economic crisis, and the policy of not building new runways, the central CO2forecast was lower than previously – 49 MtCO2in 2050 (as opposed to 57 MtCO2) – and consequently the gap between the forecast and a target of stabilising emissions was smaller. The remainder of the response was an examination of the cost-‐effectiveness of a number 42 Meeting the UK aviation target – options for reducing emissions to 2050, Committee on Climate Change, December 2009, page 145 44 The Coalition: our programme for Government, Cabinet Office, March 2010, page 16. 43 ibid. page 146 45 Developing a sustainable framework for UK aviation: Scoping document, Department for Transport, March 2011, Foreword, page 4. of policy "levers" to reduce emissions faster than in the CCC's scenario. These included "behavioural change" and "capacity constraints" but excluded fiscal measures on the grounds that these are "a matter for HM Treasury." 46 (No explanation is given for why the two departments cannot collaborate to investigate the effects of taxation on emissions.) The remaining "levers" were technological and operational measures. These all assume that improvements can be delivered faster than assumed by the CCC, and with the exception of improvements to Air Traffic Control, the only measures that deliver significant CO2savings have a net cost. 47 This cost would have to be borne either by the industry, or the Government in the form of 'incentives'. At the time of writing, and until 31 October 2012, the Government is consulting on a Draft Aviation Framework 48 ("the Draft Framework") – a high-‐level policy document outlining the principles of its new aviation policy. The Framework repeats the contention of the Scoping Document that a "better balance than in the past needs to be struck between the benefits aviation undoubtedly brings and its impacts, both at a global and at a local level", and that specific capacity proposals "would need to fit within the high-‐level policies set out in the […] framework". And yet the Draft Framework is extremely vague in its approach to limiting aviation GHG: * there has been no decision on whether to retain the 2050 Target; * the policy in regard to regional airports is simply to let them grow in response to demand – hardly a recipe for controlling the overall growth in emissions; * there has been no decision whether to accept the CCC's recommendation to include international aviation emissions within the Climate Change Act targets; * there is no discussion of the role of taxation in reducing emissions; * reliance is placed on an international agreement (painfully slow to develop and likely to be environmentally weak in order to secure wide support) and the EU ETS (itself too weak to drive significant changes to either demand or technology) in preference to UK action. * aviation's significant non-‐CO2impacts are glossed over, yet these approximately double the contribution of aviation to climate change (see Box 1 below); The Government has also announced the creation of an independent commission to examine how to maintain the UK's aviation hub status, due to report shortly after the 2015 general election. 49 The terms of reference for the commission, and even more so accompanying media comment by senior ministers, 50 indicate a clear intention to provide more airport capacity in the South East of England. 46 Government Response to the Committee on Climate Change Report on Reducing CO2 Emissions from UK Aviation to 2050, Department for Transport, August 2011, para 1.13 on page 6. 48 Draft Aviation Policy Framework, Department for Transport, July 2012. 47 Ibid, see Marginal Abatement Cost Curve graphs on pages 17 and 18. 49 Written Statement by the Secretary of State for Transport, 7 September 2012 50 For instance, George Osborne on The Andrew Marr Show, BBC 1, 2 September 2012. Current airport policy is as yet unformulated. The general trend, however, is that there is little appetite for measures to control GHG emissions, but a growing appetite for increasing runway capacity. Although no decisions will be taken until after the next election, the current worst-‐case environmental scenario is therefore a return to White Paper-‐type policies of continuing to cater for unfettered growth through low taxation and increased runway capacity. This would mean that the DfT's most recent CO2 forecasts are too optimistic. The implications of different levels of aviation emissions for the UK's climate change targets are the subject of the rest of this report. As an aside, we note that any new capacity project would be subject to a cost-‐ benefit allowance, weighing (broadly) the economic benefits of the project against the environmental downsides in monetary terms. In such analyses, future costs and benefits are discounted using an annual % rate to give all figures as present-‐day prices. But the practice of discounting environmental harm in the same way as financial revenues raises questions of intergenerational equity – these are discussed further in Appendix 3. BOX 1: Non-‐CO2 impacts of aviation on climate change Aviation contributes to climate change in several ways, not only though its CO2 emissions. When released at high altitude, oxides of nitrogen (NOx) cause changes to atmospheric chemistry that have a net warming effect. 51 Water vapour and soot both cause a small direct warming effect. Aircraft also produce contrails in certain atmospheric conditions, and these can develop into additional cirrus clouds – both of which have a warming effect. Finally, aerosol particles in aircraft exhaust change the reflective properties of existing cirrus clouds, and although these effects are still poorly understood, it seems likely that they cause warming – potentially a very significant amount. There is scientific uncertainty (to a varying degree) over the size of each of these effects. However, according to the precautionary principle, scientific uncertainty should not be used as an excuse for inaction. There is also debate over the most appropriate way to relate these effects to the warming effect of CO2 – the main difficulty being that they all last for different lengths of time. 52 51 NOx destroys methane (a cooling effect), but increases ozone (a greater warming effect). In both cases these effects are the end product of more complex reactions. 52 For instance, the effects of NOx are strong but short-‐lived, whereas the effects of CO2 can go on for several hundred years. So measured over a short time, the total warming impact from a flight would be dominated by NOx, and be many times higher than the impact of CO2 alone. Measured over 500 years, the total impact of a flight would appear to be little more than the effects of CO2. The 1999 report from the Intergovernmental Panel on Climate Change introduced a metric known as the Radiative Forcing Index (RFI). This measures the present-‐day radiative forcing (warming where the forcing is positive, or cooling where it is negative) from each of the non-‐CO2 elements, and compares it to the present-‐day warming from aircraft CO2. The IPCC gave a range of 2–4 for the RFI, and a best estimate of 2.7. Since that time, the RFI of 2.7 has often been cited as an emissions multiplier. This is technically incorrect. RFI looks backwards, and measures the present-‐day effect of all historical aviation activity. More recently, estimates have been published for a forward-‐looking Global Warming Potential for aviation emissions. 53 Global Warming Potential measured over 100 years – GWP(100) – is the metric used to weight the different gases covered by the Kyoto Protocol, so it is a well-‐accepted and understood measure. It is also appropriate to use as an emissions multiplier – i.e. for expressing the extra damage caused by a flight, or by a year's worth of aviation emissions – because it looks forward to the future warming caused by emissions. The estimate published for the GWP(100) was 1.9-‐2.0, suggesting that a multiplier of 2 applied to CO2 emissions is justified on a precautionary basis to account for the non-‐CO2 effects of aviation. 54 3.3 Environmental Impact in 2050 – the effect on climate change targets Under the Climate Change Act 2008, the UK can emit no more than 159 million tonnes of CO2 equivalent (MtCO2e) in 2050. 55 This represents an 80% reduction on 1990 levels, and was accepted as a target by Parliament following analysis by the CCC that it represented the UK's fair contribution towards a global effort to keep average temperature rises below 2°C. The 80% target should be regarded as a minimum, since: 53 Lee et al. (2010) "Transport impacts on atmosphere and climate: Aviation",Atmospheric Environment 55 Climate change impacts of greenhouse gases other than CO2 are compared to those of CO2 using the values for their Global Warming Potentials specified in the Kyoto Protocol. Both CO2 and non-‐CO2 emissions are then expressed as "CO2 equivalent" or "CO2e". See Box 1 for a discussion of aviation's non-‐CO2 impacts. 54 The figure of 1.9–2.0 quoted includes the effect on cirrus clouds, which is the least well-‐understood element of the overall impact. Very recently, however, research has been published that calculates cirrus cloud warming by a much more robust method than previously, but produces a similar value to earlier, rougher estimates. This work therefore lends weight to the GWP estimate of 1.9–2.0. It is also worth noting that this value is very close to more recent estimates of aviation's RFI – a value of 1.9 is implied by the IPCC Fourth Assessment Report. In other words the choice of metric does not have a major effect on the policy-‐relevant conclusions – that aviation's overall warming effect is around double that of its CO2 alone. charity no: 1142 230 35 * The CCC itself expressed the target as a minimum in the initial analysis underpinning it, and noted that it was consistent with a scenario with "central estimates of global average temperature rise by 2100 [of]close to 2°C", i.e. it is not fully consistent with a high probability of keeping warming below 2°C; 56 * The UK is committed through European Council to cuts of 80—95% below 1990 levels by 2050, meaning that our current target is at the bottom of the range; 57 and * A majority of Parties to the United Nations Framework Convention on Climate Change support a target of limiting temperature rises to 1.5°C, on the basis that the impacts of a 2°C rise on their countries would be unacceptably severe. The CCC has recommended that international aviation CO2 emissions should be included within the climate change targets. 58 The Government itself is planning its carbon abatement strategy for 2050 on the basis that they will be included 59 and is legally obliged to decide formally whether to include them by the end of 2012. 60 Even if they are not included, the Government must continue the current practice of setting budgets "taking into account" these emissions. 61 For the purposes of this analysis, we follow the CCC in assuming that they are included. We also follow the CCC's assumption that emissions reductions must be achieved domestically. Although the Act allows for the purchase of offset credits to meet the 2050 target, the CCC has made clear that: Scope for low-‐cost purchase of offset credits is likely to become limited over time, as all countries will need to be on a strong downward emissions path and so opportunities to exploit low-‐cost abatement opportunities overseas will reduce. The vast majority of emissions reductions should therefore be delivered through domestic action, and we develop scenarios consistent with all reductions being delivered through abatement action within the UK. 62 […] 56 Building a low-‐carbon economy -‐ the UK's contribution to tackling climate change, Committee on Climate Change, December 2008, page 7, emphasis added. 58 Scope of carbon budgets: Statutory advice on inclusion of international aviation and shipping, Committee on Climate Change, April 2012 57 The European Commission has also published a roadmap towards achieving this goal, see http://europa.eu/rapid/pressReleasesAction.do?reference=IP/11/272 59 The Carbon Plan: Delivering our low carbon future, HMG December 2011, see note 10 on page 130. 60 61 Climate Change Act 2008, s.10(2)(i) Climate Change Act 2008, s.30(3) 62 The 2050 target – achieving an 80% reduction including emissions from international aviation and shipping, Committee on Climate Change, April 2012, pp.18––19 The structure of the Climate Change Act leaves the Government free to pursue carbon abatement in whichever sectors it chooses, provided the overall target is achieved; there is no requirement for all sectors to achieve a uniform 80% cut. A more generous allowance to one sector does, however, have cost implications for other sectors, which are forced to make deeper cuts than otherwise. The CCC's advice, that international aviation emissions should be constrained at around 2005 levels (an increase of over 100% on 1990 levels) means that other sectors will need to make reductions of around 85% to achieve an overall 80% reduction. Aviation emissions at the "high" end of the range (in fact the DfT's central forecast of nearly 50 MtCO2) imply cuts of 87% from other sectors. 63 A worst-‐case scenario where airports expand and emissions rise to around 55 MtCO2 would apply still steeper cuts elsewhere. There is no definitive way to quantify the cost of this additional burden on other sectors. One method is to use the assumed price of carbon in 2050 — £200 per tonne of CO2equivalent (+CO2e) — to price the additional allowance being granted to aviation, compared to a notional scenario in which it was also asked to make an 80% reduction on 1990 levels – an allowance of around 3.5 MtCO2. This is not to suggest that this should be the allowance for aviation; it merely indicates the size of the additional effort required of other sectors, given the difficulty of deep technological abatement in aviation, and political unwillingness to place any significant constraint on demand. Monetisation of the additional cost is set out in Table 4 below for a range of aviation emission scenarios. These include scenarios where aviation's non-‐CO2emissions have been accounted for using a multiplier of 2. 64 Although the CCC currently recommends that non-‐CO2impacts should not be included in budgets, it has stated that if these persist over time this "could require that carbon budgets are tightened in order that the climate objective is achieved." 65 Even if this does not happen, and the non-‐CO2effects remain unaccounted for, their cost to society can be assessed on the basis of the climate change damage they are inflicting. 66 63 These scenarios also assume either abatement or increase in international shipping emissions – see The 2050 target – achieving an 80% reduction including emissions from international aviation and shipping, Committee on Climate Change, April 2012, p. 23 65 Scope of carbon budgets: Statutory advice on inclusion of international aviation and shipping, Committee on Climate Change, April 2012, p. 33 64 In this scenario, the UK's overall allowance would increase slightly, since the 1990 total would have been adjusted upwards to account for this extra impact in 1990. In this scenario, aviation's emissions in 1990 were 35 MtCO2e, and an 80% reduction target in 2050 would give it a notional 2050 allowance of 7Mt CO2e 66 The same value of £200/tCO2e in 2050 is used. Estimating the cost of the damage caused by a tonne of GHG emissions is, of course, fraught with uncertainty. The Stern Review used a damage cost estimate of £180/tCO2e in 2050, which is very close to the DECC abatement cost estimate of £200/tCO2e in 2050. Indeed part of the justification for the targets that were selected is that they are supposed to represent the economically optimal point where damage costs and abatement costs are Table 4: Costs to other sectors in 2050 of different aviation emissions scenarios \| Aviation Emissions Scenario \| Aviation emissions in 2050 (MtCO e) 2 \| \| Additional allowance \| \|---\|---\|---\|---\| \| \| \| \| to aviation (over 80% \| \| \| \| \| cut on 1990 – MtCO e) 2 \| \| Stabilisation at 2005 levels \| 37.5 \| 34 \| \| \| Stabilisation at 2005 levels + non-‐CO 2 \| 75 \| 68 \| \| \| DfT central \| 49 \| 45.5 \| \| \| DfT central + non-‐CO 2 \| 98 \| 91 \| \| \| Unconstrained \| 55 \| 51.5 \| \| In practice, however, the costs of all emissions reductions are not equal. The cost per tonne of reduction starts to rise sharply when very deep emissions cuts are required, implying that the costs for the higher aviation emissions scenarios are probably underestimates. This is illustrated by the fact that finding the final 12 MtCO2e of reductions in the building sector – to move it from the CCC's "Stretch" to its "Max" scenario (where it is fully zero-‐carbon) – comes at a cost to that sector of 0.2% of GDP, or approximately £8 billion. This is the scenario given by the CCC for the compensation required should there be "Barriers" to emissions reduction in aviation (and shipping), with aviation continuing along the DfT central forecast pathway rather than stabilising its emissions (a difference of 12 MtCO2e). Using the DECC value of carbon, the difference between these two pathways was costed at just £2.3bn in Table 4 above. Furthermore, there are distributional implications of imposing additional reduction burdens on other sectors: the costs of emissions reductions in various sectors are not borne equally by different sections of society. The example above provides a good illustration: additional costs to the building sector will be borne by everyone, but — in the absence of corrective policies — will affect the poorest most, as a greater proportion of their income is spent on utilities. Additional costs to aviation would be borne only by those that fly, who are (by definition) those that can afford to. It should be stressed that the exact values of any costs given for 2050 are highly uncertain. But the overall pattern that emerges is clear: stabilising aviation emissions imposes a significant burden on other sectors and therefore on society; this cost rises significantly if aviation emissions are allowed to grow, and very substantially once aviation's non-‐CO2emissions are accounted for. The justification for this generous approach to aviation is that technological abatement is more expensive in this sector than others. While this is true, it ignores the fact that successive governments have maintained a tax regime that artificially inflates demand while robbing the Exchequer of revenue. The longer this continues, the harder it will be to correct, as lifestyles and expectations are becoming increasingly geared to abundant cheap aviation. But with every year that passes, future generations are saddled with more debt, and more carbon emissions than they would be if aviation paid its fair share of tax. charity no: 1142 230 39
Solari Report the Theme Article Preprint Theme Article Preprint Contents Copyright © 2023 by Solari, Inc. All rights reserved. No part of this book may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system, without the permission in writing from the publisher. Published by: Solari, Inc. P. O. Box 157 Hickory Valley, TN 38042 USA Disclaimer: Nothing on the Solari Report should be taken as individual investment advice. Anyone seeking investment advice for his or her personal financial situation is advised to seek out a qualified advisor or advisors and provide as much information as possible to the advisor in order that such advisor can take into account all relevant circumstances, objectives, and risks before rendering an opinion as to the appropriate investment strategy. www.solari.com Introduction The hype of an ever-imminent "AI revolution" has become impossible to ignore. We are told that Artificial Intelligence, for better or for worse, will "reshape the world" 1 and usher in an era of extreme "cognitive advancement" for humanity, allowing us to accomplish the impossible.2 Though the term "revolution," for many, conjures images of righteous uprisings of the exploited masses against tyranny, the AI revolution, despite its glossy PR and lofty promises, is a "revolution" that — if realized — will instead see the elites transform the world, and us, in order to maintain and deepen their control. For those willing to look, the architects of AI, particularly those shaping its uses by (and for) the national security state (i.e., intelligence agencies and the military), have been surprisingly frank about their vision for this "revolution." They openly speak of how AI will indeed bring the technological promise of accomplishing the impossible — but to get there, humanity must pay an impossible price. In examining the writings of some of the most influential architects of the coming AI "revolution," it becomes clear that this revolution has been carefully designed, and is being carefully directed, to undo past revolutions — particularly those that saw the rise of free societies and the free flow of information. At the heart of the revolution is a desire to use AI, not just to transform our societies and lives but humanity itself — to permanently alter our perception, our reason, and our spirit so that we will never again be cognitively capable of understanding our servitude while also leaving us bereft of the desire to be free from that servitude. If AI's development continues to be directed by these players and the power networks behind them, the only "promise" it will bring is a return to the feudalist Dark Ages. The Architects To best understand AI and its implications, it makes sense to begin with an examination of who is leading AI's development and for what purpose(s). Much of the Western world's AI development is centered, perhaps unsurprisingly, in Silicon Valley. While seemingly obvious, many today misunderstand the nature of Silicon Valley, which, for decades, has managed to deceptively cloak itself in myths steeped in meritocracy, luck, and entrepreneurship. The urban legends of Silicon Valley titans having built their corporate monoliths out of their once-humble garages are well known. However, such legends mask the clear evidence that American intelligence agencies and the military-industrial complex supported, funded, and guided most of these larger-than-life and ultra- wealthy figures in the tech world (e.g., Google, Palantir, Facebook, Microsoft, Oracle) from their inception.3-8 Those associations have only deepened with time, and Silicon Valley now has fully fused with the twin worlds of war and espionage, with nearly every major Big Tech firm serving as a military and intelligence contractor of major importance. Within this world are two main camps, camps which incidentally now dominate the secretive conference of elites known to most simply as Bilderberg. In 2019, a rare mainstream media article discussing the conference appeared in Newsweek and stated the following: "If you look around the current conference for people with enough substance — enough ideological meat on their bones to drive Bilderberg forward, you won't find it in finance, and you certainly won't find it in politics, because for the last few decades the really smart people have gone into engineering and tech. And that, surely, is where the center of gravity within Bilderberg will end up. The two figures at Bilderberg who seem to have an aura of influence about them are [former Google CEO Eric] Schmidt and [Palantir and PayPal co-founder Peter] Thiel. Over the years, Schmidt has been gently aligning himself as the heir to [Henry] Kissinger, and has populated recent conferences with Google executives. The Libertarian Thiel has already engineered his lieutenant, Alex Karp, onto the steering committee." 9 As far as the national security state goes, the Schmidt and Thiel camps are both firmly embedded and constantly competing for influence. Though much of Thiel's influence can be felt through the leverage of Palantir and the dependence of intelligence and security agencies on its powerful software (currently enabling a push toward "pre-crime" 3,10) as well as newer AI weapons-focused firms like Anduril,11 it seems that Schmidt — at present — is the more dominant figure. Part of this is due to the Biden administration. Under Trump, Thiel was decidedly more influential12-14; under Biden, on the other hand, Schmidt has been controlling the administration's science policy and funding the salaries of more than two dozen top Biden officials and advisors, most of whom have played key roles in the administration's science and technology policy. These Schmidt-funded officials, according to Politico, "have served or currently serve in Biden's White House Council of Economic Advisers, the White House Council on Environmental Quality, the Department of Energy, the Department of Education, the Department of Health and Human Services, the Department of Transportation, the Department of Homeland Security and the Federal Trade Commission" as well as the General Services Administration.15 The funding arrangement was flagged repeatedly by administration lawyers, yet no action has ever been taken to alter it.16 Even under Trump, it was Schmidt — not Thiel — who was tapped to lead the powerful National Security Commission on Artificial Intelligence (NSCAI), which operated as a temporary commission from 2018 through 2021; a Schmidt ally, Robert Work (former Deputy Secretary of Defense at the Obama-era Pentagon) was chosen as vice-chair. The commissioners were predominantly a mix of top intelligence and military figures as well as top executives from Google, Oracle, Microsoft, and Amazon. (Notably, these same four companies later were the awardees in 2022 of the Department of Defense's $9 billion Joint Warfighting Cloud Capability [JWCC] cloud services contract, intended to provide "globally available cloud services across all security domains and classification levels, from the strategic level to the tactical edge." 17) Some notable figures on the NSCAI, including Gilman Louie, former head of CIA's In-Q-Tel, are also known to be close allies of Schmidt.16,18 The commission notably lacked any close Thiel allies. In addition, Schmidt chaired the Pentagon's Defense Innovation Board during much of the Trump administration, though he had begun serving in that role while Obama was still in office.15 The NSCAI was officially created "to consider the methods and means necessary to advance the development of artificial intelligence, machine learning, and associated technologies to comprehensively address the national security and defense needs of the United States." 19 Yet, in practice, their chief focus (as spelled out in NSCAI's charter) was to ensure that the U.S. "maintain a technological advantage in artificial intelligence, machine learning, and other associated technologies related to national security and defense." 20 In 2019, NSCAI vice-chair Robert Work described the commission's purpose as determining "how the U.S. national security apparatus should approach artificial intelligence, including a focus on how the government can work with industry to compete with China's 'civil-military fusion' concept." 21,22 In other words, the commission focused on using AI to ensure a perpetuation of American hegemony, part of which is an undisguised "fusion" of government and industry (i.e., corporatism/fascism), at least on these matters. Indeed, the commission's response to China's "civil-military fusion" concept was, quite clearly, the overt fusion of Silicon Valley with the national security state. Although the NSCAI publicly justified many of its policies — including the expansion of mass surveillance and digitalization for American citizens — as being necessary to "beat" China, an NSCAI document obtained by EPIC (the Electronic Privacy Information Center) and reported on by The Last American Vagabond instead shows plans by the commission to have the future of AI "decided at the intersection of private enterprise and policy leaders between China and the U.S." 23 If this coordination over the global AI market does not occur, the document warned, "we [the U.S.] risk being left out of the discussions where norms around AI are set for the rest of our lifetimes." If China is allowed to become "the unambiguous leader in AI," the NSCAI argued in its document that "China could end up writing much of the rulebook of international norms around the deployment of AI" and that it would "broaden China's sphere of influence amongst an international community that increasingly looks to the pragmatic authoritarianism of China and Singapore as an alternative to Western liberal democracy." As we shall see, the push away from "democracy" and toward "pragmatic authoritarianism" is very much advocated for by both the Schmidt and Thiel-led camps that are driving the development of AI in the United States and, more broadly, in the "democratic" West. Schmidt, in recent years, has become incredibly close to former Secretary of State Henry Kissinger and is increasingly seen as his "heir." 24,25 Kissinger, a notorious war criminal and long-time lackey for predatory oligarchical interests like the Rockefeller family, has been a principal author of notable regime change and coup attempts; he later went on to mentor subsequent Secretaries of States (and presidents) who also shared his penchant for (often militaristic) regime change. A master of subterfuge and realpolitik, Kissinger has been and remains one of the most influential political operators in modern American history, despite being 100 years old at the time of writing this article. His disciples — ranging from the Clintons to Klaus Schwab and now Eric Schmidt — wield enormous power and influence. Schmidt has claimed he first met Kissinger at a conference, where Kissinger told him that he thought Google might "destroy the world." 26 It is unclear exactly when this initial meeting took place, but it seems to have occurred around 2015. Schmidt subsequently persuaded Kissinger to attend a lecture on AI at Bilderberg 2016 and then invited Kissinger to Google, where Kissinger spoke to Google staff.27 According to Kissinger, "the reason he [Schmidt] invited me to meet his algorithmic group was to have me understand that this [Google's control over online information] was not arbitrary, but the choice of what [information] was presented [by Google search] had some thought and analysis behind it." 27 Schmidt subsequently claimed that the "visit to Google got him [Kissinger] thinking." 27 Shortly thereafter, at Kissinger's suggestion, Schmidt and Kissinger teamed up with Daniel Huttenlocher, dean of MIT's Schwarzman College of Computing, because, in Kissinger's words, "he's technically so competent, to see how we would write it down." 27 The result of the trio's joint efforts was the book, The Age of AI and Our Human Future , published in 2021.28 What Is the Real AI "Revolution"? Given that Kissinger and Schmidt represent a continuum of powerful shadow government operators and serve as the currently most influential intellectual architects of intelligence and military AI policy, it is essential to explore these men's stated beliefs about the true nature and promise of AI and the technological "revolution" it is spurring. In a 2021 interview with TIME, Kissinger stated, with respect to AI: "The technological miracle doesn't fascinate me so much; what fascinates me is that we are moving into a new period of human consciousness which we don't yet fully understand. When we say a new period of human consciousness, we mean that the perception of the world will be different." 27 In short, the key promise of AI, as articulated by Kissinger, Schmidt, and Huttenlocher and expounded upon in detail in their book, will be in its ability to alter human consciousness, changing how people perceive and process reality. HENRY KISSINGER, ERIC SCHMIDT AND DANIEL HUTTENLOCHER. Indeed, much of their book deals with the relationship between AI and reality, and AI's impact on the public's perception of reality.28 Early on in the book, the three authors establish that the first major developmental milestones in AI have unveiled "previously imperceptible but potentially vital aspects of our reality" (p. 13), that is, AI alone is able to access a new reality unseen by humans who do not use or engage with AI. As a result, they argue, we are "obliged to confront whether there is a form of logic that humans have not achieved or cannot achieve, exploring aspects of reality we have never known and may never directly know" (p. 16). Examining these "previously imperceptible" realities with AI's "help" will transform society and, per the authors, will be at the heart of the entire AI revolution. They state that the "core of [AI's] transformations will ultimately occur at the philosophical level, transforming how humans understand reality and our role within it" (p. 17) and that the "advent of AI will alter humanity's concept of reality and therefore of itself" (p. 19). They also argue that allowing AI to alter humanity in this way is the only way to unlock AI's full potential. AI's ability to bring "previously unattainable goals within sight" will be "purchased" by "altering the human relationship with reason and reality," with such alterations being described as a "revolution" (p. 27). Thus, we must "sell" our unaltered perception of reality and use of reason if we are to use AI to accomplish different goals and unlock its much heralded potential. Our expected acquiescence to trade our organic perception of reality for an AI-altered perception of reality, all for the supposed promise of "unlocking" AI's alleged potential, is — per Kissinger and co-authors — the true "AI revolution." According to the three authors, there is no way to hold onto our current faculties of perception and reason while also utilizing advanced AI; there is an inherent trade-off. Notably, they also assert elsewhere that advanced AI must be utilized for national security reasons. (For example, they say, other nations — especially our adversaries — will utilize this technology, so we must also use it and implement it faster, lest the West lose its economic and military hegemony.) Therefore, our collective perception of reality and use of reason must be "sold off" and altered to conform more closely with the realities that, we are told, only AI can "see." Kissinger, Schmidt, and Huttenlocher also assert that due to the continued and rapidly deepening use of AI, we will soon be unable to resist AI's pull to foist a "new" reality upon us, as we are quickly becoming more and more dependent on AI. As a direct result, they claim that before long, humanity will be too cognitively diminished to resist AI's manipulations. They argue that this will have major implications for humanity's ability to practice "free will." They write (p. 18): "Frequently, we will be aware that such programs are assisting us in ways that we intended. Yet at any given moment, we may not know what exactly they are doing or identifying or why they work. AI-powered technology will become a permanent companion in perceiving and processing information, albeit one that occupies a different 'mental' plane from humans " [bold added]. In other words, this "permanent companion" is drawing us toward its "mental plane" (that is, its reality that cannot be perceived by humans) and away from our own. AI will not be able to explain what it is doing or why, because its reality and the way humans have perceived reality for thousands of years are not necessarily compatible. It is worth noting that AI's "reality" is inherently shaped by the data it is trained on — data sets chosen by its creators. Kissinger and co-authors additionally argue that our soon-to-be "permanent companion in perceiving and processing information" will quickly "usher in a world" where human-only decision-making will become rare and, eventually, cease to exist. They state (p. 20): "AI will usher in a world in which decisions are made in three primary ways: by humans, by machines, and by collaboration between humans and machines. […] This development will transform entire fields by enveloping them in AI- assisted processes, with the lines between purely human, purely AI, and hybrid human-AI decision making sometimes becoming difficult to define." In a world where human decision-making gives way to decisions largely (or entirely) shaped by AI's divergent reality, purely human decision-making and purely human reasoning — and, therefore, purely human reality — will cease to exist. The Age of AI authors then crucially note, "Machines will enlighten humans, expanding our reality in ways we did not expect or necessarily intend to provoke (the opposite will also be possible: that machines that consume human knowledge will be used to diminish us)" (pp. 25–26) [bold added]. As they continue, it becomes clear that AI will have a much more "diminishing" effect on humanity than an "enlightening" effect. They even go so far as to argue that such diminishment has already taken its toll (p. 26): Almost passively, we have come to rely on the technology without registering either the fact of our dependence or the implications of it [bold added]. In daily life, AI is our partner, helping us make decisions about what to eat, what to wear, what to believe, where to go, and how to get there. Once we are sufficiently "diminished" and "dependent," AI will further shape our perception of reality, and thus our reasoning, through its control over the online "information space." Kissinger, Schmidt, and Huttenlocher argue that this will be accomplished by AI being the chief means by which political messaging is written and developed — while also being the chief means by which unwelcome information is censored. They note that AI is already being used for censorship, particularly on social media. More specifically, they argue (p. 21) that AI's control over the "information space" will come via: "[T]he design of political messages; the tailoring and distribution of those messages to various demographics; the crafting and application of disinformation by malicious actors aiming to sow social discord; and the design and deployment of algorithms to detect, identify and counter disinformation and other forms of harmful data." "As a result," they write, "the prospects for free society, even free will, may be altered" (p. 21). Those who "opt out" of the AI-dominated "information space" will differ from those who "opt in" by diverging "into different and mutually unintelligible realities" (p. 22). Currently, the push to put AI in de facto charge of the information space is overt and easily apparent. For instance, the U.S. military, which — as previously mentioned — is closely intertwined with Silicon Valley and policies promoted by the Schmidt-led NSCAI, has for years been pumping millions upon millions of dollars into AI focused on tackling "disinformation" 29-31 and also assessing how to "use social media to control people like drones." 32 Elsewhere, other governments and militaries, such as China's, are using AI for similar purposes.33 Discussion of the use of AI to control the flow of online information is also found throughout The Age of AI (see pp. 100–102, 114–118, and 159), which essentially posits that AI-enabled "misinformation" necessitates AI-enabled "content moderation." The book also asserts that we will need to increasingly depend on AI to navigate the "overload of information" online27; otherwise, we may find ourselves "unable to keep pace with events" and will lose our agency to shape those events28 (p. 194). Another organization aggressively pushing for both a global AI censorship regime and "global guardrails" for AI is, perhaps unsurprisingly, the United Nations. As previously noted by Unlimited Hangout, the UN's Sustainable Development Goal 16 (specifically SDG 16.10) is focused on, among other things, controlling the flow of information. UN policy documents clearly define "disinformation" and "misinformation" as anything that erodes "trust" in the UN, its police agendas, and "stakeholder partners" — including national governments, multinational corporations, and groups like the World Economic Forum (WEF).34 The UN's specialized agency for information and communication technologies, the International Telecommunication Union (ITU), has called for AI to be one of the principal tools used to label misinformation and carry out "triage" on "unreliable content from several of the world's most prominent news markets." 35 In coordination with the WEF and Interpol (another UN "stakeholder partner"), the clear goal is to use AI, not just to label "misinformation" itself but also those who produce "misinformation" and "disinformation," and to treat them as "cybercriminals." 34 The push to identify and punish "cybercriminals" is intimately intertwined with the push to end online privacy and anonymity as well as implement global, mandatory digital ID, which is also nested within SDG 16 (SDG 16.9).36,37 In September 2023, UN Secretary General António Guterres described the alleged need for "some global entity" that will be tasked with monitoring and regulating all AI globally, while also warning that "governments alone will not be able to tame" AI.38 Elsewhere, Guterres and Amandeep Gill, the Secretary General's envoy on technology, have suggested that this "global entity" would be a new UN agency that they hope to launch at the UN's Summit of the Future in September 2024.39 The effort to globally centralize control of AI via the UN is backed by big names in Silicon Valley AI development, such as OpenAI, the parent company of ChatGPT. Notably, praise for the previous iteration of ChatGPT, GPT-3, was a major motif in Kissinger and co-authors' The Age of AI.28 Thus, national governments and militaries and supranational governance organizations (e.g., the UN and its "stakeholder partners") as well as Silicon Valley behemoths (via the social networks and search engines they control) are, and will continue to be, the main forces directing how AI shapes the "information space" and choosing what it will censor. As a consequence, AI is essentially curating information at the behest of the State, designing messages on its behalf and censoring information that clashes with or contradicts that messaging. AI's version of reality, as manifested in the "information space," will, therefore, be largely defined by the entity that designs the information policies AI will enforce — that is, the entity born out of the fusion of national and supranational governments with Silicon Valley. Indeed, with AI still very much being "constrained by its code" and dependent on those who determine and program its objective functions and parameters, it is the AI policy-makers and programmers who will determine the direction in which AI steers the collective "information space" 28 (p. 84). As a consequence, AI is a tool whereby this powerful conglomerate of state and corporate power will be able to alter our perceptions of reality and our decision- making to the point where we will no longer be a free society or, in their estimation, even able to exercise free will. AI is, therefore, leading us toward a controlled society characterized by a controlled population that will soon be cognitively incapable of interpreting events without AI's "help." As outlined by Kissinger and his two co-authors, those who "opt in" to the AI-driven system will be drawn into a reality that is unintelligible and unexplainable to us as we are now, as well as to those of us who, later on, insist on "opting out." It is perhaps more honest and accurate to say that what AI will do to humanity is not necessarily draw us into a different reality currently "invisible" to humans (as Kissinger, Schmidt, and Huttenlocher claim), but instead into a state of delusion — with the delusions designed by the AI engineers and data barons of our era. Defining AI's "Reality" If AI is to draw us into its "reality," it becomes essential to explore what this reality may be and what effects it is anticipated to have on humanity. In The Age of AI 28 (pp. 200–201), the three authors state that "reality explored by AI, or with the assistance of AI, may prove to be something other than what humans had imagined. It may have patterns we have never discerned or cannot conceptualize." As a consequence, they argue, "we may task AI to probe realms we cannot enter; it may return with patterns or predictions we do not fully grasp." Whatever the AI returns with, they say, may bring us "closer to the concept of pure knowledge, less limited by the structure of our minds and the patterns of conventional human thought." There is no introspection on the part of these authors that the AI's output could be erroneous, nonsensical, and not actually indicative of any reality, hidden or otherwise. It could instead return information that only exists in the "mind" of the machine. According to the authors, who seemingly superimpose the role of a mystic seer onto AI, we are to trust that its utterances are indicative of something real that is merely unseeable to us. In doing so, what may well be "delusions" or "hallucinations" of AI would then enter our reality and become our reality, while our intellectual dependence on AI grows and our own intellectual faculties become diminished by that dependence. Notably, the well-documented and growing issue of AI "hallucinations" — where an AI generates false content that it presents as factual40-42 — is entirely absent from the Kissinger, Schmidt, and Huttenlocher book. Instead, these intellectual architects of global AI policy impose a religious lens over AI's output, including its "hallucinations," asserting throughout their work that AI is consistently observing something real that humans cannot observe without AI's "help" and arguing that "AI already transcends human perception" in key ways28 (p. 211). What impact will the pull into AI's reality have on us? The three authors clearly note that the nature of AI means that it "does not have intention, motivation, morality or emotion" (p. 26). Later, they state that AI "does not hope, pray, or feel" and that it lacks "awareness or reflective capabilities" (p. 205). Logically, the more we are pushed and acclimated to have AI shape and mold our perception of reality, the more our collective reality will come to lack the characteristics that AI also lacks. Thus, AI's potential "hallucinations" or differing perceptions of reality will be marked by these qualities — qualities that are essentially defined as the absence of humanity's most important characteristics. A world absent of morality, emotion, intention, and motivation is indeed a world that is likely to seem foreign to an unaltered human observer, as it would be devoid of the characteristics that spur our quests for beauty, meaning, and purpose — which are, more often than not, central parts of the human experience. In outsourcing our perception of reality to AI in pursuit of AI's heralded "full potential," the implication is that we will be pulled into AI's reality and become as impersonal, immoral, and unfeeling as the machine itself. Given that we must "sell" our own ability to perceive reality to achieve the imperative of unlocking AI's full potential, the AI revolution — as Kissinger and his colleagues describe it — is a "revolution" that would weaken, wither, and hollow out humanity from within. Under a subheading entitled "Transforming Human Experience," the three authors write that AI's impact on cognition and reality will not be felt equally across society. In the coming society shaped by the AI "revolution," they openly note that there will be two tiers of society. One tier will find AI's impacts "empowering"; this tier will be largely composed of "the people who build [AI], train it, task it, regulate it" as well as "policy makers and business leaders who have technical advisers at their disposal." The other tier may occasionally experience the coming AI-driven society as "gratifying" but will also find its impacts "disconcerting or disempowering." This tier will comprise "those who lack technical knowledge, or participate in AI-managed processes primarily as consumers," which is to say the vast majority of people (p. 182). Later on, the three authors elaborate further on this two-tier society (pp. 213–214), stating: "Those who design, train, and partner with AI will be able to achieve objectives on a scale and level of complexity that, until now, have eluded humanity — new scientific breakthroughs, new economic efficiencies, new forms of security, and new dimensions of social monitoring and control. Those who do not have such agency in the process of expanding AI and its uses may come to feel that they are being watched, studied, and acted upon by something they do not understand and did not design or choose — a force that operates with an opacity that in many societies is not tolerated of conventional human actors or institutions." Recalling another main theme in The Age of AI— that AI will cognitively diminish humanity and increasingly control our perception of reality — it should be clear that this will also apply within this two-tier framework. Making up the "empowered" tier that produces, designs, and regulates AI will be those who are also set to receive its benefits (e.g., cognitive enhancement, improved technological discoveries); additionally, they will be poised to craft the realities identified by AI as well as shape how AI controls all accessible information. The "disempowered" tier, in contrast, will consist of those who are bewildered by AI's "opaque reasoning" and have little agency — if any — to change or shape AI's decisions and edicts. Over time, they will become too cognitively diminished to reason themselves, and thus will be incapable of understanding what is happening to them. They will be the victims of AI's "hasten[ing of] dynamics that erode human reason as we have come to understand it," whereas those who are capable of altering and "understanding" the AI will not (p. 207). Though Kissinger, Schmidt, and Huttenlocher make many references to and comparisons with the Age of Enlightenment and the democratization of information that began with the proliferation of the printing press, it seems clear that the AI "revolution" — as these influential figures envision it — outlines the way in which a relatively small elite class is seeking to undo those advancements and, with technology's help, return the majority of the population to the "Dark Ages." The serfs of this new techno-feudal era will lose their ability to perceive and reason reality, looking to the learned priestly class of technocrats to interpret the "opaque" edicts of the new AI "god" and thus to dictate both our collective perception of present reality as well as what lies beyond. The AI "Religion" Revolution In their chapter entitled "AI and the Future," the three authors discuss what they view as the very likely possibility that human society will soon interpret AI's pronouncements as "quasi-divine judgments." They write (p. 209): "In a world where an intelligence beyond one's comprehension or control draws conclusions that are useful but alien, is it foolish to defer to its judgements? Spurred by this logic, a re-enchantment of the world may ensue, in which AIs are relied upon for oracular pronouncements to which some humans defer without questions. Especially in the case of AGI [artificial general intelligence], individuals may perceive god-like intelligence — a superhuman way of knowing the world and intuiting its structure and possibilities." In a book promotion interview with the Hoover Institution, Eric Schmidt expanded on the three authors' opinion regarding the likelihood that such an outcome could come to pass, particularly once AI has a dominant role in governance. (On p. 209, the authors argue that at the "civilizational level," it will be "infeasible" to forgo AI's role in governance). Schmidt stated: "One of the concerns that we have which we state in the book is that eventually there will be [AI-driven] knowledge systems that will govern society which will be perfectly rational and because they're so rational they will not be understandable by the average human because they can't explain themselves. Dr. Kissinger points out that in history, one of two things happen in that case. Either you have a revolution in the form of guns against 'the man,' if you will, or you have a new religion and we speculate that one of those two will occur." 43 Given that Schmidt and his co-authors are firmly on the side of "the man" (that is, the existing establishment that is currently developing AI for its benefit and, as they admit elsewhere, for the purpose of enhanced social monitoring and control), it is clear that — of the two outcomes — there is one that they (and the power structures behind them) favor: the creation of a new religion with AI at its center. As previously noted, the authors' predisposition toward this outcome is found throughout their book, as they treat AI's output as superior to human reasoning and perception and as presenting new, hidden realities that humanity's "inferior" capabilities have never been able to observe. This is consistent with the push to return society to the "Dark Ages," creating a new religion that serves as a form of comprehensive social control through its stranglehold on information and its control over the public's perception of reality and events. This new religion is also the only apparent way with which to manifest another "consequence" of the AI revolution as described by Kissinger and co- authors — the end of free societies and the end of free will. The end of free will, in particular, is a major theme discussed by the would-be prophets of the belief system that this "new" AI-centered religion would likely be based on. Known as "Dataism," it is defined as venerating neither gods nor man, but data. One of its most well-known prophets, Israeli historian Yuval Noah Harari, argues that Dataism interprets "the entire human species as a single data-processing system, with individual humans serving as its chips." 44 In a piece on Dataism published by the Financial Times, Harari states: "For thousands of years humans believed that authority came from the gods. Then, during the modern era, humanism gradually shifted authority from deities to people. […] Humanist thinkers such as [Jean-Jacques] Rousseau convinced us that our own feelings and desires were the ultimate source of meaning, and that our free will was, therefore, the highest authority of all. Now, a fresh shift is taking place. Just as divine authority was legitimised by religious mythologies, and human authority was legitimised by humanist ideologies, so high-tech gurus and Silicon Valley prophets are creating a new universal narrative that legitimises the authority of algorithms and Big Data. This novel creed may be called 'Dataism.' In its extreme form, proponents of the Dataist worldview perceive the entire universe as a flow of data, see organisms as little more than biochemical algorithms and believe that humanity's cosmic vocation is to create an all-encompassing data-processing system — and then merge into it." 45 Later on in the same article, Harari states: "Dataists further believe that given enough biometric data and computing power, this all-encompassing system could understand humans much better than we understand ourselves. Once that happens, humans will lose their authority, and humanist practices such as democratic elections will become as obsolete as rain dances and flint knives." 45 Thus, once AI takes over governance and humans "lose their authority," the Dataists anticipate that their religion will take over and that humanity's free will and free societies will quickly become "obsolete." Participation in this new "religion," as Harari points out elsewhere, will eventually be forced upon the population, including those who wish to "opt out." In an article published in Wired in 2016, Harari wrote: "[Dataism] is now mutating into a religion that claims to determine right and wrong. The supreme value of this new religion is 'information flow.' If life is the movement of information, and if we think that life is good, it follows that we should extend, deepen and spread the flow of information in the universe. According to Dataism, human experiences are not sacred and Homo sapiens isn't the apex of creation or a precursor of some future Homo deus. Humans are merely tools for creating the Internet-of-All-Things, which may eventually spread out from planet Earth to cover the whole galaxy and even the whole universe. This cosmic data-processing system would be like God. It will be everywhere and will control everything, and humans are destined to merge into it." 44 Thus, what some of the most influential architects of AI policy envision in terms of the AI "revolution" is a process by which humanity becomes dehumanized — molded and shaped by AI to become powerless "tools" that serve AI's expansion and growth, allowing AI (in the minds of Dataists) to approximate God. It is a "revolution" whereby we "sell" our minds and our souls for the expansion of a synthetic entity so that it may mimic the creator of its creator. It is the triumph of the material over the spiritual, the profane over the sacred. While AI as a technology on its own certainly does hold promise in certain fields, those directing its course at the moment seek to use it to enact what can only be described as the final coup d'état. This is not a coup of a government or even of all governments, but a coup over the human mind and spirit, which threatens to rob us of our humanity and our natural and spiritual heritage and render us blind cogs in a large and unholy machine, in an attempt to manifest the Icarian fantasies of its programmers and controllers. It is the logical conclusion of a society driven by those who are blinded by power and greed and who are willing to do absolutely anything — selling not only their own souls but the souls of all of humanity — in order to maintain control. This is not like coups of the past. This coup, shaped by those who have previously used their power to cripple the sovereignty of nations, is meant to eliminate the sovereignty of our own minds. As foreseen in the seminal dystopian classic We,46 written over a hundred years ago, the "One State" ruled by machine-driven rationality must move to excise imagination, spirituality, and consciousness from its population by mental, physical, and even surgical means, or the human spirit will always rebel. While the current coup plotters may feel confident that their creations will succeed in robbing us of our very souls, it is ultimately a choice that rests with us. They cannot take it unless we freely surrender it in exchange for the "convenience" and "advancements" that AI is said to offer. But this is a siren's song, its lyrics laden with false promises and sung by false prophets. The fact that the choice ultimately rests with us, and not with the would-be technocrats, is the flaw in their scheme; they must first convince us that we have no agency, that we cannot "opt out." 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"Ex-Google CEO Eric Schmidt's new investment fund deepens his ties to national security interests." Vox, Jun. 9, 2022. https://www.vox.com/ recode/2022/6/9/23160588/ eric-schmidt-americas-frontier-fund-google-alphabet-tech-government-revolving-door 19. https://www.nscai.gov/ 20. Charter (Objectives and Scope of Activities). National Security Commission on Artificial Intelligence, Jun. 24, 2020. https://www.nscai.gov/about/charter/ 21. "Robert O. Work." https://archive.li/ZPXw9 22. Ylli Bajraktari. "Re: AI Commission – Status Update," Apr. 10, 2019. https://epic.org/ foia/epic-v-ai-commission/EPIC-19–09–11-NSCAI-FOIA-20200331–3rd- Production-pt1.pdf 23. Whitney Webb. "Techno-tyranny: How the US national security state is using coronavirus to fulfill an Orwellian vision." Unlimited Hangout, May 4, 2020. https:// unlimitedhangout.com/2020/05/reports/ techno-tyranny-how-the-us-national-security-state-is-using-coronavirus-to-fulfill-an- orwellian-vision/ 24. Tim Hinchliffe. "'Google is a threat to civilization' and 'Eric Schmidt is one of my best friends': Henry Kissinger." The Sociable, Nov. 8, 2019. https://sociable.co/technology/ google-is-a-threat-to-civilization-and-eric-schmidt-is-one-of-my-best-friends-henry- kissinger/ 25. Henry Kissenger, Eric Schmidt, and Daniel Huttenlocher. "The challenge of being human in the age of AI." The Wall Street Journal, Nov. 1, 2021. https://www.wsj.com/ articles/ being-human-artifical-intelligence-ai-chess-antibiotic-philosophy-ethics-bill-of- rights-11635795271 26. Stephen Jones. "Eric Schmidt said working with 98-year-old Henry Kissinger convinced him that the secret to longevity is being a workaholic." Business Insider, Nov. 3, 2021. https://www.businessinsider.com/ eric-schmidt-workaholic-secret-to-longevity-success-2021–11 27. Belinda Luscombe. "Henry Kissinger's last crusade: stopping dangerous AI." TIME, Nov. 5, 2021. https://time.com/6113393/eric-schmidt-henry-kissinger-ai-book/ 28. Henry A. Kissinger, Eric Schmidt, and Daniel Huttenlocher. The Age of A.I. and Our Human Future. Little, Brown and company, 2021. 29. Timothy Frudd. "US military to use AI to stop 'disinformation threats' on social media." American Military News, Sep. 5, 2023. https://americanmilitarynews. com/2023/09/us-military-using-ai-to-stop-disinformation-threats-on-social-media/ 30. Colin Demarest and Jaime Moore-Carrillo. "US military targets deepfakes, misinformation with AI-powered tool." C4ISRNet, Aug. 1, 2023. https://www.c4isrnet. com/information-warfare/2023/08/01/ us-military-targets-deepfakes-misinformation-with-ai-powered-tool/ 31. Whitney Webb. "US – UK intel agencies declare cyber war on independent media." Unlimited Hangout, Nov. 11, 2020. https://unlimitedhangout.com/2020/11/reports/ us-uk-intel-agencies-declare-cyber-war-on-independent-media/ 32. Sean Gallagher. "Air Force research: How to use social media to control people like drones." Ars Technica, Jul. 17, 2014. https://arstechnica.com/information- technology/2014/07/ air-force-research-how-to-use-social-media-to-control-people-like-drones/ 33. Sarah Cook. "China's censors could shape the future of AI-generated content." The Diplomat, Feb. 21, 2023. https://thediplomat.com/2023/02/ chinas-censors-could-shape-the-future-of-ai-generated-content/ 34. Iain Davis and Whitney Webb. "SDG16: Part 1 — Building the global police state." Unlimited Hangout, Jun. 5, 2023. https://unlimitedhangout.com/2023/06/investigative- series/sdg16-part-1-building-the-global-police-state/ 35. ITU News. "How AI can help fight misinformation." International Telecommunication Union, May 2, 2022. https://www.itu.int/hub/2022/05/ ai-can-help-fight-misinformation/ 36. Iain Davis and Whitney Webb. "SDG16: Part 2 — Enforcing digital identity." Unlimited Hangout, Oct. 3, 2023. https://unlimitedhangout.com/2023/10/investigative- reports/sdg16-part-2-enforcing-digital-identity/ 37. Aileen Schultz. "Using AI and emerging tech to battle disinformation & protect digital identities." Thomson Reuters, Sep. 17, 2020. https://www.thomsonreuters.com/en-us/ posts/legal/ai-battling-disinformation/ 38. Ryan Heath. "UN deadlocked over regulating AI." Axios, Sep. 21, 2023. https://www. axios.com/2023/09/21/global-ai-regulator-united-nations 39. Will Henshall. "How the U.N. plans to shape the future of AI." TIME, Sep. 21, 2023. https://time.com/6316503/un-ai-governance-plan-gill/ 40. Elena Alston. "What are AI hallucinations and how do you prevent them?" Zapier, Sep. 5, 2023. https://zapier.com/blog/ai-hallucinations/ 41. "What are AI hallucinations?" IBM, n.d. https://www.ibm.com/topics/ ai-hallucinations 42. Tom Simonite. "AI has a hallucination problem that's proving tough to fix." Wired, Mar. 9, 2018. https://www.wired.com/story/ ai-has-a-hallucination-problem-thats-proving-tough-to-fix/ 43. Hoover Institution. "Schmidt happens." Interview by Niall Ferguson, H.R. McMaster, and John Cochrane with Eric Schmidt, Dec. 8, 2021. https://www.youtube.com/ watch?v=wed0sJIBJHs&t=1030s 44. Yuval Noah Harari. "'Homo sapiens is an obsolete algorithm': Yuval Noah Harari on how data could eat the world." Wired, Jan. 9, 2016. https://www.wired.co.uk/article/ yuval-noah-harari-dataism 45. Yuval Noah Harari. "Yuval Noah Harari on big data, Google and the end of free will." Financial Times, Aug. 26, 2016. https://www.ft.com/ content/50bb4830–6a4c-11e6-ae5b-a7cc5dd5a28c 46. Yevgeny Zamyatin. The Project Gutenberg Ebook of We. University of Michigan, released Apr. 27, 2020. https://www.gutenberg.org/files/61963/61963-h/61963-h.htm Whitney Webb has been a professional writer, researcher, and journalist since 2016. She has written for several websites and, from 2017 to 2020, was a staff writer and senior investigative reporter for Mint Press News. She is contributing editor of Unlimited Hangout and author of the two-volume book, One Nation Under Blackmail.
Weekly Security & Risk Report Counter piracy ISPS services Training K&R and Ship Arrest Technical Yacht Security System Design, Installation and Maintenance Technical Consultancy Cyber Risk Consultancy TSCM Sweeping Services MAST Services MAST has the experience, capability and global presence to provide comprehensive support to our clients. "Making the world a safer place to live and work" Maritime Risk Consulting Due Diligence Risk management Crisis management Training Physical and Asset Protection Close Protection Residential Security Security Chauffeurs Events and Clubs Training This report is copyright of Maritime Asset Security and Training (MAST) © 2021. All rights reserved. This report is intended to provide general information about maritime intelligence topics but does not provide individual advice and the creators assume no liability for the accuracy, completeness or adequacy of any information contained herein, or though links you will find in it. Furthermore, using this report or sending MAST emails does not create a service provider- client relationship. It is intended only as an introduction to ideas and concepts only. It should not be treated as a definitive guide, nor should it be considered to cover every area of concern or regarded as an advice. If you copy from this report, you have to refer to Maritime Asset Security and Training (MAST) Ltd as the source of the copied material. You may not, except with our express written permission, commercially exploit the content. MAST UK: +44 (0)1279 216 726 Issue 299 22nd September 2021 f Issue 299 of the series reviews, analyses and threat assesses the fragile and conflict affected coastal states Libya, Somalia and Yemen. The Mediterranean migrant crisis, incidents affecting maritime security and influencing maritime news are also reported and analysed, focusing on the keys theatres of maritime instability. This Intelligence Report Series is a brief snapshot of MAST's Intelligence capabilities. MAST Intelligence specialises in providing clients with a suite of products and services, including; political and economic risk analysis, detailed port and vessel security briefs, vessel passage plans, threat and risk mitigation and travel risk management. Working closely in conjunction with a host of experts, MAST Intelligence offers a market leading service pertaining to all maritime affairs. Follow MAST on LinkedIn and Twitter to keep abreast with these insightful weekly reports and more — including real time security updates. Editor: David Rider www.mast-security.com Gulf of Guinea The crew of NNS Beechcroft has apprehended a group of pipeline vandalism suspects at Snake Island, Nigerian media reported on Sept. 20th. At Snake Island, a boat laden with 11 kegs of 50 litres each of PMS was intercepted and f ve suspects were a rre ste d b y NNS B E E CR OFT patrol team during a routine harbour patrol. This Day reported. Incidents: 1. On 14th Sept. at some point overnight, intruders boarded a MV and stole equipment in position 05°59'N-012°24'E. They left without being detected. Reported by MDAT-GoG. i class boats by the end of Sept. 2023. The two 38-foot vessels will be used in anti-piracy and maritime security operations and are part of Ghana's moves to expand the navy and enhance its maritime security capacity. 2. On the 11th September at 0820 UTC, a MV noticed 7 skiffs coming from starboard side. 3 skiffs approached the vessel at a distance of 0.3Nm and altered their courses to be parallel with the vessel. After half an hour the skiffs were out of sight and vessel continued her route. Vessel and crew reported safe. Navy hands over three suspected rice smugglers to Customs in Calabar The Nigerian Navy Ship, NNS, Victory has arrested and handed over three suspected rice smugglers to the Area Command of the Nigeria Customs Service ,NCS ,of Cross River and Akwa Ibom, Vanguard reported on Sept. 20th. The men were caught with 1209 smuggled bags of par-boiled rice at Fairway bouy. Rice smuggling is an ongoing issue for Nigeria. . Multinational Maritime Coordinating Centre claims success Ghana media reports that the Multinational Maritime Coordinating Centre (MMCC) has reportedly successfully deterred a number of potential pirate attacks. The acting Director, Commander Yussif Benning, said that in at least 16 cases, pirate attacks had been prevented and vessels warned of the potential threat to security. Commander Benning added that ransoms paid to pirates in the region ranged from $50,000 to $150,000 and sometimes more. "This is a worrying trend that can only be resolved through increased information exchange and coordination between vessels and reporting and response agencies in the Gulf of Guinea Region", he said. New patrol boats for Ghana Navy Defence Web reported on Sept. 16th that Ghana had agreed a deal with US company, SAFE Boats, to supply two Defender Niger Delta amnesty programme called a sham In the last week, several prominent ex-militants and community leaders have called the Presidential Amnesty Programme a sham, Nigerian media reports. Aimed at rehabilitating former militants and offering them traing and financial support to reenter society, the scheme has reportedly been subject to fraud and criticism. Reuters reported on Sept. 16th that projects have stalled in some cases as people in positions of power have demanded financial kickbacks. The amnesty is one of the few ways the government has to prevent further violence by militants in the Niger Delta. For further information and to see MAST Services in the region, please click here. Gulf of Guinea Piracy & Maritime Crime Figures: 2021: Incidents reported: 41 (MDAT-GoG/Others) Crew kidnapped: 46 (IMB, MDAT) Vessels hijacked: 1 (MDAT-GoG) 2020: Incidents reported: 132 (MDAT-GoG) Crew Kidnapped: 130 (IMB) Vessels Hijacked: 3 (IMB) 2019: Incidents reported: 111 (MDAT-GoG) Crew kidnapped: 121 (IMB) Vessels hijacked: 4 (IMB) MAST UK: +44 (0)1279 216 726 Indian Ocean Region From a new rail and road link that gives China overland access for the first time to the Indian Ocean via Myanmar to infrastructure projects in Sri Lanka's east and north, concerns are running high in India as its rival, China, edges closer to its coast, analysts have told VOA. While India has long confronted China along their rugged Himalayan borders, the maritime challenge is also growing as relations with its Asian neighbor have worsened. Beijing, which has not condemned the army coup in Myanmar, is pressing ahead with bilateral projects that include a deep seaport in Myanmar's Kyaukpyu along the Bay of Bengal, VOA wrote on Sept. 16th. Incidents: 1. Master of underway MV reported approach by two suspicious boats at 1410 UTC in position 13:08.44N - 043:06.52E approx 13nm West of Mokah. Boats w/ nine POB. Embarked AST showed weapons resulting in the boats departing the vicinity. Vessel and crew reported Safe. Reported (UKMTO) 18 Sept. With Eye on Iran, Israeli Navy Steps Up Red Sea Presence with the Pakistan military attending for the first time in over a decade. Representatives of the country's army, air force and navy took part, along with 20 other countries, Pakistan media reported on Sept. 19th. The exercise was aimed at enhancing the capability to counter regional hybrid threats, strengthen regional stability by fostering combined force interoperability, joint force integration and enhance maritime security operations. Israel's recently retired naval commander, Vice Adm. Eli Sharvit, told media that the country had increased its activities in the Red Sea "exponentially" in the wake of an increased threat from Iran, Associated Press reported on Sept. 16th. Sharvit's area of responsibility centred on the maritime security of Israel's Mediterranean and Red Sea coasts and he described Iran's activities as a top Israeli concern, Associated Press said. Sri Lanka Navy seizes smuggled turmeric As part of their ongoing drive against smuggling and other maritime crimes, the Sri Lanka Navy has apprehended four local suspects and a cargo of 3704kg of smuggled turmeric, Columbo Page reported on Sept. 19th. In a further incident, Sri Lanka Navy intercepted an Indian dhow believed to have been used for smuggling. A search led to the discovery of 2100kg of smuggled turmeric. It was taken in to custody along with the 10 crew members on board. In a separate operation, SLNS Gajaba of the North Central Naval Command, overnight on 17th Sept. in the lagoon area of South Bar, spotted a suspicious dinghy. Upon a search of the dinghy, the Navy managed to seize about 866kg and 200g of dried turmeric in 20 sacks, and a further four suspects. Bright Star 2021 exercise concludes in Egypt The multinational Bright Star exercise has concluded in Egypt, 1 Hijack Kidnap Approach/Attack Suspicious Activity Theft Indian Coast Guard Seizes Sea Cucumber Worth Rs 8 Crore In Mandapam The Indian Coast Guard in Tamil Nadu has seized two tonnes of sea cucumber cargo, valued locally at Rs 8 crores. The incident took place on Sunday 19th, after a patrol noticed a boat behaving suspiciously near Pamban. Sea cucumbers are a popular delicacy in South East Asia, but the animal is considered an endangered species in India. IFAN to update ME Gulf DGPS in safe navigation initiative In a positive move for the region, the International Foundation for Aids to Navigation (IFAN), has announced a new investment of over $1 million tom improve safe navigation in the 'Middle East Gulf', ShipInsight reported on Sept. 16th. The money will be used to recapitalise Differential Global Positioning System sites as well as maintaining Aids to Navigation. To see MAST's services in the Indian Ocean Region, please click here. Somalia Somalia's President Mohamed Abdullahi Farmajo has cut some of the prime minister's powers as a bitter rift between the two men intensif es. He accused Mohamed Hussein Roble of "taking reckless steps that could lead to a political and security crisis". But Mr Roble said he would not abide by the order, calling it unconstitutional. The dispute, fuelled by the mysterious disappearance of a female spy, raises fears of armed conflict on the streets of the capital between rival forces, BBC News reported. UK expresses concern at political situation in Somalia Vicky Ford, Minister for Africa, has issued a statement about the escalating political crisis in Somalia: "The UK is deeply concerned by the escalation of the current political crisis in Somalia. The situation threatens to undermine the credibility of Somalia's leadership and risks the safety and future of the Somali people. It is vital that Somalia's leaders refrain from unilateral actions that could deepen political tensions, including any further public statements and personnel announcements which could increase the risk of violence." Malaysia Confirms Citizen Arrested in Somalia on Suspicion of Joining Al Shabaab Militants Media in Malaysia on Sept. 20th reported that one of the country's citizens had been arrested in Somalia on suspicion of working with Al Shabaab. The man was named as Ahmad Mustakim Abdul Hamid and had allegedly been a member of the terror group for nine years. Although it is the first known case of a Malaysian joining the group, Al Shabaab members have tried to study in Malaysia, with several arrested in 2014. 5 people injured in landmine blast in central Somalia airport Xinhau reported on Sept. 19th that at least five people had been injured and one reported dead after an explosion near Bulaburte airport in the Hiran region of the country on Sunday. It is believed that Al Shabaab terrorists entered the airport on Saturday night and planted explosives which later detonated. A section of the airport, due to be opened soon, had been de- Control of Somali territory (Jan 2021) Source: Wikimedia Commons Under control of Al Shabaab and allies Under control of neutral forces Under control of Government and allies Somaliland Government Territory disputed by Puntland and Somaliland MAST UK: +44 (0)1279 216 726 stroyed by the blast, according to the District Commissioner. The airport is around 5km away from several Somali and AU army bases. Somalia accuses Djibouti of detaining its security official The President of Somalia has accused Djibouti of detaining his national security advisor, MENA FN reported on Sept. 17th. But Djibouti's Foreign Minister Mahmoud Ali Youssouf denied the allegations, tweeting:"There are fake news released in social media trying to create confusion and drag Djibouti into Somalia('s) internal challenges and crisis." He said a Turkish Airlines flight to Mogadishu did not take off from Djibouti due to what the company described as"technical problems", adding that one of the pilots was not authorised to land in the Somali capital, which meant all passengers would have to return to Istanbul, MENAFN stated. Tension in capital as troops and police clash Clashes between members of the Somali National Army and Haramcad police officers in Mogadishu on Thursday 16th, amid ongoing political upheaval in the country. Shots were reportedly fired during the clash, leaving eight people critically injured, and at least 10 wounded, including five civilians. The reason for the clash was blamed on a land dispute, Garowe Online reported, although it was unable to discover why this would spark a gunfight. However, the incident again highlights the tension in the country. Analysis On 8th February 2021, the Council of Presidential Candidates announced that they no longer recognise Mohamed as the President of Somalia since his constitutional term in office expired on 8th February without any agreement on the path toward elections to replace him. James Swan, the Special Representative and Head of the UN Assistance Mission in Somalia, confirmed that the electoral implementation tensions had been compounded by questions over the legitimacy of Mohamed's mandate following the expiry of his constitutional term in office, and that the growing political tensions threatened Somalia's State-building progress and even security. He encouraged Somalia's political leaders to "pull back from confrontation and avoid risky winner-take-all tactics". Over the past 6 weeks there have been numerous attacks against politicians, including former high ranking ministers and leaders, and attacks on journalists in Somalia. Specifically, Amnesty International has called on the Somali authorities to bring an end to the arbitrary arrest and persecution of journalists in Puntland. Given the blatant disregard for the constitution by the current President, Somalia's political future as a nation state remains uncertain. Indeed, regional fragmentation may once again be on the cards, and this can only be to the benefit of Al Shabaab terrorists as well as criminal organisations who may be interested at some point in a return to piracy in the Indian Ocean. Threat Assessment There is a risk that complacency in some quarters has seen a reduction in PMSC presence in these waters that could result in a piracy success. A lack of adherence to BMP5 protocol, particularly not maintaining a safe distance off the coast, has increased risks to shipping. Merchant vessels would be wise to maintain the same distance from the coast, particularly ensuring that the Socotra Gap isn't taken. All vessels are advised to update risk assessments and register with UKMTO/MSCHOA prior to entering the Indian Ocean High Risk Area (HRA). Yemen Regional media report that two Houthi 'booby-trapped boats' were destroyed in the Red Sea this week. Coalition forces intercepted the vessels near the coastal area of As-Salif, in Hodeidah Governate, and they were neutralised. The UAE has condemned the attempt by Houthis to disrupt shipping in the region. While the Houthis have used SVBIEDs in the past, this is the first reported incident in some months. Houths execute nine men amid international outcry Al Jazeera reported on Sept. 18th that Houthi rebels had executed nine men convicted of being involved in the killing of Saleh al-Sammad, the Houthi's top civilian leader, who died in an air strike conducted by Saudi coalition forces in Hodeidah in 2018. The pro-rebel Saba news agency said on Saturday the nine were shot by a firing squad at a square in the Yemen capital. They were among 17 people convicted of involvement in his killing by a Houthi court, Al Jazeera reported. Protests in Taiz over currency crisis Middle East Monitor reported on Sept. 19th that locals staged a protest in Taiz to express ongoing frustration at the plunge in local currency values. This has led to an increase in prices and shop closures, MEM reported. Protesters blamed Houthi rebels, the Southern Transitional Council and the Yemen government for the situation, and protesters called for urgent government intervention to stop the currency's collapse and to provide oil derivatives and basic materials. At Least 50 Killed in Yemen Clashes Defence Post reported on on Sept. 16th that at least 50 Houthis and pro-government troops had been killed in fighting in AlBayda last week. "A colonel and 19 other loyalists were killed in the past 24 hours in fighting with the Houthi insurgents in Al-Bayda ditrict," a government military official said. He added that some 30 Houthi rebels had been killed during the operation. The Houthi leadership rarely mentions its casualty figures. Saudi forces prevent drone attack on Jizan Reuters reported on Sept. 17th that Saudi forces had intercepted four explosive-laded drones deployed by Houthi forces and intended to disrupt Aramco oil facilities in Jizan. A rocket was also destroyed during the attempted attack, OilPrice wrote. Houthi rebels have repeatedly targeted Saudi oil infrastructure in recent months. Yemen asks GCC to support deteriorating economy Middle East Monitor reported on Sept. 17th that Ahmed Awad Bin Mubarak, Yemen's Foreign Minister, had called on the Gulf Control of Yemen territory (September 2020) Source: Wikimedia Commons Houthi Pro Hadi Government Forces Al-Qaeda in the Arabian Peninsula (AQAP) Controlled by Southern Transitional Council MAST UK: +44 (0)1279 216 726 email@example.com www.mast-security.com 7 Cooperation Council (GCC) to provide economic support to the country and assist with its economy. "We are suffering from an economic catastrophe and a deterioration in the economic and social development indicators in Yemen," the minister said at the 149th Ministerial Council session of the GCC held in the Saudi capital Riyadh, MEM reported. Yemen health system faces collapse as funding declines A report from the World Bank suggests that due to a lack of external funding, years of conflict leading to institutional collapse, the Yemen health system is at serious risk of collapse. External financing for health peaked at $605 million in 2018. It then fell to $370 million the next year and has continued its precipitous fall, Devex.com reported on Sept. 17th. Yemen president renews support to UN-led effort to end war in Yemen In his first meeting with new UN Special Envoy to Yemen, Hans Grundberg, Yemen President, Adeb Rabbo Mansour Hadi, reiterated his government's support to the UN-brokered peace efforts. Hadi urged the international community to put an end to threats to maritme safety and navigation in the Red Sea posed by the Houthis, Arab News reported on Sept. 16th, citing the placement of naval mines by the rebel group. The president also urged Houthis to cease the shelling of vital civilian facilities such as Mocha port and their resistance to maintaining the floating oil tanker SAFER. MAST recommends BMP measures be enforced and watches strengthened during transits in the region. South East Asia Amid the political fallout caused by last week's nuclear submarine deal between Australia, the US and UK, China has reportedly refused permission for a German frigate to make a port call at Shanghai. The South China Morning Post reported on Sept. 17th that the FGS Bayern, on a six-month deployment to the region, had been refused entry but that it was unlikely to damage German-China relations in the long term. Incidents: 1. Cyprus-flagged bulk carrier boarded by five robbers armed with guns and knives at 0245 LT in position 01:17.2N - 104:19.9E, approx 5.8nm North of Tanjung Pergam, Bintan Island, Indonesia (Eastbound TSS). Robbers sighted in vicinity of the engine room. Alarm raised and search conducted with no confrontation between crew and robbers. Master reported incident to local authorities. Nothing reported stolen. Robbers escaped. Reported (ReCAAP) 18 Sept. 2. Underway Singapore-flagged bulk carrier boarded by three robbers at 2250 LT in position 01:16.92N - 104:19E, approx 6nm off Tanjung Pergam, Bintan Island, Indonesia (Eastbound TSS). Second and fourth engineers spotted the robbers in the boiler area adjacent the steering gear room exit door. On being discovered, the robbers fled towards the poop deck. Alarm raised, crew mustered, deck lights switched on and search conducted. Master reported incident to authorities. Crew safe and nothing stolen. Reported (ReCAAP) 17 Sept. 3. Four robbers armed with knives boarded Singapore-flagged product tanker underway at 2015 UTC in position 01:15.42N – 103:23.94E, around 3nm SSW of Pulau Kukup, Johor, Malaysia. Duty oiler saw the robbers trying to enter the engine room, and raised the alarm. All deck lights switched on, PA announcement made, and crew mustered. Seeing the crew alertness, the robbers escaped in their boat with two accomplices. VTIS informed. A search was made throughout the tanker. Nothing reported stolen. Reported (IMB) 12 Sept. Indonesia adds patrols after detecting ships in South China Sea Al Jazeera reported on Sept. 17th that the Indonesian Navy had deployed five vessels and a maritime patrol aircraft to the Natuna Sea, after Chinese and US Navy vessels were sighted nearby. Although the vessels 'had not caused any disturbance', the Navy had responded. Indonesian Navy western fleet commander Arsyad Abdullah told Al Jazeera that "The Navy's position on the North Natuna Sea is very firm in protecting national interests within the Indonesian jurisdiction in accordance with national law and international law that have been ratified so that there is no tolerance for any violations in the North Natuna Sea." Thai navy intercepts fishing boat turned illegal fuel tanker The Royal Thai Navy has seized a fishing boat being used as an illegal tanker in an operation on Sept. 15th. The modified boat was transporting some 50,000 litres of untaxed diesel when it was stopped off Rayong, the Pattaya Mail reported. Five crew were arrested in the operation. Suspected ASG financier killed in Sulu shootout The Philippine News Agency reported on Sept. 17th that one of the country's most wanted terrorists had been killed in a gunfight with government forces in Sulu on Friday. Aldasir Makumbong, also known as Alsimar Mangumah, was believed to be one of Abu Sayyaf's top financiers and died of wounds received during the shoot-out with security forces sent to arrest him. MMEA foils drug smuggling attempt in Kota Tinggi waters The Malay Mail reported on Sept. 17th that the MMEA had prevented an attempt to smuggle what was believed to be crystal methamphetamine from the country, by sea, in an operation in the waters of Tanjung Setapa last Wednesday. The MMEA noticed two fibreglass vessels acting suspiciously and deployed a patrol boat to investigate. Seeing the approach, the smugglers abandoned one boat and fled in the other, which escaped into Indonesian waters. Some six kilos of meth were recovered from the abandoned boat. MAST UK: +44 (0)1279 216 726 ITV News reported on Saturday 18th that at least 655 migrants had crossed the English Channel that week, a slight drop on the previous week. Border Force vessels had been in action throughout the week, intercepting migrant boats just of Dover. Dan O'Mahoney, Clandestine Channel Threat Commander, said earlier this week: "This unacceptable rise in dangerous crossings is being driven by criminal gangs and a surge in illegal migration across Europe. We're determined to target the criminals at every level, so far, we have secured nearly 300 arrests, 65 convictions and prevented more than 10,000 migrant attempts," ITV News reported. European Waters f 134 illegal migrants rescued off Libyan coast: UN refugee agency Moroccan families demand safe return of detained migrants UNHCR reported that 134 migrants had been rescued by Libyan naval and Coast Guard vessels on Monday 20th. "Last night, 134 persons were disembarked at Azzawiya Oil Refinery after being rescued or intercepted at sea," tweeted the UN refugee agency, saying that the agency and the International Rescue Committee were present at the disembarkation to provide urgent assistance to survivors, Xinhau reported. More than 185 migrants rescued, calls for EU to prevent Mediterranean deaths InfoMigrants reported on Sept. 20th that NGO rescue vessels had saved some 185 migrants in the Mediterranean. Nearly 130 people, including several children, were rescued from the Mediterranean at the weekend by the Ocean Viking, a former cargo vessel. The ship, operated by the charity SOS Mediterrannee, carried out four separate rescue operations on September 18 and 19, taking a total of 129 migrants on board, the website said. Human rights campaigners have demanded action from the EU to stop migrant deaths in the Mediterranean. On Saturday several thousand people joined a demonstration forming a 'human chain' – holding a colored ribbon instead of hands – which was meant to stretch from the North Sea to Italy, InfoMigrants said. Hundreds of Moroccan nationals are being held in inhumane conditions in Libyan detention centers, a human rights group reports. The families are urging the Moroccan government to intervene, InfoMigrants reported on Monday 20th. The migrants are being held in detention centres in the West of Libya, according to a NGO. The migrants are being kept in "difficult humanitarian conditions," without adequate food or clean drinking water, the Euro-Mediterranean Human Rights Monitor said in a statement last week. Spain rescues six boats off the Canaries A report in Majorca Daily Bulletin on Sept. 16th said that rescuers had rushed to save an unspecified number of migrants in six boats off the Canary Islands and Tenerife last Wednesday (15th). On Tuesday last week, some 355 people in 11 boats arrived in Lanzarote and Gran Canaria, placing further strain on Spain's migrant rescources. Data from the Spanish government shows that over 9,000 migrants have arrived by sea in the Canaries archipelago by the end of August, more than double the figure for 2020. Spanish authorities expect the number of crossings to increase in the coming weeks, as people smugglers attempt to move as many people as possible before weather changes and sea states worsen. Greece opens new migrant holding camp on island amid tougher policy Reuters reported on Sept. 19th that Greece has opened a new migrant holding centre on the island of Samos, near Turkey. While the prison-like appearance of the centre has been criticised by aid groups, Greece says that the camp will hopefully return dignity to those who stay there. Around 450 people are expected to occupy the new camp. French coastguard rescues 91 migrants amid surge in Channel crossings The National News wrote on Sept. 16th that French authorities had intercepted and rescued 91 migrants who got into difficulties as they attempted to cross the English Channel to reach the UK on Wednesday 15th. Two lifeboats, a French Coast Guard cruiser and a tug were involved in the rescue mission to save migrants in four vessels, the newspaper wote. The occupants were from Afghanistan, Iraq and Iran and the incident occurred off Boulogne and Dunkirk. The migrants were escorted to Calais for processing. More than 400 people cross Channel in three days More than 400 migrants have crossed the English Channel in three days, the Home Office has confirmed. On Wednesday 15th, 85 people made the crossing, followed by 222 on Thursday and 174 on Friday. The French authorities stopped 267 people from making the crossing in nine boats over the same period, a Home Office spokesman said. More than 15,100 people have reached the UK in small boats this year. About 8,400 people made the crossing in 2020, four times greater than 2019, BBC News reported. MAST UK: +44 (0)1279 216 726 The current migrant smuggling situation According to the latest UNHCR figures, over 6500 migrants have made the Mediterranean crossing so far in September, suggesting figures could well get close to August's year high. Fortunately, there have been no casualty reports in the last week. The English Channel remains a significant migrant crossing hot spot, with large numbers making the crossing yet again in the past week. With diplomatic relations between the UK and France still strained, it will be interesting to see how the two nations respond to the continuing crisis in the coming weeks. Libya Forces loyal to LNA leader, Khalifa Haftar, have been involved in heavy fighting with former allies from Chad, the Arab Weekly reported on Sept. 17th. Chadian rebels who took shelter in southern Libya reportedly clashed with LNA forces who had launched an operation against them in the towns of Tamsah and Tarbo, close to the border with Chad. There are concerns that the fighting could further destabilise the Sahel, Arab Weekly reported. Reuters additionally reported that Haftar's forces had reported the loss of two helicopters in a crash in the region on Sunday. France to hold summit on Libya Egypt's Sisi meets with Dbeibah, pushes for elections in Libya France 24 reported on Tuesday 21st that France will hold an international conference on Libya on November 12th, just a month before Libya's planned elections. France, like many allies and countries in the region, is calling for the elections to be held as planned and for foreign mercenaries to leave Libya. Meanwhile, the Tripoli-based High Council of State has called for the election to be postponed for at least a year, owing to a lack of concensus on the electoral law. Sudanese authorities confiscate a shipment of weapons smuggled from Libya In an interesting twist to news on Sept. 21st that Sudan had prevented a coup, on Sept. 18th, it was reported that a shipment of weapons smuggled from Libya had been seized by the country. Sudanese Rapid Support Forces (RSF) announced that they had foiled an attempt to smuggle a shipment of weapons and explosives and arrested four individuals, amongst them foreigners, from a gang involved in illegal arms trade with Libya, the Libya Observer reported. Libya-Tunisia border reopens after Covid closure After a mild diplomatic spat about the reasoning behind its closure, the border between Libya and Tunisia has re-opened, France 24 reported on Sept. 17th. On the Libyan side, more than a hundred empty cargo trucks were waiting to cross and load up with Tunisian imports, particularly food. Tunisian products have been largely absent from Libyan shelves since the border was closed. The border was closed on July 8th following an increase in cases of Covid-19. Russia blocking UN's mission in Libya, diplomats say Arab Weekly reported on Sept. 16th that President al-Sisi of Egypt had met with Libya's interim prime minister Abdulhamid Dbeibah for talks. The meeting came just days after alSisi met with Khalifa Haftar, who is currently doing his best to ensure he can run in the presidential elections in Libya. Sisi "stressed the importance of the upcoming Libyan elections in respecting and activating the free will of the … Libyan people," a presidency statement said. The trip also saw agreement on a number of cooperation agreements between Egypt and Libya, Rueters also reported. Libya's NOC says Es Sider and Ras Lanuf oil blockades have ended Reuters reported on Sept. 16th that the blockades at two key export terminals in Libya had finally ended, after significant disruption to NOC output. NOC told Reuters that operations at both terminals had now returned to normal, in news that will be welcomed by the country's economy, which relies heavily on oil revenue. In other news, the NOC has opened a new office in London, according to a report by Bloomberg on Sept. 21st. Libya receives new shipment of AZ Covid-19 vaccines The World Health Organisation reported on Wednesday 15th that Libya had taken delivery of 117,600 doses of the AstraZeneca Covid-19 vaccine from Italy. "Today, the Government of Italy provided Libya with a shipment of AstraZeneca COVID-19 vaccines shipped to Mitiga Airport in Tripoli in cooperation with the COVAX Facility," WHO tweeted. Although reported cases of the virus in Libya have fallen, the country recently launched a huge vaccine drive for anyone over the age of 18. Middle East Monitor reported on Sept. 17th that the UN's political mission to Libya was being blocked by Russia, which threatened unity in the country ahead of December's planned elections. Russia vetoed a UN resolution drafted by the UK, on the removal of foreign troops from the country. Apparently, Russia was unhappy with the way the resolution was worded, MEM reported. To read MAST's Libyan Country report on MASTOPEDIA, please click here. Control of Northern Libyan territory (June 2020) Source: Wikimedia Commons Controlled by the Tobruk led government Controlled by the Government of National Accord Controlled by ISIS Controlled by local forces Controlled by Tuareg forces MAST UK: +44 (0)1279 216 726 Central and South America Nothing significant to report. Incidents: 1. Duty crew onboard anchored Liberia-flagged product tanker noticed around four robbers armed with knives on the forecastle deck at 0025 UTC in position 11:59.90S - 077:11.90W, Callao Anchorage, Peru. Alarm raised and crew mustered. Upon hearing the alarm and seeing the crew alertness, the robbers escaped with stolen ship's stores. TRAMAR port control was informed, and a coast guard patrol boat searched the waters around the tanker. Reported (IMB) 15 Sept. (Not shown on chart). 2. Unnoticed, robbers boarded anchored Antigua and Barbuda-flagged container ship and escaped with stolen ship's stores. The theft was noticed by the duty crew during routine rounds at 1200 UTC in position 12:01.23S – 077:11.02W, Callao Anchorage, Peru. Reported (IMB) 13 Sept. (Not shown on chart). Standing advice: The repercussions of a vessel being caught acting as a mule with drugs stowed will depend on the type, amount and national laws, but may be disruptive and costly. When and if operating in these areas, especially Columbia and Peru, it is advised that: Hijack Kidnap Approach/Attack Suspicious Activity Theft MAST UK: +44 (0)1279 216 726 firstname.lastname@example.org www.mast-security.com 11 * Potential stowage areas such as rudder shafts are denied as far as possible, and/or routinely searched. * Access points are closely monitored by a vigilant watch for the duration of the vessel's call at port. Severe Weather Warnings Warnings detailed on this page are from the World Meteorological Organisation (WMO) and are issued by respective Regional Specialised Metrological Centres, Tropical Cyclone Centres or National Meteorological Services. For further information on severe weather warnings please click here. Nothing significant to report. Note: The forecasts are correct as of the day before publication. For latest updates please follow the provided links. MAST UK: +44 (0)1279 216 726
ACQUISITION OF DIRECTIONAL KNOWLEDGE IN VIRTUAL ENVIRONMENTS CREATED BY PANORAMIC VIDEOS by Arefe Dalvandi Bachelor of Engineering in Information Technology, Sharif University, 2007 THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF SCIENCE In the School of Interactive Arts and Technology © Arefe Dalvandi 2010 SIMON FRASER UNIVERSITY Spring 2011 All rights reserved. However, in accordance with the Copyright Act of Canada, this work may be reproduced, without authorization, under the conditions for Fair Dealing. Therefore, limited reproduction of this work for the purposes of private study, research, criticism, review and news reporting is likely to be in accordance with the law, particularly if cited appropriately. Name: Arefe Dalvandi Degree: Master of Science Title of Thesis: Acquisition of Directional Knowledge in Virtual Environments Created by Panoramic Videos Examining Committee: Chair: Dr. Marek Hatala Associate Professor, School of Interactive Arts & Technology Dr. Tom Calvert Senior Supervisor Professor Emeritus, School of Interactive Arts and Technology Dr. Bernhard Riecke Co-Supervisor Assistant Professor, School of Interactive Arts and Technology Dr. Brian Fisher External Examiner Associate Professor, School of Interactive Arts and Technology Date Defended/Approved: ____________________________ iii This thesis documents the creation and analysis of virtual environments generated using panoramic video. The proposed virtual environments offer greater visual realism, but are expensive and time consuming to produce. Consequently, experiments were needed to assess how efficiently they support directional tasks or sense of presence. In this study, participants’ ability to locate specific places in the environment and their subjective sense of presence were compared across three conditions: panoramic video, regular video and slide show. Participants reported a stronger sense of presence in the panoramic video condition, although none of the techniques demonstrated a greater efficiency in providing directional knowledge. Thus, it does not appear that the costs of creating panoramic video are warranted, especially for those applications involving only the sequential learning of specific landmark locations. However, the current experimental design was found not revealing differences between the three different locomotion techniques, as the tasks were too difficult for participants. Keywords: Directional knowledge; Navigation; Panoramic Video; Photo-realistic Techniques; Pointing Test; Virtual Environment. ACKNOWLEDGEMENTS First and foremost I offer my sincerest gratitude to my supervisor, Dr. Tom Calvert, who has supported me in every possible way throughout my thesis with his patience and knowledge, whilst allowing me the room to work in my own way. He has been my inspiration, as I hurdled all the obstacles in the completion of this research work. One simply could not wish for a better or friendlier supervisor. This thesis would have not been possible without the encouragement and support of my family, friends, and loved ones, especially Parjad Sharifi who performed the hard work of capturing all the video materials for this research. I am grateful to Bernhard Riecke for introducing me to the field of navigation and wayfinding. I also appreciate the guidance of Dr. Tom Loughin, and Dr. Brian Fisher in the statistical analysis of this study. Finally, I would like to thank Gordon Pritchard and other staff of SIAT graduate laboratory who constantly aided me in preparing and running the computing and video capturing equipment. # TABLE OF CONTENTS Approval .................................................................................................................. ii Abstract ................................................................................................................ iv Acknowledgements ............................................................................................... v Table of Contents ................................................................................................... vi 1: Introduction ........................................................................................................ 1 1.1 Problem ........................................................................................................ 1 1.2 Applications ................................................................................................ 5 1.3 Thesis Outline .............................................................................................. 6 2: Background on using panoramic Imagery in Virtual Environments ............ 7 2.1 Overview ....................................................................................................... 7 2.1.1 Panoramic Imagery ............................................................................. 8 2.1.2 Techniques for Capturing Panoramic Images .................................. 9 2.1.3 Panorama Stitching Methods ............................................................ 11 2.2 Previous Works with Panoramic Still Images ............................................. 11 2.3 Previous Works with Panoramic Video ...................................................... 13 2.4 Evaluation of Photo-realistic Virtual Environments ............................... 17 2.5 Research Motivations and the Proposed Technique ................................ 20 2.5.1 Motivation .......................................................................................... 20 2.5.2 Proposed System .............................................................................. 21 2.5.3 Problem .............................................................................................. 25 3: Background on Navigation and Presence in Virtual Environemtns ............. 28 3.1 Overview ....................................................................................................... 28 3.2 A Review of Navigation Research ............................................................. 29 3.2.1 Definitions and Theories ................................................................. 29 3.2.2 Navigation Performance ................................................................. 31 3.2.3 Measuring Navigation Performance ............................................... 34 3.3 A Review of Sense of Presence in Virtual Environments ......................... 37 3.3.1 Definitions of Presence ................................................................. 37 3.3.2 Factor Affecting Sense of Presence in Virtual Environments .......... 39 3.3.3 Measuring Presence ........................................................................ 41 3.4 Research Motivations and the Proposed Experiment ............................. 45 4: Research Methods .......................................................................................... 50 4.1 Overview ....................................................................................................... 50 4.2 Research Question ...................................................................................... 50 4.3 Discussion and Rationales ......................................................................... 55 4.4 Hypotheses .................................................................................................. 61 4.5 Variables .................................................................................................................. 62 4.6 Experimental Method ............................................................................................ 63 4.6.1 Participants ..................................................................................................... 63 4.6.2 Experimental Materials and Settings .............................................................. 64 4.6.3 Experimental Design ....................................................................................... 68 4.6.3 Experimental Procedure ................................................................................... 71 4.6.4 Statistical Analysis Design .............................................................................. 73 5: Results: Analysis of the behavioural data ................................................................. 75 5.1 Overview .................................................................................................................. 75 5.2 Inferential Analysis .................................................................................................. 81 5.2.1 Absolute Ego-orientation Error ...................................................................... 81 5.2.2 Configuration Error .......................................................................................... 82 5.2.3 Absolute Pointing Error .................................................................................. 83 5.2.4 Pointing Time .................................................................................................. 85 5.2.5 Recollection Error ............................................................................................ 86 5.2.6 Recollection Time ............................................................................................ 86 5.3 Gender Differences .................................................................................................. 87 5.4 Summary .................................................................................................................. 89 6: Results: Analysis of the interspective data ................................................................. 90 6.1 Overview .................................................................................................................. 90 6.2 Subjective Sense of Presence .................................................................................. 90 6.3 Difficulty of the Pointing Task ................................................................................ 91 6.4 Participants’ Qualitative Assessments ..................................................................... 93 6.4.1 How Participants Solved the Task ................................................................. 93 6.4.2 What Participants thought of the Chair-based Interface ............................... 94 6.4.3 What Was Difficult About the Task and Why ............................................... 94 6.4.4 What to Change .............................................................................................. 96 6.5 Summary .................................................................................................................. 97 7: Discussion .................................................................................................................. 98 7.1 Overview .................................................................................................................. 98 7.2 Limitations of the Study .......................................................................................... 99 7.3 Reliability ................................................................................................................ 103 7.4 Discussion .............................................................................................................. 104 7.4.1 Participants Recollection Performance .......................................................... 104 7.4.2 Participants General Performance in the Pointing Task ................................ 105 7.4.3 Comparison of Participants’ Pointing Performance from Different Pointing Locations .......................................................... 106 7.4.4 Comparison of Participants’ Pointing Performance with Different Locomotion Techniques .................................................. 108 7.4.5 Gender Difference in Pointing Performance .................................................. 111 7.5 Future Work ............................................................................................................ 112 7.5.1 Problems with the Current Experimental Design .......................................... 112 7.5.2 A Possible Follow-on Study Design ............................................................... 115 7.5.3 More Possible Future Studies ......................................................................... 120 8: Conclusions .................................................................................................................. 121 Appendices ..................................................................................................................... 123 Appendix A: General Post-questionnaire ................................................................. 123 Appendix B: Sense of Presence Questionnaire ....................................................... 125 Appendix C: Participants’ Demographic Description .............................................. 126 Appendix D: Tables for Descriptive Statistics of Behavioural Data ....................... 128 Appendix E: Tables for Inferential Analysis of Behavioural Data ........................... 130 Appendix F: Tables for Inferential Analysis of Behavioral Data for the First Pointing Location ................................................................. 134 Appendix G: Tables for Inferential Analysis of The Introspective Data ................. 136 Reference List .................................................................................................................. 137 LIST OF FIGURES Figure 1: Panoramic video capturing system. It includes 8 cameras mounted on a trolley which carries a PC and batteries for powering the cameras and the PC. ........................................................................................................... 23 Figure 2: Interactive chair interface for supporting body-based rotations in the panoramic video. The chair is a regular office chair which is modified by attaching an optical mouse to its rotating pivot. The mouse detects user’s rotations in 360 degrees and the display system displays the corresponding part of the panoramic view. ............................................................................. 25 Figure 3: Map of the first route captured. Numbers indicate intersection at which turns happened. Intersections 1, 3 and 6 were set as the first, second and third pointing locations respectively. .............................................................................. 65 Figure 4: Map of the second route captured. Numbers indicate intersection at which turns happened. Intersections 1, 3 and 6 were set as the first, second and third pointing locations respectively. .............................................................................. 65 Figure 5: Map of the third route captured. Numbers indicate intersections at which turns happened. Intersections 1, 3 and 6 were set as the first, second and third pointing locations respectively. .............................................................................. 66 Figure 6: The immersive platform for running the experiments in the SIAT Virtual Reality lab. It contains the interactive chair in a dark space disconnected from the outside distractions by black drapes. .................................................. 68 Figure 7: Pointing test interface. The background image is a panorama of the pointing location and the thumbnail in the middle of the screen show the target location to point to. ................................................................................................. 71 Figure 8: Comparisons of locomotion techniques regarding the mean pointing errors and pointing times in every trial. .................................................................................... 77 Figure 9: Comparisons of locomotion techniques regarding the mean recollection error and recollection time in every trial. ................................................................. 78 Figure 10: Comparisons of pointing locations regarding the mean pointing errors and pointing time in every trial of every locomotion technique. ............................... 79 Figure 11: Comparisons of locomotion techniques regarding the mean pointing errors and pointing time at every pointing location in every trial. ............................... 80 Figure 12: Comparisons of males and females performance regarding pointing errors for every locomotion technique and trial. ................................................................. 88 Figure 13: Comparisons of locomotion techniques regarding mean participants’ subjective sense of presence ........................................................................................................ 91 Figure 14: Comparisons of locomotion techniques regarding the average difficulty of tasks reported by participants................................................................. 93 \| Table \| Description \| Page \| \|-------\|-----------------------------------------------------------------------------\|------\| \| 1 \| Three virtual tour locomotion techniques compared in this study and their characteristics \| 52 \| \| 2 \| List of fixed and random effects in our mixed-model analysis of variance \| 74 \| \| 3 \| Demographics of the study participants \| 126 \| \| 4 \| Descriptive statistics of the absolute ego-orientation errors \| 128 \| \| 5 \| Descriptive statistics of the configuration errors \| 128 \| \| 6 \| Descriptive statistics of the absolute pointing errors \| 128 \| \| 7 \| Descriptive statistics of the pointing times \| 129 \| \| 8 \| Descriptive statistics of the recollection errors \| 129 \| \| 9 \| Descriptive statistics of the recollection times \| 129 \| \| 10 \| Tests of fixed effects on the absolute ego-orientation errors using mixed-model analysis \| 130 \| \| 11 \| Pairwise comparisons of pointing locations regarding the mean absolute ego-orientation error, using Tukey's HSD criterion \| 130 \| \| 12 \| Tests of fixed effects on the configuration errors using mixed-model analysis \| 130 \| \| 13 \| Pairwise comparisons of pointing locations regarding the mean configuration error, using Tukey's HSD criterion \| 131 \| \| 14 \| Tests of fixed effects on the absolute pointing errors using mixed-model analysis \| 131 \| \| 15 \| Pairwise comparisons of pointing locations regarding the mean absolute pointing error, using Tukey's HSD criterion \| 131 \| \| 16 \| Tests of fixed effects on the pointing times using mixed-model analysis \| 132 \| \| 17 \| Pairwise comparisons of pointing locations regarding the mean pointing time using Tukey's HSD criterion \| 132 \| \| 18 \| Tests of fixed effects on the recollection errors using mixed-model analysis \| 132 \| \| 19 \| Tests of fixed factors on the recollection times using mixed-model analysis \| 133 \| \| 20 \| Tests of fixed effects on the pointing errors and pointing times, for the first pointing location using mixed-model analysis \| 134 \| Table 21: Pairwise comparisons of locomotion techniques regarding the mean absolute ego-orientation error at the first pointing location, using Tukey’s HSD criterion ................................................................. 134 Table 22: Pairwise comparisons of locomotion techniques regarding the mean absolute pointing error at the first pointing location, using Tukey’s HSD criterion ........................................................................................................... 135 Table 23: Pairwise comparisons of locomotion techniques regarding the mean participants’ subjective sense of presence, using Tukey’s HSD criterion .................................................................................................................. 136 Table 24: Pairwise comparisons of locomotion techniques regarding the mean difficulty of tasks, using Tukey’s HSD criterion .................................................................................................................. 136 1: INTRODUCTION 1.1 Problem Every day there is increasing use of virtual reality techniques in applications such as game, virtual worlds, training, simulation and more. Virtual reality (VR) is a collection of hardware and software coordinated to allow a user to communicate with a computer-simulated environment (Steuer, 1992). This computer-simulated environment is a simulation of the real world (e.g., street views) or an imaginary world (e.g., video game worlds) and is called a virtual environment (VE). The most primary way of presenting a virtual reality is to display the virtual environment’s visuals on a computer screen or head-mounted displays. However with more technology involved, such as speakers, gloves, and motion-captures, a greater range of sensation and interactivity can be provided in the virtual reality experience (Brooks, 1999). Conventionally, virtual environments are created by literally building a 3D model of every object in the scene. Using current technologies, 3D modelling techniques can produce reasonably realistic VEs, but creating a realistic VE comprising the objects found in a real scene, for example a street scene, can involve a lot of detailed manual modelling work and requires high speed computers and expensive display systems to support real-time animation of multiple moving objects (Park & Calvert, 2008). In most cases, users only want to interact with a small number of foreground objects. However, the 3D rendering engine has to deal with all the geometrical objects in the scene. This significantly lowers the efficiency and creates a serious need for high-speed computers to keep the response time reasonable. Instead of using a VE with synthetic objects, the environment could also be created with images captured from a real environment. The most important benefit of the image-based approach is that the required amount of work and the complexity of the technique are independent of the amount of detail and complexity that exists in the scene. This approach also provides a photo-realistic view of the environment without requiring special hardware systems. Therefore, it is cost effective and does not need intensive computation compared to 3D modelling techniques (Liu, Sun, Georganas, & Dubois, 2003). Following the advent of the image-based approaches for creating virtual reality, several techniques have emerged for using images and video to facilitate different applications of virtual environments. Applications such as games, virtual tours, training and experimental VEs, have started to benefit from the photo realistic VEs to improve their usefulness and efficiency. Image based techniques basically use still images or video with limited or panoramic fields of view. Usually, sequences of images or videos from a real site are utilized in different ways to form the realistic background scene of a VE or simulate a type of interaction with the VE such as looking around, walking, or flying in it. The area that seems to be receiving the most benefits from image-based methods involves virtual reality created for the purpose of navigation, such as virtual maps, virtual tours, etc. The most popular example of these types of VEs may be Google Street View (Behind The Scene, n.d), which provides sequences of panoramic images from street views and gives users the ability to virtually and interactively navigate in a remote area. Another popular navigation-oriented application of virtual reality is virtual tours, which are designed to provide a sense of orientation in a remote site and create a memory of the scene and marketing targets in it (such as hotels, restaurants, historic sites) for future recall. Such tools can facilitate way-finding tasks for users if they are appropriately designed and implemented. Depending on the way they represent the real world to the user and provide navigation facilities, virtual navigation tools offer a certain level of usefulness. Therefore, these VEs need to be evaluated for their target application. In this research we focus on using photo-realistic VEs for the purpose of navigation. We propose a method for creating a virtual tour of an urban environment using panoramic images and panoramic video. Then, we evaluate our virtual tour with respect to users’ performance in acquisition of some specific types of navigational knowledge. Navigational knowledge is the knowledge required to develop permanent representations of the location and appearance of significant objects in an environment as well as being able to stay oriented with respect to these objects. This knowledge is acquired in the forms of object (landmark) identity, route knowledge, and survey knowledge which are discussed in more detail in Section 3.2. The accuracy of the navigational knowledge obtained from an environment as well as the time required to access this knowledge affects travellers’ performance in wayfinding and orientation in that environment. This performance, usually called “navigation performance”, has been used as the major factor for evaluating the usefulness of navigation-oriented virtual environments. We evaluate the effectiveness of using realistic images and video (panoramic and non-panoramic) in creating virtual tours, by analysing users’ performance in acquiring directional knowledge. We examine and compare this performance in three different situations: a virtual tour implemented with sequences of discrete panoramic images captured at certain distances, a virtual tour implemented by transition videos with limited available field of view, and a virtual tour implemented with panoramic video. After being exposed to these virtual tours and travelling during several learning sessions, users are tested on their abilities to make directional choices. This study aims to discover comparison information about the effectiveness of discrete versus continuous VE travelling techniques in creating a sense of orientation by comparing the image sequence and video simulations of navigation. In addition, the study examines the role of a panoramic view versus a limited view for transition videos in acquiring directional knowledge. 1.2 Applications The results of this study can be applied to different fields of virtual environment navigation, such as navigation in virtual tours, virtual maps (e.g., Google street view), virtual game environments, training using virtual reality (e.g., wayfinding training), and simulators (e.g., driving simulators). These results will help in the design of more efficient VEs in terms of giving a sense of orientation to the users and facilitating the way-finding tasks for them. In cases with VEs that are designed for completing navigation-based tasks in realistic environments, such as some games, the higher the navigation performance, the higher the performance of the main task in the VE (e.g., chasing a target in the game). In addition, for applications such as experimental VEs used to study human behaviour in navigation-involved activities such as studying humans’ fear of crime in urban environments (Park & Calvert, 2008), the more realistic the navigation in the VE, the higher the chances that users’ natural reactions will be provoked and that experiments will provide valid experimental results. However, the main application for the results of our study, is building cost effective virtual tours and virtual navigation tools that are specifically designed for providing navigational knowledge about a remote site in a way that improves users’ performance in way-finding and orientation when they are exposed to the real site. Although panoramic images and video seem to be very powerful and popular tools for building virtual environments, they can be very expensive to produce with high quality. Thus, it is necessary to evaluate the role of panoramic imagery in improving the usefulness of the VE before allocating resources to create it. 1.3 Thesis Outline In this thesis we address the problem of assessing panoramic video-based VEs in regards to how effectively they support acquisition of directional knowledge and sense of presence. Chapter 2 provides an overview of the technologies and methods for capturing panoramic images and panoramic video as well as a review on the previous works and applications of the panoramic imagery. Finally, research motivations, and the proposed technique and materials for creating a panoramic video based virtual tour are explained. Chapter 3 briefly reviews concepts related to navigation and presence. It describes definitions for these concepts and the metrics used for assessing navigational knowledge and presence. This chapter ends with the research motivations and the proposed experiment for assessing the panoramic video-based virtual tours described in Chapter 2. In Chapter 4, research questions, variables of study and the experimental method (participants, materials, and design) are described. Chapter 5 and 6 provide the results of the statistical tests performed for behavioural data, and introspective data respectively. These results are discussed and related to the literature in Chapter 7; a possible path for the future work is also described. Finally, the conclusions are drawn in Chapter 8. 2: BACKGROUND ON USING PANORAMIC IMAGERY IN VIRTUAL ENVIRONMENTS 2.1 Overview The use of photographic imagery as part of environments created with computer graphics is an innovative and popular technique. Still imagery can be used in a variety of ways, including the manipulation and compositing of photographs inside video based simulations such as movie maps, and the texture mapping of still photographs onto 3D graphical models to achieve photorealism. Recently, with the advent of numerous VE applications, and advanced photography and image manipulation methods, several techniques for using images in creating VEs have been proposed and investigated. While some image-based methods implement virtual tours and video maps of the real environments, other techniques augment images with 3D modelled VEs for different purposes. The most obvious advantages of using images include providing a photorealistic view and reducing the labour involved in modelling. The Aspen Movie Map (Lippman, 1980) was a very early example of using images to create a VE. To create this virtual map, sequences of television frames were captured at constant distance along a street. Also, at every intersection similar sequences of frames were captured along all the possible turns. Using two optical video disks, travel in this virtual map is simulated so that one of the disks played the sequence corresponding to travel along a street and the other one was positioned at the start of the sequences for upcoming deviations from that street. Appropriate images are selected from one optical disc at a time depending on the user's interaction with the map. In this example, locomotion takes place in discontinuous hops along streets. In addition, view alternation is not continuous. Only two views other than straight down the road are provided (at 90 degrees to the right or left from the straight view) and view alternation can occur as a switch between those two. Panoramic images and panoramic video are recent techniques used in creating VEs to address the problem of discontinuous view alternation and discrete movement. The use of orientation-independent images allows a greater degree of freedom in interactive viewing and navigation. 2.1.1 Panoramic Imagery Miller (1996) describes the word panorama as “a neologism taken from the Greek and meaning all seeing” (p. 1). The Oxford dictionary defines panorama as “an unbroken view of the whole region surrounding an observer” and “a picture of a landscape or other scene, arranged on the inside of a cylindrical surface, to be viewed from a central position” (Oxford English, n.d.). Usually an image with a field of view of the human eye (about 160 by 75 degrees) is termed panoramic (Panoramic photography, n.d.). Some panoramic images cover a 360 degrees field of view. Today panoramic photography is being used in both art and technology. If an environment is simulated by full panoramic images, when users are virtually placed in that environment they smoothly change their view up to 360 degrees horizontally and 180 degrees vertically. This resembles how people observe the real world surrounding them and increases the realism in the users’ experience with the VE. This advantage has motivated much research and development into techniques for making panoramic images as well as using panoramic images for making VEs. 2.1.2 Techniques for Capturing Panoramic Images Panoramic images are usually captured using special cameras and equipment. Stitching together many images captured by regular cameras can also create panoramas. Currently the following techniques and equipment are being used for panoramic photography: Lenses with a very wide angle of view such as Fish eye lenses: fish-eye lenses are lenses with very large field of view (e.g., 120 degrees) which makes them powerful tools for creating panoramas (Xiong & Turkowski, 1997). However, the resulting images are distorted and need computational reconstruction to become normal. The most important disadvantage of using a fish-eye lens is that capturing a large scene with many details in one image gives fewer pixels for each detail of the scene. In addition, because of the distortion, captured pixel density is not constant for different parts of the scene. Therefore, the reconstruction method has to approximate many of the missing pixels for the image – especially for the parts with low pixel rate - for example, in order to generate a rectangular image out of a fish-eye image. This decreases the quality of the final panorama. Parabolic mirrors: curved mirrors can reflect a concentrated image of the environment around them. Instead of directly capturing images of the environment with a camera, the camera can capture the reflection from the surface of a parabolic mirror, which is a distorted reflection of a large part of the environment (Benosman & Kang, 2001). As a result, a large amount of information is captured in a single image but this provides fewer pixels for every visual detail of the scene. This method, similar to fish-eye lenses, has problems with limited image resolution and position dependency, because these sensors capture an omnidirectional scene with a single camera. Images captured using curved mirrors need computational reconstructive processes. Rotating a single camera or using multiple regular cameras: a panorama can be created by stitching many images from a regular camera. This method has the advantage of offering a high-resolution panorama because it adds up the pixels of all the images, but needs stitching software programs (Neumann, Pintaric, & Rizzo, 2000). Rotating cameras and multi-camera systems are two ways of taking the images required for a panorama. These methods can obtain a high resolution image with uniform resolution although exact camera calibration is necessary to accurately generate a panoramic image from multiple images. Stitching methods and software are described in the next section. Panoramic cameras: recently, panoramic cameras have been introduced to the world of advanced photography. These cameras can have 5 to 11 lenses (usually around 6 or 8) and can directly capture a cylindrical panoramic image or panoramic video. While they provide the easiest way to generate panoramic images, they are currently very expensive (Point Grey, n.d.). 2.1.3 Panorama Stitching Methods Techniques for stitching many overlapping images can significantly increase the field of view of the constructed panorama and remove the need for expensive fisheye lenses or panoramic cameras. These techniques apply mathematical transformations to the images to prepare them for being appropriately attached to each other (Irani, Anandan, & Hsu, 1995; Szeliski, 1996; Szeliski & Shum, 1997). Stitching techniques for carefully controlled camera motion put constraints on how the images are taken and only produce cylindrical images whereas techniques for uncontrolled 3D camera rotation do not. 2.2 Previous Works with Panoramic Still Images A very recent and useful example of image-based VEs for navigation is Google Street View (Behind the Scenes, n.d.). Started in 2007 in five cities in the US, it provided panoramic views of the streets so that people could explore the world remotely. For collecting images Google utilized nine cameras covering the 360 degrees horizontal field of view and mounted them on a car. The car was driven down the city streets and cameras captured images at certain distances. These images were then stitched together to form panoramas and were matched to specific location using GPS data. Using Google street view tools, travelling along streets occurs by stepping from each panoramic position to the next one. At each position, users can smoothly change their view for up to 360 degrees horizontally and 290 degrees vertically. While this view alternation is a great opportunity, navigation is only possible along the specific routes that are captured by the camera. For example, users can choose the routes at each intersection but they cannot move in the direction perpendicular to the route (e.g., they cannot cross the street). Another similar approach was used to create a Virtual Museum (Miller et al., 1992). In this example at selected points in the museum, a 360-degree panning movie was rendered to let the user look around. Walking from one of the points to another was simulated with a bi-directional transition image sequence, which contained an image for each step in both directions along the path connecting the two points. Chen (1995) attempted to overcome the moving direction limitation by capturing panoramic images at all the intersection points on a grid map of the environment. He composed a virtual environment by connecting a number of these images to form a walkthrough sequence. Walking in this VE is accomplished by "hopping" to different panoramic points on the grid. Unlike Google street view and the virtual museum proposed by Miller et al., in which stepping occurs in only two directions along the designated paths, using the grid approach hopping can happen in eight directions at each panoramic point on the grid. Consequently users are able to move along a desired path in the environment by connecting short hops in different directions. However in all these examples using still images and moving in discontinuous consecutive hops results in a lack of realism in the interaction experienced by the user. In addition, most of these VE’s can work very well if there are no moving objects in the scene. If there are moving objects, or to have a smooth navigation experience, the sequence of images can be replaced by video. 2.3 Previous Works with Panoramic Video Moving the point of observation while capturing panoramic images creates panoramic video at different frame rates. Panoramic videos have been used with or without augmented elements (e.g., 3D modelled objects) to serve for different applications such as virtual maps, immersive virtual worlds, video surveillance etc. Research on the panoramic video-based tools can be classified by: - The technology (e.g., multiple camera capturing system, fish-eye lenses, etc.) and method (e.g., stitching method) used for creating panoramic video; - The application of the panoramic video such as for video surveillance, remote office, immersive worlds, or navigation tools; - The proposed interactions and interface devices for communicating with panoramic video such as the display (e.g., head mounted, desktop, or large screen) or tracking devices (e.g., head tracker, treadmill); and - The method for improving the perception of panoramic views or navigation in them such as imposing panoramas on 3D modelled surfaces or adding 2D or 3D graphical objects to provide sense of depth. Utilizing multiple regular cameras is a popular technique for capturing panoramic video. It is inexpensive and not too difficult to accomplish. Neumann et al. (2000) used an array of five video cameras recording images at a 30 Hz frame rate. The images from neighbouring cameras overlap slightly to facilitate the merging process and the result is high-resolution (3K x 480) panoramic images. The video streams feed into a digital recording and playback system which maintains precise frame synchronization. Panoramic recordings took place in an outdoor mall with the camera in a static position and in different lighting situations as well as on a truck moving at speeds between 0-40 mph. Similarly Sato, Kanbara, Yokoya, and Ikeda (2004), acquired movies of outdoor scenes by a multi-camera system mounted on a car moving at a constant speed to obtain six 768x1024 images at 15 fps. They introduced a tele-presence system which enables users to move by actual walking and change their viewpoint in a photo-realistic virtualized environment using a high-resolution omnidirectional movie. In other research, Tang, Wong, and Heng (2002) used live video streams from ordinary CCD cameras installed in working sites and proposed a software system called the immersive cockpit which stitched multiple video streams and recreates a panoramic immersive view at the remote site. At the working site the whole camera set can be moved as long as the relative position and orientation of the cameras remain consistent. Ono et al. (2005) captured panoramic videos for their driving view simulation system by using a vehicle whose roof was equipped with nine video cameras and ran along a targeted road to capture video of the real world. However, omnidirectional cameras are available today and although they are relatively expensive, some research has benefitted from their availability and being easy to use. Peri and Nayar (1997) used an omnidirectional camera to capture video at 15 fps frame rate and produced a single video stream with a hemispherical field of view. They have also proposed a real time software system called omniVideo that can generate multiple perspective and panoramic video streams from such an omnidirectional video stream. Kimber, Foote, and Lertsitthichai (2001) proposed a virtual reality system called FlyAbout which used spatially indexed panoramic video for navigation simulation. Panoramic videos were captured from continuous paths by moving an omnidirectional camera along those paths. Depending on the type of interactions provided and the way the navigation is simulated in a panoramic video-based system, different interface devices are being used. The most popular interface devices for interacting with panoramas are head mounted displays and head tracking devices which allow users to turn their head freely and observe the desired portion of the panoramic view (e.g., Neumann et al., 2000). Navigation in the omniVideo system, proposed by Peri and Nayar (1997), can be performed by modifying camera parameters such as pan, tilt, zoom, and roll. Users can modify these parameters using interactive devices such as a mouse or a joystick or a head tracker. In a novel approach, Sato, Kanbara, Yokoya, and Ikeda (2004) used a treadmill to detect user’s locomotion speed. Video was played back at the frame rate corresponding to this speed. They projected the omnidirectional movie on an immersive multi screen that covered the front, right and left views of the user. In summary interaction with panoramic video-based environments can be performed by selecting the desired view, choosing the moving path --although options are restricted to the paths that have been captured-- (e.g., the FlyAbout system by Kimber et al., 2001) or zooming in and out on specific objects of interest in the environment. The already discussed systems and virtual reality techniques, present opportunities to capture live views of a remote site or simulate environments that are difficult or labour intensive to produce using traditional computer graphics modelling methods. Although a number of applications can benefit from realistic scene capture and presentation, interactions with the objects are not possible, and there are still some limitations on how users can vary their viewpoints or achieve sense of depth. Several approaches mix panoramas with 2D or 3D graphic elements to improve perception of depth and distance or to increase the interactivity. Verbree & Anrooij (2004) added 2D graphic shapes such a vanishing lines or circles which varying sizes (based on their distance from the camera) to the images to improve pedestrians’ perception of perspective, distance and depth. Ono et al. (2005) synthesized the geometric model and real video images to produce user’s view for a driving simulation application. Geometric models were two simple walls along the roadside, which were split into slits. After some image processing, the omnidirectional image is mapped to these slits. Based on where user’s viewpoint is located — if it is located out of the capturing path — the slits rotate towards the user’s visual line direction. For example, left view from a point can be composed of forward left, left, and backward left from an omnidirectional image captured at t1, t2, and t3 respectively. Other works include a virtual city simulation system using panoramic images and superimposed geometrical models (Kolbe, 2003), and applications of panoramic images as the background for descriptive and geometric data in location-based services (Hoeben & Stappers, 2006; Teodosio & Mills, 1993). 2.4 Evaluation of Photo-realistic Virtual Environments Image and video representations of environment have been assessed in a limited way in different application domains such as navigation, electronic commerce, cognition etc. Gale, Golledge, Pellegrino, and Doherty (1990) compared children’s performance on learning routes in a field environment and in a laboratory watching videotape. Participants’ ability to recognize scenes was similar in the two conditions. However, their navigation performance (ability to follow the same route, and draw sketch maps of the route) was better in the field environment. Meijer, Geudeke, and van den Broek (2009) demonstrated that visual realism improves participants’ knowledge of spatial layout and routes in a virtual environment. They compared participants’ map identification, viewpoint recognition, route drawing, and route reversal abilities in a photo-realistic supermarket environment made of panoramic images and in a similar but nonrealistic environment. For all the tasks, performance was higher in the photo realistic environment. Tan, Timmermans, and de Vries (2006) evaluated a stereoscopic panoramic navigation system as a method of data collection about pedestrian route knowledge by comparing it with the traditional paper map-and-pencil technique. Navigation in their VE was simulated by displaying panoramic views of successive intersections along the route of travel. They observed that data collected through maps better describe the route choice behavior of pedestrian than the data collected through stereoscopic panoramic interactive navigation sessions. Through a somewhat similar study, Tan, de Vries, & Timmermans (2006) assessed the potential value of stereo panoramic VR systems in triggering participants to reenact their travel behavior (e.g. stops, turns, shopping, navigation method and duration). They hypothesized that this visual trigger can lead to more valid data compared to a paper-and-pencil diary, which in fact it did based on their experiment. Rizzo et al. (Rizzo et al., 2004) studied the effect of panoramic images on memory. In their experiment participants listened to a news story while watching the video related to it in three different conditions: single frame video, panoramic video on the flat screen and panoramic video displayed by HMD. They hypothesized that the added engagement provided by panoramic video would improve participants’ ability to recall. Accordingly, for the immediate recall of the story items, panoramic situations worked significantly better than the single frame video. However, the HMD was did not work any better than the flat screen. Howes, Miles, Payne, Mitchell, and Davies (2001), compared QTVR panoramas with hypertext and pictorial images for shopping using an electronic commerce system. According to their results, the QTVR and picture-based environments led to enhanced recall of products over the hypertext environment. Their participants found the QTVR environment more navigable than either the picture-based or the hypertext environment. Participants using QTVR also took significantly shorter routes in shopping for items than participants in the other conditions. Finally, Macedonio, Parsons, DiGiuseppe, Weiderhold, and Rizzo (2007) found relationships between the immersiveness and physiological correlates of anger arousal (i.e., heart rate, blood pressure, galvanic skin response, respiration, and skin temperature) in panoramic video based environments. They indicated that over time, panoramic video-based virtual scenarios can be physiologically arousing. Besides the above studies, however, not many research experiments have been conducted to evaluate photo-realistic VEs. The literature still lacks studies that can comprehensively answer questions such as: How effectively photo-realistic VEs supports acquisition of navigational knowledge compared to the non-photorealistic VEs? Or, how effectively different photo-realistic techniques support performance in different types of virtual environment tasks? 2.5 Research Motivations and the Proposed Technique 2.5.1 Motivation Compared to 3D modelling techniques, photo-realistic techniques require lower costs in terms of modelling labour and high performance technologies to create and represent virtual environments. They also provide higher visual realism. Photo-realistic techniques utilize sequences of images or videos captured from a real environment to computationally simulate motion in that environment. However, different types of photorealistic techniques vary in terms of the cost and amount of effort that is required for their implementation. Depending on the level of interactivity to be provided, the difficulty involved in creating a photo-realistic virtual environment can range from very simple to very difficult and/or costly. The simplest situation involves recording a sequence of regular images (with limited FOV of less than 90 degrees) along specific paths in an environment. In this case, no interactivity in terms of view alternation or path selection is offered, plus the locomotion is discontinuous and hardly resembles the natural mode of transportation. A higher level of realistic experience can be provided by substituting the sequence of images with linear video or single frame images with panoramic images. Finally, the most difficult VE model to implement is one which gives the user the ability to navigate in any direction and at any desired speed with the ability to change their view at any time during the navigation. Nevertheless, it is practically impossible to capture all the possible perspectives along all the possible paths in an environment. The idea of panoramic video is that it allows for all possible view alternations from a specific viewpoint located on a specific path that is already captured. Therefore, if it is captured with sufficient granularity of directional choices, and played at interactively selected frame rates, it can lead to creation of a highly naturalistic VE. Here, we describe a procedure for making a virtual environment using panoramic video, which can be utilized for implementing highly interactive video-based virtual environments. This system is composed of three main components: (1) the panoramic video capturing system, (2) software for creation of panoramas and the virtual environment, and (3) an interactive chair-based interface which is provided to make the interaction more natural. The components of our proposed system and the procedure for creating a panoramic video-based virtual environment are explained in the following sections. 2.5.2 Proposed System 126.96.36.199 Panoramic Video Capturing System A system comprising eight regular video cameras connected to a PC is designed and implemented so that the combined field of view of the cameras covers the whole 360-degree horizontal field of view. Cameras are “Sony CXD3172AR”, each with a 90 degrees horizontal field of view. Cameras are placed at a uniform height on the outer surface of a cylinder. The cylindrical box contains necessary electronic elements for powering the cameras and connecting them to the PC. Consecutive cameras on the cylinder have 45-degrees difference in their viewing direction and 22.5 degrees overlap in the view. angle. This ensures that the resultant images have enough overlap to be stitched to each other. Using BNC cables, all the 8 cameras are connected to a video card that can handle multiple video inputs and is placed in a regular Windows PC. The PC is also placed on the cart. A software program works with this video card to control the camera capture settings such as video frame rate, resolution, compression etc., and manages the start and stop of the video capture. Although cameras are individually capable of capturing video at 15 fps and 640 X 480 pixel resolution, when they work together the optimum resolution and frame rate decrease to 422X316 and 10 fps respectively. This is probably because of the limitations in the input data bandwidth of the video card. The cameras and the software program managing them were acquired as a package, but some modifications have been applied to the software program as part of this thesis work. These modifications which are implemented using the C# programming language are basically for attaining the highest possible resolution from the cameras. Since the cameras and the PC had to be powered during the video capture, two 12-volt batteries and an inverter (12v dc to 120 v ac) are also placed on the cart. Power is supplied for cameras directly from one of the batteries, and for PC through a voltage inverter. 188.8.131.52 Software for Developing Virtual Tours from Panoramas After the video is captured and stored in the computer, a Java program performs the following operations on the video files in order to prepare them for the stitching process: - Video streams are split into still frames, - Frames are organized into directories so that the synchronized frames of all the cameras were collected in a single directory. Given a template panorama which needs to be produced with some manual work involved, the PTGui software program (Photo stitching, n.d.) stitches images in each directory to each other and forms a single panoramic image for every directory. Further, panoramic still frames are transformed to the 3X2 video format of the Pano2Vr software and sequenced and encoded into a Flash movie. The video format of the Pano2Vr program (Flash Panorama, n.d.) is used to prepare panoramic video frames that could be mapped onto the inner surface of a 3D virtual model similar to a cube. The final step is to use ActionScript code to map the flash movie onto a 3D surface (i.e., similar to the inside surface of a cube, but not with clear edges). This mapping removes the intrinsic distortions found in panoramic images such as inclined horizontal edges. The ActionScript code also controls the projection parameters such as pan, tilt and zoom. Any forms of interactivity in the manipulation of the video such as controlling the frame rate, playing back the selected video, changing the view in the panorama ant etc., can be simply implemented at this stage by ActionScript programming. 184.108.40.206 Interactive Chair Interface In order to provide an intuitive interaction with the virtual tour system, a rotating office chair is modified so that users can change their view in the panorama by rotating the chair while they are sitting on it (See Figure 2). This is implemented by attaching an optical mouse to the central rotating pivot of the chair to detect the chair’s relative direction of rotation and to match the view of the panorama with the mouse cursor position. A user can sit on this chair having a laptop placed on his/her lap on top of a laptop holder. The laptop holder is a simple box designed to keep the laptop fixed in place. It also has straps which go around the user and fasten him/her to the chair. 2.5.3 Problem With the current technology, creating long, high quality panoramic videos requires expensive, special cameras and takes a considerable amount of time, computer memory, and manual work. Also, a highly interactive VE requires that many sequences of panoramic video be captured. To reduce the processing time and memory requirements, panoramic video can be replaced with sequences of images. To remove the cost of expensive cameras and cut down the amount of manual work, panoramic video can be replaced with regular video (single frame video). Each of these simpler techniques carries one of the exclusive benefits of the panoramic video. The former provides a panoramic view and the ability to change the view while the latter provides smooth locomotion. Considering all the effort that could be saved, it is important to question whether or not either one of these simplified versions can efficiently substitute for panoramic video in a specific application area. Although there are quite a number of research projects focused on techniques for creating panoramic video, the literature lacks comprehensive studies on how effectively the virtual environments created by panoramic video works for different purposes such as navigation. To make a contribution to this research question, we suggested evaluating a basic implementation of VEs created by panoramic videos before paying the costs for creating highly interactive ones (which require high granularity of video sequences). For this purpose, we prototyped some simple virtual tours with restricted interactivity (e.g., constant speed and predetermined paths) from part of the Surrey Central area using our proposed system. Three versions of these virtual tours were implemented using panoramic video, regular video and panoramic image sequences (we call it “slide show” in this thesis). These virtual tours are similar in terms of being photo-realistic and the quality of technique implementing them. However, they vary in terms of the type of locomotion technique they offer, and the implementation costs they require. In this thesis we conducted an experiment to evaluate these three different locomotion techniques. Inspired by the extensive attempts in using photo-realistic techniques for navigation purposes (Gale et al., 1990; Hoeben & Stappers, 2006; Kimber, Foote, & Lertsithichai, 2001; Kolbe, 2003; Lippman, 1980; Naimark, 1997; Tan et al., 2006; Teodosio & Mills, 1993; Verbree & Anrooij, 2004; Behind the Scenes, n.d), we evaluated these techniques, mainly regarding directional knowledge acquisition. In order to broaden our evaluation criteria and obtain information about the participants’ quality of experience using these locomotion techniques we compared their sense of presence in each of the virtual tours. In the next chapter we explain the basic concepts in the navigation studies and presence studies; then we review the factors that affect navigation performance and sense of presence in a VE. Using the existing theories and experimental results we then, build up our experimental methodology and hypotheses. 3: BACKGROUND ON NAVIGATION AND PRESENCE IN VIRTUAL ENVIRONMENTS 3.1 Overview Pedestrian navigation has received a lot of attention from the creators of the photo-realistic virtual environments. Panoramic image and video based environment are extensively used in navigation tools (e.g., Google street view), commercial virtual tours, as well as for training and test purposes such as observation of humans’ navigational behaviour (Tan et al., 2006; Waller, 2005; Waller, Beall, & Loomis, 2004). VEs are usually evaluated to see if they efficiently serve their users towards completing a successful task based on the application domain of the VE. The two most popular evaluation criteria for VEs are navigation performance and immersivness of the VE. This is because most of the applications of the VEs (e.g., games, driving simulators, street maps, virtual tours) one way or another need the users to perform successful navigations as well as feel present in the environment to some level. In this chapter we briefly review the literature on navigation and sense of presence in virtual environments. Finally, we propose an experiment for evaluating panoramic video efficiency regarding these two criteria. 3.2 A Review of Navigation Research 3.2.1 Definitions and Theories Navigation is an inherently cognitive process that determines paths in an environment and manages travelling in that environment. The actual application of navigation knowledge is called ‘wayfinding’, which includes exploration and search tasks (Darken & Sibert, 1993). Navigational awareness is defined as having complete spatial knowledge of an environment in order to orient oneself in that environment. A person is oriented when s/he knows her/his own location relative to other important objects in the environment, and can locate those objects relative to each other. In other words, to stay oriented in an environment one needs to develop a permanent internal representation of the location and identities of significant objects in the environment (McNamara, Sluzenski, & B. Rump, 2008). Spatial knowledge, as described in Siegel and Whites’ theoretical framework (Siegel & White, 1975), consists of three types of knowledge: object identity or landmark knowledge, route knowledge, and survey knowledge. Object Identity or Landmark Knowledge is knowledge about the identity and appearance of the highly salient objects in the environment that are important to navigational memory; such objects include the goals of navigation and indicators of where there is a change in direction. These objects are sometimes called landmarks and are used as anchors for orienting oneself in a new environment. Landmark knowledge is a building block for other spatial knowledge (McNamara et al., 2008; Ishikawa & Montello, 2006; Siegel & White, 1975). Route Knowledge is procedural knowledge about how to travel along a known route, and can take the form of a sequence of actions (e.g., turn right or left) taken at a sequence of landmarks. With sufficient route knowledge, a navigator can successfully travel from one landmark to another on a known route but does not indentify alternative routes. S/he might know about the approximate distances between landmarks. However, the knowledge about the relationships of places on the route is formed by sequential travel and is unidirectional. Consequently, a person will be better at recalling these relationships when it is in the direction they learned the route (McNamara et al., 2008; Ishikawa & Montello, 2006; Siegel & White, 1975). Survey Knowledge is knowledge of the overall configuration of an environment from an exocentric viewpoint. It is characterized by the ability to estimate Euclidian distances and infer alternative routes that have not been travelled before. Survey knowledge is sometimes referred to as a cognitive map (McNamara et al., 2008; Ishikawa & Montello, 2006; Edwards, Thompson, & MacGregor, 1998; Siegel & White, 1975) Based on the theoretical framework proposed by Siegel and White (1975), the process of developing spatial knowledge in a new environment is a stage-wise transition between the landmark knowledge, route knowledge, and survey knowledge acquisition. People progress over time from the basic stage of having landmark knowledge to ultimate stage of having complete survey knowledge. Montello (1998 as cited in Ishikawa & Montello, 2006) however, explained the spatial knowledge acquisition process as a continuous transition between the stages while suggesting the consideration of huge individual difference in this process. For survey maps to develop both the stage-wise transition and continuous transition frameworks require a person to perform multiple route navigations in an environment and metrically scale and integrate routes into a global allocentric reference system. However, Ishikawa and Montello (2006) tested participants over a course of 10 sessions and found contradictory results. Participants were driven along a route in an unfamiliar environment and their progress in attaining knowledge about the environment was recorded after each session. Surprisingly, some participants obtained metric knowledge about the distances and directions (related to the survey knowledge) from the early sessions. Most of the ones that did not achieve this knowledge in the early sessions, never obtained it. Only a few of them progressed continuously over the time. 3.2.2 Navigation Performance Richardson, Montello, and Hegarty (1999) suggest that performance of learning the spatial layout of the virtual environment is predictive of performance of learning in the real environment as the same cognitive mechanisms are involved. Darken and Sibert (1993) also demonstrated that people use real environment wayfinding strategies in the virtual environments. Therefore, they support the application of environmental design principles in the virtual world in order to improve wayfinding performance. Navigation performance in virtual environments can be influenced by several factors related to the virtual environment and the users. These factors are discussed as follows: Interface attributes: attributes of the communication (input and output) devices between users and virtual environment determine how naturally people interact with the virtual world. How strongly these communication tools replicate interactions with the real world can affect participants’ ability to successfully navigate in the virtual environment, because, people are more able to apply real world strategies to the navigation. Field of view, photo-realism, desktop vs. immersive and vestibular feedback are among those interface attributes that have been shown to influence spatial cognition (Nash, Edwards, Thompson, & Barfield, 2000). For example, visual realism is demonstrated to improve participants’ knowledge of spatial layout and routes in a virtual environment (Meijer et al., 2009). The experiment leading to this result, compared participants’ map identification, viewpoint recognition, route drawing, and route reversal abilities in a photo-realistic supermarket environment and in the similar but nonrealistic environment. For all the tasks, performance was higher in the photo realistic environment. Moreover, sensory information about linear and angular acceleration (i.e., inertial information) or body-based cues (i.e., vestibular, proprioceptive, and efferent information) that result from active movement have been shown to be useful for maintaining orientation and facilitating the acquisition of spatial knowledge (Waller, Loomis, & Haun, 2004). Alfano and Michel (1990) have shown that the reduction of peripheral vision impairs self-orientation during the locomotion and decreases performance in forming a cognitive map of a room. This experiment was done in the real world; however, it should be applicable to the virtual environments as people can be assumed to apply the same cognitive mechanisms. Others (Arthur, 1996) suggest that while a very small field of view (less than 40 degrees) weakens performance in tasks such as visual search, navigation, perception of size and space, and spatial awareness, a very wide field of view can cause simulator sickness. User attributes: individuals’ spatial ability, sense of direction, age, gender, and experience affect their spatial cognition and learning performance in a virtual environment. In a wayfinding experiment (Prestopnik & Roskos-Ewoldsen, 2000) participants mentally followed directions for a route from one location on a campus site to another and at the final location they pointed to the origin. Results demonstrated that the accuracy of pointing was predicted by sex and familiarity and that the response latency was predicted by participants’ sense of direction. There are reliable differences between males and females’ strategies and cognitive abilities in wayfinding tasks as described in (Cushman, Duffy, Stefenella, & Vaughn, 2005; Lawton, 1994). Also, individuals vary extensively in spatial learning abilities (Hegarty, Montello, Richardson, Ishikawa, & Lovelace, 2006). Environmental design: complexity, integration, size, density, landmarks, paths, and districts can affect people’s process of spatial knowledge acquisition (Nash et al., 2000). Navigational aids: maps, signs, verbal direction, and photographs can help navigation in the virtual environments. Navigation aids used in the real world have often been adopted for use in virtual environments (Darken & Sibert, 1993; Nash et al., 2000). Navigation method or metaphor: navigation metaphor or method such as active versus passive (Gaunet, Vidal, Kemeny, & Berthoz, 2001; Witmer & Kline, 1998), or continuous versus teleport (Witmer & Kline, 1998) is important as an improper metaphor can lead to disorientation. Before quantifying the effects of navigation methods or comparing the efficiency of different methods or environments, participants need to take on a particular strategy (Nash et al., 2000). ### 3.2.3 Measuring Navigation Performance Obtaining each level of the directional knowledge is associated with specific cognitive abilities; therefore, specific behaviours can be indicators of the level of one’s acquired spatial knowledge. Considering these associations, several observable metrics have been developed in order to assess people’s spatial knowledge. #### 220.127.116.11 Landmark Knowledge The most common approach for measuring landmark knowledge is to use recognition and recollection tasks in which participants recall specific landmarks in the environment they have explored. This is usually done by having participants select pictures of the places or objects they remember from the environment among a sequence of random images. Landmark knowledge is then quantified as the number of correctly identified objects (Gaunet et al., 2001). Alternative methods have included asking participants to write down the names of all the objects without time constraints and counting the correct number of objects included (McCreary & Williges, 1998), or having participants place landmarks in their proper positions on a map (Edwards et al., 1998). 18.104.22.168 Route Knowledge Considering a route as sequence of landmarks, route knowledge is related to the participants’ ability to make the right decision about how to get from one landmark to the next landmark along a route. Therefore, it is conventionally measured by directional pointing tasks in which participants stop while navigating along a specific route and point to the previously explored as well as the next to be explored landmarks on the route (Mallot & Gillner, 1999; Edwards et al., 1998). Landmark sequencing is also a method for measuring route knowledge (Ishikawa & Montello, 2006) where participants in the task would be required to locate landmarks on a route so that they identify which landmark would be encountered first. A route imitation task is another method for assessing route knowledge where participants navigate a particular route in the virtual environment several times and then their knowledge is examined by measuring the accuracy of traversing the equivalent route in the real world (Witmer, Bailey, Knerr, & Parsons, 1996; Gale et al., 1990). In another study (Edwards et al., 1998) researchers measured participants response time for locating a particular object in the virtual environment after they learn about the identification of objects during a guided tour on the environment. 22.214.171.124 Survey Knowledge: Because survey knowledge produces a cognitive map, researchers assess participants’ internal depiction of the environment as representative of their survey knowledge. Sketch maps have been proved to be an external measure of participants’ orientation and are used for assessing cognitive maps. In particular, they are more efficient for assessing topological knowledge rather metric knowledge (Billinghurst & Weghorst, 1995). Edwards et al. (1998) used the number of objects participants correctly recalled and placed on a paper-based top view map to measure their survey knowledge following exposure to a virtual environment. In another experiment (Darken & Sibert, 1993) researchers generally determined the extent of participants’ spatial knowledge of a virtual environment they were exposed to by having them draw a map of that environment. However, sketch maps carry the risk of being over analyzed especially because they are not independent of the participants’ memory, drawing abilities, or the ability to project a 3D environment onto a 2D map. In addition, sketch maps are hard to evaluate quantitatively (Billinghurst & Weghorst, 1995). Distance and angle estimations are common methods for measuring metric knowledge. Commonly researchers (Ishikawa & Montello, 2006; Koh, 1997) attempt to evaluate survey knowledge by measuring participants’ accuracy and response times as they pointed to the locations of particular objects in a virtual environment and/or by measuring participants’ estimations of the euclidean distances from themselves to other objects and between pairs of locations. Another indication of having efficient survey knowledge is the ability to infer shortcuts or take routes not previously taken. Utilizing this metric, participants of an experiment completed the task of locating a particular room in a virtual environment where the two obvious (and more likely to be previously traversed) routes to that room were blocked. In another experiment (Darken & Sibert, 1993), researchers had participants completed a series of searches with no priori information regarding their location. Then, they assessed participants' survey knowledge by measuring the distance they traveled and the ratio of space searched to the total virtual environment space. However, survey knowledge or cognitive maps are hard to assess because it is difficult to find an external representation of a participant's internal map. Also, cognitive maps are known to be highly subject-specific (Billinghurst & Weghorst, 1995). 3.3 A Review of Sense of Presence in Virtual Environments 3.3.1 Definitions of Presence The term "Presence" despite its common usage, has been controversial among researchers. Several researchers have attempted to provide a scientific and practical definition for it using different perspectives and theories. A number of these definitions and theories that have been mostly used in the practical measurements of presence are selected from several surveys (den Dekker & Delleman, 2007; Ijsselsteijn, a, de Ridder, Freeman, & Avons, 2000; Schuemie, van der Straaten, Krijn, & van der Mast, 2001) and described here. Ijsselsteijn et al. (2000) distinguished between the physical presence, the sense of being physically located in a virtual space and social presence, the feeling of being together. Lombard and Ditton (2006) identified six different explanations of presence: realism, transportation, immersion, social richness, social actor within medium, and medium as social actor. However, most often in the literature of immersive VE presence is conceptualized as transportation: people are usually considered present in an immersive VR when they report a sensation of being in the virtual world rather than operating it from outside (Schuemie et al., 2001). A well-known perspective on the nature of presence, which is the basis for several techniques of measuring presence, distinguishes between the subjective presence as a person’s judgment of being physically present in a remote environment, and objective presence, as the possibility of effectively completing a task in a virtual environment (Schloerb, 1995 as cited in Schuemie et al., 2001). Another commonly used definition is the degree to which a person feels suspension of disbelief in what he or she is experiencing (Schuemie et al., 2001). Slater (2004) questioned the value of subjective presence as a factual or authentic entity outside the mind of researchers. Slater and Wilbur (1997) applied the term presence to only the subjective phenomenon and distinguish between “presence” and “immersion”. In this perspective, presence is defined as the “subjective sensation of being in a VE”, whereas, “immersion” is “an objective description of aspects of the system such as field of view and display resolution”. Similarly, Witmer and Singer (1998) defined presence as “the subjective experience of being in one place or environment even when one is physically situated in another”. However, the word “immersion” has sometimes been also used to define a stage in which a person feels that they are being cut off from the reality, which closely resembles the subjective definition of presence. 3.3.2 Factors Affecting Sense of Presence in Virtual Environments Several factors related to the virtual environment, the user, the task, or the external world can influence people’s level of presence in a virtual environment. Comprehensive surveys provided by Ijsselsteijn et al. (2000), Schuemie et al. (2001), and Nash et al. (2000) classified these factors related to the virtual environment into: Resolution: resolution is defined as the connectedness and realism of the information presented. Higher resolutions contribute to higher sense of presence in VEs. (Schuemie et al., 2001; M. Slater, Usoh, & Steed, 1994; Witmer & Singer, 1998) Consistency: the level of consistency of the information presented to different senses so that they lead the user to the overall perception of the mediated environment. Consistency also refers to the fact that the user can anticipate the effects of actions (Slater, Usoh & Steed, 1994 as cited in Schuemie et al., 2001). Predictability is theorized to allow for better adaptation and lead to more presence (Witmer & Singer, 1998; Barfield & Weghorst, 1993 as cited in Nash et al., 2000). Breadth: the number of different sensory modalities used synchronously to mediate the virtual experience. More sensory modalities increase the amount of information being provided to the user and isolate the individual from the external distractions; therefore, it leads to a better sense of presence (Sheridan, 1994; Bob G. Witmer & Michael J. Singer, 1998). Depth: depth is defined as the resolution of each sensory modality provided. Providing more depth to an essential sensory modality allows for better presence (Sheridan, 1994; Witmer & Singer, 1998). Content: the meaningfulness of the objects, actors and events represented by the medium (Lombard & Ditton, 1997) or the social realism of the environment help the user to achieve a greater sense of presence. (Witmer & Singer, 1998) Speed: speed is the update rate of the control and visual display. Slow update rates remind participants of the artificial nature of the environment and decrease their sense of presence (Barfield & Hendrix, 1995). Range of interactivity: this is the extent to which the attributes of the form or content of the mediated environment can be manipulated (Sheridan, 1994). Greater ability to change and modify the environment is predicted to increase presence (Witmer & Singer, 1998). Motion: mobility of the user and dynamic objects in the environment improves sense of presence (Witmer and Singer, 1998). The communication medium: this refers to the ways (e.g., the hardware) in which users interact with the virtual environment. For example, stereoscopy, spatialized sound and head tracking devices have been shown to significantly increase presence (Nash et al., 2000; Schuemie et al., 2001). Besides the virtual environment’s features, the adaptability, motivation and experience of the participants play a great role in indicating their level of presence (Lombard & Ditton, 1997). Witmer and Singer (1998) suggest that the willingness of subjects to interact and believe the realness of the environment increases their sense of presence. Generally, users with more experience in virtual environments may achieve a greater sense of presence (Barfield & Weghorst, 1993). The type of the task and its degree of difficulty and automation also affects presence. If a task needs a great amount of attention it increases the sense of presence (Witmer & Singer, 1998; Barfield & Weghorst, 1993 as cited in Nash et al., 2000). Finally, there is a higher chance of feeling present in a virtual environment if there are fewer distractions in the external world surrounding the user (Witmer & Singer, 1998). ### 3.3.3 Measuring Presence Presence is measured using subjective and objective methods. Subjective measurements rely on participants’ judgements of their sense of presence. Objective measurements measure participants’ sense of presence using metrics that can predict participants’ level of immersion based on participants’ behaviours, or performance in specific tasks. 126.96.36.199 Subjective Measurements Post-test rating scales: subjective questionnaires are the most commonly used method for measuring presence. These subjective ratings are argued to be the primary method of measuring presence because presence is essentially a subjective sensation. Witmer and Singer’s PQ (1998), the Igroup presence questionnaire (Schubert & Friedmann, 1999) and the ITC sense of presence inventory (Lessiter, Freeman, Keogh, & Davidoff, 2000) are among the most well known presence questionnaires formed on the basis of different theoretical views on the concept of presence. The theoretical basis of a presence questionnaire determines its scope and relevance to certain application domains. The drawback of the questionnaires is that they are highly dependent on participants’ judgements of their sense of presence as well as their memory of the experience with the VE. Slater (2004) argues that researchers cannot rely heavily on questionnaire results because the idea of presence may be something that researchers bring into the mind of participants. Continuous presence assessment: instead of rating the sense of presence after the virtual environment exposure, this method measures presence during the experience of virtual reality. It is usually implemented by asking participants to move a slider in order to identify their level of feeling present. The benefit of this method is that it is sensitive to the temporal variations in the sense of presence and is not dependent on the participants’ ability to recall their sensation of the experience. However it has been argued that participants need to divide their attention between the virtual reality experience and the slidercontrolling task; therefore they cannot reach the belief of being present in the virtual reality (IJsselsteijn et al., 2000). Psycho-Physiological measurements: cross-modality matching is a psycho-physiological method for measuring presence relying on the fact that presence cannot be easily stated verbally. Using this method, participants are required to express their judgement of a subjective sensation in one modality by responding through adjusting a parameter in another modality. For example they are required to make a sound as intense as they feel present in a virtual environment (IJsselsteijn et al., 2000). Breaks in presence: using this technique, after participants start feeling present in the virtual reality they report on a break in their presence whenever they become aware of the reality (Slater & Steed, 2000). This method is highly dependent on the participants’ judgments about whether they are present in the virtual world or the real world. Especially in the cases that a person has partially concentrated on both of the mediated and the real world, such judgements can be very unreliable or difficult to make. ### 188.8.131.52 Objective measurements Behavioural measures: the fundamental assumption in this method is that if people are highly present in a virtual environment they react to the virtual stimuli as if they are real. Reflexive responses such as avoiding a rapidly approaching virtual object (Sheridan, 1994), socially conditioned responses such as smiling, and postural adjustments such as leaning in the counter-direction of a mediated movement (IJsselsteijn et al., 2000) are representatives of presence in this method. A benefit of this method is that these responses are triggered without the participant having any control on them. However, misinterpretation of the responses by the observer is possible in this method (Ijsselsteijn et al. 2000). Dual task measures: reaction time to a secondary task is claimed to be a measure of presence as it is assumed that when a greater part of the attention is dedicated to the primary task, a smaller part is focused on the secondary task (Witmer & Singer, 1998; Barfield & Weghorst 1993). Therefore, performance in the secondary task is related to the amount of immersion in the primary task. In an example of this method (Rudolph P. Darken, Bernatovich, Lawson, & Peterson, 1999) participants were exposed to a VE and a movie (as the secondary task) and were asked to recall from both. Their presence in the VR was measured by the amount of the narrative they could recall from the movie. In another experiment, while participants played a video game, an alert signal broke their presence. Participants’ response time to the signal was considered as the measure of their presence. Adjustable distraction method: inspired by Lombard and Ditton’s definition of presence as “the degree to which inputs from the physical environment are shut out” (Lombard & Ditton, 1997), the underlying supposition of the adjustable distraction method is that presence is as strong as the minimum amount of an external stimuli required to break it. In this method a distracter primitive stimulus (visual or audible signal), which varies from undetectable to unavoidable, is emitted and participants are required to react to this signal whenever they notice it. The degree at which the signal starts to become noticeable to the participants demonstrates their level of presence (Nordahl & Korsgaard, 2009). 3.4 Research Motivations and the Proposed Experiment The purpose of our virtual tours described in Section 2.5 is to introduce a remote neighbourhood and its landmarks to a user so that the users can successfully maintain a sense of orientation while visiting that area in the real world. In order for an individual to stay oriented in an environment, s/he needs to develop internal representations of the location and identities of significant objects in the environment. This is so that s/he is able to identify her/his own location relative to these objects as well as their locations relative to each other (McNamara et al., 2008). Therefore, an experiment, which assesses these participant abilities, can measure the efficiency of virtual tour implementation techniques. To assess participants’ abilities to identify significant objects in the environment, a landmark recognition task is a clear option and easy to implement as discussed in Section 184.108.40.206. To assess higher levels of spatial knowledge, there are several well-known methods proposed by the literature (as described in Section 3.2.3), such as distance and angle estimations, map drawing, searching, and wayfinding. Distance estimation techniques are not appropriate for our case, as knowledge about the distances between objects does not necessarily identify their relative places. Other methods, such as assessing wayfinding or search strategies, are also clearly not appropriate for evaluating our virtual tours, as they need participants to actively explore the environment. Among the techniques used for assessing participants' knowledge of the relative locations of objects, sketch maps and angle estimation methods seem to fit our question best as they mainly assess participants' knowledge of "what is where" in the environment. Due to the difficulties of assessing sketch maps and all the risks they carry (as discussed in Section 3.2.3), we relied on the direction (angle) estimation method for our experiment. The direction estimation method has been extensively used in the literature of navigation to assess participants' accuracy of allocentric and egocentric images of an environment in different experimental conditions (Mou, Timothy P. McNamara, Björn Rump, & Xiao, 2006; Riecke, Veen, & Bülthoff, 2002; Wraga, Creem-Regehr, & Proffitt, 2004). Using this technique, participants point to specific objects in an environment and researchers record the amount of error they make by subtracting the angle of the pointed direction from the actual angle of the target object's direction. Researchers then utilize this data to calculate three types of error, each indicating a different aspect of a participant's spatial knowledge: ego-orientation error, absolute (or signed) pointing error, and configuration error. Ego-orientation error represents participants' misunderstanding of their self-orientation, absolute pointing error indicates participants' misunderstanding of their location relative to the other objects in the environment, and configuration error indicates their misunderstanding of the location of other objects in the environment relative to each other (configuration of the objects). Therefore, these errors overall, indicate how well a person is oriented in an environment. Due to the extensive amount of information we can extract from the participants’ pointing errors about their sense of orientation, we were strongly motivated to use the direction estimation test in our study. Using this test, we can measure participants’ performance (accuracy and response time) in pointing from one significant location in the environment to the other significant locations. To perform a direction estimation test, several methods have been used in the literature such as drawing the direction on the paper (Koh, 1997; Satalich, 1995), pointing in the real environment, and pointing in a panoramic image using HMD, desktop display, or printed images. Waller, Beall, and Loomis (2004) conducted research on the accuracy of different tests for measuring pointing errors. They asked participants to point from one landmark in a familiar environment to the other known landmarks in that environment using four different situations: a real environment, panoramic images on a desktop PC, panoramic images in a HMD, and with pen and paper. Based on their results, pointing tests performed using panoramic images displayed on a HMD and desktop computers are not significantly less accurate than pointing tests performed in the real environment. This makes panoramic images a powerful tool for measuring pointing errors or directional perception. Therefore, we used panoramic images on a laptop screen for our pointing tests. In addition, Waller et al. (2004) show that participants’ pointing abilities using panoramic images of a real environment in a virtual setting reflect their abilities in the corresponding real environment. Taking advantage of this, we ran our pointing tasks with participants who were exposed to panoramic images of the environment in a laboratory after they have travelled on the three different virtual tours. Consequently, we claim that our results can be extended to real environments. This means that significantly better pointing performance in any of the virtual tours would demonstrate the effectiveness of the corresponding simulation technique in providing required directional perception for participants’ future navigation in the real environment. Besides the directional performance, we assessed participant-acquired sense of presence in the virtual tours created by the panoramic video, regular video and slide show techniques. Sense of presence is important in cases where a virtual tour is used not only to provide directional knowledge, but also to give a sense of being in the remote environment (e.g., some games). Besides, knowing about the participants’ quality of experience can provide additional information about why a certain locomotion technique is possibly more efficient than the others. For example, the added engagement generated by a strong sense of being in a virtual environment can also affect participants’ task performance in some cases. We used subjective questionnaires for measuring sense of presence because objective measures can interfere with the assessment of task performance and they are also more difficult to analyse. Because of the increased range of interactivity (i.e. view alternation), the additional sensory information (i.e. body-based cues provided by chair-based interface), and the more naturalistic locomotion (i.e. continuous locomotion) offered by panoramic video, we expected that a person’s awareness of the environment and their self-orientation would be enhanced using this technique. Following a similar discussion, we also predicted a higher level of sense of presence in the panoramic video. These rationales are more broadly investigated in the next chapter where we explain the details of our research question and experimental design. 4: RESEARCH METHODS 4.1 Overview In this chapter we explain the details of our research method for assessing participants’ directional knowledge and subjective sense of presence in virtual tours created by panoramic video, regular video and a panoramic image slide show. Research questions and hypotheses are described followed by the experimental method we used for studying our participants’ behaviours. The experimental method is described in terms of participants, experimental settings, experimental design, and experimental procedure. 4.2 Research Question The fundamental question for this research was: “How does the locomotion technique offered by a photo-realistic virtual tour of an environment affect human acquisition of directional knowledge and sense of presence in that environment?” In the other words, the question was how fast and accurately can people obtain directional knowledge about an environment when they learn about it by navigation in virtual tours of that environment using different travelling techniques. More specifically, this question aimed to compare human directional knowledge acquisition performance in three different virtual tours implemented using the following techniques: Panoramic slide show: locomotion in this virtual tour involved abrupt transitions between spatially separated locations and was simulated by displaying a slide show of panoramic images captured at these locations in the environment. The traveller could navigate in the virtual tour by hopping from one position to another and at each position could look around by smoothly alternating their view in the associated panoramic image. Regular video: in this virtual tour locomotion was simulated by displaying a 15 fps front facing video recorded while moving through the environment. The video was a regular video with a limited field of view (FOV) - approximately 90 degrees horizontally. The resulting navigation was smooth and continuous but the view was front facing and it was not possible to change it during the locomotion. Panoramic video: this technique was similar to the last one except that the recorded videos were panoramic with a 360-degree field of view. In this version of the virtual tour, not only was the movement continuous and smooth, but also, smooth view alternation was possible at any point during the navigation. Table 1: Three virtual tour locomotion techniques compared in this study and their characteristics \| Condition \| View alternation is possible \| Transition is smooth \| \|-------------------------\|------------------------------\|----------------------\| \| Panoramic slide show \| YES \| NO \| \| Normal video \| NO \| YES \| \| Panoramic video \| YES \| YES \| Following these different approaches to simulation of travelling, our research question could be divided into the following concise sub-questions: - How does continuous movement vs. discrete movement in a virtual tour affect human directional knowledge and sense of presence acquisition? - How does the ability to change the view direction during navigation in a virtual tour affect human directional knowledge and sense of presence acquisition? - How does learning by repeating navigation tasks in the virtual tour affect human directional knowledge acquisition in the three different locomotion techniques? To answer the above question, we assessed participants’ subjective sense of presence as well as their directional knowledge. We believed that participants’ performance in orienting themselves in the environment indicates their directional knowledge about that environment. As discussed in Sections 3.2 and 3.4, to orient oneself, one needs to be able to recall significant places in the environment and recognize one’s location relative to these significant places as well as their locations relative to each other. Performance is then defined as the accuracy and response time in completing a task. Thus, we measured participants’ accuracy and response time in completing recollection and orientation tasks to understand their directional knowledge of the environment following their navigation in the virtual tour. We assessed participants’ recollection performance using the following two measures: Recollection error: this variable measured the accuracy of participants’ recollection of places. It was obtained by calculating the percentage of the number of places a participant cannot correctly recall from an environment after navigation in the virtual tour of that environment. Recollection time: this variable measured participants’ response time is recollecting places. It indicated how quickly participants can access their memory to recall a place they have previously visited in a virtual tour. Consequently, participants’ performance in the recollection task was considered to be improved if the average value of at least one of the recollection error or recollection time is decreased. To assess participants’ performance in orienting themselves we used the following measures inspired by the work of (Riecke, Cunningham, & Bülthoff, 2007): Absolute ego-orientation error: this error measured the constant error in pointing judgments. Ego-orientation error generally represents the difference between the participants’ actual heading and the heading assumed by the participant while pointing. Ego-orientation error at a certain location in our experiment was obtained by calculating the circular mean of signed pointing errors made at that location. Configuration error: the configuration error is generally defined as the standard deviation across target objects of the signed pointing errors and indicates the accuracy of the localization of each target in relation to the others. In other words, configuration error is a measure of the internal consistency of pointing judgments. At a certain location in our experiment, it is obtained by calculating the mean angular deviation of signed pointing errors made at that location. We used circular statistic for calculating ego-orientation and configuration errors as pointing errors are intrinsically circular data. Absolute pointing error: this variable demonstrates how accurate the participants’ knowledge of their location is relative to a target object or locations in the environment. It is the unsigned difference between the pointed direction and the actual direction of the target. Pointing time, this variable measures how quickly participants can access their directional knowledge about the environment and its objects. In our experiment, absolute ego-orientation error, configuration error, and absolute pointing error evaluated the accuracy of participants’ estimations of the self-heading, object-to-object and self-to-object localization respectively. Pointing time, evaluated the response time in making those estimation. An improved performance in the orientation task was consequently defined as a decrease in at least one of the absolute ego orientation, configuration or absolute pointing error while the others are not impaired, or a decrease in the response time while the error values are not increased. For example, if the average value of ego-orientation error decreased in one condition while the average value of configuration error and absolute pointing error did not increase, we would be observing an improvement in the orientation performance. Finally, the main research questions were: (1) is a participant’s performance in orienting oneself in an environment affected by the locomotion technique they used when learning the environment? (2) is a participant’s sense of presence in a virtual tour affected by the locomotion technique that simulates that virtual tour? 4.3 Discussion and Rationales In order to build up our hypothesis we looked at possible reasons why a participant would make different types of errors and how the three different locomotion techniques could affect these errors. In the following, we discuss the relationships between specific types of errors and locomotion techniques. Then we discuss how these facts led us to the hypotheses. Regarding the recollection task, as panoramic views provide a larger amount of visual information, it was reasonable to expect people to remember significant locations in the panoramic conditions more conveniently. If participants are required to recall significant locations such as intersections (not just a single significant object) in an environment, panoramic views give them more possible visual cues for remembering the place. As in real physical environments, landmark objects are not always available in the front view, so having access to peripheral view helps participants to find objects that stand out in the environment and remember them as landmarks. Regarding the pointing task, participants make pointing errors if they misjudge their self-heading, or objects’ locations in the environment. A participant makes an ego-orientation error possibly because s/he cannot correctly identify their self-heading relative to the objects available in the scene at the pointing location. As there are more objects in any single panoramic view than non-panoramic views, participants are likely to be able to identify and remember their self-orientation more accurately. Therefore when they are returned to the pointing location they can examine their heading relative to more objects available in a panoramic view (or real world views). Configuration error would possibly come from a participant’s misjudgement of the distances between where the turns happen or misunderstanding of the turning directions along the route. Judging distances is apparently easier in video conditions compared to the slide show condition because in the slide show condition participants are teleported from one panoramic point along the route to the next panoramic point without traversing the in-between path. The study of James and Craig (1995) on the perception of distance in a VE demonstrated that participants had better performance in estimating distances between themselves and a target when they were permitted continuous viewing of the environment and the target during the movement, compared to when they only watched the target prior to the movement. Witmer and Kline (1998) also showed that in a VE when participants actively traversed the route segment using a joystick or treadmill interface, their distance estimation was improved compared to when they viewed the environment from the beginning point of a route segment and were then teleported to end point of that route segment. The slide show condition of our experiment was similar to the teleport condition and the video conditions were somewhat similar to the active traversal condition except that the speed of forward movement is not actively controlled by the participant. Therefore, we expected the video to help participants’ perception of distances between route segments. Judging turn angles was expected to be easier in the panoramic video condition compared to the other two conditions because, as explained in the following arguments, both the panoramic view and the video can help better understanding of turn directions: A turn is indicated by a rotation of view of the displayed images, not the actual rotation of the participant in all three of our virtual tours. However, in panoramic conditions participants have the chance to actively rotate themselves during the turn. For example, when a 90-degree turn is complete, participants can rotate their body and their view in the panorama to their right (or left) and examine the turn direction by looking at where they just came from. A study (Wraga et al., 2004) on the effect of active and passive rotations (display vs. participant) indicated that the unsigned error of the perceived turn direction is significantly less in the active condition. Participants were also faster in this condition. Therefore, we expected a lower average configuration error and pointing error in the panoramic conditions. On the other hand, studies show that when there are no body movement cues, optic flow plays an important role in understanding directions (Kearns, Warren, Duchon, & Tarr, 2002). As there is no optic flow indicating turns in the slide show condition we consider that there is a higher chance of misjudging turn angles in this condition, which leads to a higher average configuration and absolute pointing error. Correspondingly, Gaunet et al. (2001) tested participants’ ability to reproduce the shape of a route after navigation along that route in a passive smooth transition mode (similar to our video conditions but with computer-generated graphics) and a passive snapshot exploration mode (similar to our slide show but with computer-generated graphics). They observed significantly greater errors in the snapshot mode than the smooth transition mode. In addition, in the slide show condition ‘passing a turn’ results in several discrete and abrupt alterations in the orientation. At each step of alteration the participant does not know which direction s/he is going to face at the next step. This condition is similar to the ‘disorientation’ condition of the experiments run by Mou, McNamara, Rump, and Xiao (2006) in which a participant does not know how much s/he has rotated and then is asked to estimate their rotation angle. In this condition the participant does not have any visual flow or body based cues to estimate the angle of rotation. On the other hand, video conditions, at the turning locations, are similar to the ‘update’ condition, in which a participant is ordered to rotate with opened eyes and then estimate the turning direction. In the ‘update’ condition participants can use visual and body-based information to understand the angle of rotation. Mou et al. (2006) observed that ego-orientation error is significantly more in the ‘disorientation’ condition than in the ‘update’ situation. Although this result is found in the real world condition, it helps us build up our hypothesis for the virtual conditions. Therefore, for the slide show tour we anticipate misunderstanding of the ego-orientation at each orientation alteration step during a single turn. This can lead to a large total misunderstanding of the angle turned. Consequently when all the turns along a route are combined, participants’ understanding of the configuration of the significant locations in the environment will be distorted. To predict which locomotion condition would provide a stronger sense of presence, we looked at the literature for factors affecting sense of presence in virtual environments (discussed in Section 3.3.2). Consequently, we expected our participants to experience a greater sense of presence in the panoramic conditions (panoramic video and slide show) compared to the non-panoramic condition (regular video) for the following reasons: (1) A VE that provides more sensory modalities is expected to increase the sense of presence (Steuer, 1992; Witmer & Singer, 1998). Apparently more sensory modalities are engaged in interaction with the panoramic views, as participants would have both visual and body based senses involved when changing their view. (2) In the panoramic conditions participants would have a greater range of interactivity, which should help their sense of presence (Steuer, 1992; Bob G. Witmer & Michael J. Singer, 1998). (3) Participants were required to devote more attentional resources to control a larger visual area and physical rotations in the panoramic conditions. Devoting more attentional resources to the VE has been shown to increase participants’ sense of presence (Barfield & Hendrix, 1995; Riley, Kaber, & Draper, 2004; Bob G. Witmer & Michael J. Singer, 1998). (4) There was user motion involved in the interaction with panoramic views, which has been demonstrated to increase sense of presence (Witmer & Singer, 1998). On the other hand, we relied on the following facts to predict a higher sense of presence in the video conditions (i.e. panoramic videos) compared to the non-video condition (i.e. slide show): (1) Slow update rates would remind participants of the artificial nature of the virtual environment. Videos had a natural update rate compared to the slide show (Steuer, 1992; Witmer & Singer, 1998). (2) There was more motion of the components of the environment in the video. Motion of the components of the environment has been shown to increase sense of presence (Witmer & Singer, 1998). To sum up, panoramic video had the benefits of both panoramic view and video as discussed above. Plus, it provided a more natural mapping between the controls and the actions in the VE (Steuer, 1992; Witmer & Singer, 1998), because the walking action was mapped to the video of walking and the looking around action was mapped to a physical rotation. Consequently, we expected it to grant a better sense of presence compared to the other two conditions. 4.4 Hypotheses Hypothesis 1: Participant’s performance in recollecting places will be improved after navigation in the panoramic video tour where user-controlled changes in viewing directions are possible compared to the regular video tour where user-controlled changes in viewing directions are not possible. Hypothesis 2: Participant’s performance in orientation (pointing) will be improved after navigation in the panoramic video tour where user-controlled changes in viewing directions and continuous transitions are possible compared to the normal video tour where user-controlled changes in viewing directions are not possible or the slide show tour where continuous transitions are not possible. Hypothesis 3: Participants’ performance in both recollecting and orientation will be better after navigation tasks are repeated in all three locomotion conditions (normal video, panoramic video, and slideshow). Hypothesis 4: Participants’ average subjective sense of presence is greater during navigation in the panoramic video tour than in the regular video and slide show tours. Hypothesis 5: Performing pointing tasks is subjectively easier after navigation in the panoramic video tour than in the regular video or slide show tours. 4.5 Variables For testing the first hypothesis the independent variable was the locomotion technique having three levels of panoramic video, regular video, and slide show. The dependent variable was the recollection error and recollection time. For testing the second hypothesis the independent variable was the locomotion technique. The dependent variables were the absolute ego-orientation error, configuration error, absolute pointing error and pointing time. For the third hypothesis, the independent variables were the type of locomotion technique and the number of repeating trials, and the dependent variables were the recollection error, recollection time, absolute ego-orientation error, configuration error, absolute pointing error and pointing time. In this thesis, for the sake of simplicity, sometimes we refer to the collection of absolute ego-orientation error, configuration error, and absolute pointing error generally as the pointing errors because their values came from the pointing data. We also call the collection of recollection error, recollection time, pointing errors and pointing time, behavioural dependent variables as they come from the behavioural tests. For our fourth and fifth hypotheses, the independent variable was the type of locomotion technique and the dependent variables respectively were the difficulty of the pointing task and the sense of presence perceived by the participants. These variables were measured by introspective questionnaires; therefore, we refer to them as introspective dependent variables in this thesis. 4.6 Experimental Method 4.6.1 Participants We used a quota-sampling method by recruiting whoever was available on SFU Surrey campus until we had enough of both male and female participants to meet our target of a total of 18 subjects. Gender equality was the only discrimination we made for selecting participants; this was applied due to the fact that other research has shown that males and females show significant differences in their navigational knowledge acquisition strategies (Cushman et al., 2005). Our subjects were 18 adults, nine females and nine males, in the age range of 23 to 40 years old. They were recruited by being asked in person or by collective emails. Therefore, our participants were mostly undergraduate and graduate students in SIAT and the Mechatronics program at SFU, who were interested in the study or accepted to participate in the experiment in exchange for a standard payment. Table 3 describes some demographic information about the participants (See Appendix C). 4.6.2 Experimental Materials and Settings In order to prepare an appropriate and valid experimental design to answer our research questions we had to consider several issues regarding the type of environment from which we captured our videos, the way we collected video and images, and the pointing method. Details of the materials and settings for our experiments are as follows: 220.127.116.11 Environments We selected three regular residential environments from the area close to the SFU Surrey campus. The three environments were similar in terms of their general environmental look, the shape of the traversed routes, the number of turns in the routes, and the angles of each turn. Maps of selected routes for each condition are presented in Figure 3, Figure 4, and Figure 5. There are four turns during each route. All turns are at 90 degrees and there is a total of 180 degrees change in direction. Each route passes by at least one four-way intersection and three three-way intersections in the environment. We tried to do the pointing tests in the real environment prior to selecting it, in order to obtain a sense of the complexity of the environments. Figure 3: Map of the first route captured. Numbers indicate intersection at which turns happened. Intersections 1, 3 and 6 were set as the first, second and third pointing locations respectively. Figure 4: Map of the second route captured. Numbers indicate intersection at which turns happened. Intersections 1, 3 and 6 were set as the first, second and third pointing locations respectively. 18.104.22.168 Video and Image Materials Using the camera system described in Section 2.5, we captured videos of about five minutes length from each of the environments by pushing the cart containing cameras down the selected routes at a speed of about 2-3 m/s for the straight paths and 1-1.5 m/s at the turns. For the panoramic slide show, video frames were sampled at 3-second intervals producing 1 panoramic image at about every 6-9 meters distance during the straight paths and about every 3-4.5 metres during the turns. This was to allow participants, in the panoramic slideshow condition, to know there is a turn as there is no optic flow indicating it. Assuming that a whole turn happened with a maximum of 90 degrees change in the direction and six meters change in the traversed distance, there were about three images available for a whole turn. Consequently, these images had about 30 degrees difference in their viewing angle and this provided for an almost smooth turn. 22.214.171.124 Experimental Settings Using black drapes on four sides of a 2.3 square metre area in the laboratory (to block external light or distractions) an immersive dark cubical space was built as the platform for the experiments (See Figure 6). In this small cubical space participants sat on the interactive chair and we put a laptop and a laptop holder (to increase the height of the laptop and keep it fixed at the place) on their laps. They watched the videos on the laptop screen and changed their view angle in the panoramic videos or the slide shows by rotating their chair. They also received audio guides through a headphone during their navigations. The audio guide informed them about the upcoming intersections along their way and provided references to the places about which they would be asked later. 4.6.2 Experimental Design Because of proven between-participant variability in spatial learning abilities (Hegarty et al., 2005), we decided on a within-participant experimental design so that all the participants were exposed to all three experimental conditions. For handling the possibility of one condition affecting or carrying over to another, we used a completely counterbalanced design approach. Therefore, each of the six possible orders of the three conditions was tested with three participants. For all conditions navigation was partially passive and users could not control the speed of navigation, choose their path, or make stops. Also, it is only possible to go forwards, not backwards. For panoramic video and panoramic slide-show conditions, they could change their view and look around in the panoramic view. We explained this situation to our participants by using the wheelchair passenger metaphor: they imagined sitting in a wheelchair being pushed down the streets at a fixed speed. During this wheelchair ride they could look around in panoramic conditions. In this way we kept the amount of time participants spent in each condition equal so as not to let the time confound the effects of our independent variables on the results. To assess the effect of learning on the participants’ performance in the test, each participant did the navigation-and-test two times for every condition. Consequently, each participant performed 6 trials (three conditions x two repetitions for each condition). Street intersections in the environments were chosen as the test locations. After every experimental trial, participants were tested for pointing from three of the N test locations (beginning and ending point of the route plus an intersection in the middle) to all the N-1 other test position in a randomized order. 126.96.36.199 Tasks After each tour participants carried out a recollection task and a pointing task. For the recollection task, participants looked at a series of panoramic images of the places in the tour mixed with some other images. These images are images they had previously seen during the navigation. All the images were presented in a panoramic format even in the regular video condition. These images were selected from the environment so that they had at least one object in them that was contrasting the background. But these objects were not necessarily placed in the front view of the image. For each image, if participants could recall the place in the image as belonging to the tour environment they just visited, they pressed the “Yes” key and if not they pressed the “NO” key on the keyboard. In cases where they had no idea if they had seen the place or not they pressed any other key on the keyboard. The space key and the enter key were marked as “YES” and “NO” respectively. For the pointing task, participants were shown panoramic images of the first, third and last intersections they had passed by in the tour. For each intersection the experimental program asked them if they were ready for pointing and they pressed the “Ready” key after they explored the intersection area for a sufficient amount of time. Then the program asked them to point to all the other intersections in a random order. For each pointing, participants saw the panoramic images of the pointing locations in the standard view (same as the view in regular video) and a thumbnail image of the target location in the middle of the screen. To point, they rotated their chair until a red “+” sign at the centre of the panoramic image was at the direction they wished to point to, and they pressed the space key. Figure 7 shows the graphical interface of the experimental system. ![Pointing test interface](image) Figure 7: Pointing test interface. The background image is a panorama of the pointing location and the thumbnail in the middle of the screen show the target location to point to. ### 4.6.3 Experimental Procedure 1. Introduction and consent form: participants read a description of the experiment and signed a consent form. 2. Demo and Learning: participants received verbal and written instructions on how to use the experimental system and do the tasks, before and while they navigated in a panoramic video training environment. They also practiced pointing tasks by seeing a demo of how to point and pointing to a couple of targets in the learning environment. Then participants were left on their own to play with the system and the chair until they felt comfortable with them. 3. Test: participants watched the videos or slide shows and after each virtual tour trial the computer brought up the tasks and participants performed the recollection and the pointing tasks consecutively, as described in Section 4.6.2. 4. Presence questionnaire: after participant finished the second trial of each of the virtual tours, they answered a short questionnaire about their subjective sense of presence. Questions of this questionnaire are selected from the igroup presence questionnaire (Schubert & Friedmann, 1999). 5. Post-experimental questionnaires: at the end of the experimental session participants answered a questionnaire about their general spatial ability, immersion ability, and how they solved tasks. They also provided comments about how difficult the tasks were or other details of the experiment. Questions about participants’ spatial ability were selected from the Santa Barbara sense of direction questionnaire (Hegarty et al., 2002), and questions about participants’ immersion ability were selected from igroup presence questionnaire (Schubert & Friedmann, 1999). Questionnaires can be found in the Appendices C and D. 4.6.4 Statistical Analysis Design Our experimental design is a ‘split-split plot design with whole plot in a multiply blocked crossover design’. Our independent variables have categorical values (locomotion, trial, pointing location) and our dependent measures have continuous values (time and angle). Besides our designed independent variables, there were other factors such as the order of exposure, participants’ differences, and etc. that could affect the values of our dependent variables although we were not directly interested in studying their effects. Therefore, we used a mixed-model analysis of variance and enter those factors as random effects. The complete list of our fixed and random effects is represented in Table 2. The design of our mixed-model analysis is done based on our consultation with SFU statistical consultant, Dr. Tom Loughin (Following his advice we used the REML (REstricted or RESidual Maximum Likelihood) method using JMP statistics software program). \| Source \| Type \| \|---------------------------------------------\|----------\| \| Route \| Random \| \| Order \| Random \| \| Participant \| Random \| \| Locomotion technique \| Fixed \| \| Order * Participant \| Random \| \| Trial \| Fixed \| \| Locomotion Technique * Trial \| Fixed \| \| Locomotion Technique * Trial * Order * Participant \| Random \| \| Pointing Location \| Fixed \| \| Pointing Location * Locomotion Technique \| Fixed \| \| Pointing Location * Trial \| Fixed \| 5: RESULTS: ANALYSIS OF THE BEHAVIOURAL DATA 5.1 Overview Behavioural data is the data we collected from participants performing pointing and recollecting tasks. For every single pointing, a participant’s raw pointing error is calculated by subtracting the real direction of target from the pointed direction of target relative to the pointing location. At every pointing location, a participant’s absolute ego-orientation error is obtained by calculating the circular mean of pointing errors at that location and configuration error is obtained by calculating the circular standard deviation of these pointing errors. At every pointing location, a participant’s absolute pointing error is obtained by calculating the regular mean of absolute values of pointing errors after they are modified to reside between -180 to 180 degrees. Similarly a participant’s pointing time at a certain pointing location refers to the average of response times in the pointing task at that location. So, for every participant there is a value stored for the absolute ego-orientation error, configuration error, absolute pointing error, and pointing time, per pointing location, per trial, and per locomotion technique. However, for every participant, recollection errors and recollection times are stored per trial per locomotion technique. Our first hypothesis stated that the performance in the recollection task is better after navigation in panoramic conditions (i.e. panoramic video and panoramic slide show). This means that the recollection error is smaller on average in these conditions compared to the regular video condition or that the average recollection time is smaller while the recollection error is not bigger. Our second hypothesis predicted that performance in the pointing task is better after navigation in the panoramic video tour than the slide show or regular video tours. This means that we expected that the average value of at least one of the ego-orientation error, configuration error or absolute pointing error to be smaller in the panoramic video condition compared to the other conditions, or the average pointing time to be smaller in this condition while none of the errors are larger. The third hypothesis was that in all of the locomotion conditions both the recollection and pointing performance will be better in the second trial of navigation than the first one. The averages of the pointing errors and pointing time are illustrated and compared in Figure 8 for each trial and locomotion technique. The averages of recollection error and recollection time for every locomotion technique are illustrated in Figure 9 in separate charts for each trial. Figure 10 and Figure 11 illustrate averages of pointing errors and pointing times at each pointing location. While Figure 10 is more efficient for comparing pointing locations in each locomotion condition, Figure 11 helps in comparing locomotion techniques at each pointing location. Based on these diagrams, the averages of behavioural dependent variables do not depict any clear pattern of difference in different locomotion conditions; however, they consistently decrease in the second trial. Figure 8: Comparisons of locomotion techniques regarding the mean pointing errors and pointing times in every trial. Figure 9: Comparisons of locomotion techniques regarding the mean recollection error and recollection time in every trial. Figure 10: Comparisons of pointing locations regarding the mean pointing errors and pointing time in every trial of every locomotion technique. Figure 11: Comparisons of locomotion techniques regarding the mean pointing errors and pointing time at every pointing location in every trial. 5.2 Inferential Analysis The analysis is done using a mixed-model analysis of variance having three levels of locomotion (panoramic video, regular video, slide show), two levels of trial (one, two), three levels of pointing location (first, second, third) as the fixed effects. The order of exposure to the different locomotion techniques, participants, and the routes were entered into the model as random effects. We used an alpha level of .05 for all statistical tests. The outcomes of this analysis are set out in the following sections for every independent variable, and summarized in the tables provided in Appendix D. 5.2.1 Absolute Ego-orientation Error As described in Table 4, in the first trial, the mean absolute ego-orientation errors are 48.2, 50.3, and 47.5 for panoramic video, regular video and slide show respectively. These means decrease to 33.3 for panoramic video, 32.8 for regular video, and 38.4 for slide show in the second trial. Data medians presented in Table 4 demonstrate that in the first trial of all the locomotion techniques, half of the ego-orientation errors have an absolute value smaller than 33.5 degrees. This number decreases to 20 degrees in the second trial. In both of the trials, means and medians there is a large difference between the means and medians. This indicates the existence of huge outliers in the data. Results of the mixed-model ANOVA on the absolute ego-orientation errors demonstrated the following results: The main effect of the trial yielded an $F$ ratio of $F(1,51)=11.77$, $p=.001$, indicating that the mean absolute ego-orientation error was significantly smaller in the second trial ($M=40.75$, $SD=18.96$) than the first trial ($M=47.97$, $SD=19.63$), $p<.05$. There was a significant main effect of pointing location, $F(2,204)=14.86$, $p<.001$. Post-hoc analysis using Tukey’s HSD criterion (described in Table 11) indicated that the mean absolute ego-orientation error was significantly smaller at the first pointing location ($M=25.83$, $SD=32.78$) than the second pointing location ($M=43.72$, $SD=39.52$), $p<.05$, and it was smaller at the first pointing location than the third pointing location ($M=55.68$, $SD=54.90$), $p<.05$. There was no difference between the mean absolute ego-orientation errors at the second pointing location and the third pointing location, $p>.05$. However, the main effect of locomotion technique was not significant, $F(2,31.52)=.088$, $p>.05$. A summary of the corresponding mixed-model analysis is provided in Table 10. ### 5.2.2 Configuration Error As described in Table 5 in the first trial, the mean configuration errors are 37.7, 38.1, and 36.9 for panoramic video, regular video and slide show respectively. These means decrease to 28.4 for panoramic video, 29 for regular video, and 29.2 for slide show in the second trial. Results of the mixed-model ANOVA on the configuration errors demonstrated the followings: The main effect of trial yielded an $F$ ratio of $F(1,51)=42.05$, $p<.001$, indicating that the mean absolute configuration error was significantly smaller in the second trial ($M=28.85$, $SD=18.96$) than the first trial ($M=37.56$, $SD=19.63$), $p<.05$. There was a significant main effect of pointing location, $F(2,204)=55.37$, $p<.001$. Post-hoc analysis using Tukey's HSD criterion (described in Table 13) indicated that the mean configuration error was significantly smaller at the first pointing location ($M=21.64$, $SD=13.5$) than the second pointing location ($M=41.17$, $SD=20.24$), $p<.05$, and it was significantly smaller at the first pointing location than the third pointing location ($M=36.79$, $SD=19.34$), $p<.05$. There was no difference between the mean configuration errors at the second and third pointing locations, $p>.05$. However, the main effect of locomotion technique was not significant, $F(2,31.27)=.01$, $p>.05$. A summary of the corresponding mixed-model analysis results is provided in Table 12. 5.2.3 Absolute Pointing Error As described in Table 6 in the first trial, the mean absolute pointing errors are 53.3, 55, and 53.6 for panoramic video, regular video and slide show conditions respectively. These means decrease to 38.5 for panoramic video and regular video, and 43.3 for slide show in the second trial. Data medians presented in Table 6, demonstrate that in the first trial half of the absolute pointing errors have a value smaller than 51 degrees in regular video and slide show conditions while half of the absolute pointing errors have a value smaller than about 34 degrees in the panoramic video condition. Considering the large difference (i.e., 9 to 17 degrees) between means and median in the second trial, it appears that there are huge outliers, which have affected the means of absolute pointing errors in the second trial. In this trial panoramic video has the smallest median (median=21.5) that indicates half of the absolute pointing errors are smaller than about 22 degrees in panoramic video while they are smaller than about 28 and 35 degrees in the regular video and slide show respectively. Results of the mixed-model ANOVA on the absolute pointing errors demonstrated the followings: The main effect of the trial yielded an $F$ ratio of $F(1,51)=24.30$, $p<.001$, indicating that the mean absolute pointing error was significantly smaller in the second trial ($M=53.98$, $SD=37.05$) than the first trial ($M=40.09$, $SD=33.92$), $p<.05$. There was a significant main effect of pointing location, $F(2,204)=27.40$, $p<.001$. Post-hoc analysis using Tukey’s HSD criterion (described in Table 15) indicated that the mean absolute pointing error was significantly smaller at the first pointing location ($M=30.7$, $SD=30.48$) than the second pointing location ($M=52.95$, $SD=31.21$), $p>.05$, and it was smaller at the first pointing location than the third pointing location ($M=57.47$, $SD=40.32$), $p<.05$. There was no difference between the mean absolute pointing error at the second and third pointing locations, $p>.05$. The main effect of locomotion technique was not significant, $F(2,28.39)=.16$, $p>.05$. Summary of the corresponding mixed-model analysis results is provided in Table 14. ### 5.2.4 Pointing Time As described in Table 7 in the first trial, the mean pointing times are 12.8, 11.1, and 8.4 seconds for panoramic video, regular video and slide show conditions respectively. These means decrease to 9.1 seconds for panoramic video, 9.2 seconds for regular video and 7.7 seconds for slide show in the second trial. Results of the mixed-model ANOVA on the absolute pointing times demonstrated the followings: The main effect of the trial yielded an $F$ ratio of $F(1,51)=5.92$, $p=.018$, indicating that the mean pointing time was significantly smaller in the second trial ($M=8.67$, $SD=7.35$) than the first trial ($M=10.8$, $SD=10.8$), $p<.05$. There was a significant main effect of pointing location, $F(2,204)=32.25$, $p<.001$. Post-hoc analysis using Tukey’s HSD criterion (described in Table 17) indicated that the mean pointing time was significantly smaller at the first pointing location ($M=5.26$, $SD=3.52$) than the second pointing location ($M=13.5$, $SD=11.13$), $p<.05$, and it was significantly smaller at the first pointing location than the third pointing location ($M=10.43$, $SD=9.4$), $p<.05$. There was no difference between the mean pointing time at the second and third pointing locations, $p>.05$. The main effect of locomotion technique was non-significant, $F(2,31.5)=2.33$, $p>.05$. A summary of the corresponding mixed-model analysis results is provided in Table 16. ### 5.2.5 Recollection Error As described in Table 8 in the first trial, the mean recollection errors are 26.8%, 28.7%, and 19.9% for panoramic video, regular video and slide show conditions respectively. These means decrease to 18% for panoramic video, 18.1% for regular video and 17.6% for slide show in the second trial. Results of the mixed-model ANOVA on the recollection errors showed that the main effect of trial was significant, $F(1,67.56)=8.61$, $p=.005$, indicating that the mean recollection error was significantly smaller in the second trial ($M=17.9$, $SD=13.3$) than the first trial ($M=25.15$, $SD=16.8$), $p<.05$. However, the main effect of the locomotion was not significant $F(2,57.38)=1.19$, $p>.05$. A summary of the corresponding mixed-model analysis results is provided in Table 18. ### 5.2.6 Recollection Time As described in Table 9 in the first trial, the mean recollection times are 7.3, 5.7, and 6.2 seconds for panoramic video, regular video and slide show conditions respectively. These means decrease to 5.8 seconds for panoramic video, 5 seconds for regular video and 4.5 seconds for slide show in the second trial. Results of the mixed-model ANOVA showed that the main effect of trial was significant, $F(1,64.15)=7.73$, $p=.007$ indicating that the mean recollection time was significantly smaller in the second trial (M=5.1, SD=3.26) than the first trial (M=6.37, SD=2.87), p<.05. However, the main effect of locomotion was non-significant F(1, 69.37)=1.12, p>.05. A summary of the corresponding mixed-model analysis results is provided in Table 19. 5.3 Gender Differences Data for the pointing errors of males and females are compared in Figure 12. As illustrated, in the first trial males have a considerably lower average error (absolute ego-orientation error, configuration error, and absolute pointing error) in the regular video and slide show conditions. However, in the panoramic video condition males and females have similar average errors as males perform slightly worse and females perform slightly better than in the other two conditions. In the second trial differences of average errors between males and females decrease in regular video and slide show conditions as females improve and males perform almost the same. But in panoramic video, males improve and females perform no better, therefore, their differences increase noticeably. Figure 12: Comparisons of males and females performance regarding pointing errors for every locomotion technique and trial. 5.4 Summary As there was no significant difference between the averages of any of the behavioural dependent variables in three different conditions, locomotion techniques did not have any significant effect on the participants’ performance in both recollection and pointing tasks. Consequently panoramic video did not significantly improve participants’ directional knowledge acquisition compared to the slide show or regular video. Therefore, we cannot accept our first and second hypotheses. However, the average value of all the behavioural dependent variables (i.e. errors and times) significantly decreased in the second trial. Consequently, we accept our third hypothesis. Besides locomotion technique and trial, we tested the effect of pointing location on participants’ pointing performance by including it in the mixed-model analysis. Participants performed pointing tasks more accurately and faster at the first pointing location as indicated by the significantly smaller mean absolute ego-orientation error, configuration error, absolute pointing error and pointing time at the first pointing location than the second and third point locations. 6: RESULTS: ANALYSIS OF THE INTEROSPECTIVE DATA 6.1 Overview Participants’ introspective assessments of the locomotion techniques and the experiment in general are collected through questionnaires (provided in Appendix A and B). These data are collected in three categories: participants’ quantitative assessments of their subjective sense of presence in every locomotion condition, participants’ quantitative assessments of the difficulty of pointing tasks performed in every locomotion condition, and participants’ qualitative assessments of the experimental settings, locomotion techniques, and tasks. In this chapter we analyse both the quantitative and qualitative introspective assessments. 6.2 Subjective Sense of Presence Our fourth hypotheses predicted that participants’ reach the highest sense of presence in the panoramic video condition compared to the other conditions. Reported presence scores were subjected to a mixed-model analysis of variance having three levels of locomotion technique (panoramic video, regular video, slide show). The order of exposure to the different locomotion conditions, participants, and routes were entered into the model as the random effects. The main effect of locomotion technique was significant, $F(2,28.61)=11.98$, $p<.001$. Post-hoc analysis using Tukey’s HSD criterion indicated that the mean sense of presence was higher in the panoramic video condition ($M=5.4$, $SD=0.5$) than regular video condition ($M=3.7$, $SD=0.4$), $p<.05$, and it was higher in the panoramic video condition than the slide show condition ($M=3.2$, $SD=0.3$), $p<.05$. There was no significant difference between the mean sense of presence in the regular video condition and the slide show condition, $p>.05$ (see Appendix G). The average senses of presence in different locomotion conditions are compared graphically in Figure 13. ![Graph showing mean sense of presence for different locomotion techniques](image) Figure 13: Comparisons of locomotion techniques regarding mean participants' subjective sense of presence ### 6.3 Difficulty of the Pointing Task Our fifth hypotheses predicted that performing directional tasks is easier for the participants in the panoramic video condition than the other conditions. In the post-questionnaire participants reported on how difficult the tasks were in different locomotion conditions. They rated the difficulty of tasks in each locomotion condition by a number from 0 to 10. We conducted a mixed model analysis of variance on these reported difficulty scores, having three levels of locomotion (panoramic video, regular video, slide show) as the fixed effects. The participants, paths, and the order of exposure to the different locomotion conditions were entered into the model as the random effects. The results demonstrated that there is a significant main effect of locomotion $F(2,49.63)=7.32$, $p=.002$. Post-hoc analysis using Tukey’s HSD criterion indicated that the mean difficulty of the pointing task is smaller in panoramic video condition ($M=5.6$, $SD=.6$) than the slide show condition, $p<.05$, and it is smaller in the regular video condition ($M=5.7$, $SD=.6$) than the slide show condition ($M=7.2$, $SD=.5$), $p<.05$. There was no difference between the mean difficulty of pointing task in the panoramic video condition and regular video condition, $p<.05$ (see Appendix G). Comparison of average difficulty of pointing task for each locomotion technique is illustrated in Figure 14. 6.4 Participants’ Qualitative Assessments Participants’ answers to the post-experiment questions are classified content-wise and presented as follows. 6.4.1 How Participants Solved the Task Based on their reports, it appears that the participants’ basic strategy for learning the routes and solving the pointing tasks was to memorize the turning direction (left or right) at each turning intersection. Then, mostly in the second round of navigation, they tried to draw a mental map of the route based on this information. Many of the participants drew the map on the side of the computer surface using their fingers. They reported having their thumb as a reference to the beginning of the route and drawing turns using their other fingers. A few of the participants, though, only used their mind to imagine the route maps. There was one participant who found it easier to use her physical position against her virtual position as a reference of direction especially in panoramic video condition. So, she rotated her chair to the turning direction at every intersection and finally understood the map of the route. Another one reported using his right and left hands for keeping track of turns. One strategy participants used in the panoramic conditions in order not to lose track of their moving direction was to let the video or slide show run through and not to change their view a lot. 6.4.2 What Participants thought of the Chair-based Interface Many participants thought that the chair-based interface was tiring because it did not let them rotate very fast and they had to step over foot by foot. Some participants also found it uncomfortable, unnatural and distractive, so that it kept them away from feeling present in the virtual environment. However, some of participants used it as a physical reference to keep track of their straight ahead view and the relative turning directions. A few people also found it interesting and playful. 6.4.3 What Was Difficult About the Task and Why Participants related the difficulty of the tasks to the following problems: 188.8.131.52 Unrealistic Images Low quality videos and pictures plus misalignment of adjacent frames of panoramas produced a difficult condition for subjects and many of them found the settings unrealistic and non-immersive. Poor graphic quality also reduced the contrast of the scenes and landmarks so that it was hard to recognize places and learn the routes. 184.108.40.206 Difficulty of Keeping Track of the Routes Because the navigation was passive with no possibility of stopping and going back and forth, participants had difficulty keeping track of the route. Especially in the panoramic conditions when they tried to look around they lost sense of direction. Participants generally commented that it was hard to keep track of the route, memorize the turns, and realize the distances between the consecutive turning points. Consequently it was difficult to imagine the map of the route and the relative positions of places. 220.127.116.11 Difficulty of the Pointing Task Participants reported that the pointing task was very difficult when pointing to intersections 1 or 2 from the 6th intersection (end point of the route), but it was pretty easy to point forward (e.g. from first intersection to second or third). 18.104.22.168 Slide Show Problems In the slide show condition it was hard to understand the direction of turns as well as to keep track of straight view and approximate the length of each route. In addition the slide show was annoying because it was not smooth and loading images was sometimes slow. Participants complained about missing the straight direction. 22.214.171.124 Panoramic Video Problems The only problem with panoramic video was that when participants tried to look around, due to the lack of control over the forward movement they lost track of the direction they were moving in. In a few cases participants became dizzy from rotating to see what is happening around them. 6.4.4 What to Change Participants suggested the following changes, listed in order of popularity: - Enhancing the quality of the videos and images. - Slowing down the speed of the panoramic slideshow. - Making the slides closer to each other (increasing the number of images). - Enhance the quality of stitching - Providing the ability for users to pause the videos and go forward and backward. - Providing the ability for users to turn and change view as fast as they turn their head. - Putting some limitations on the horizontal field of view so that as participants can see their surrounding they cannot turn all the way around and get lost. 6.5 Summary Participants reached the highest sense of presence on average during the panoramic video tour confirming our fourth hypothesis. However, participants complained about how distractive the panoramic view and interactive chair are in the panoramic video condition. Pointing tasks were significantly easier after navigation in the panoramic video and regular video tours than the slide show tour. This partially confirms our fifth hypothesis; however, pointing tasks were not any easier in the panoramic video than the regular video. Participants reconfirmed having the most difficulty in keeping track of the straight-ahead view, turning directions, and the traversed distances during the slide show tour. Participants noted several problems about the experiment in general, the most highlighted of which are the low quality of images, inability to control the movement, difficulty of memorizing all the turns, and the difficulty of the pointing task itself. 7: DISCUSSION 7.1 Overview In this chapter we discuss the outcomes of this study in the context of its limitations and the previous works reported in the literature. The outcomes of this study are put into two categories: behavioural and introspective. While behavioural results demonstrate participants’ task performance, introspective results exhibit their quality of experience in the three different locomotion conditions. The behavioural results indicated an average satisfactory performance in the recollection task although no significant difference was observed between locomotion techniques rejecting our first hypothesis. Accordingly, all the locomotion conditions were equally capable of supporting the recall of landmarks. On the other hand, the behavioural results also indicated an average poor performance in the pointing task. No significant difference was observed among the locomotion techniques regarding any of the absolute ego-orientation error, configuration error, absolute pointing error or pointing time. Therefore, we could not accept our second hypothesis. However, in both recollection and pointing tasks, participants’ performance significantly improved after repeating the tour navigation in all the locomotion conditions, confirming our third hypothesis. Men generally performed better than women in all conditions except for the first exposure to panoramic video, where men and women performed relatively equally. The introspective results indicated that participants reached a higher level of sense of presence in the panoramic video tour than the other two conditions confirming our fourth hypothesis. Participants also rated the pointing task less difficult in the panoramic video and regular video conditions than in the slide show. This partially supported our fifth hypothesis. Participants related the difficulty of the task to the difficulty of adjusting to the panoramic view, the low image quality, and the interactive chair interface. In the next sections we first outline the limitations of the study and discuss how these limitations possibly affected the results of study. Secondly we explain the techniques for handling the reliability of the data. Then we discuss in detail the outcomes of the study compared to the literature followed by a discussion of possible future work. 7.2 Limitations of the Study The major outcome of our study was that there was an average poor performance in acquiring directional knowledge as well as no significant difference between different locomotion techniques in providing directional knowledge. It appears that the subjects found the pointing task to be very difficult and this was the major reason for their poor performance. As a result these tasks do not allow us to discriminate between locomotion modalities. The obvious solution is to devise easier tasks, but they must not be too easy since these also will make it difficult to discriminate between locomotion modalities. We are aware that our conclusions regarding task difficulty are influenced by the study limitations and we discuss these limitations here. Those limitations are related to participants, poor image quality, passive movement, characteristics of the environments, and dependency of task on memory, all of which could have contributed to participants’ poor directional performance and made it difficult to see differences between the locomotion modalities. Others, which are related to carry-over effect and laboratory settings, describe the limitation of the applied analysis and the extent to which we can generalize our results. The following paragraphs explain these limitations in detail: Participants: The participants in this study were mostly graduate students at Simon Fraser University studying applied science and interactive arts. As described in Appendix C, the majority of the participants did not have much previous exposure to different examples of virtual reality, game environments and panoramic images. Therefore, the equally high average errors in all the conditions might relate to the participants’ compatibility issues. In addition, the number of participants was limited to 18 people. Although participants’ subjective reports revealed a wide range of spatial abilities (ranging from 2.6 to 8 out of 10), the sample size was still small enough to leave the chance of having a type 2 error which can result in observing no significant difference while there is, in fact, a difference. Poor video quality: Because of budget and technology restrictions, videos generated for the experiments suffered from a low pixel rate and poor stitching quality. The original single frame images had 322 pixels for a 90-degree horizontal field of view, which resulted in 3.6 pixels per degree. These were stitched together to form a 360-degree panorama. Poor graphics and visual realism may have affected participants’ recognition of places and their consequent performance in the tasks as well as their engagement in the navigation in all the locomotion conditions. However, the most important advantage of panoramic conditions over the regular video condition is in providing greater visual information. If participants fail in using this available visual information because of its poor quality, the difference between the panoramic and non-panoramic conditions declines. Environment characteristics: The environments used for the virtual tours were residential neighbourhoods with flat visual appearances, thus lacking significant landmarks or other contrasting urban elements. Routes were long (around 500 metres) and had moderately complex structures (5 turns along the routes). These characteristics could have made the tasks unnecessarily difficult, contributing to participants’ confusion and misidentification of locations and consequently increased the chance of having large amount of random data that does not reveal differences between locomotion techniques. Dependency of the tasks on memory: The performance of participants in both the pointing and recollection tasks was not dependent only on their survey knowledge but also on their memory abilities. Although most survey knowledge experiments depend somewhat on memory, the dependency in our study was exaggerated due to the long routes, low video quality and passive navigation. These characteristics may have impaired the ability to acquire survey knowledge and sense of presence in the virtual environment, causing participants to rely more heavily on memory. Passive movement: Because moving in the virtual environments was passive, participants could not go backwards, control the speed of their movements, or stop. If participants had had active control over their navigation, the different locomotion techniques might have resulted in participants developing dissimilar navigation strategies for different locomotion modalities. For example, if a navigation method (such as wayfinding) requires visual search, it seems likely that the panoramic conditions could be more efficient as participants are able to search a larger visual field more easily. Carry-over effect: Although the order of exposure to different locomotion techniques was counter-balanced, participants experienced each successive environment immediately after they had completed the task for the previous environment. Lack of washout time in between consecutive exposures brings the risk of a carry-over effect in the results, meaning that performance in one condition can be partly dependent on the performance in the other conditions (Breakwell, 2006). Laboratory settings: In order to control all the possible confounds, the experiments were done in a restricted laboratory environment. Although there are benefits to creating uniform experimental conditions, some fixed settings (such as the height of the chair regardless of the height of the participants) could have confounded participants’ performances. In addition, the restricted laboratory setting affects the application of the results to real world situations. 7.3 Reliability During the design and conduct of the experiments we avoided causes of unreliability by applying the following techniques: - Using adequate measures that have been previously used and validated by others: Pointing and recollection tests are common tests in the literature of navigation for assessing survey and landmark knowledge. Recollection error, absolute ego-orientation error, configuration error, absolute pointing error and response time are measures that have been used in the literature (discussed in Chapter 3). Items on the presence questionnaire were selected from the igroup presence questionnaire (Schubert & Friedmann, 1999) that has been widely used by virtual reality researchers. - Consistent measurement using a software program: The experimental procedure is implemented as a software program so that the pointing and recollection data is recorded consistently across all the participants and conditions. - Keeping the testing situation as free from the contaminated influences as possible: Experiments were done in silent laboratory environment with participants sitting in an area isolated from the external distractions by black drapes. - Using a precise measurement tool: The pointing test program was capable of measuring pointing errors of about 1 degree. The questionnaires had rating scales that ranged from 0 to 10 to increase sensitivity to a range of subject responses. ### 7.4 Discussion #### 7.4.1 Participants Recollection Performance Participants on average performed recollection tasks equally well in all the locomotion conditions with a low recollection error of about 20%. This means that all the techniques are equally capable of providing enough landmark knowledge. This result is compatible with the work of Gaunet et al. (2001) as it demonstrated that participants’ scene recognition ability is not affected by the passive smooth transition (similar to our video condition but with computer-generated graphics) or passive snapshot exploration (similar to our slide show condition but with computer-generated graphics) of the environment. The similar recollection performance in all the three locomotion conditions can be because participants are more likely to pay attention to the front view than side views so there is no practical difference between the panoramic and non-panoramic conditions. Or, as Mallot and Gillner (Mallot & Gillner, 1999) explained, participants do not recognize places as panoramic views or a configuration of objects for route reconstruction, but they recognize an individual object. 7.4.2 Participants General Performance in the Pointing Task Participants on average performed pointing tasks very poorly in all the locomotion conditions. The average values of absolute ego-orientation error, configuration error, and absolute pointing error vary but are approximately 45 degrees in all the conditions. If a participant performed all the pointings on a completely random basis, the expected value for his/her absolute pointing errors would be 90 degrees respectively. Therefore, an average error of about 45 degrees does not demonstrate total disorientation. However, it does not show a good sense of orientation either. It should be noted that one or two individuals performed much better than the average. As noted above, the participants’ poor average performance and their post-experiment comments, led us to believe that the task was generally difficult relative to the quality and type of directional knowledge that our virtual tours provided for the participants. The pointing task included pointing to all the other intersections from three locations on a relatively long route involving a sequence of six intersections. Therefore, in addition to landmark and route knowledge, participants were required to obtain partial survey knowledge in order to complete the pointing task well. For example, when participants were pointing from the end point of the route to the beginning points of the route, they had to refer to their mental map of the whole route. This is why they attempted to imagine the whole route or draw it using their fingers on the laptop surface as mentioned in their comments. However, due to several problems, participants had a difficult time obtaining and picturing this map. One important problem causing poor directional performance could be related to the low graphic quality. Meijer et al. (2009) demonstrated that visual realism can significantly affect participants' knowledge of the spatial layout and routes in an environment. Although our proposed virtual tours utilized photo-realistic techniques, many participants reported a failed attempt to perceive the environments realistically because of the low image resolution. The other problem can be that the routes were long and lacking in distinctive landmarks and so the task was highly dependent on the memory. Anyhow, this poor average directional performance demonstrates that most of the participants did not acquire survey knowledge. 7.4.3 Comparison of Participants’ Pointing Performance from Different Pointing Locations We looked at the pointing data at each pointing location separately because the choice of pointing location had a significant effect on all of the pointing errors. Apparently, participants performed significantly better at the first pointing location, which is at the beginning of the route, than at the other two pointing locations in the middle and at the end of the route. A low-medium ego-orientation error (about 25 degrees) indicates that participants had a more accurate understating of their ego-orientation at the first pointing location. A low-medium configuration error (about 22 degrees), on the other hand, indicates a lower level of variability in pointing errors and a more accurate image of the locations of other intersections relative to each other. Significantly lower mean pointing times at the first pointing location on the other hand, suggest that, on average, participants were more confident about their pointings at this location. Therefore, we can assume that it was easier for the participants to reflect their understanding of the route structure and the relative locations of the intersections from the beginning of the routes. Two of the participants actually noted this fact by commenting that pointing forward was easier than pointing backwards (refer to Section 126.96.36.199). This is not surprising as the following possible reasons suggest. One possible reason, as Satalich (1995) suggested, is that the knowledge about the relationships of places on the route (also known as route knowledge) is formed by sequential travel and is unidirectional. Consequently, a person will recall these relationships better when it is in the direction in which they learned the route. Another possible explanation can be that when participants were at the beginning point of the route, they recalled the order of intersections and actions in a forward manner (e.g. turned right at the next intersection and turned left at the intersection after that) in order to picture the structure of the route. However, at the end point of a route, they tried to recall this sequence in backward order. Empirical support has showed that recalling a memory list in backward order is more cognitively demanding than recalling it in forward order; thus, performance in a concurrent task decreases when the memory list is recalled in backward order (Vrij et al., 2008). As a third explanation, some research illustrated that the spatial mind is orientation-dependent; that is, people recognize spatial relations between objects more efficiently from some perspectives than from others (McNamara et al., 2008). Finally, specifically in the case of our study, there is a higher chance for participants to confuse their self-orientation at the second pointing location because it is one of the four intersections along the route. However, they were most likely better at recognizing the location and orientation at both the beginning and end point of the route, as there was only one beginning and end point for each route. The slightly smaller – though not significant – pointing errors at the third pointing location (i.e., end point of the route) compared to the second pointing location (i.e., a middle point of the route) can be taken as support for this assumption. This phenomenon may also be explained by the primacy-recency effect (Sousa, 2006) which asserts that, during a learning episode, people best recall items which come first (primacy), second best the items which come last (recency), and third best the items which come in the middle. 7.4.4 Comparison of Participants’ Pointing Performance with Different Locomotion Techniques In contradiction to what we predicted in our second hypothesis, participants on average did not perform pointing tasks any differently in the three different locomotion conditions. However, considering the difficulty of the task (discussed earlier) and the high average absolute ego-orientation error and configuration error at the second and third pointing locations, we suspect that the pointing data is mixed with a considerable amount of random data. If so, this part of the data only represents participants’ inability to complete the pointing task in any of the locomotion conditions, but does not provide any reliable comparisons between the different techniques. Thus, a replication of this study that carefully removes this problem could identify differences between locomotion techniques. This possible future study is explained in more details in Section 7.5. Despite the similar behavioural results in all the locomotion conditions, participants reported having a different quality of experience in each locomotion condition considering the sense of presence, difficulty of performing the pointing task and their personal evaluations. Introspective results demonstrated that participants reached a significantly higher sense of presence during navigation in the panoramic video tour as predicted by our fourth hypothesis. Participants’ sense of presence was assessed from their answers to the presence questionnaire which contained questions about the reality of their experience, its consistency with the real world experience, feeling of being surrounded by the virtual environment, and sense of being in that environment. On the other hand, in their comments, participants complained about the unrealistic looking images and the unnatural chair-based interface. However, panoramic video with the surrounding view images and smooth video movement seems to have had reduced the effects of these barriers better than the other two locomotion techniques. Although we observed a higher sense of presence in panoramic video, participants’ navigational knowledge acquisition performance in this condition was not any better. This can be explained by the fundamental assumption of the dual task measurements of presence (see Section 3.3.3 for more details): since participants needed to devote a greater part of their attentional resources to vision control, physical rotation, and distraction handling in panoramic video, they reached a higher sense of presence, but had fewer attentional resources left for learning the specific structure and composition of route elements. However, there is no strong argument regarding the type and strength of the relationship between the subjective sense of presence and navigation performance in the literature (Nash et al., 2000). On average, participants rated the pointing task to be easier in the panoramic video and regular video conditions than in the slide show condition partially confirming our fifth hypothesis. However, in a somewhat contradictory manner, they complained about having serious problems with the panoramic views. They related these problems to the difficulties keeping track of the straight-ahead direction, which resulted in difficulty in understanding the turn directions and learning the routes. Therefore, it appears that the high update rate of the panoramic views (10 fps) provided by the video display compensates for the difficulties of tracking the straight-ahead view. Consequently, the slide show technique is identified as the most difficult locomotion technique for obtaining survey knowledge in passive navigations. This is not surprising as the problem of losing track of the straight-ahead view can produce misunderstanding of the turning directions, especially when there is no optic flow indicating the turn. Some researchers such as Witmer and Singer (1998) suggest that if a task is more difficult and needs greater attention, it increases the sense of presence. However we observed a contradictory pattern in our experiment. Participants had the most difficulty learning the environment in the slide show tour, but they had the most sense of presence in the panoramic video tour. This can be because when the difficulty of the task exceeds a specific level, participants lose their motivation and engagement. This can also be because participants’ answers to the ‘difficulty’ question are not as reliable as their answers to the presence questionnaire as there was only one question about the difficulty of task in the post questionnaire, while there were several questions (i.e. six questions selected from Igroup presence questionnaire) in the presence questionnaire. 7.4.5 Gender Difference in Pointing Performance Finally, we observed a gender difference in the pointing performance so that males performed generally better than females. This is consistent with the reliable differences between males and females’ strategies and cognitive abilities in wayfinding tasks reported in the literature (Kim et al., 2007; Cushman et al., 2005; Lawton, 1994). However, we cannot rely on the details of gender effects observed in this study, since the number of participants was too limited for this purpose. 7.5 Future Work This thesis has reported on an initial exploration of the use of panoramic video to create virtual environments. The work has focused on how experiments can be designed to evaluate the effectiveness of such virtual environments. Although the particular experimental setup that we designed and implemented did not prove to be directly useful for evaluating the virtual environments we attempted to create, we learned a lot about the problem and we are now in a position to set out a more effective approach. We will first discuss the problems with our current experimental approach and then propose a better approach that could be implemented in the future. 7.5.1 Problems with the Current Experimental Design As discussed above, our experiment attempted to get measures of the spatial knowledge that subjects gained from three different types of virtual tour of the physical environment. The biggest problem with the experiment in general was that the pointing task used to evaluate this knowledge was just too hard. The task was perceived to be too difficult by the participants for several possible reasons: (1) Participants had to depend highly on their memory in order to learn the long and complex routes, (2) Although the pointing task required survey knowledge, people with average spatial abilities are not likely to obtain survey knowledge after two identical route traversals in a large-scale environment, (3) Putting participants in a random place on the route is not natural, since, in the real world, people actually move through the environment in order to reach any location. Another problem which could have contributed to not finding performance differences between panoramic video and the other modalities, results from the failure of our assumption that increased engagement, visual information, and realness in panoramic video leads to an increase in participants’ performance in acquiring directional knowledge. In other words, we assumed that the panoramic view would provide an increased amount of visual information; in combination with the interactive chair and the smoothness of movement in video, we expected it to increase engagement and the realness of the experience. However, in reality, several major problems worked against this assumption. First of all, the low quality of the images (especially panoramas because of the stitching traces) highly reduced the value of increased visual information. Secondly, the interactive chair was perceived to be more distractive and unnatural than engaging. Additionally, the difference between the participants’ physical FOV (45 degrees) and virtual FOV (90 degrees) may have contributed to an unnatural perception of the panoramic video experience and confusion in using body-based cues for sensing directions. It appears that participants failed to take advantage of the panoramic video features in general, as they reported using it in the same way that they used regular video. The third problem involves the strategies that participants developed for completing the task. Apparently the only strategy that most participants utilized was to remember the intersections and the associated actions as they reported in the post experiment questionnaire. This is most likely because the virtual tour navigation was passive and did not involve any searching or path selection. Also the pointing task was predictable and did not necessarily require any searching or interaction with the panoramas. We observed and participants reported that except for when they were passing by the turns they did not interact with the panoramic view that much. Considering the issues involved with the interactions (discussed earlier) it appears that the costs of using the interactions provided in panoramic video were too high to let people get engaged in the interactions. The final problem relates to the insufficiency of the information that our experimental results provide to illuminate: (1) the relationship between the participants’ behaviour in the tasks and the final conclusions, (2) the relationship between the different levels of directional knowledge and the efficiency of the three different locomotion techniques. The relationship between the participants’ behaviour in the tasks and the final conclusions is not clear to us. For example, in our experimental design the recollection task was separated from the pointing task. Therefore, when participants made a high pointing error, we could not judge if it is because they did not even recognize where they were or because they had obtained a distorted image of the environment. Similarly, we have no means to identify if a huge pointing error is the result of a random pointing or a misunderstanding of the environment. The relationship between the different levels of directional knowledge and the efficiency of the three different locomotion techniques is not clear as our experiment was designed to discretely assess the lowest and highest levels of navigational knowledge, landmark recognition and survey knowledge. Therefore, our experiment did not clearly assess the other possible levels of navigational knowledge in-between landmark and survey knowledge such as route knowledge. Based on the results, we know that all the three techniques were equally good for landmark recognition and equally poor for survey knowledge. However, it is not transparent at what level during this wide range of navigational knowledge, a specific technique possibly started or stopped being more efficient than the others. After we observed significantly lower errors participants made when pointing from the first pointing location (as discussed in Section 7.4.3) we performed separated inferential analysis on the pointing data collected at each specific pointing location. Results of these analyses (described in Appendix F) showed that at the first pointing location --where the pointing task is easier-- participants performed significantly better in the regular video condition than the other two conditions. At the second and third pointing locations --where the pointing task is harder to do -- no significant difference between the locomotion techniques was found. We do not emphasize the significantly better efficiency of regular video as a reliable outcome of this study because this analysis carries a high chance of type 1 error. However, we are confident that an improved experimental method that increases both the directional information and task difficulty in a transparent stage-wise manner would find significant differences between the three different locomotion techniques. 7.5.2 A Possible Follow-on Study Design In order to design a study that would allow us to effectively evaluate panoramic video in comparison to panoramic slides and regular video as the basis for virtual environments it is necessary to devise tasks substantially easier than that in the present study but not so easy that all subjects achieve high performance in all conditions. There are a number of aspects that will affect the difficulty of the tasks. To address the problem with the difficulty of memorizing routes and developing survey knowledge, routes need to be shorter and less complex. Also, we can use multiple (e.g. two) routes that overlap, interconnect, and/or make a loop. In this way, participants have the chance to pass by some landmarks from multiple directions and update their mental image of the environment. It would also be helpful if there were clear landmarks that are easy to identify and remember on all routes. To address the issues with the difficulty of pointing task a solution is to move participants through the environment to reach the pointing location. To address the final problem discussed in the previous section, we need to design tasks for each level of directional knowledge as well as to combine recollection and pointing task. Also, the virtual tours need to give participants room to take advantage of the available features in each locomotion technique and develop knowledge acquisition strategies. Considering all these concerns a possible experimental design solution would: - Have both passive and active navigations. This can be a between-subject variable; • Use two short routes that have common clearly identifiable landmarks (or intersections) such as the ones in Figure 10; and • have a supplementary data collection method such as map drawing. Based on this, a possible experimental procedure for the participants in the passive group would be: 1. Participants traverse the route ‘abcde’ (see Figure 10). During the traversal, at each intersection the video (or slide show) stops for few seconds to let participants learn the place. 2. Participants perform the recollection and pointing tasks so that they start from the beginning of the route. They are then shown four landmark pictures on top of the screen. Two of the pictures are from the landmarks placed at the next interaction, one in the front view and the other in the side views. The other two landmarks are from other places. Participants are supposed to select the next landmark as they remember it. They then need to specify the direction to take in order to get to the next landmark and also estimate the direction to all the other landmarks. After completing a similar task at each intersection, participants are moved to the next intersection on the route until they get to the end of the route. Instead of pointing randomly, participants can skip pointing if they cannot make any estimate of directions. Finally they draw the map of the route. 3. Now, participants traverse route ‘abcde’ and ‘efcga’ and perform the similar recollection and pointing tasks for this route. Then they draw the map of the two routes integrated. The procedure for the participants in the active group would be: 1. Participants start from the beginning point ‘a’. They travel along the route ‘abcde’ so that they can control the speed and direction of navigation on the route (they are not yet given options to move to the route ‘agcfe’). 2. Then participants perform the recollection and pointing task as explained for the passive group. 3. Now participants can travel along both routes and select any of the possible directions (i.e. four directions at the point ‘c’ and two directions at the points ‘a’, ‘b’, ‘d’, ‘f’ and ‘g’). After they finish navigation they perform the recollection and pointing tasks again. Finally they draw a map of the environment. Figure 10: route design for a possible future study. In order to keep both groups spending almost the same amount of time learning the environment, participants in the active group need to be carefully instructed about how many landmarks they need to visit in total, how much time they have and how much time on average they can spend on making decisions at each intersection. Since we are interested in the differences between the locomotion techniques, the study can be broken into two studies, one for passive navigation, and the other for the active navigation. Another alternative to this design would be to have three groups of participants for passive, semi-active and active navigation. In the semi active navigation they cannot control the speed of video but can stop at the intersections and choose their next step. In the active navigation, they can control the speed at any moment during the navigation. Other detailed logistics of the experimental design have to be addressed by the future researcher. Results of such an experiment should be analysed at several levels. Locomotion techniques can be assessed by looking at landmark knowledge, route knowledge and survey knowledge data separately. For example, by looking at how participants select the next landmarks on the route (using front view landmark or side view landmark), we realize how useful a panoramic view is for the obtaining landmark knowledge. Locomotion techniques can also be compared by looking at how many participants progressed from landmark knowledge to route knowledge and to survey knowledge in each condition. Finally, for any similar future study, we suggest removing the interactive chair and using a HMD with equal physical and virtual FOV presented in each view in order to remove the barriers in experiencing a natural interaction with the panoramas. If the budget permits, we strongly advise increasing the quality of images and the frame rate of video. These will automatically improve stitching quality with the current image stitching programs. 7.5.3 More Possible Future Studies Besides the experiment explained in the last section, other paths to take for future research include: - To remove the slide show conditions as it raised the most complaints of participants and so we know it as the worst technique based on the results of this study. Then, panoramic video and regular video can be compared in more details. Or - To compare the three conditions of panoramic video, regular video, and regular video with panoramic views only at the intersections (or landmarks). 8: CONCLUSIONS All three locomotion techniques are equally capable of providing sufficient landmark knowledge; however, on average, they afford inadequate directional knowledge relative to what is required for participants to perform well in the orientation tasks. Regardless of the type of locomotion technique, participants formed an orientation-dependent spatial knowledge of the environment, as their pointing performance was better at the first pointing location than the second and third pointing locations. Apparently, most of the participants did not develop successful survey knowledge possibly because of the long routes and the lack of active exploration or good visual realism. This incomplete survey knowledge is highly evident in participants’ poor and random pointings performed at the middle and end points of the routes. Therefore, no strong conclusion about the distinctions between different locomotion techniques in providing survey knowledge can be drawn based on this study. In the scope of our study, panoramic video surprisingly offered no advantage over the regular video or slide show. However, it is much more labour intensive and expensive to create. This implies that, for tasks involving only the passive learning of a specific route, there is no need to spend time, money and special technologies for creating panoramic video. However, when it comes to more complex tasks (obtaining survey knowledge), panoramic video did not work significantly worse than slide show or regular video despite participants' lack of previous experience with panoramic video. Although most of the participants were familiar with regular video (e.g., from watching regular movies) and slide shows (e.g., from Google street view), neither of them worked better than panoramic video. This demonstrates the high compatibility of the panoramic video and its potential for future uses. This potential plus the power of panoramic video to offer sense of presence, provides a motivation for the assessment of panoramic video in active exploration tasks or navigational tasks that require searching and engagement. APPENDICES Appendix A: General Post-questionnaire Q1. Please answer the following in the space provided - Name (optional): - Age: - Gender: - Occupation (or field of study): - Experiment code: Q2. How often do you use the computer? (in hours/day) Q3. Do you play 3D video games? (Especially 3D games) - Yes - No Q4. If yes, how many hours/day do you play on average? Q5. Have you used Google street view? - Yes - No Q6. If yes, how often? If no, have you used anything similar? Q7. Have you been exposed to panoramic images? If yes, how often? Q8. How did you solve the task? Did you use any strategies? Q9. What did you think of the chair-based rotation interface? Q10. How difficult was the pointing task in the panoramic video condition for you? (0=very easy, 10=very difficult) Q11. How difficult was the pointing task in the normal video condition for you? (0=very easy, 10=very difficult) Q12. How difficult was the pointing task in panoramic slideshow condition for you? (0=very easy, 10=very difficult) Q13. What was difficult about the task? Why? Please elaborate. Q14. How would you rate your every day spatial orientation/sense of direction? (0=rather poor, 10= quite good) Q15. How would you rate your ability to visualize an environment based on a 2D image? (0=rather poor, 10=quite good) Q16. How well do you usually remember a new route after you have traveled it only once? (0=not so well, 10=very well) Q17. Are you easily disturbed when working on a task? (0=very easily, 10=not easily) Q18. How good are you at blocking out external distractions when you are involved in something? (0=poor, 10=quite good) Q19. Do you easily become deeply involved in movies or TV dramas? Q20. Do you ever become so involved in a video game that it is as if you are inside the game rather than moving a joystick and watching the screen? Q21. Are you familiar with any of the routes followed? - Yes - No Q22. Did anything bother you during the experiment? Q23. Which of the locomotion techniques did you like the most for virtual tour navigation? - Panoramic Video - Panoramic Slide Show - Regular Video Q24. Any suggestions about what to change? Q25. Any other comments? Appendix B: Sense of Presence Questionnaire Q1. How well do you agree with this statement: "In the virtual tour I had a sense of being there". (0=disagree, 10=totally agree) Q2. How well do you agree with this statement: "Somehow I felt that the virtual world surrounded me". (0= disagree, 10= totally agree) Q3. How much did your experience in the virtual environment seem consistent with your real world experience? (0= inconsistent, 10=Quite consistent) Q4. I had a sense of acting in the virtual space, rather than operating something from outside? (0=disagree, 10=totally agree) Q5. How real did the virtual world seem to you? (0= unreal, 10= quite real) Q6. How aware were you of the real world surrounding while navigating in the virtual world? (i.e., sounds, room temperature, other people, etc.)? ## Appendix C: Participants’ Demographic Description ### Table 3: Demographics of the study participants \| Participant Number \| Age \| Gender \| Occupation \| How often do you use computers? \| Do you play 3D video games? How often? \| Do you use Google street view? How often? \| Have you been exposed or worked with panoramic images? \| Spatial Ability (out of 10) \| Immersion Ability (out of 10) \| \|--------------------\|-----\|--------\|-----------------------------\|---------------------------------\|---------------------------------------\|------------------------------------------\|------------------------------------------------------\|-----------------------------\|-------------------------------\| \| 1 \| 26 \| Female \| SIAT Grad Student \| 5 \| No \| Just a couple of times \| No \| 2.7 \| 3.8 \| \| 2 \| 25 \| Male \| Education Grad Student \| 4 \| Yes1 hr per day \| Once a month \| No \| 3 \| 4 \| \| 3 \| 23 \| Female \| Computing Science Grad Student \| 5 \| No \| Most of the times \| No \| 4.3 \| 6.5 \| \| 4 \| 23 \| Male \| Science Undergrad Student \| 5 \| Yes1 hr per day \| More than 50 times \| More than 100 times \| 5 \| 4.3 \| \| 5 \| 24 \| Female \| Mechatronics Grad Student \| 14 \| No \| Four or five times a month \| Rarely \| 5 \| 5.5 \| \| 6 \| 25 \| Female \| Computing Science Grad Student \| 7 \| No \| Rarely \| Rarely \| 5.3 \| 3.5 \| \| 7 \| 25 \| Male \| Mechatronics Grad Student \| 7 \| No \| Rarely \| No \| 6.3 \| 7.3 \| \| \| Age \| Gender \| Major \| Hours \| Worked \| Frequency \| Response \| 6.3 \| 5.3 \| \|---\|-----\|--------\|-------------------------------\|-------\|--------\|---------------------------\|---------------------------\|-----\|-----\| \| 8 \| 25 \| Female \| SIAT Undergrad Student \| 10 \| No \| Only couple times \| Rarely \| 6.3 \| 5.3 \| \| 9 \| 39 \| Male \| Computers/Theatre/Misc \| 8 \| No \| Once a month \| Yes, created some myself \| 6.3 \| 5.3 \| \| 10\| 40 \| Male \| SIAT Grad Student \| 8 \| No \| Once per two-three months \| Rarely \| 6.3 \| 5.5 \| \| 11\| 25 \| Female \| Education Grad Student \| 5 \| No \| At least once a week \| Sometimes \| 7 \| 6.8 \| \| 12\| 26 \| Female \| Human Geography Grad Student \| 5 \| No \| Just tried it once or twice at all \| Rarely \| 7 \| 4 \| \| 13\| 25 \| Male \| Computer Science Grad Student \| 10 \| No \| Once or twice a week \| Sometimes \| 7.3 \| 7.8 \| \| 14\| 30 \| Female \| SIAT, PhD Student \| 6 \| No \| Twice a month \| Sometimes \| 7.7 \| 6.3 \| \| 15\| 26 \| Male \| SIAT Grad Student \| 5 \| Yes1 hr per day \| Once or twice a week \| Sometimes \| 7.7 \| 7 \| \| 16\| 24 \| Male \| Computer Science Grad Student \| 15 \| No \| Only couple of times \| Rarely \| 8 \| 5.5 \| \| 17\| 26 \| Male \| Mechatronics Grad Student \| 6 \| No \| Very often \| Yes, Very often \| 7.5 \| 6 \| \| 18\| 29 \| Female \| SIAT Grad Student \| 10 \| No \| Rarely \| Rarely \| 4.5 \| 5.5 \| Appendix D: Tables for Descriptive Statistics of Behavioural Data Table 4: Descriptive statistics of the absolute ego-orientation errors \| Trial \| Locomotion Technique \| N \| Mean \| Std Dev \| Median \| %25 Quantile \| \|-------\|----------------------\|-----\|------\|--------\|--------\|--------------\| \| 1 \| Panoramic Video \| 54 \| 48.2 \| 41.6 \| 33.5 \| 15 \| \| 1 \| Regular Video \| 54 \| 50.3 \| 54.4 \| 25.5 \| 10 \| \| 1 \| Slide Show \| 54 \| 47.5 \| 48.0 \| 28.5 \| 8 \| \| 2 \| Panoramic Video \| 54 \| 33.3 \| 42.4 \| 15 \| 5 \| \| 2 \| Regular Video \| 54 \| 32.8 \| 34.2 \| 20 \| 8 \| \| 2 \| Slide Show \| 54 \| 38.4 \| 45.4 \| 17 \| 7 \| Table 5: Descriptive statistics of the configuration errors \| Trial \| Locomotion Technique \| N \| Mean \| Std Dev \| Median \| %25 Quantile \| \|-------\|----------------------\|-----\|------\|--------\|--------\|--------------\| \| 1 \| Panoramic Video \| 54 \| 37.7 \| 19.5 \| 33 \| 21.5 \| \| 1 \| Regular Video \| 54 \| 38.1 \| 21.2 \| 34.5 \| 19.8 \| \| 1 \| Slide Show \| 54 \| 36.9 \| 18.4 \| 34 \| 20 \| \| 2 \| Panoramic Video \| 54 \| 28.4 \| 19.8 \| 21 \| 13.8 \| \| 2 \| Regular Video \| 54 \| 29.0 \| 19.3 \| 25 \| 12 \| \| 2 \| Slide Show \| 54 \| 29.2 \| 18.1 \| 27 \| 13 \| Table 6: Descriptive statistics of the absolute pointing errors \| Trial \| Locomotion Technique \| N \| Mean \| Std Dev \| Median \| %25 Quantile \| \|-------\|----------------------\|-----\|------\|--------\|--------\|--------------\| \| 1 \| Panoramic Video \| 54 \| 53.3 \| 33.7 \| 42.5 \| 25.5 \| \| 1 \| Regular Video \| 54 \| 55.0 \| 39.7 \| 51 \| 19.8 \| \| 1 \| Slide Show \| 54 \| 53.6 \| 38.2 \| 48 \| 21 \| \| 2 \| Panoramic Video \| 54 \| 38.5 \| 34.7 \| 21.5 \| 13 \| \| 2 \| Regular Video \| 54 \| 38.5 \| 31.3 \| 27.5 \| 12.8 \| \| 2 \| Slide Show \| 54 \| 43.3 \| 36.0 \| 34.5 \| 13 \| Table 7: Descriptive statistics of the pointing times \| Trial \| Locomotion Technique \| N \| Mean \| Std Dev \| Median \| %25 Quantile \| \|-------\|----------------------\|-----\|------\|---------\|--------\|--------------\| \| 1 \| Panoramic Video \| 54 \| 12.8 \| 13.4 \| 7.5 \| 3.9 \| \| 1 \| Regular Video \| 54 \| 11.1 \| 10.8 \| 6.4 \| 4.3 \| \| 1 \| Slide Show \| 54 \| 8.4 \| 6.7 \| 6.2 \| 4.5 \| \| 2 \| Panoramic Video \| 54 \| 9.1 \| 9.2 \| 6.3 \| 3.8 \| \| 2 \| Regular Video \| 54 \| 9.2 \| 6.7 \| 7.2 \| 4.3 \| \| 2 \| Slide Show \| 54 \| 7.7 \| 6.0 \| 6.1 \| 3.6 \| Table 8: Descriptive statistics of the recollection errors \| Trial \| Locomotion Technique \| N \| Mean \| Std Dev \| Median \| %25 Quantiles \| \|-------\|----------------------\|-----\|------\|---------\|--------\|--------------\| \| 1 \| Panoramic Video \| 18 \| 26.8 \| 17.1 \| 25 \| 14.6 \| \| 1 \| Regular Video \| 18 \| 28.7 \| 19.4 \| 25 \| 16.7 \| \| 1 \| Slide Show \| 18 \| 19.9 \| 12.8 \| 16.7 \| 8.3 \| \| 2 \| Panoramic Video \| 18 \| 18.0 \| 17.0 \| 12.5 \| 6.2 \| \| 2 \| Regular Video \| 18 \| 18.1 \| 11.5 \| 20.9 \| 8.3 \| \| 2 \| Slide Show \| 18 \| 17.6 \| 11.4 \| 16.7 \| 8.3 \| Table 9: Descriptive statistics of the recollection times \| Trial \| Locomotion Technique \| N \| Mean \| Std Dev \| Median \| %25 Quantiles \| \|-------\|----------------------\|-----\|------\|---------\|--------\|--------------\| \| 1 \| Panoramic Video \| 18 \| 7.3 \| 4.6 \| 5.8 \| 3.9 \| \| 1 \| Regular Video \| 18 \| 5.7 \| 2.4 \| 5.2 \| 4.2 \| \| 1 \| Slide Show \| 18 \| 6.2 \| 2.3 \| 6 \| 4.4 \| \| 2 \| Panoramic Video \| 18 \| 5.8 \| 3.6 \| 5.1 \| 3.3 \| \| 2 \| Regular Video \| 18 \| 5.0 \| 2.5 \| 4.1 \| 3.3 \| \| 2 \| Slide Show \| 18 \| 4.5 \| 2.4 \| 3.5 \| 2.9 \| Appendix E: Tables for Inferential Analysis of Behavioural Data The following tables summarize the results of the mixed-model analysis and post-hoc tests on the pointing errors. All the statistics are performed at the .05 alpha level. DF is the degrees of freedom of the numerator and DF Den is the degrees of freedom of the denominator of the F ratio. Table 10: Tests of fixed effects on the absolute ego-orientation errors using mixed-model analysis \| Source \| DF \| DF Den \| F \| Sig. \| \|-------------------------------\|------\|--------\|-------\|------\| \| Trial \| 1 \| 51 \| 11.766\| .001 \| \| Locomotion \| 2 \| 31.52 \| .088 \| .916 \| \| Pointing Location \| 2 \| 204 \| 14.858\| .000 \| \| Trial * Locomotion \| 2 \| 51 \| .371 \| .692 \| \| Trial * Pointing Location \| 2 \| 204 \| .228 \| .796 \| \| Locomotion * Pointing Location\| 4 \| 204 \| 1.633 \| .167 \| \| Trial * Locomotion * Pointing Location \| 4 \| 204 \| .498 \| .737 \| Table 11: Pairwise comparisons of pointing locations regarding the mean absolute ego-orientation error, using Tukey’s HSD criterion \| Pointing Location (I) \| Least Sq Mean \| Std Error \| Pointing Location (J) \| Significance (p value) \| \|-----------------------\|---------------\|-----------\|-----------------------\|------------------------\| \| 1 \| 25.833 \| 5.907 \| 2 \| < .05 \| \| 2 \| 43.722 \| 5.907 \| 3 \| >.05 \| \| 3 \| 55.685 \| 5.907 \| 1 \| < .05 \| Table 12: Tests of fixed effects on the configuration errors using mixed-model analysis \| Source \| DF \| DF Den \| F \| Sig. \| \|--------\|------\|--------\|-------\|------\| \| Trial \| 1 \| 51 \| 42.048\| .000 \| \| Locomotion \| 2 \| 31.27 \| .013 \| .987 \| \| Pointing Location \| 2 \| 204 \| 55.373 \| .000 \| \|-------------------\|-----\|-----\|--------\|------\| \| Trial * Locomotion\| 2 \| 51 \| .155 \| .856 \| \| Trial * Pointing Location \| 2 \| 204 \| .726 \| .485 \| \| Locomotion * Pointing Location \| 4 \| 204 \| 1.317 \| .265 \| \| Trial * Locomotion * Pointing Location \| 4 \| 204 \| .323 \| .863 \| Table 13: Pairwise comparisons of pointing locations regarding the mean configuration error, using Tukey’s HSD criterion \| Pointing Location (I) \| Least Sq Mean \| Std Error \| Pointing Location (J) \| Significance (p value) \| \|-----------------------\|---------------\|-----------\|-----------------------\|-----------------------\| \| 1 \| 21.639 \| 2.873 \| 2 \| < .05 \| \| 2 \| 41.176 \| 2.873 \| 3 \| >.05 \| \| 3 \| 36.796 \| 2.873 \| 1 \| < .05 \| Table 14: Tests of fixed effects on the absolute pointing errors using mixed-model analysis \| Source \| DF \| DF Den \| F \| Sig. \| \|-------------------------------\|----\|--------\|------\|------\| \| Trial \| 1 \| 51 \| 24.299 \| .000 \| \| Locomotion \| 2 \| 28.39 \| .163 \| .850 \| \| Pointing Location \| 2 \| 204 \| 27.402 \| .000 \| \| Trial * Locomotion \| 2 \| 51 \| .435 \| .649 \| \| Trial * Pointing Location \| 2 \| 204 \| .308 \| .735 \| \| Locomotion * Pointing Location\| 4 \| 204 \| 1.387 \| .239 \| \| Trial * Locomotion * Pointing Location \| 4 \| 204 \| .967 \| .426 \| Table 15: Pairwise comparisons of pointing locations regarding the mean absolute pointing error, using Tukey’s HSD criterion \| Pointing Location (I) \| Least Sq Mean \| Std Error \| Pointing Location (J) \| Significance (p value) \| \|-----------------------\|---------------\|-----------\|-----------------------\|-----------------------\| \| \| Pointing Time (ms) \| Std Error \| DF \| Sig. \| \|---\|-------------------\|-----------\|----\|------\| \| 1 \| 30.69 \| 5.30 \| 2 \| < .05\| \| 2 \| 52.95 \| 5.30 \| 3 \| >.05 \| \| 3 \| 57.47 \| 5.30 \| 1 \| < .05\| Table 16: Tests of fixed effects on the pointing times using mixed-model analysis \| Source \| DF \| DF Den \| F \| Sig. \| \|-------------------------------\|----\|--------\|------\|------\| \| Trial \| 1 \| 51 \| 5.92 \| .018 \| \| Locomotion \| 2 \| 31.5 \| 2.33 \| .114 \| \| Pointing Location \| 2 \| 204 \| 32.25\| .000 \| \| TrialLocomotion \| 2 \| 51 \| .99 \| .377 \| \| Trial Pointing Location \| 2 \| 204 \| 1.06 \| .349 \| \| Locomotion * Pointing Location\| 4 \| 204 \| .82 \| .510 \| \| Trial * Locomotion * Pointing Location \| 4 \| 204 \| 1.26 \| .285 \| Table 17: Pairwise comparisons of pointing locations regarding the mean pointing time using Tukey’s HSD criterion \| Pointing Location (I) \| Least Sq Mean \| Std Error \| Pointing Location (J) \| Significance (p value) \| \|-----------------------\|---------------\|-----------\|------------------------\|------------------------\| \| 1 \| 5.26 \| 1.26 \| 2 \| < .05 \| \| 2 \| 13.52 \| 1.26 \| 3 \| < .05 \| \| 3 \| 10.42 \| 1.26 \| 1 \| < .05 \| Table 18: Tests of fixed effects on the recollection errors using mixed-model analysis \| Source \| DF \| DF Den \| F \| Sig. \| \|--------\|----\|--------\|------\|------\| \| Trial \| 1 \| 67.56 \| 8.607\| .005 \| \| Locomotion \| 2 \| 57.38 \| 1.191\| .311 \| \| Source \| DF \| DF Den \| F \| Sig. \| \|-------------------------\|-----\|--------\|-------\|------\| \| Trial \| 1 \| 64.15 \| 7.734 \| .007 \| \| Locomotion \| 2 \| 69.37 \| 1.122 \| .332 \| \| Trial * Locomotion \| 2 \| 64.15 \| .408 \| .666 \| Appendix F: Tables for Inferential Analysis of Behavioural Data for the First Pointing Location The following tables summarize the results of the mixed-model analysis and post-hoc tests for pointing errors collected at the first pointing location. All the statistics are performed at the .05 alpha level. DF is the degrees of freedom of the numerator and DF Den is the degrees of freedom of the denominator of the F ratio. Table 20: Tests of fixed effects on the pointing errors and pointing times, for the first pointing location using mixed-model analysis \| Error \| Source \| DF \| DF Den \| F ratio \| Sig. \| \|------------------------------\|-----------------\|------\|--------\|---------\|------\| \| Absolute Ego-orientation Error \| Trial \| 1 \| 85 \| 6.913 \| .010 \| \| \| Locomotion \| 2 \| 85 \| 69.760 \| .000 \| \| \| TrialLocomotion\| 2 \| 85 \| 1.383 \| .256 \| \| Configuration Error \| Trial \| 1 \| 51 \| 10.895 \| .002 \| \| \| Locomotion \| 2 \| 31.34 \| .937 \| .402 \| \| \| TrialLocomotion\| 2 \| 51 \| .554 \| .554 \| \| Absolute Pointing Error \| Trial \| 1 \| 85 \| 8.744 \| .004 \| \| \| Locomotion \| 2 \| 85 \| 44.931 \| .000 \| \| \| TrialLocomotion\| 2 \| 85 \| 2.115 \| .127 \| \| Pointing Time \| Trial \| 1 \| 51 \| 1.421 \| .239 \| \| \| Locomotion \| 2 \| 30.92 \| .319 \| .729 \| \| \| TrialLocomotion\| 2 \| 51 \| .566 \| .571 \| Table 21: Pairwise comparisons of locomotion techniques regarding the mean absolute ego-orientation error at the first pointing location, using Tukey’s HSD criterion \| Locomotion Technique (I) \| Least Sq Mean \| Std Error \| Locomotion Technique (J) \| Sig. \| \|--------------------------\|---------------\|-----------\|--------------------------\|------\| \| Panoramic Video \| 31.14 \| 4.17 \| Regular Video \| < .05\| \| Locomotion Technique (I) \| Least Sq Mean \| Std Error \| Locomotion Technique (J) \| Sig. \| \|--------------------------\|---------------\|-----------\|--------------------------\|------\| \| Panoramic Video \| 33.30 \| 4.35 \| Regular Video \| < .05\| \| Regular Video \| 26.44 \| 4.83 \| Slide Show \| > .05\| \| Slide Show \| 32.34 \| 5.34 \| Panoramic Video \| > .05\| Table 22: Pairwise comparisons of locomotion techniques regarding the mean absolute pointing error at the first pointing location, using Tukey's HSD criterion Appendix G: Tables for Inferential Analysis of Introspective Data Table 23: Pairwise comparisons of locomotion techniques regarding the mean participants’ subjective sense of presence, using Tukey’s HSD criterion \| Locomotion Technique (I) \| Least Sq Mean \| Std Error \| Locomotion Technique (J) \| Sig. \| \|--------------------------\|---------------\|-----------\|--------------------------\|------\| \| Panoramic Video \| 5.486 \| .418 \| Regular Video \| < .05\| \| Regular Video \| 3.745 \| .415 \| Slide Show \| > .05\| \| Slide Show \| 3.249 \| .418 \| Panoramic Video \| < .05\| Table 24: Pairwise comparisons of locomotion techniques regarding the mean difficulty of tasks, using Tukey’s HSD criterion \| Locomotion Technique (I) \| Least Sq Mean \| Std Error \| Locomotion Technique (J) \| Sig. \| \|--------------------------\|---------------\|-----------\|--------------------------\|------\| \| Panoramic Video \| 5.556 \| .551 \| Regular Video \| > .05\| \| Regular Video \| 5.667 \| .598 \| Slide Show \| < .05\| \| Slide Show \| 7.222 \| .517 \| Panoramic Video \| < .05\| Alfano, P. 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research-article 739935 research-article2017 Original Article: Empirical Research ethics, informed consent and the disempowerment of First Nation peoples Juan M Tauri University of Wollongong, Australia Abstract Recently, Indigenous commentators have begun to analyse the way in which institutional Research Ethics Boards (REBs) engage with Indigenous researchers and participants, respond to Indigenous peoples' concerns with academic research activities, and scrutinise the ethics proposals of Indigenous scholars. Of particular concern for Indigenous commentators is that the work of REBs often results in the marginalisation of Indigenous approaches to knowledge construction and dissemination, especially in relation to the vexed issue of informed consent. Based on analysis of the results of research with Indigenous researchers and research participants, this paper argues that institutionalised REBs' preference for 'universal' and 'individualised' approaches for determining ethical research conduct marginalises Indigenous approaches to ethical research conduct. The paper concludes by calling for a decolonisation of REB processes through recognition of the validity of communal processes for attaining the informed consent of Indigenous research participants. Keywords First Nations, research ethics boards, informed consent, decolonisation Introduction Recently, Indigenous commentators have begun to analyse the way in which institutional Research Ethics Boards 1 (REBs) engage with Indigenous researchers and participants, respond to Indigenous peoples' concerns with academic research Corresponding author: Juan M Tauri, Lecturer, Health and Society, Criminology, University of Wollongong, Wollongong, 2522, Australia. Email: firstname.lastname@example.org Creative Commons Non Commercial CC BY-NC: This article is distributed under the terms of the Creative Commons Attribution-NonCommercial 4.0 License (http://www.creativecommons.org/licenses/by-nc/4.0/) which permits non-commercial use, reproduction and distribution of the work without further permission 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). https://doi.org/10.1177/1747016117739935 Research Ethics 2018, Vol. 14(3) 1–14 © The Author(s) 2017 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/1747016117739935 journals.sagepub.com/home/rea activities, and scrutinise the ethics proposals of Indigenous scholars. Of particular concern for Indigenous commentators is that the work of REBs often results in the marginalisation of Indigenous approaches to knowledge construction and dissemination (Piquemal, 2000; Tauri, 2014). Informed by research with Indigenous researchers and research participants, this paper critically analyses the processes employed by REBs to assess the ethical validity of Indigenous-led research. The paper begins with an overview of the author's experience of the REB process through his attempt to obtain ethics clearance for his doctoral research on Indigenous justice. This experience led to research with Indigenous researchers and research participants on their experiences and views of REB-related processes. Based on analysis of the results of this research and engagement with the extant literature, it will be argued that institutionalised REBs' preference for 'universal' and 'individualised' approaches to judging the merit of ethics applications often results in the marginalisation of Indigenous approaches to knowledge construction, particularly in relation to the vexed issue of informed consent. The author's experience of the research ethics board process In November 2009, the author submitted the requisite research ethics application for his proposed doctoral research to the REB at the institution where he was enrolled for his doctoral studies. In preparation for submission, the author had read the background documents provided by the institution's REB on the application process. Afterwards, the author carried out a thorough community engagement process to ensure the development of protocols deemed to be 'ethical' and 'tika' (the 'right way') by his Māori and Canadian Indigenous research participants. The engagement process took place over a 16 month period via phone, email and two visits to the region of Canada where part of the research project was to take place. For the New Zealand component of the project, the author built on extensive research and engagement with Māori communities over the previous 15 years working in the academy, by seeking advice on appropriate research ethics from three prominent Māori researchers. In contrast to Indigenous research protocols (AIATSIS, 2012; Mi'kmaw Ethics Watch, 2000), the REB concerned employed a standardised, formulaic process for assessing the ethicality of a researcher and their project. It was evident from even a cursory glance at the relevant background documents issued by the REB, supplemented by communications between the author, his supervisor and members of the committee, that the focus of their ethics deliberations were less concerned with protecting potentially vulnerable research subjects, and instead on managing the 'risk' this, or any other project, provides to the reputation of the institute it represents. The REB in question had already rejected a previous version of the proposal submitted in August 2009, in which the author had critiqued the REB's privileging of individual-focused protocols for obtaining informed consent from research participants. Subsequently, the author carried out further discussions with advisors and research participants before resubmitting the application in November of that year. The revised submission offered a dual-consent process designed to enable the researcher to avoid behaving 'unethically', as that term was interpreted by Indigenous research participants in particular. The following extract from the ethics application outlines the compromise offered by the author and his supervisor to the REB concerned: All individual participants in the research will be informed of the purpose of the research either verbally, or through receipt of a written copy of the PIS [project information sheet], which will be offered to them prior to the primary researcher reading out the document…. The process required by… University will be explained to all participants, who will be informed that the requirements of the institution privileges informed consent evidenced through written, signed documents… research participants will be provided an opportunity at this stage of the process to respond to the request for written confirmation. If they consent to signing the informed consent forms, then these will be distributed to them for their analysis and signing. If they do not consent to the [REB] process then the primary researcher will acknowledge this fact in their research notes from that particular session. This extract demonstrates that collaboration with Indigenous participants was central to the development of the researcher's ethics protocols. For example, the strategy of identifying one person to confirm group consent to participation in the research, if the REB needed to seek confirmation, was suggested by two Canadian advisors after consultation with members of Elders' Councils. How this selection would be made was to be determined by the members of the group, or determined by Elders prior to engagement. Given its stated preference for individual informed consent processes, the REB's rejection of the compromise was not unexpected, and for months thereafter it continued to try to force its individual-focused informed consent process upon the researcher and his Indigenous research participants. Many more months were lost attempting to alter the approach taken by the REB, before his supervisor finally received formal sign-off for the research to proceed in April 2010. The research context In response to a contested decision made by an REB in relation to his research ethics submission for his PhD, the author included questions in his study related to the development of research ethics protocols for research involving Indigenous peoples. The questions were designed to enable the researcher to 'enquire of First Nation academics, researchers and service providers, their thoughts on the issues that arose from the debate between the author and the REB'. Of particular interest were their views on the ethics protocol developed by the author and key Indigenous advisors (in both New Zealand and Canada), and the informed consent protocol demanded by the REB. The research involved individual interviews and focus groups with Indigenous participants in both jurisdictions. In all, 12 individual interviews and four focus groups (involving 24 participants) were completed between November 2010 and October 2013. Questions were posed to participants regarding the ethics review process, including what they thought of the REB's finding that the ethics protocols they had assisted in developing for the project violated the principles the REB considered essential for carrying out ethical research with Indigenous peoples. The views and experiences of research participants form the basis for the analysis provided in the second part of this paper. In order to ensure anonymity, participants' comments are coded depending on the method used to engage with them and their geographical location. For example, focus groups are coded as CFG1 or CFG2 (Canadian focus group 1 and/or 2), while focus group participants are given a random number, an identifier known only to the researcher and the participant (for example, CFG14 for a Canadian participant, or MFG145 for a Maori participant). Individual interviewees were randomly allocated a code based on the jurisdiction the interview took place in, plus ethnicity (for example, a Māori interviewee might be delegated the 'code' MII3 – Māori, individual interview 3). In order to contextualise our analysis of the views and experiences of research participants of the ethics board processes, however, it is essential that we ground it within the developing Indigenous critique of academic, institutionalised research ethics processes. Indigenous critique of Research Ethics Boards A common theme in recent Indigenous critique of academic research has been the role of REBs in the colonising project of Western research, which contributes to the continued marginalisation of Indigenous peoples (Absolon, 2008; Glass and Kaufert, 2007; Smith, 1999; Wax, 1991). Indigenous critique of REBs covers a broad range of issues, including (but not exclusively): * Universalism: characterised by a preference of REBs for deciding the ethicality of research projects utilising processes derived from Eurocentric notions of 'right (research) conduct', and essentialist notions of what does/ does not constitute ethical research conduct (Battiste and Youngblood Henderson, 2000; Ermine, 2000; Wilson, 2004). * Lack of expertise: many REBs demonstrably lack adequate disciplinary, epistemological, methodological expertise in Indigenous research/issues, and knowledge of the socio-political context of Indigenous peoples, and yet their decisions greatly impact Indigenous scholars and their research participants (Smith, 1997; Tauri, 2014). * Individualism: privileging autonomous research participants, which leads to informed consent processes that problematise collective decision-making and informed consent protocols (Ellis and Earley, 2006; Glass and Kaufert, 2007; Piquemal, 2000; Wax, 1991). * Formulism: an over-reliance on standardised, 'tick-the-box' analyses that mask the complexity of the social context within which research takes place and confines Indigenous philosophies and practices to a narrow sub-set of standardised, heavily proscribed protocols (Hammersley, 2006). For the sake of brevity this paper will focus on the impact that the concepts and related practices of individualism and universalism are having on Indigenous researchers and Indigenous research participants. More specifically, we are particularly interested in how these concepts impact Indigenous research practice 'in the real world' including the vexed, complex issue of informed consent. Universalism, individualism and institutional empowerment Indigenous scholars and Indigenous research participants have identified universalism as an especially problematic issue arising from their engagement with REBs (Menzies, 2004; Tauri, 2014). In the REB context, the operationalisation of universalism is often based on the ideological belief that, with a little tweaking to make them situationally and culturally responsive, 'Western' social research methods, methodologies and ethics protocols can be made applicable to any and all social and cultural contexts (Youngblood Henderson, 1997). The ideological underpinnings of universalism are highlighted by Battiste and Youngblood Henderson who argue that '[i]t suggests one main stream and diversity as a mere tributary…. [t]ogether mainstreaming and universality create cognitive imperialism, which establishes a dominant group's knowledge, experience, culture, and language as the universal norm' (Battiste and Youngblood Henderson, 2000: 134). Similarly, Minnich describes universalism as a process through which 'one category/kind comes to function almost as it were the only kind, because it occupies the defining centre of power… casting all others outside the circle of the "real"' (Minnich, 1990: 53). Participants in the author's research were also critical of the universalising nature of the processes employed by New Zealand REBs that they had experience of, as the following comments demonstrate: Even the HRC [Health Research Council], a key research body aligned with government, recognises the need to engage – engage not consult, with Maori participants for research. They, at least on paper, recognise that difference actually means something; it means that different people, communities, like Maori, have valid ways of doing research that organisations need to respond to. This lot [the REB to whom the researcher reported] seem to think that following a script is the best way…. Well, it is probably the easy way for them (CFG27). And I don't understand the attitude of the ethics committee; according to the protocols on its website, it requires that you consult with us on the appropriate way of doing your research. And yet, despite working with us to develop an agreed way [of doing the research], it says you have to follow a script. But that also means that the way we prefer is wrong! (CFG13) The views and experiences of participants reveal that the universalism inherent to institutionalised ethics process is based on a fundamental myth, namely that 'white knowledge' is the only knowledge worthy of consideration. Its dominance of the academic research ethics process, especially informed consent is, as Best (cited in Ermine, 2000) describes it '…a dictatorship of the fragment' (Ermine, 2000: 62) that is based on the culturalist presumption that ethical research is best achieved through Eurocentric, formulaic processes. Halloway et al. argue that the dominance of universalism as a guiding principle of contemporary REB practice is due in part to a 'view of ethics based upon the mistaken assumption that morality can be bracketed off from other aspects of human life (such as emotions) and reduced to generalisable rules of conduct' (Halloway et al., 2005: 148). In light of this, let us now turn to the limitations and impact of universalism, in particular how it manifests in the practice of gaining informed consent in the research context. Individualism, informed consent and indigenous disempowerment The standard consent process, common amongst New Zealand REBs and across Western jurisdictions, is for participants to sign a printed form to demonstrate that they have been informed of the purpose of the research and their role in it. The preference for individual, signed consent is a reflection of the evolution of research ethics from a bio-medical model (Fadan and Beauchamp, 1986). While REB protocols often stipulate that other 'indicators' of consent are legitimate, such as the Medical Research Council of Canada, National Sciences and Engineering Council of Canada and Social Sciences and Humanities Research Council of Canada (2003) written validation of the use of verbal consent in particular circumstances, the experience of the author and other Indigenous researchers is that this is rarely accepted, and most definitely discouraged. Fine et al. discuss the ways in which 'the consent form sits at the contradictory base of the institutionalisation of research' (Fine et al., 2000: 113–114). It is a 'crude tool – a conscience – to remind us of our accountability and position [in effects]…. Stripping us of our illusions of friendship and reciprocity [with our research participants]'. Or, as Smith expressed the underlying issues for Indigenous scholars: One concern of Indigenous communities about the informed consent principle is about the bleeding of knowledge away from collective protection through individual participation in research, with knowledge moving to scientists and organisations in the world at large. This process weakens Indigenous collectively shared knowledge (Smith, 2005: 99, emphasis added). The risks to Indigenous researchers of adhering to REBs' universalising, individual-focused ethics protocols was a key theme of many research participants, one of whom argued that: What is ethical about putting a piece of paper in my face? In the face of an elder who has invited you to speak to him about whatever? To the community? He has given consent and not likely on his own. If I tell you yes, then it is yes. It means I know you, I trust you; give me that paper and I'll tell you no because you don't understand. Why would I trust you with something else, something more important? (CFG16). while another stated that: …the ethics board, in rejecting our way of research, of giving consent or engaging, is practicing old order research, where white academics know best for Indians and people of colour how to do ethical research (CFG17). And, relatedly, as an Elder associated with a Maori research organisation stated: What's the point of that piece of paper [on being shown the individual informed consent sheet demanded by the REB]? I don't own the knowledge, nor does he [another participant sitting to his right]. You are asking for a community's process of gathering knowledge, in this case, a research organisation… we collectively create that information (MFG11). Participants' responses to the REB process described previously, especially with regards informed consent, lends weight to Lykes' contention that: The informed consent form which I introduced as a mechanism for 'protecting the subjects' of the research project, was instead a barrier and forced me to confront the chasm between the needs and demands of research conducted within the boundaries of the university and the systems of trust and mistrust and of sharing and withholding that were already part of this collaboration (Lykes, 1989: 178). According to Juritzen et al., 'the rule-bound obtainment of consent involves a risk of making the process routinised and mechanical' (Juritzen et al., 2011: 644). Thus rendered, the process of obtaining informed becomes one that is exemplified by an overbearing focus on the individual research subject, which in turn often results in 'inadequate attention to the needs of communities' and to the complexities of knowledge construction and dissemination (Wilkinson, 2004: 6). The National Health and Medical Research Council of Australia highlighted this point when it argued that: In many non-Western societies, and in some communities within Western societies also, the rights and autonomy of the individual are complicated and constrained, to a greater or lesser extent, by those of related individuals and groups with specific authority over that individual. Thus researchers need to be aware of individuals' rights within specific local and national sociocultural contexts…. A constant awareness of this variety will be necessary to ensure that the application of the ethical values by which research is assessed continues to respect that variety (National Health and Medical Research Council, 1999: 5). One of the key failings of REBs with respect to Indigenous research is their reliance on the principle of individualism as a governing motif within their adjudication process (see Tauri, 2014). This principle comes through in the privilege shown to the concepts of individual negotiation, informed consent and 'risk', to the extent that few REBs 'ask about community or societal level risks and benefits' (Reid and Brief, 2009: 83). This point leads us to the crux of issue upon which this paper is based, best summarised by Butz, who writes that: Conventional informed consent guidelines as exemplified by the [Canadian] Tri-Council Policy Statement presuppose an individuated liberal humanist research subject that is incommensurate with the subjectivities of our actual research participants as they experience them, and as the theoretical perspectives upon which much qualitative research is based conceptualise them (Butz, 2008: 241). Numerous texts developed by Indigenous researchers identify the types of informed consent processes deemed legitimate by Indigenous peoples. For example, Piquemal carried out ethnographic research with Canadian First Nations on the topic of developing codes of research conduct; and '[o]ne recurrent theme in what I heard is that free and informed consent is an ongoing process based on notions of authority and collectiveness and on a principle of confirmation' (Piquemal, 2000: 49). In contrast: …codes of research ethics designed by centralised science councils, emphasising review processes exclusively controlled by university – or hospital-based research ethics boards were not designed to accommodate the alternative models and power relationships inherent in participatory frameworks favoured by Aboriginal communities (Glass and Kaufert, 2007: 29). The tension between Eurocentric notions of informed consent and Indigenous positions is recognised by Canadian First Nations, as expressed in the draft Canadian Institute of Health Research Guidelines which state that '[r]esearchers should recognise that the principle of individual autonomy may be limited by the interests of the Aboriginal community as a whole'. But what is an Indigenous researcher and his/her research participants to do when institutional REBs themselves do not adhere to or recognise Indigenous principles of 'right' research conduct, especially when: As the university's regulating body with the power to approve or deny research endeavors, conformity and adherence to IRB prescribed guidelines is ensured. This conformity creates a set of cultural norms that serves the interests and reflects the values of the IRB and the academy. Cultural norms are thereby nonevents when researchers fail to question the ways that power is diffused through their multiple manifestations, such as in constructing consent forms (Knight et al., 2004: 397). Lastly, Haggerty outlines the weakness of the REBs' over-reliance on the biomedical approach to informed consent when he states that: Consent forms can unnecessarily colour interview or ethnographic situations, transforming encounters that are routinely more informal and exploratory into an unnecessarily official and legalistic exchanges. There apprehensions are particularly germane to research on large groups of people (Haggerty, 2004: 404). 2 This now brings us to the countervailing (Indigenous) position on informed consent; namely, the need to decolonise institutionalised REB processes. A rationale for Indigenous, communal informed consent In rationalising the ethics of community-informed consent, so prevalent in Indigenous contexts, Glass and Kaufert argue that '[g]roup leadership is more likely to know risks/benefits for members of the group as individuals and as a community than are people from outside the community' (Glass and Kaufert, 2007: 33, emphasis theirs). Furthermore, Piquemal further underlines the 'ethics' of enabling culturally and socially-specific forms of consent when he describes how: Three years ago, I was granted both oral and written permission to study narratives, storytelling, and traditional ways of learning as they applied to a specific Native community in Alberta. The elders of the school involved in my research gave me oral approval; the director of the school gave me written consent. Even though the written authorisation may be regarded as official, the acquisition of the elders' permission constituted the first and most important step of my research. The oral approval may be defined as cultural approval… (Piquemal, 2001: 71, emphasis added). Furthermore, Coram relates that recognising communal forms of informed consent is essential for empowering Indigenous research participants: '[t]he provision of oral consent may be consistent with decolonising methodology through the incorporation of an informed consent process that is culturally sensitive' (Coram, 2011: 44). At the same time she reiterates that '… [o]ral consent does not diminish the obligation of the researcher to obtain consent in an ethical manner' (Coram, 2011: 44), except in such cases where it is the Indigenous community that decides the parameters within which 'ethics' is measured. As one of the research participants pointed out: This REB we are talking about, I had a look at their protocols; it says to engage, to seek advice. But then its decision basically is saying that that was a waste of time, that the protocol we want, that we consider is right, is wrong. Let's be clear, we don't need a bloody piece of paper to tell you how to behave, to ensure you conduct yourself properly, or to give you the ok to go ahead [with the research] (MFG14). The author sought to replicate an informed consent process as designated by Indigenous participants. This was undertaken by, firstly, establishing relations, ensuring participant input into all aspects of the research design, establishing community ownership of data, analysis and reporting, and identifying what the research can 'give back' to the community in return for the privilege of carrying out research with them. Key to this protracted but necessary process was obtaining consent via the establishment of a trust-based, negotiated relationship for, as Bull powerfully argues, the 'consent process for any research involving humans is complex and requires more than obtaining a signature' (Bull, 2010: 17). According to my participants, what was neither necessary nor important was individual, paper-based consent (see Bull (2010) for a description of a similar process in relation to Indigenous peoples in the Labrador region of Canada). In a bid to satisfy the REB, however, the author decided to 'play the game' by offering participants the standard, individualised paper-based informed consent process described previously. The author offered to designate a noted community member to 'witness' the delivery of relevant research information and the granting of informed consent at the communal, verbal agreement, a similar process to that advocated by Coram, who writes that: The provision of an oral undertaking, as a reflection of indigenous oral tradition, could be deemed in 'good faith' and the equivalent of written consent. It could also play an important ethical role in the negotiation of consent if accompanied, for example, by the inclusion of a witness who is prepared to act as a signatory (Coram, 2011: 44). By offering a dual-process, however, one could adjudge the author to have sought to placate the REB, potentially at the expense of a process considered to be ethically appropriate and empowering for the participants. As Butz argues: When it is assumed that the problem of voluntary informed consent is solved by asking participants individually to sign written consent agreements regardless of the research context, then a fully communicative appreciation of the adjectives voluntary and informed are subordinated to the instrumental purposes of the monitoring and controlling attached to the noun consent (Butz, 2008: 251; emphasis his). Butz further underlines the impact of 'giving in' when he states that, '[i]t is our research participants who bear the effects of the careless assumptions that institutionalised research makes about who they are and how they want to interact with researchers' (Butz, 2008: 252), and furthermore that: …the conventional individuated and vertically structured consent process that is assumed as the norm in most REB policies takes a rich – and richly contested – set of obligations and entitlements that currently link community members to one another in a socially and culturally meaningful way, and translates them into an inflexible, contractual, and vertical relationship between individuated research subjects and the researcher (Butz, 2008: 254). In summary, the processes prevalent in REBs in the New Zealand context 'normalise' the 'autonomous researched individual' inherent to the liberal democratic tradition that sanctifies individual rights and freedoms. This 'fetish of individualism', as Van den Hoonaard describes it, offers especial problems for the Indigenous researchers and their communities because its 'individualistic tradition may be quite foreign to other cultures where collectivism prevails and where individual rights are defined by the collective. In such cases, the seeking of individual consent may be an affront to the larger group' (Van den Hoonaard, 2001: 22). Concluding remarks Battiste and Youngblood Henderson write that, '[m]ost existing research on Indigenous peoples is contaminated by Eurocentric prejudice [and] ethical research must begin by replacing Eurocentric prejudice with new premises that value diversity over universality' (Battiste and Youngblood Henderson, 2000: 132–133). It is my contention that if we are to negate Eurocentric hegemony over knowledge development and dissemination, we must challenge the processes the academy has constructed to facilitate its domination through the institutionally-centred REBs; after all: The real danger of codes of ethics lies in their potential to silence those voices that do not fit with the current dominant view of ethical research standards and behaviour. If we are complicit in this silencing, as researchers, we are behaving unethically (Ferdinand et al., 2007: 540). All too often, REBs privilege the 'liberal', Eurocentric conceptualisation of the autonomous research subject as the focus of their deliberations on 'right research', which leads in turn to an over-reliance on formulaic ethics processes. These processes marginalise the importance of the 'difference' that occurs in the social context within which 'real world' research takes place. Furthermore, these practices potentially marginalise Indigenous researchers and Indigenous research participants by putting them at risk of violating the ethics protocols of both the institution to which they have applied for ethical consent, and/or the Indigenous communities where their research takes place, as the experiences of Indigenous scholars and research participants reported here attest. The institutionalised ethics procedures may even be read as a politics of containment that at once renders invisible the importance of relationships in Indigenous research, while asserting the right of the institution to determine the 'correct' way that research should be conducted. Nowhere is this issue more apparent than in the process that marks the hegemony of the principles of universalism and individualism within REB processes. Simply following REB processes, in particular those related to informed consent, does not, of itself, produce an ethical researcher. Indeed, as Butz (2008), Van den Hoonaard (2001), the author and his research participants demonstrate, it often means the opposite. It does though, however, mean that you have acted as a 'right' member of the academy, by conforming to its preferred, standardised, individual ethics process; a conformity that Knight et al. argue, '…creates a set of cultural norms that serves the interests and reflects the values of the IRB and the academy' (Knight et al., 2004: 397). And lastly, as Indigenous scholars we must resist the hegemony of institutionalised REBs, lest we perpetrate the environment described by Bradley in which these institutionally derived and focused entities 'can, and often do, silence the voices of the marginalised and perpetuate an academic political economy and a traditional top-down research and professional model that quantify and objectify human lives by keeping them nameless, faceless and voiceless' (Bradley, 2007: 341). Funding All articles in Research Ethics are published as open access. There are no submission charges and no Article Processing Charges as these are fully funded by institutions through Knowledge Unlatched, resulting in no direct charge to authors. For more information about Knowledge Unlatched please see here: http://www.knowledgeunlatched.org. Notes 1. It should be noted that the title by which institutional ethics review boards are known can vary depending on geographic location, for example in the US they are often referred to as Research Ethics Committees (RECs) and Institutional Review Boards (IRBs), while in Canada they are designated Research Ethics Boards (REB)s or General Research Ethics Boards (GREBs). The term REB is used here to refer to all committees of this kind. 2. Van den Hoonaard (2002: 11) recounts a situation that demonstrates the ridiculous situations that can arise from the marriage of inflexibility of REBs, lack of experience of research context and/or discipline knowledge of REB members, with regards to gaining informed consent in the social context, when he recounts how the REB at his university instructed a post-graduate student to 'look away' when/if her planned participant observation brought her into contact with individuals who had not explicitly consented to being studied. References Absolon K (2008) Kaandosswin, this is how we come to know! Indigenous graduate research in the academy: Worldviews and methodologies, PhD Thesis, University of Toronto, Canada. Australian Institute of Aboriginal and Torre Strait Islander Studies [AIATSIS] (2012) Guidelines for Ethical Research in Australian Indigenous Studies. Canberra: AIATSIS. Battiste M and Youngblood Henderson J (2000) Protecting Indigenous Knowledge and Heritage: A Global Challenge. Saskatoon: Purich Publications Ltd. Bradley M (2007) Silenced for their own protection: How the IRB marginalises those it feigns to protect. ACME: An International E-Journal for Critical Geographies 6(3): 339–349. Bull J (2010) Research with Aboriginal peoples: Authentic relationships as a precursor to ethical research. Journal of Empirical Research on Human Research Ethics 5(4): 13–22. Butz D (2008) Sidelined by the guidelines: Reflections on the limitations of standard informed consent procedures for the conduct of research. ACME: An International E-Journal for Critical Geographies 7(2): 239–259. Coram S (2011) Rethinking indigenous research approval. Qualitative Research Journal 11(2): 38–47. Ellis J and Earley M (2006) Reciprocity and Constructions of Informed Consent: Researching with Indigenous Populations. International Journal of Qualitative Methods 5(4): 2–13. Ermine J (2000) A critical examination of the ethics in research involving indigenous peoples, Master's thesis, University of Saskatchewan, Canada. Fadan R and Beauchamp T (1986) A History and Theory of Informed Consent. New York: Oxford University Press. Ferdinand J, Pearson G, Rowe M, et al. (2007) A different kind of ethics. Ethnography 8: 519–542. Fine M, Weiss L, Weseen S, et al. (2000) For whom? Qualitative research, representations, and social responsibilities. In: Denzin N and Lincoln Y (eds) Handbook of Qualitative Research. Thousand Oaks: Sage, pp. 107–132. Glass K and Kaufert J (2007) Research ethics review and aboriginal community values: Can the two be reconciled? Journal of Empirical Research on Human Research Ethics 2(2): 25–40. Haggerty K (2004) Ethics creep: Governing social science research in the name of ethics. Qualitative Sociology 27(4): 391–414. Halloway N, Lawton J and Gregory S (2005) Reflections on Research: The Realities of Doing Research in the Social Sciences. Milton Keynes: Open University Press. Hammersley M (2006) Are ethics committees ethical? Qualitative Researcher 2: 4–7. Hemmings A (2006) Great ethical divides: Bridging the gap between institutional review boards and researchers. Educational Researcher May: 12–18. Juritzen T, Grimen H and Heggen K (2011) Protecting vulnerable research participants: A Foucault- inspired analysis of ethics committees. Nursing Ethics 18(5): 640–650. Knight M, Bentley C, Norton N, et al. (2004) (De)constructing (in)visible parent/guardian consent forms: Negotiating power, reflexivity, and the collective within qualitative research. Qualitative Inquiry 10(3): 684–699. Lykes M (1989) Dialogue with Guatemalan Indian women: Critical perspectives on constructing collaborative research. In: Unger R (ed) Representations: Social Constructions of Gender. Amityville (NY): Baywood, pp. 167–184. Medical Research Council of Canada; National Sciences and Engineering Council of Canada and Social Sciences and Humanities Research Council of Canada (2003) Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans. Ottawa: Medical Research Council of Canada. Menzies C (2004) Putting words into action: Negotiating collaborative research in Gitxaala. Canadian Journal of Native Education 28(1/2): 15–32. Mi'kmaw Ethics Watch (2000) Mi'kmaw Research Principles and Protocols Conducting Research With and/or Among Mi'kmaw People—Principles. Nova Scotia: Mi'kmaq College Institute, Cape Breton University. Minnich E (1990) Transforming Knowledge. Philadelphia: Temple Press. National Health and Medical Research Council (1999) Australian National Statement on Ethical Conduct in Research Involving Humans. Available at: https://www.nhmrc.gov.au/ guidelines-publications/e35 Piquemal N (2000) Four principles to guide research with Aboriginals. Policy Options December: 49–51. Piquemal (2001) Free and informed consent in research involving Native American communities. American Indian Culture and Research Journal 25(1): 65–79. Reid C and Brief E (2009) Confronting condescending ethics: How community-based research challenges traditional approaches to consent, confidentiality, and capacity. Journal of Academic Ethics 7: 75–85. Smith A (1997) Indigenous research ethics: Policy, protocol and practice. The Australian Journal of Indigenous Education 25(1): 23–29. Smith L (1999) Decolonising Methodologies: Research and Indigenous Peoples. Dunedin: University of Otago Press. Smith L (2005) On tricky ground: Researching the native in the age of uncertainty. In: Denzin N and Lincoln Y (eds) Handbook of Qualitative Research. Thousand Oaks: Sage Publications, pp. 85–107. Tauri JM (2014) Resisting condescending research ethics in Aotearoa/New Zealand. AlterNative 10(2): 134–150. Van den Hoonaard W (2001) Is research ethics review a moral panic? The Canadian Review of Sociology and Anthropology/Revue Canadienne de Sociologie et d'Anthropologie 38(1): 19–35. Van den Hoonaard W (ed) (2002) Walking the Tightrope: Ethical Issues for Qualitative Researchers. Toronto: University of Toronto Press. Wax M (1991) The ethics of research in American Indian communities. American Indian Quarterly 15(4): 431–456. Wilkinson T (2004) Individualism and the ethics of research on humans. HEC Forum 16(1): 6–26. Wilson W (2004) Indigenous knowledge recovery as Indigenous empowerment. American Indian Quarterly 28: 359–372. Youngblood Henderson J (1997) The Mikmaw Concordat. Halifax (Nova Scotia): Fernwood.
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THE UNIVERSITY OF MIAMI THE SYSTEMATICS AND DISTRIBUTION OF THE DEEP-SEA GENUS MUNIDOPSIS (CRUSTACEA, GALATHEIDAE) IN THE WESTERN ATLANTIC OCEAN by Barbara Shuler Mayo A DISSERTATION Submitted to the Faculty of the University of Miami in partial fulfillment of the requirements for the degree of Doctor of Philosophy Coral Gables, Florida May, 1974 THE UNIVERSITY OF MIAMI A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy Subject The systematics and distribution of the deep-sea genus Munidopsis (Crustacea, Galatheidae) in the western Atlantic Ocean Barbara Shuler Mayo Approved: Gilbert L. Voss Professor of Marine Sciences Chairman of Dissertation Committee Lipke B. Holthuis Adjunct Professor Anthony J. Provenzano Adjunct Professor Claes G. Rooth Professor of Meteorology and of Physical and Chemical Oceanography Lowell P. Thomas Associate Professor of Marine Sciences 3-2-76 JRR I would like to express my appreciation to the members of my dissertation committee, Dr. Gilbert L. Voss, chairman, and Drs. Lipke B. Holthuis, Anthony J. Provenzano, Lowell P. Thomas and Claes G. Rooth. I am grateful to Dr. Voss for his interest in the project and his support throughout the study. Dr. Holthuis has been of enormous help, and I am very grateful for his many suggestions and the time he spent reviewing the manuscript. I wish to thank Dr. Frederick M. Bayer for the many answers to taxonomic questions and for the advice he provided. I appreciate the standards of excellence which these men have afforded. I thank Drs. Thomas and Provenzano for their encouragement, and especially for the philosophical perspectives they have shared. Dr. Patsy A. McLaughlin has thoroughly reviewed a great portion of the dissertation, and I appreciate her editorial assistance. I am indebted to Dr. Fenner A. Chace, Jr. of the National Museum, Washington, D.C. for his encouragement and particularly for his moral support in professionally difficult situations encountered in the course of this project. Dr. Herbert W. Levi of the Museum of Comparative Zoology, Cambridge, Mass., and Mr. Henry Roberts of the National Museum, Washington, have been most helpful with the many loans of material necessary over the past four years. Further, I thank Dr. Levi for his hospitality during my visits to the MCZ. I am indebted to Ms. Yvonne Milton for her help in the execution of the computer work associated with this report. The many hours she has spent programming, keypunching and troubleshooting have greatly expedited the study, and have made many parts of the project much easier for me. Rosa Salom was also of assistance in writing some of the programs used for the compilation of species lists. Many people have been helpful with the gathering of information about galatheids captured during cruises in which they participated. I thank Drs. Dennis M. Opresko, Jon C. Staiger, Larry Abele and Tom Biffar and Mr. Jim Quinn for taking color slides of live animals which have been of great value in providing information about coloration. Dr. John C. Markham contributed color notes on several species as well as color slides. Further, I thank Dr. Markham for his identification of the bopyrid parasites. Ms. Mary Anna Bogle identified many of the hydroids associated with galatheids. Further, I thank both Ms. Bogle and Ms. Milton for warmly sharing their office and friendship over the past several years. I am indebted to Mssrs. Don Heuer and Jim Hitch for duplicating the figures and printing the maps used herein, and for helping me meet certain deadlines. Their reputation for conscientiousness, patience and imperturbability is well-deserved. I appreciate the help given by Ms. Patricia Hodge in accessioning material and plotting some of the distribution charts. I am very grateful to my parents for their continuing support. My academic achievements are due in large part to their guidance and encouragement. Finally, I would like to publicly acknowledge the great contribution to all my academic endeavors made by the patience, understanding and remarkably good humor of my husband, Stormy, particularly during the final stages of completion of this paper. Coral Gables, Florida May, 1974 Barbara Shuler Mayo # TABLE OF CONTENTS \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| ACKNOWLEDGMENTS \| iv \| \| LIST OF DISTRIBUTION PLOTS \| viii \| \| LIST OF FIGURES \| ix \| \| LIST OF DIAGRAMS AND TABLES \| xii \| \| INTRODUCTION \| 1 \| \| REVIEW OF THE LITERATURE \| 3 \| \| MATERIALS AND METHODS \| 14 \| \| Munidopsis Whiteaves, 1874 \| 17 \| \| Summary of bathymetric ranges \| 27 \| \| KEY TO WESTERN ATLANTIC SPECIES OF THE GENUS MUNIDOPSIS \| 32 \| \| SPECIES ACCOUNTS \| \| \| Munidopsis abbreviata (A. Milne Edwards, 1880) \| 42 \| \| Munidopsis abdominalis (A. Milne Edwards, 1880) \| 53 \| \| Munidopsis alaminos Pequegnat and Pequegnat, 1970 \| 62 \| \| Munidopsis armata (A. Milne Edwards, 1880) \| 72 \| \| Munidopsis bermudezi Chace, 1939 \| 83 \| \| Munidopsis bradleyi Pequegnat and Pequegnat, 1971 \| 92 \| \| Munidopsis brevimanus (A. Milne Edwards, 1880) \| 102 \| \| Munidopsis crassa Smith, 1885 \| 114 \| \| Munidopsis cubensis Chace, 1942 \| 125 \| \| Munidopsis erinaceus (A. Milne Edwards, 1880) \| 133 \| \| Munidopsis geveri Pequegnat and Pequegnat, 1970 \| 144 \| \| Munidopsis gilli Benedict, 1962 \| 155 \| \| Munidopsis granulens Mayo, 1972 \| 162 \| \| Munidopsis impolita, new species \| 169 \| \| Species \| Author and Year \| Page \| \|-------------------------------\|----------------------------------\|------\| \| Munidopsis latifrons \| A. Milne Edwards, 1880 \| 178 \| \| Munidopsis livida \| A. Milne Edwards and Bouvier, 1900 \| 186 \| \| Munidopsis longimanus \| A. Milne Edwards, 1880 \| 196 \| \| Munidopsis nitida \| A. Milne Edwards, 1880 \| 208 \| \| Munidopsis platirostris \| A. Milne Edwards and Bouvier, 1894 \| 216 \| \| Munidopsis polita \| Smith, 1883 \| 225 \| \| Munidopsis ramahtaylorae \| Pequegnat and Pequegnat, 1971 \| 237 \| \| Munidopsis riveroi \| Chace, 1939 \| 245 \| \| Munidopsis robusta \| A. Milne Edwards, 1880 \| 255 \| \| Munidopsis rostrata \| A. Milne Edwards, 1880 \| 266 \| \| Munidopsis serratifrons \| A. Milne Edwards, 1880 \| 279 \| \| Munidopsis sigsbei \| A. Milne Edwards, 1880 \| 288 \| \| Munidopsis similis \| Smith, 1885 \| 299 \| \| Munidopsis simplex \| A. Milne Edwards, 1880 \| 312 \| \| Munidopsis spinifer \| A. Milne Edwards, 1880 \| 324 \| \| Munidopsis spinoculata \| A. Milne Edwards, 1880 \| 335 \| \| Munidopsis spinosa \| A. Milne Edwards, 1880 \| 345 \| \| Munidopsis squamosa \| A. Milne Edwards, 1880 \| 356 \| \| Munidopsis subapinoculata \| Pequegnat and Pequegnat, 1971 \| 367 \| \| Munidopsis transtridens \| Pequegnat and Pequegnat, 1971 \| 375 \| \| Munidopsis serricornis \| Lovén, 1852 \| 387 \| \| LITERATURE CITED \| \| 405 \| \| APPENDIX \| \| 422 \| \| Distribution plot \| Page \| \|-----------------------------------------\|------\| \| 1. Munidopsis abbreviata (A. Milne Edwards, 1880) \| 42a \| \| 2. Munidopsis abdominalis (A. Milne Edwards, 1880) \| 54 \| \| 3. Munidopsis alaminos Pequegnat and Pequegnat, 1970 \| 63 \| \| 4. Munidopsis armata (A. Milne Edwards, 1880) \| 73 \| \| 5. Munidopsis bradleyi Pequegnat and Pequegnat, 1971 \| 93 \| \| 6. Munidopsis crassa Smith, 1885 \| 115 \| \| 7. Munidopsis erinaceus (A. Milne Edwards, 1880) \| 135 \| \| 8. Munidopsis latifrons (A. Milne Edwards, 1880) \| 179 \| \| 9. Munidopsis longimanus (A. Milne Edwards, 1880) \| 197 \| \| 10. Munidopsis platirostris (A. Milne Edwards and Bouvier, 1894) \| 217 \| \| 11. Munidopsis polita (Smith, 1883) \| 226 \| \| 12. Munidopsis ramahaylorae Pequegnat and Pequegnat, 1971 \| 237a \| \| 13. Munidopsis riveroi Chace, 1939 \| 246 \| \| 14. Munidopsis robusta (A. Milne Edwards, 1880) \| 256 \| \| 15. Munidopsis rostrata (A. Milne Edwards, 1880) \| 267 \| \| 16. Munidopsis serratifrons (A. Milne Edwards, 1880)\| 279a \| \| 17. Munidopsis sigsbei (A. Milne Edwards, 1880) \| 290 \| \| 18. Munidopsis simplex (A. Milne Edwards, 1880) \| 313 \| \| 19. Munidopsis spinifer (A. Milne Edwards, 1880) \| 325 \| \| 20. Munidopsis spinoculata (A. Milne Edwards, 1880) \| 336 \| \| 21. Munidopsis spinosa (A. Milne Edwards, 1880) \| 345a \| \| 22. Munidopsis serricornis (Lovén, 1852) \| 390 \| \| Figure \| Description \| Page \| \|--------\|-------------\|------\| \| 1 \| Munidopsis abbreviata (A. Milne Edwards, 1880) \| 43 \| \| 2 \| " " " " " " " " " " \| 44 \| \| 3 \| Munidopsis abdominalis (A. Milne Edwards, 1880) \| 55 \| \| 4 \| Munidopsis alaminos Pequegnat and Pequegnat, 1970 \| 64 \| \| 5 \| " " " " " " " " " " \| 65 \| \| 6 \| Munidopsis armata (A. Milne Edwards, 1880) \| 75 \| \| 7 \| " " " " " " " " " " \| 76 \| \| 8 \| Munidopsis bermudezi Chace, 1939 \| 84 \| \| 10 \| Munidopsis bradleyi Pequegnat and Pequegnat, 1971 \| 94 \| \| 11 \| " " " " " " " " " " \| 95 \| \| 12 \| Munidopsis brevimanus (A. Milne Edwards, 1880) \| 103 \| \| 13 \| " " " " " " " " " " \| 104 \| \| 14 \| Munidopsis crassa Smith, 1885 \| 116 \| \| 15 \| " " " " " " " " " " \| 117 \| \| 16 \| Munidopsis cubensis Chace, 1942 \| 126 \| \| 17 \| " " " " " " " " " " \| 127 \| \| 18 \| Munidopsis erinaceus (A. Milne Edwards, 1880) \| 136 \| \| 19 \| " " " " " " " " " " \| 137 \| \| 20 \| Munidopsis geveri Pequegnat and Pequegnat, 1970 \| 145 \| \| 21 \| " " " " " " " " " " \| 146 \| \| 22 \| Munidopsis gilli Benedict, 1902 \| 156 \| \| 23 \| Munidopsis granulens Mayo, 1972 \| 163 \| \| 24 \| " " " " " " " " " " \| 164 \| \| 24a \| Munidopsis impolita new species \| 170 \| \| 24b \| " " " " " " " " " " \| 171 \| \| Figure \| Description \| Page \| \|--------\|-------------\|------\| \| 25. \| Munidopsis latifrons (A. Milne Edwards, 1880) \| 180 \| \| 26. \| Munidopsis livida (A. Milne Edwards and Bouvier, 1900) \| 187 \| \| 27. \| " " " " " " " " " " " " " " \| 188 \| \| 28. \| Munidopsis longimanus (A. Milne Edwards, 1880) \| 198 \| \| 29. \| " " " " " " " " " " " " " " \| 199 \| \| 30. \| Munidopsis nitida (A. Milne Edwards, 1880) \| 209 \| \| 31. \| Munidopsis platirostris (A. Milne Edwards and Bouvier, 1894) \| 218 \| \| 32. \| Munidopsis polita (Smith, 1883) \| 227 \| \| 33. \| " " " " " " " " " " " " " " \| 228 \| \| 34. \| Munidopsis ramahytaylorae Pequegnat and Pequegnat, 1971 \| 238 \| \| 35. \| Munidopsis riveroi Chace, 1939 \| 247 \| \| 36. \| " " " " " " " " " " " " " " \| 248 \| \| 37. \| Munidopsis robusta (A. Milne Edwards, 1880) \| 257 \| \| 38. \| " " " " " " " " " " " " " " \| 258 \| \| 39. \| Munidopsis rostrata (A. Milne Edwards, 1880) \| 268 \| \| 40. \| " " " " " " " " " " " " " " \| 269 \| \| 41. \| Munidopsis serratifrons (A. Milne Edwards, 1880) \| 279b \| \| 42. \| " " " " " " " " " " " " " " \| 279c \| \| 43. \| Munidopsis sigsbei (A. Milne Edwards, 1880) \| 291 \| \| 44. \| " " " " " " " " " " " " " " \| 292 \| \| 45. \| Munidopsis similis Smith, 1885 \| 300 \| \| 46. \| " " " " " " " " " " " " " " \| 301 \| \| 47. \| " " and Munidopsis nitida \| 302 \| \| 48. \| " " " " " " " " " " " " " " \| 303 \| \| 49. \| Munidopsis simplex (A. Milne Edwards, 1880) \| 314 \| \| 50. \| Munidopsis spinifer (A. Milne Edwards, 1880) \| 326 \| \| 51. \| " " " " " " " " " " " " " " \| 327 \| \| Figure \| Description \| Page \| \|--------\|-------------\|------\| \| 52. \| Munidopsis spinoculata (A. Milne Edwards, 1880) \| 337 \| \| 53. \| Munidopsis spinosa (A. Milne Edwards, 1880) \| 346 \| \| 54. \| " " " " " " " \| 347 \| \| 55. \| Munidopsis squamosa (A. Milne Edwards, 1880) \| 357 \| \| 56. \| " " " " " " " \| 358 \| \| 57. \| Munidopsis subspinoculata Pequegnat and Pequegnat, 1971 \| 368 \| \| 58. \| Munidopsis transtridens Pequegnat and Pequegnat, 1971 \| 376 \| \| 59. \| " " " " " " " \| 377 \| \| 61. \| Munidopsis serricornis (Lovén, 1852) \| 391 \| \| 62. \| " " " " " " " \| 391a \| \| 63. \| " " " " " " " \| 392 \| \| 64. \| " " " " " " " \| 393 \| \| 65. \| " " " " " " " \| 394 \| \| 66. \| " " " " " " " \| 395 \| LIST OF DIAGRAMS AND TABLES Diagram 1. Generalized Munidopsis, external morphology .......................... 24a Table 1. Comparison of characters in three species of Munidopsis ........... 344 INTRODUCTION Extensive collections of deep-sea decapod crustaceans were made during cruises of the R/V GERDA and the R/V JOHN ELLIOTT PILLSBURY as part of a long-term faunal survey of the tropical western Atlantic Ocean by the University of Miami. The GERDA (May 1962 - August 1970) worked principally in the Straits of Florida, the Bahamas and adjacent waters as far south as Arrowsmith Bank in the Caribbean. Although the PILLSBURY (May 1964 - July 1971) made important expeditions to West African waters, Bermuda and the Gulf of Panama, a large part of her work was done in the Caribbean: off Yucatan, Honduras and Panama, along the north coast of South America from Colombia to Surinam, in the Lesser Antilles from Trinidad to the Virgin Islands, and from Puerto Rico to Haiti and Jamaica. The material of the benthic galatheid genus Munidopsis collected during cruises of these vessels in the western Atlantic is the basis for this study. Of 48 species of Munidopsis now known from the western Atlantic, 35 species are represented in the GERDA and PILLSBURY collections. In this paper, an account is given of each of these species, including complete synonymies, diagnoses, detailed descriptions, figures and distribution charts as well as information about sexual dimorphism, parasites, bathymetric range, habitat and coloration when available. In addition, locality records found in the literature are presented. The relationships of each species to other western Atlantic species and to species of Munidopsis from other regions are discussed. Accounts of the 13 western Atlantic species not collected by the GERDA and PILLSBURY are not included here, but will appear in the final report of the genus. The present location of the holotype is noted in the cases where it could be determined. Most of the type material is housed at the Museum of Comparative Zoology of Harvard University, Cambridge, Massachusetts, and at the National Museum of Natural History, Smithsonian Institution, Washington, D. C. J. F. Whiteaves began the history of the genus Munidopsis in the western Atlantic with his description of Munidopsis curvirostra (1874: 212-213) as a new genus and species. Whiteaves' report of M. curvirostra from the Gulf of St. Lawrence in 180-220 fm was repeated by S. I. Smith (1879:54) in his account of the Stalk-Eyed Crustaceans of the Atlantic Coast of North America, north of Cape Cod. The variety of galatheid crustaceans in the tropical western Atlantic was indicated in A. Milne Edwards' (1880) preliminary report on the crustaceans collected by the BLAKE during the first major trawling expeditions into the Gulf of Mexico and Caribbean. In addition to new species of Galathea, Munida, Diptydus and Prychogaster, A. Milne Edwards named 22 new species which he assigned to four new genera: Galacantha (two species), Galathodes (ten), Elasmonotus (four), and Orophorhynchus (six). All of these new genera have subsequently been combined in the genus Munidopsis. A. Milne Edwards gave only brief descriptions and no illustrations of these animals, and the formal report of the BLAKE galatheids did not appear until several years later (A. Milne Edwards and Bouvier, 1897). In the meantime, Smith was working on material collected by the BLAKE off the eastern coast of the United States. Smith found the range of Galacantha rostrata A. Milne Edwards extended north to the coast of New England, and that of Munidopsis curvirostra Whiteaves south to the coast of North Carolina (1882:21). He pointed out that the latter species might be identical with one of the ten species of Galathodes described by A. Milne Edwards, but that such synonymy could not be determined from the brief description alone. Smith (1883:50-55) published a very detailed description of Anoplonotus politus, new genus and species, complete with drawings of the entire animal as well as all the mouth parts. This species also has subsequently been assigned to the genus Munidopsis. Smith indicated that he had hesitantly referred this new species to Elasmonotus since A. politus agreed well with the brief diagnosis of that genus given by A. Milne Edwards (1880:60), but that after seeing figures of Elasmonotus vaillantii (A. Milne Edwards, 1883: fig. 13) from the eastern Atlantic, he decided that politus was generically as well as specifically distinct. The report of the first galatheids collected by the ALBATROSS during its early dredging off the east coast of the United States, was given by Smith in 1884. He recorded more specimens of Galacantha rostrata and Munidopsis curvirostra, and described a new species, Galacantha bairdii from deep water (1497 fm). Smith indicated that the new species was more like Munidopsis than Galacantha in some of its characters, and considered it possible that the two genera should be united. In a subsequent paper, Smith (1885:493) referred these three species as well as two new species, M. crassa and M. similis, to Munidopsis on the basis of "a careful examination of the structural characters." In a more complete report of the ALBATROSS collections, Smith (1886) repeated the descriptions and included clear illustrations of M. bairdii, M. crassa, M. similis and M. rostrata. Data for the most recent stations at which these, M. curvirostra, and M. rostrata were taken were listed also. The first part of Smith's paper contained an interesting list of decapods collected from this region off the northeastern U. S. coast, including the bathymetric range of each and a statement of the nature of the eyes; the Galatheoidea, represented by these five species of Munidopsis, made up one section of this list. Henderson (1885), in a preliminary report giving diagnoses of new galatheids collected during the CHALLENGER expedition in the Pacific, synonymized A. Milne Edwards' Galathodes with Munidopsis, and erected a new subgenus, Galathopsis, for species intermediate between those of Munidopsis and Elasmonotus. In the final report of the CHALLENGER Anomura, Henderson (1888:148) united A. Milne Edwards' Orophorhynchus with Munidopsis, and made an important observation about members of the genus which has subsequently been supported by various authors and substantiated by additional material: "The species vary widely among themselves in the form of those parts which in other Crustacea afford generic characters; and yet it is impossible to effect a natural subdivision, or one which is not founded on a single character to the exclusion of others." In the same paper, he suppressed Galathopsis and Anoplonotus as synonyms of Elasmonotus. The genus Galacantha was maintained however, since Henderson disagreed with Smith's union of Munidopsis and Galacantha, and doubted that the species Smith called G. bairdii should be assigned to Galacantha. Henderson reported three western Atlantic species of Munidopsis in this account, and one species of Elasmonotus. In Faxon's (1893) preliminary descriptions of new species collected by the ALBATROSS off the western coasts of Central and South America, he included Galathodes, Orophorhynchus, Elasmonotus and Anoplonotus in Munidopsis, but treated Galacantha separately. A. Milne Edwards and Bouvier (1894) attempted to clarify the increasingly confusing situation in this group of galatheids (Galathéens non flagellés) in their paper, "Considérations générales sur la famille des Galathéides. All four of A. Milne Edwards' original genera were maintained, although they were greatly modified; species were rearranged among these, and many species were referred to Munidopsis. The BLAKE material served as the basis for their study, along with that collected by the TRAVAILLEUR and the TALISMAN mainly from the eastern Atlantic. The classification used in their account differed from that in current use mainly in the rank of the taxa. In A. Milne Edwards and Bouvier's paper, the family Galathéides was divided into three subfamilies: the Galathéines, the Diptycinés, and the Agléinés. The first subfamily included two tribes: the Galathéens and the Porcellaniens. The Galathéens were then divided into sections: the Galathéens flagellés (Gala-thea, Munida and Pleuroncodes) and the Galathéens non flagellés (Galacantha, Munidopsis, Galathodes, Elasmonotus and Orophorhynchus). Keys to all known species were given for each genus, and a quantity of general information about morphology and taxonomy was presented along with bathymetric and zoogeographical considerations. The redistribution of West Indian species into genera, and the inclusion of those from the northeast coast of the United States, resulted in two species of Galacantha, seventeen Munidopsis, three Galathodes, four Elasmonotus (one species suppressed, one transferred from Orophorhynchus) and two Orophorhynchus. The final report by Faxon of the eastern Pacific stalk-eyed crustaceans collected by the ALBATROSS was published in 1895. The account of the genus Munidopsis contained his assessment of the status of Munidopsis, in which he briefly outlined the reasons for uniting the other four genera with Munidopsis, followed by a summary and an appraisal of A. Milne Edwards and Bouvier's (1894) treatment of the classification. Because of its continued applicability to the problem, part of Faxon's discussion in quoted below: All of the genera proposed by the senior author in 1880 are retained, although transformed almost beyond recognition by the imposition of new diagnoses and new limitations. Galathodes is restricted to the species characterized by a broad, flat, triangular rostrum, often carinated on its upper side, and armed towards its anterior end with a pair of prominent lateral spines or teeth, in front of which the distal extremity of the rostrum suddenly contracts. This new diagnosis of the genus Galathodes eliminates eight of the ten species upon which the genus was originally based, leaving G. latifrons and G. tridens alone in Galathodes, the other eight being transferred to Munidopsis. So of the six species of Orophorrhynchus (sic) of the original paper three are now transferred to Munidopsis, one to Elasmonotus, one (O. spinosus) is ignored, leaving but one of the original species, O. aries, in Orophorrhynchus, of which genus it becomes the type. The difficulty encountered by Prof. Milne Edwards in distributing his own species among his own genera would seem clearly to show the artificial nature of the genera proposed, and amply to vindicate the course of those naturalists who have refused to adopt them. It is true, as Milne Edwards and Bouvier maintain, that the most characteristic of the species ranged by them in the genera Orophorrhynchus and Elasmonotus differ from the more typical species of Munidopsis as much or more than the species assigned to the genus Galacantha. But there is this difference: the species of Galacantha, although they differ but slightly in structure from Munidopsis, yet form a sharply defined and natural group disconnected from the latter genus in the absence of transitional species. Galathodes, Orophorrhynchus and Elasmonotus, on the contrary, are bound by a perfectly graduated series of numerous connecting forms with the typical species of Munidopsis. . . . (Faxon, 1895:82-83). A. Milne Edwards and Bouvier in 1897 published the final report of the BLAKE dredgings in the Gulf of Mexico and Caribbean Sea, including some material collected by the HASSLER. Because their report contained more detailed descriptions and illustrations of the majority of western Atlantic galatheids known at that time, it has remained a basic reference for the group. It is unfortunate that many of the plates apparently were prepared with as much or more consideration for their symmetry and artistic appeal than for the taxonomic information they might convey. However, the drawings are useful and, combined with the descriptions, permit the identification of most species of galatheids as well as chirostylids (Diptycinés) known from this area. The classification followed therein was the same as that used in their 1894 publication. "The Stalk-eyed Crustacea of British Guiana, West Indies and Bermuda" by Charles Yound, was published in 1900. The section on galatheids, with keys and brief descriptions, was the first work in English dealing with the West Indian species. The information appears to be a superficial summary of A. Milne Edwards and Bouvier's work, with the interesting exception that Galathodes was suppressed, with no explanation, and the two species which the French authors had retained in that genus were assigned to Munidopsis. Eleven species of Munidopsis, four Elasmonotus and one Galacantha were treated, but no new locations and no illustrations were included. Galatheids taken by the FISH HAWK expedition to Puerto Rico were reported by Benedict (1901), but only one species of Munidopsis, M. platirostris (A. Milne Edwards and Bouvier), was collected on that cruise. Alcock (1901) agreed with Faxon that Elasmonotus, Galathodes and Orophorhynchus could not be separated into well-defined genera, distinct from each other and from Munidopsis, but he arranged the Indian species of Munidopsis in five groups (the four above plus Bathyankyris-tes) which he treated as subgenera. Benedict's major work on galatheids in the collections of the U.S. National Museum was published in 1902. He described 46 new species principally from the expeditions of the ALBATROSS along both American coasts and in the western Pacific. Of the fourteen new species of Munidopsis, six are western Atlantic: of these, three are considered valid and two are treated as synonyms of M. serricornis (= M. tridentata) in this paper. Perhaps Benedict's greatest contribution to the literature is the last part of this 1902 paper, in which he compiled a world list of galatheids presented alphabetically by genus, with synonymies and general remarks about distributions. He submerged Elasmonotus, Galathodes and Orophorhynchus in Munidopsis, and maintained Galacantha as a separate genus. Of seven nominal species of Galacantha, he listed two from the western Atlantic; of 101 nominal species of Munidopsis, he listed 31 from the western Atlantic. Doflein and Balss (1913), in their report of the galatheids of the German deep-sea expedition, brought Benedict's list up to date by adding five species of Munidopsis described by various authors, and by describing five new species of Munidopsis and one of Galacantha, none of which are represented in the western Atlantic. Munidopsis, Orophorhynchus, Galathodes and Elasmonotus are ranked as subgenera. They suppressed or ignored some of the species from Benedict's world list, since their tabulations contained only six species of Galacantha and 106 species of Munidopsis (Doflein and Balss, 1913:174). Much consideration was given to bathymetric and zoogeographical distribution in their paper, and a useful compilation of this information for all known species was presented in tabular form. The bathymetric distributions of the 31 West Indian and U.S. east coast species were presented in table VI (p. 177-179) of that paper, but there are several errors in the tabulation which must be pointed out: Munidopsis polita (Smith) was known at that time from material collected off Martha's Vineyard, on the east coast of the U.S., rather than from western Europe, as indicated on p. 177; the geographical locations for M. depressa Faxon (p. 177) and M. tanneri Faxon are incorrectly indicated as West Indian, whereas both of these species are from the Pacific coast of the Americas. The sexual dimorphism displayed in the abdomen of galatheids was studies in detail by Perez (1927). He gave information about certain characteristics of the telson of many species in the family, including 11 species now recognized as western Atlantic species of Munidopsis. Other than Lee Boone's (1927) description of a new species of Galacantha collected on the PAWNEE from the Bahamas, no new species were discovered in the western Atlantic for almost 40 years after Benedict's work. In Schmitt's (1935) report on the macruran and anomuran crustaceans of the Scientific Survey of Porto Rico and the Virgin Islands, only seven species of Munidopsis were treated. A key to their determination was presented, as well as synonyms and a notation of the type locality. The distribution listed for each was based primarily on the BLAKE galatheids rather than on new material, although locations which could not be found elsewhere in the literature were mentioned for two species, M. longimanus and M. platirostris. The ATLANTIS expeditions in the Bahamas and off the coasts of Cuba in 1938 and 1939 were the next to obtain large collections of galatheids from this region. These were reported in two papers by Chace; a preliminary report in 1939, and the final report in 1942. The latter also included some material taken by the ATLANTIS off the northeast coast of Florida, and supplementary notes on BLAKE specimens in the Museum of Comparative Zoology. Of the 115-120 species of Munidopsis known to him, Chace enumerated 38 from the western Atlantic including three new species. His key to these 38 species was the first comprehensive key limited to but including all species of this geographical area, and thus it has been far more useful than many which preceded it. In his account of Munidopsis, Chace discussed the problems encountered in subdividing the large genus into more manageable genera or subgenera. He reported his unsuccessful attempt to separate Galacantha from Munidopsis based on the presence or absence of epipods on the ambulatory legs. He concluded that this character must be considered of specific importance only, and he used the arrangement of epipods throughout his key. Chace further analyzed the attempts made by Milne Edwards and Bouvier (1894) to base a division of the genus on the form of the rostrum (Galacantha and Galarhodes), the lack of lateral armature of the carapace (Elasmonotus) and the robust form and short chelipeds (Orophorhynchus) of certain species. He agreed that using this system might allow the separation of several groups: Galacantha, with its "abnormal" development of carapacial spines; Galathodes, with a flat tridentate rostrum; Orophorhynchus, with robust and short clawed species; Elasmonotus, with rounded anterolateral angles and carinate abdominal tergites; possibly Anoplonotus; and Bathyankyristes, with subchelate ambulatory legs. However, he observed that at least six similar groupings would be necessary for other species complexes, which would still leave almost one-third of the old Munidopsis species unaccounted for. Many of these not included in the groups mentioned are unique and would have to be placed in monotypic genera, while others are intermediate between groups, which would make the limits of these taxa questionable. He concluded, therefore, that Smith was probably correct when he suppressed Galacantha in 1894, although most authors have continued to recognize the genus as distinct, and he refers to Faxon's (1895) synopsis (see above). Chace reported new locations near Cuba in the accounts of 21 species. The only reports of western Atlantic galatheids during the next 30 years were those by Springer and Bullis (1956:15) and Bullis and Thompson (1965:9), all based on identifications by Chace, listing stations made by U. S. Fish and Wildlife vessels, principally the OREGON, at which Munidopsis were taken. The galatheoids collected by the ALAMINOS in the Gulf of Mexico were reported by the Pequegnats in 1970. The included information on the distribution of 23 species of Munidopsis known from the Gulf of Mexico, of which the ALAMINOS collected material of 14 species including three new species. Chace's (1942) keys, which unfortunately had become unavailable, were reproduced in their paper with slight modifications to include the new species. Additional material from the Gulf of Mexico and the Caribbean Sea taken in deep water by the ALAMINOS and the OREGON was presented by the Pequegnats (1971) in a paper dealing only with the genus Munidopsis. Chace's key was further modified therein to include the five new species they described and two species not recorded previously from the region, thus bringing the total number of western Atlantic nominal species to 48. Mayo's (1972) description of a new species from Arrowsmith Bank in the Caribbean is the most recent addition to the genus in the western Atlantic. MATERIAL AND METHODS The material on which this study is based was collected during oceanographic cruises of the research vessels JOHN ELLIOTT PILLSBURY and GERDA of the Rosenstiel School of Marine and Atmospheric Science, University of Miami, Florida. The letters P- and G- in stations numbers refer to the PILLSBURY and GERDA, respectively. Station data are presented in the appendix. The majority of the material was collected using 6-foot, 10-foot and 41-foot otter trawls, although some samples were taken with a 5-foot or 10-foot Blake trawl. Material of a few species was borrowed from the Museum of Comparative Zoology of Harvard University, Cambridge, Massachusetts (MCZ) and the National Museum of Natural History in Washington (USNM) for comparison and study. Much of this collection has been accessioned into the Invertebrate Museum of the Rosenstiel School of Marine and Atmospheric Science (UMML); the remainder has been sent to the USNM and to the Rijksmuseum van Natuurlijke Historie, Leiden (RMNH). Measurements of specimens were made to the nearest 0.1 mm using Mitutoyo dial calipers. The standard measurement is carapace length, abbreviated cl, and defined as the distance measured from the frontal margin posterior to the eye, excluding the rostrum, directly to the posterior margin (as shown in diagram 1). Carapace width, cw, is measured at the widest point. Cheliped length is measured from the articulation of the basis and coxa to the tips of the fingers. Illustrations were prepared using a Wild M-5 stereomicroscope with camera lucida attachment. Color notes were made from slides taken of fresh material of several species; most of this information is new and is presented in the species accounts. The map of the Caribbean, Straits of Florida and Bahama Islands used in the species distribution plots was redrawn from U. S. Naval Oceanographic Chart 410; an approximation of the 100 fm (183 m) contour is indicated by a stippled line. The station locations for each species were plotted on a grid of the appropriate size using a Calcomp 563 plotter and a program for this operation; these points were subsequently transferred to the printed maps. This project, as originally conceived, was somewhat broader in scope and included consideration of all genera of the galatheoid families Galatheidae and Chirostylidae. One aim of the larger project was an analysis of distributions and occurrences of species collected by the GERDA and PILLSBURY using Recurrent Groups Analysis, a method developed by E. W. Fager (157). This method has been used to define species groups or benthic assemblages of fishes (Staiger, 1970) and fishes and invertebrates (Bayer, Voss and Robins, 1970), in addition to its first use in dealing with species groups of zooplankton (Fager and McGowan, 1963). A basic operation in this method is the calculation of an index of affinity between species pairs. The index of affinity is defined as the geometric mean of the proportion of joint occurrences, corrected for sample size. Its mathematical expression is \[ J/(Na Nb)^{1/2} - 1/2 (Nb)^{1/2} \], in which $ J $ is the number joint occurrences of species $ a $ and $ b $; $ Na $ is the number of occurrences of species $ a $; $ Nb $ is the number of occurrences of species $ b $; and $ Na $ is less than or equal to $ Nb $ (Fager and McGowan, 1963:454). An IBM 360/65 computer program was used to calculate this index from data obtained for Munida as well as that for Munidopsis, in a preliminary attempt to determine the effectiveness of the method when used for a relatively limited taxonomic group. Although the study subsequently became restricted to the genus Munidopsis as the need for a complete systematic account of this large group became obvious, the indices of affinity between each pair of species of Munidopsis had been calculated for all species. It is recognized that there are several problems connected with this approach; however, the information expressed by this index is useful, in that species associations suspected after general consideration of joint occurrences are evaluated mathematically. This allows for more objective comparisons and analyses, as well as enabling the observer to predict joint occurrences in some cases. Therefore, indices of affinity between pairs of species of Munidopsis greater than 0.2 are presented in the species accounts. Munidopsis Whiteaves, 1874 Munidopsis Whiteaves, 1874:212.-- Smith, 1882:21; 1885:493-494; 1886:644.--Henderson, 1885:414; 1888:148.--Faxon, 1893:81 (footnote indicating inclusion of Galatodes (sic), Orophorhynchus, Elasmonotus, and Anoplontorus); 1895:81-83.--Alcock, 1894:328; 1901:247-251, 248 (as subgenus or group), 249-250 (key to species in subgenus or group).--Alcock and Anderson, 1894:166 (key to Indian species).--A. Milne Edwards and Bouvier, 1894:271-276, 275 (key to species); 1897:8 (key), 63-64; 1899:82; 1900:312.--Young, 1900:399(key), 406-407 (key to species).--Benedict, 1901:148; 1902:275-277 (key to species), 315 (list).--Fowler, 1912:574.--Doflain and Balss, 1913:131 (table), 148-149, 174, 177-179 (table of species).--Selbie, 1914:80, 80-81 (key to Irish species).--Schmitt, 1921:167.--Bouvier, 1922:47 (also as subgenus).--Laurie, 1926:139.--Perez, 1927:285.--Yokoya, 1933:66.--Schmitt, 1935:178, 178-179 (key to species).--Makarov, 1938 (1962):80 (key), 96-98.--Chace, 1942:29 (key), 69-72, 72-75 (key to W Atlantic species).--Haig, 1955:39.--Tirmizi, 1966:211(genus), 211 (in key as subgenus), 218 (as subgenus).--Zariquiey Alvarez, 1968:268, 268-269 (key to Iberian species).--Glaessner, 1969:R482.--Pequegnat and Pequegnat, 1970:126 (key), 138, 138-140 (key to W Atlantic species); 1971:3, 4-7 (key to W Atlantic species). Type species: Munidopsis curvirostra Whiteaves, 1874 by monotypy. Gender: feminine. Galacantha A. Milne Edwards, 1880:52.--Henderson, 1885:418; 1888:166-167.--Perrier, 1886:294.--A. Milne Edwards and Bouvier, 1894:261, 268-270, 270-271 (key to species); 1897:55-56; 1900:308.--Alcock and Anderson, 1894:173.--Faxon, 1895:78.--Young, 1900:399 (key), 417.--Alcock, 1901:274-275 (key to Indian species).--Benedict, 1902:304 (list.--Fowler, 1912:575.--Doflein and Balss, 1913:131 (table), 147, 174.--Perez, 1927:285.--Tirmizi, 1966:174 (key), 206 (key to Indian species). Type species: Galacantha rostrata A. Milne Edwards, 1880, by subsequent designation, Fowler (1912:575). Gender: feminine. Galathodes A. Milne Edwards, 1880:53.--Sars, 1890:162-170, tab. 4 (larvae and juveniles).--Perrier, 1886:294.--A. Milne Edwards and Bouvier, 1894:261, 276-279, 279 (key to species); 1897:94; 1899:83; 1900:331.--Caullery, 1896:390.--Alcock, 1901:249 (as subgenus or group), 250 (key to Indian species in subgenus or group).--Doflein and Balss, 1913:148 (as subgenus).--Bouvier, 1922:48 (as subgenus).--Perez, 1927:287.--Tirmizi, 1966:211 (in key as subgenus), 228 (as subgenus). Type species: Galathodes erinaceus A. Milne Edwards, 1880, by subsequent designation, Fowler (1912:574). Gender: masculine. Orophorhynchus A. Milne Edwards, 1880:58.--Perrier, 1886:294.--A. Milne Edwards and Bouvier, 1894:264-267, 283-287, 287 (key to species); 1897:110-111; 1899:85-86; 1900:336.--Alcock, 1901:249 (as subgenus of group), 250 (key to Indian species in subgenus or group).--Benedict, 1901:148 (as subgenus).--Doflein and Balss, 1913:148 (as subgenus).--Perez, 1927:288.--Tirmizi, 1966:211 (in key as subgenus), 216 (as subgenus). Type species: Orophorhynchus aries A. Milne Edwards, 1880, by subsequent designation, Faxon (1895:82). Gender: masculine. Elasmonotus A. Milne Edwards, 1830:60.--Henderson, 1895:416; 1888:158-159.--Perrier, 1886:294.--Alcock, 1894:333; 1901:249 (as subgenus or group), 251.--A. Milne Edwards and Bouvier, 1894:262, 264-267, 279-283, 282 (key to species); 1897:98; 1900:333.--Young, 1900:399 (key), 413-414, 414 (key to species).--Doflein and Balss, 1913:148 (as subgenus).--Perez, 1927:288.--Tirmizi, 1966:211 (in key as subgenus), 213 (subgenus, key to Indian species). Type species: Elasmonotus longimanus A. Milne Edwards, 1880, by subsequent designation, Fowler (1912:574). Gender: masculine. Anoplonotus Smith, 1883:50. Type species: Anoplonotus politus Smith, 1883, by monotypy. Gender: masculine. Galathopsis Henderson, 1885:417, as a subgenus intermediate between Munidopsis and Elasmonotus. Type species: Galathopsis laevigata Henderson, 1885 (first species). (Not fixed in original publication, subsequent designation not determined). Gender: feminine. Bathvankyristes Alcock and Anderson, 1894:173.--Alcock, 1901:249 (subgenus or group), 251 (key to Indian species in subgenus or group).--Doflein and Balss, 1913:148 (as subgenus).--Tirmizi, 1966:211 (in key as subgenus). Type species: Bathvankyristes spinosus Alcock and Anderson, 1895, by subsequent designation, Fowler (1912:574). Gender: masculine. The terminology used herein is in accordance, as far as possible, with that used in the Treatise on Invertebrate Paleontology (Moore, ed, 1969:R401-R418); several terms have been slightly modified from those of Pike (1940) and A. Milne Edwards and Bouvier (1894). Diagnosis.--Body not laterally compressed, usually dorsoventrally compressed; integument strongly calcified; transverse ciliated lines on carapace feeble or absent; abdomen and uropods symmetrical; abdominal epimera well developed; abdomen more or less bent under carapace, but not strongly flexed against cephalothorax; second abdominal segment of males with appendages; gill phyllobranchiate, 10 arthrobranchs present in normal position; pleurobranch on fifth pereiopods; antenna with 4-segmented peduncle lacking scale; exopod of first maxillipeds without flagellum; third maxillipeds with epipods; first pereiopod chelate, second through fourth pereiopods not chelate; fifth pereiopod differing from third in size, length and shape; last thoracic sternite free. Description.--Integument of body hard, well-calcified. Carapace usually longer than broad (cw/cl usually 0.80 - 0.95), generally quadrangular; dorsal surface with regions usually well-defined and frequently inflated, particularly gastric region; cervical groove usually distinct centrally posterior to gastric region as short transverse channel curving forward laterally and bifurcating or branching separately into anterior and posterior branches: anterior branch separating hepatic and epibranchial regions (hepatic region herein not equal to hepatic region of Pike, 1940:9; latter equivalent to epibranchial, as used herein), lateral termination marked on lateral margin by notch; posterior branch of cervical groove extending obliquely and posteriorly to lateral marginal notch, or intersecting lateral part of postcervical groove; gastrolorbital groove continuing forward from cervical groove to frontal margin, separating gastric and hepatic regions. Metagastric area prominent (fig. 10) or completely reduced (fig. 23), bordered posteriorly by distinct transverse postcervical groove; lateral extensions of postcervical groove separating mesobranchial from metabranchial regions and often intersecting posterior branch of cervical groove at or near lateral margins. Cardiac region usually somewhat triangular in shape, bounded laterally by branchiocardiac groove and with posterior point close to or approximating transverse marginal groove and adjacent marginal rim. Regions of carapace unarmed, sculptured with tubercles, squamae and/or striae, or armed with spinules, spines or tuberosities; sculpturing, when present, generally symmetrical, often arranged in irregular transverse rows and with associated setae; sculpturing coarser on metabranchial regions; spines, when present, usually consisting of at least one anterior gastric pair, occasionally median gastric spine and/or median or paired spines on anterior ridge of cardiac region. Front of carapace projected between eyes into rostrum, usually more than 1/4 carapace length; shape of rostrum varying from slender or triangular spine to broad, spade shape or trident; rostrum dorsally carinate, excavate or smooth; lateral margins convex, concave, parallel or acuminate, smooth or armed with sharp lateral spines or weakly serrate distally; rostrum horizontal in lateral view, weakly decurved or gently or strongly upturned in distal portion; tip usually acute, but occasionally blunt or rounded. Frontal margin between eye and anterolateral angle smooth or with post-antennal lobe or spine, never with strong supraorbital spine. Anterolateral angle (defined as occurring mesially or anteriorly of lateral termination of anterior branch of cervical groove) usually armed with spine or tooth, or unarmed. lateral margins nearly straight to distinctly convex, smooth or armed; spines, when present, usually located posterior to carapacial grooves. Posterior marginal rim smooth, beaded, granulate or armed with one or more spines, frequently transversely bicarinate. Abdomen broad, well-developed, usually flexed with only anterior 3 somites and part of fourth somite visible in dorsal view. First abdominal segment small, usually smooth, partially hidden beneath carapace; postolateral angles projected as articular flanges, latter occasionally sculptured or armed. Second through fourth segments smooth anteriorly, fitting beneath anterior segment with abdomen extended, usually with transverse carinae; carinae sometimes dorsally projected, frequently armed with paired or median spines; occasionally with spine on pleuron. Pleuron of second segment usually broad, pleura of posterior segments frequently narrowed laterally and smooth anteriorly, fitting beneath pleuron of preceeding segment with abdomen flexed. Fifth and sixth segments generally smoother. Sternum usually smooth, occasionally with tubercles and less frequently with small spines on sternite between bases of chelipeds; intersegmental ridges and grooves distinct or obscure, usually with row of short setae; median longitudinal indentation or groove often present, usually more distinct posteriorly. Sternite of fifth pereiopods narrow but well-formed, not fused to others but freely articulated. Eyestalks short, fused to front of carapace and rostrum or freely movable; eyes sometimes partially hidden beneath rostrum; cornea same diameter as eyestalk or inflated, usually chalky white, sometimes translucent or red-orange in life, usually devoid of pigment and faceting; eyes unarmed or eyestalk projected beyond cornea mesially and/or laterally to form spine, or cornea with terminal eyespine. Basal segment of antennular peduncle usually enlarged, with lateral swelling often sculptured, and armed distally with usually 2 sharp spines, one above other. Second and third segments slender, flexed; extended antennule often reaching beyond rostrum. Antennal peduncle consisting of 4 segments. Basal segment broad, immovable, usually armed with lateral spine and ventromesial projection. Second and third segments usually smaller, frequently armed with lateral or mesial spines. Distal margin of fourth segment usually with dorso-lateral projection. Antennal flagellum short (less than carapace length) of medium length, or extremely long, reaching well beyond chelipeds; flagellum with or without setae. Exopod of first maxilliped without flagellum. Endopod of third maxilliped with epipod. Well-developed crista dentata on mesial edge of ischium. Merus serrate, weakly toothed, or with distinct spines on ventral flexor margin and dorsal spine on distal margin. Carpus sometimes armed or sculptured. Propodus and dactylus smooth. Pereiopods usually sculptured, often spinous, particularly on meral segments. Arrangement of epipods varying from absent on all pereiopods to present on anterior 4 pereiopods; when present on second, third or fourth pereiopod, also present on all preceding pereiopods. First pereiopod chelate; length varying from short (slightly less than carapace length) to more than 4 times carapace length. Claw often flattened dorsoventrally, with fingers toothed on opposing margins and spooned distally; more proximal segments subcylindrical or quadrate in cross section; carpus usually armed on distal margin; merus armed distally and on mesial surface. Second, third and fourth pereiopods usually quite similar: dactylus usually terminating in curved brown corneous tip, followed on flexor margin by serration, of which each tooth armed with short stiff seta or corneous spinule. Fifth pereiopods chelate, slender, weak; merus and carpus elongate, flexed. Paired pleopods present on first 5 abdominal somites of male; anterior 2 pairs greatly modified for copulation; posterior 3 pairs usually weak and rudimentary. Paired pleopods present on second through fifth abdominal somites of female. Fourteen phyllobranchiate gills on each side: 5 pairs of arthrobranchs (on third maxilliped, first through fourth pereiopods) and 4 pleurobranchs (on second through fifth pereiopods). Protopod of uropod usually with 2 lobes on posterolateral margin, separated by notch between attachment of exopod and endopod: posterior lobe often with serrate margin, additional notch and/or spines. Exopod usually smooth, exposed surface occasionally with sculpturing in form of tubercles or minute spinules: lateral and posterior margins with long plumose setae and short, closely-spaced spinules, spinules sparser on lateral margin. Endopod with few simple setae on usually straight lateral margin; posterior margin with long plumose setae; exposed surface often with sculpturing. Telson generally hexagonal, subdivided by lines of weaker calcification into 7 to 10 symmetrical plates (following terms according to Pike, 1940:26, based on Perez, 1927:275): broad medial plate, smaller anterolateral pair of plates, lateral and posterior plates most distinct; often central plate distinct or discernible posterior to medial plate, and small intermediate plates mesial to lateral plates. Margins Diagram 1.--Generalized Munidopsis, external morphology. Abbreviations of carapacial regions as follows: prgr, protogastric region; msgr, mesogastric region; mtgr, metagastric region; cr, cardiac region; hr, hepatic region; ebr, epibranchial region; msbr, mesobranchial region; mbbr, metabranchial region. of lateral plates each usually with fringe, "comb" or tuft of thick setae in males, sometimes deep golden or amber color; marginal setae lacking or sparse, never forming dense fringe, in this location on females. Posterior margin of telson with medial indentation, long, plumose marginal setae. Geographic range.--Representatives of the genus Munidopsis have been taken from benthic habitats in deep water from the Atlantic, Pacific and Indian Oceans. Of the 48 species now known from the western Atlantic, 6 of the deepest dwelling species can be considered amphi-Atlantic (M. bermudezi Chace, M. crassa Smith, M. livida (A. Milne Edwards and Bouvier), M. serricornis (Lovén) and M. sundi Sivertsen and Holthuis); the first 5 of these are represented in the collection reported herein. In addition, specimens from the Indian Ocean have been identified as M. rostrata and M. tridentata (Esmark) (=M. serricornis). Material collected in the western Atlantic by the GERDA and PILLSBURY was taken from the Straits of Florida (19 of 35 species), the Bahama Islands (9 species), the Greater Antilles --Cuba, Jamaica, Haiti, Puerto Rico --(20 species), the Lesser Antilles --Virgin Islands to Tobago--(17 species), the north coast of South America (13 species), the coast of Panama and Central America (7 species) and Arrowsmith Bank (3 species). The most thorough collecting was done in the Straits of Florida, and all species previously reported from this area were collected there except one, M. expansa Benedict, the type of which was reported from the north coast of Florida. Only M. riveroi Chace, M. bradleyi Pequegnat and Pequegnat, M. ramahaylorae and M. serratifrons (A. Milne Edwards) seem to be restricted to the Caribbean, having neither been collected as far north as the Straits of Florida nor reported thus far from the Gulf of Mexico. M. gilli, known only from the Bahamas and the Straits of Florida to date, M. granulens from Arrowsmith Bank, and M. cubensis from the Straits of Florida and Cuba may have somewhat restricted ranges, but as yet these species are known from too few specimens to conclude much about their actual distribution. Bathymetric distribution.--Munidopsis is a deep-water genus with most of its species occurring below 500 m. Material in the GERDA and PILLSBURY collections was taken from depths between approximately 150 and 5200 m, although the range of any single species is much narrower. Bathymetric range is expressed in two ways in this paper, to account for the variations in depth sometimes encountered during a single trawl: possible depth range is the maximum possible depth range of the stations from which material was collected, from the least depth at the shallowest station to the greatest depth at the deepest station; calculated depth range is a narrower range, from the greatest depth at the shallowest station to the least depth at the deepest station. The latter depth range is quite significant in that it is certain that the species has been taken between the depths indicated. It must be kept in mind, however, that it is also quite possible that a given species occurs shallower or deeper than this calculated depth range. The bathymetric ranges of species taken by the GERDA and PILLSBURY are as follows: \| Species \| Calculated range (m) \| Possible range (m) \| \|------------------\|----------------------\|--------------------\| \| M. platirostris \| 207-390 \| 92-842 \| \| M. granulens \| 347-353 \| same \| \| M. squamosa \| 366-390 \| 339-395 \| \| M. spinifer \| 421-522 \| 203-604 \| \| M. robusta \| 324-622 \| same \| \| M. riveroi \| 431-531 \| 373-686 \| \| M. abdominalis \| 480-622 \| 458-648 \| \| M. ramahtaylorae \| not determined \| 408-648 \| \| M. bradleyi \| not determined \| 476-711 \| \| M. alaminos \| 558-715 \| 457-842 \| \| M. impolita \| 585-715 \| 585-787 \| \| M. polita \| 134-755 \| 129-807 \| \| M. subspinoculata\| 558-777 \| 457-823 \| \| M. serratifrons \| 770-824 \| 715-897 \| \| M. erinaceus \| 311-827 \| 316-1574 \| \| M. spinosa \| 724-878 \| 597-1050 \| \| M. cubensis \| not determined \| 759-869 \| \| M. brevimanus \| not determined \| 878-906 \| \| M. longimanus \| 576-1052 \| 408-1281 \| \| M. latifrons \| 677-833 \| 659-1089 \| \| M. spinoculata \| 724-1135 \| 597-1267 \| \| M. abbreviata \| 724-1318 \| 597-1345 \| \| M. serricornis \| 695-1373 \| 570-1446 \| \| M. armata \| 906-1373 \| 796-1446 \| \| M. transtridens \| 1201-1373 \| 1162-1446 \| \| M. sigsbei \| 805-1442 \| 595-1629 \| \| Species \| Calculated range (m) \| Possible range (m) \| \|------------\|----------------------\|--------------------\| \| M. gilli \| not determined \| 1638-1757 \| \| M. rostrata\| 1848-2626 \| 1464-2669 \| \| M. similis \| 1885-2628 \| 1885-2681 \| \| M. simplex \| 1116-3477 \| 1088-3971 \| \| M. nitida \| 1903-3477 \| 1766-3971 \| \| M. geveri \| not determined \| 3111-3496 \| \| M. crassa \| 2532-4415 \| 2514-4415 \| \| M. livida \| not determined \| 3111-3496 \| \| M. bermudezi\| 2751-5179 \| 2745-5184 \| Parasites.--The genus Munidopsis is host to two major groups of crustacean parasites: isopods of the family Bopyridae; and rhizocephalans of the family Peltogastridae. The isopods are carried in either the left or right branchial chambers, and usually produce a conspicuous swelling on the metabranchial region of the carapace. All of the bopyrids extracted from the GERDA and PILLSBURY material were identified by John C. Markham as belonging to the genus Pseudione. None of these were identified to species and most are probably undescribed, according to Dr. Markham. The rhizocephalans are attached beneath the abdomen, usually to the second, third or fourth segment. Most of these were identified by the author as belonging to one of three genera: Tortugaster, Galatheacus, and Cyphosaccus. These genera are described by Reinhard (1958) who gives accounts and figures of many of the species encountered. Several Sacculina spp. were found also, and are the first representatives of this genus to be recorded from Munidopsis (see account of M. simplex). Relationships.--Although the relationships among the species of Munidopsis are complex, as indicated in the Review of the Literature and in individual species accounts, the genus, in the broadest sense, is well defined by the characters listed in the diagnosis. Munidopsis can be distinguished from all other genera in the family, and has been placed in its own subfamily, Munidopsinae Ortmann, 1892 by many authors including Doflein and Balss (1913), Yokoyo (1933) and Chace (1942). The well-calcified integument, usually without distinct transverse striae, and the lack of a flagellum on the exopod of the first maxilliped serve to separate Munidopsis from members of the subfamily Galatheinae, which includes Galathea Fabricius, Baba's (1969) new genera: Liogalathea, Phylladiorhynchus, Allogalathea and Sadayoshia, Munida Leach, Pleuroncodes Stimpson, Cervimunida Benedict, and Bathymunida Balss. While there seem to be too many intermediate forms to allow a subdivision of Munidopsis into genera or even subgenera (Chace, 1942:69-72), several complexes of morphologically similar species are found in the species of Munidopsis taken by the GERDA and PILLSBURY. The Galacantha group, with huge carapacial spines, contains M. spinosa and M. rostrata. The transitional species, M. gilli, M. bradleyi and M. cubensis lead to a pair of robust species closely related to each other, M. geveri and M. crassa. M. abbreviata is intermediate between M. crassa and two additional groups: one containing the type species of the genus, M. curvirostra (a northern Atlantic species not reported here) along with M. simplex and M. sigsbei, all with a long, simple spine-like rostrum; and another pair, M. robusta and M. riveroi. The latter species, with its hood-like excavate rostrum, provides a smooth transition to the Elasmnotus group, which is characterized by rounded anterolateral angles and projected abdominal carinae and which contains M. brevimanus and M. longimanus. M. reynoldsi (not reported here), M. similis, and M. nitida are intermediate between the simplex-sigsbei types and a group of short-clawed species with eyespines containing M. spinoculata, M. subspinoculata, and M. ramahtaylorae. There are similarities between M. ramahtaylorae and M. platirostris, but the latter has been more closely associated with the Orophorhynchus group, which may contain M. livida, and to which M. aries and probably M. sundi belong (latter two species not reported here). M. serratifrons, although quite special, shows some features intermediate between M. robusta and M. alaminos. M. spinifer and M. erinaceus, with spine-like, laterally armed rostra are quite close. Considering primarily the shape of the rostrum, M. latifrons, with the lateral spines of its tridentate rostrum directed anterolaterally, can be viewed as somewhat transitional between the latter pair of species and the western Atlantic species in the Galathodes group: M. serricornis, M. transtridens, M. acuminata and M. tridens (latter two species not reported here). M. polita and M. impolita appear to form a group of species having a generally quadrate, unarmed carapace and short rostrum which includes M. espinis and possibly M. gulfensis (latter two species not reported herein), although the chelipeds of the first two species are much longer than those of the latter two; also, the eyes are movable in the first pair of species, and are fused to the carapace in the second pair. M. squamosa and M. barbaraee (not reported herein) are also close to each other but seem to lack affinities with other members of the genus, except perhaps with M. granulens, which has the general form of the carapace, rostrum and eyes somewhat similar, although the chelipeds in the latter species are quite different from those of M. squamosa. The analyses of relationships indicated here are based primarily on the general shape of the carapace, sometimes the nature of the abdominal sculpturing or length of the chelipeds, but, as has been stated previously, an arrangement cannot be made which does not rely on a few features to the exclusion of many others which may be equally important and striking. KEY TO WESTERN ATLANTIC SPECIES OF THE GENUS MUNIDOPSIS 1. Abdomen armed ........................................... 2 Abdomen lacking distinct spines on any segments ............ 20 2. Dorsal surface of carapace with distinct spines on gastric region 3 Dorsal surface of carapace with sculpturing on gastric region, but without spines .................. 16 3. Fourth abdominal tergite armed with at least one spine .... 4 Fourth abdominal tergite unarmed .......................... 13 4. Rostrum armed laterally with 1 - 3 pairs of spines, or many spinules on dorsal and lateral surfaces ................. 5 Rostrum unarmed laterally, at most minutely serrate on dorsal and lateral surfaces ....................... 10 5. Eyestalk with large distal spine on cornea mesially, or several spinules ............................................. 6 Eyestalk without large distal spine or spinules on cornea .... 7 6. Eyestalk with large distal spine on cornea mesially; rostrum armed with 1-3 pairs sharp lateral spines .............. M. colombiana Pequegnat and Pequegnat, 1971 Eyestalk without large distal spine on cornea (often with several spinules); rostrum without distinct pairs of lateral spines (but with many spinules on dorsal and lateral surfaces) .......... M. alaminos 7. Second, third and fourth abdominal tergites with a single median spine ............................................. 8 Second, third and fourth abdominal tergites with more than one spine ........................................ 9 8. Huge spine projecting dorsally from posterior gastric region of carapace; cardiac region with 1 sharp spine on anterior ridge .................................................. M. rostrata No unusually large spine on posterior gastric region; cardiac region with 2 blunt spines on anterior ridge .................. M. gilli 9. Posterior margin of carapace unarmed; 2 pairs of gastric spines; 2 pairs of spines on second, third and fourth tergites ................. M. erinaceus Posterior margin of carapace with 3-5 pairs of spines; 3 pairs of gastric spines; 3 spines on second and third abdominal tergites, 1 spine on fourth tergite .................. M. spinifer 10. Posterior margin of carapace armed .................. 11 Posterior margin of carapace unarmed .................. 12 11. Posterior margin of carapace with 1 mesial spine or tooth; second and third abdominal tergites each with only 1 large mesial spine .................. M. robusta Posterior margin of carapace with 2 sharp spines; second and third abdominal tergites with smaller spine on either side of mesial spine .................. M. serratifrons 12. Carapace with huge spine projecting dorsally from posterior gastric region, 2 anterior gastric spines and 3 median cardiac spines .................. M. spinosa Carapace without unusually large spines, but with denticulate tubercles .................. M. abbreviata 13. Rostrum armed laterally with 1 pair of spines .................. 14 Rostrum unarmed laterally ........................................ 15 14. Posterior margin of carapace armed with at least 1 pair of spines; gastric region with at least 3 prominent spines; second and third abdominal tergires each with 1 pair of medial spines .................................................. M. bradleyi Posterior margin of carapace unarmed; gastric region with only 1 pair of spines; second and third abdominal tergites each with a single median spine ........................................... M. cubensis 15. Rostrum more than 2/3 carapace length, strongly upcurved; antennal peduncle unarmed ......................... M. curvirostra Whiteaves, 1874 Rostrum approximately 1/2 carapace length, not strongly upcurved; antennal peduncle spinose ........................................... M. simplex 16. Second abdominal segment with distinct spine or protuberance near pleural margin ........................................... 17 Second abdominal segment without distinct spine or protuberance near pleural margin ........................................... 18 17. Rostrum broad and flat, terminally tridentate; third and fourth abdominal tergites unarmed .......................... M. latifrons Rostrum excavate dorsally, not tridentate; third and fourth abdominal tergites each armed with expanded median tooth ........ M. longimanus 18. Rostrum dorsally excavate, lateral margins subparallel at base between eyes, tapering distally; no anterolateral or lateral spines on carapace; no epipods on pereiopods ............ 19 Rostrum not dorsally excavate, lateral margins tapering directly from base; sharp anterolateral spine and lateral spine on carapace; epipods on chelipeds and first 2 pairs of ambulatory legs ........................................ M. abbreviata (See description; this entrance in key is to account for specimens in which gastric spination is obscure). 19. Dorsal surface of carapace strongly arched transversely; raised portions coarsely tuberculate or scabrous .... M. riveroi Dorsal surface of carapace not strongly arched transversely; raised portions only moderately tuberculate or granulate .... M. brevimanus 20. Dorsal surface of carapace with distinct spines, or at least 1 pair of tubercles on gastric region ................. 21 Dorsal surface of carapace without distinct spines or pair of tubercles on gastric region ....................... 36 21. Eyestalk and cornea unarmed and without granular overgrowth .. 22 Eyestalk or cornea with at least 1 spine, protuberance or granular overgrowth .................................. 25 22. Rostrum tridentate .................................. 50 Rostrum not tridentate .................................. 23 23. Rostrum narrow, simply spine-like or with distal constriction and obtuse teeth at base of constriction; frontal margin of carapace without post-antennal spine .................. 24 Rostrum broad, spade-shaped; frontal margin of carapace with post-antennal spine ............................. M. platirostris 24. Rostrum not simply spine-like, but with distal constriction, often with obtuse teeth at base of constriction; gastric region of carapace without distinct pair of sharp spines, but with pair of obscure tubercles or spinules; lateral submarginal depressions distinct on carapace .................. M. armata Rostrum simply spine-like; gastric region with distinct pair of sharp spines; no distinct submarginal depressions on carapace M. reynoldsi (A. Milne Edwards, 1880) 25. Posterior margin of carapace armed with sharp spines or distinct tubercles ........................................... 26 Posterior margin of carapace not armed with sharp spines or distinct tubercles ........................................... 29 26. Eyestalk with sharp conical spine projection from mesial surface of cornea; no epipods on pereiopods .................. 27 Eyestalk without sharp conical spine projecting from mesial surface of cornea (but with toothed or squamous protuberance); epipods on chelipeds and first 2 pairs of ambulatory legs ........ 28 27. Rostrum without lateral spines; frontal margin of carapace with small post-antennal tooth M. sharreri (A. Milne Edwards, 1880) Rostrum with 3 pairs of lateral spines; frontal margin without post-antennal spine ........................................... M. bairdi (Smith, 1884) 28. Dorsal surface of carapace covered with regularly arranged, short, sharp spines; frontal margin of carapace with post-antennal spine ........................................... M. barbarae (Boone, 1927) Dorsal surface of carapace not covered with spines, but with distinctive tuberosities, squamous, sometimes sharply granulate; frontal margin of carapace without post-antennal spine ........................................... M. squamosa 29. Eyestalk with blunt tooth or granular overgrowth on mesial surface of cornea ........................................... 30 Eyestalk with sharp conical spine projecting from mesial surface of cornea ........................................... 31 30. Rostrum spade-shaped, constricted between eyes, lateral margins Anterolateral angle of carapace without tooth or spine; frontal margin with small sharp post-antennal spine; length of eyespine at least 1/2 diameter of cornea; sternum armed with 2 pairs of sharp spines between coxae of chelipeds; second abdominal tergite with 1 transverse carina 39. Lateral margins of rostrum straight, tapering directly from base to apex; rostrum with medio-longitudinal carina; carapace with irregular transverse sculpturing, setae arranged in transverse rows; length of eyespine almost equal to diameter of cornea M. spinoculata Lateral margins of rostrum subparallel proximally, slightly convex distally; rostrum acarinate; carapace smooth, no sculpturing or straie, setae not arranged in distinct transverse rows; length of eyespine approximately 1/2 diameter of cornea M. ramahtylorae 40. Rostrum bluntly triangular; eyes armed with small lateral protuberance; no epipods on chelipeds Rostrum broad, margins subparallel in proximal half, tapering distally; eyes armed with mesial, sometimes bifurcate, spine and lateral spinule; epipods on chelipeds M. livida 41. Rostrum with sharp lateral spines or somewhat constricted in distal portion Rostrum without sharp lateral spines (sometimes minutely serrate), usually triangular or spine-like and not constricted in distal portion 42. Rostrum with pair of sharp laterally-projecting spines; epipods present on first pair of ambulatory legs M. expansa Benedict, 1902 Rostrum without sharp laterally-projecting spines, but constricted in distal portion or tridentate; epipods not present on first pair of ambulatory legs. 43. Rostrum broad and flat, terminally tridentate. Rostrum not particularly broad and flate, not terminally tridentate, but constricted in distal portion, with or without teeth at base of constriction. 44. Epipods on chelipeds. M. acuminata Benedict, 1902 No epipods on chelipeds. M. serricornis 45. Rostrum slightly constricted distally; spine lateral to eye beneath frontal margin of carapace almost as long as eyestalk; submarginal depressions not distinct on carapace; second and third abdominal tergites not unusually carinate. M. abdominalis Rostrum abruptly constricted distally, usually with obtuse teeth at base of constriction; spine lateral to eyes beneath frontal margin of carapace short compared to long eyestalks; lateral submarginal depression distinct on carapace; second and third abdominal tergites with strong rounded transverse carina. M. armata 46. Rostrum sharp, spine-like; posterior margin of carapace with 3-5 sharp spines; epipods on chelipeds only. M. sigsbei Rostrum bluntly triangular; posterior margin of carapace unarmed; epipods on chelipeds and first 2 pairs of ambulatory legs, or not present on any pereiopods. 47. Eyes movable; no epipods on chelipeds or ambulatory legs. Eyes fused to rostrum; epipods on chelipeds and first 2 pairs of ambulatory legs ........................................... 49 48. Rostrum horizontal; antennular spines long, sharp, widely separated in dorsal view; distinct protuberance beneath frontal margin lateral to eye ........................................ M. impolita Rostrum slightly decurved; antennular spines adjacent or overlapping in dorsal view; no distinct protuberance beneath frontal margin lateral to eye ........................................ M. polita 49. Anterolateral tooth broad, directed anterolaterally, reaching base of rostrum; lateral margin with bifid tooth posterior to anterolateral tooth; dorsal surface of carapace punctate; chelipeds narrow (width approximately 1/10 length) .................. M. espinis Benedict, 1902 Anterolateral tooth small, directed anteriorly, not reaching base of rostrum; lateral margin without bifid tooth posterior to anterolateral tooth; dorsal surface of carapace not punctate; chelipeds massive (width 1/5 length) .................. M. gulfensis Pequegnat and Pequegnat, 1970 50. Chelipeds usually less than 2 1/2 times carapace length; manus broad with respect to length (length of manus = 4 times width); merus with 1 or 2 mesial spines proximally .................. M. tridens (A. Milne Edwards, 1880) Chelipeds usually more than 3 times carapace length; manus narrow with respect to length (length of manus = 6 times width); (smaller individuals with shorter, but more slender chelipeds) merus with 3 or 4 mesial spines proximally .... M. transtridens Munidopsis abbreviata (A. Milne Edwards, 1880) Figures 1, 2 Galathodes abbreviatus A. Milne Edwards, 1880: 55. Munidopsis abbreviata: A. Milne Edwards and Bouvier, 1894b: 275 (key); 1897: 91-93, pl V, fig. 1.--Young, 1900: 407 (key), 410.--Benedict, 1902: 277 (key), 315 (list).--Doflein and Balss, 1913: 174 (list), 177 (table).--Chace, 1942: 72 (key), 77-78.--Pequegnat and Pequegnat, 1970: 138 (key), 140, table 5-2; 1971: 4 (key). Munidopsis abbreviatus: Perez, 1927: 287. Material examined.--Bahama Islands: G-193, 1190-1080 m, 1 ♀, 6.5 mm, (USNM).--Straits of Florida: G-222, 824 m, 1 ♀, 12.6 mm, UMML 32:5207; G-225, 805 m, 1 ♀, 17.6 mm, (USNM); G-226, 802-805 m, 1 ♀, 15.2 mm, (RMNH); G-443, 729-829 m, 1 ♂, 20.0 mm, (USNM); G-860, 755-724 m, 2 ♀, 14.9, 19.0 mm, (RMNH); G-870, 807-755 m, 1 ♂, 21.5 mm, 1 ♀, 12.7 mm, UMML 32:5208.--Off Atlantic coast of Colombia: P-381, 724-597 m, 2 ♂, 18.4, 31.8 mm, 1 ovigerous ♀, 18.7 mm, (USNM).--Off Surinam: P-675, 1235-1272 m, 1 ♂, 17.5 mm, (RMNH); P-682, 1318-1345 m, 1 ♀, 18.8 mm, (USNM).--Off Venezuela (S of Orchilla): P-741, 1052-1067 m, 1 ♂, 20.7 mm, (RMNH).--Off Tobago: P-847, 733-1281 m, 2 ♂, 14.3, 11.8 mm, 1 ♀, 16.2 mm, UMML 32:5209; P-850, 800-924 m, 1 ♀, 5.0 mm, UMML 32:5210.--Off Guadeloupe: P-946, 733-833 m, 2 ♂, 10.5, 13.6 mm, 1 ovigerous ♀, 21.7 mm, UMML 32:5211.--S of Jamaica: P-1262, 805-1089 m, 1 ♂, 8.6 mm (with branchial parasite), UMML 32:5212. See distribution plot 1. Diagnosis.--Rostrum long, triangular, spine-like, slightly upturned distally; gastric region of carapace with several pairs of tubercles arDistribution plot 1.--Munidopsis abbreviata (A. Milne Edwards) collected by the GERDA and PILLSBURY. + 2 stations off Surinam (not shown) Figure 1. --Munidopsis abbreviata (A. Milne Edwards, 1880), ♂, cl. 14.3 mm, P-847, dorsal view. Figure 2. --Munidopsis abbreviata (A. Milne Edwards, 1880). $\sigma$, cl. 14.3, P-847: a, lateral view of carapace and abdominal tergites, setae not shown; b, right third maxilliped. $\sigma$, cl. 20.7 mm, P-741: c, posterior abdominal tergites, uropods and telson. Scales in mm. ranged symmetrically; frontal margin unarmed; anterolateral spine sharp; 1 spine and 1 tubercle on lateral margin; posterior margin unarmed; se- cond, third and fourth abdominal tergites each with sharp median spine on anterior edge of first transverse carina; eyestalk without eyespines; epipods on chelipeds and first 2 pairs of ambulatory legs. Description.--Carapace longer than broad (cw/cl = 0.85-0.90); gastric region inflated, defined posteriorly by broad cervical groove extending across central 1/2 of carapace; postcervical groove shorter, slightly more distinct, separating metagastric and cardiac regions centrally; branchiocardiac grooves less distinct; anterior margin of cardiac region with raised ridge. Anterior gastric region with 1 pair of small tubercles at base in front of swelling followed by several small tubercles on front part; largest pair of widely-spaced tubercles anteriorly, occasionally developed into small spines; 3 or 4 other pairs arranged around gastric region; 1 distinct protuberance near center of each metabranchial region; occasionally tubercles and spines obscure or absent (especially on lar- ger specimens); sculpturing variable, usually many short transverse striae, minutely tuberculate, more distinct in branchial regions near lateral margins. Rostrum approximately 1/3 carapace length, broad at base, with rounded dorsal carina often extending posteriorly onto gastric region; rostrum tapering distally with obscure constriction at slight up- turn about 2/3 distance to apex, slightly sinusoidal in lateral view. Frontal margin without prominent spine between base of rostrum and an- terolateral spine, irregularly and minutely dentate behind antenna. Lat- eral margin with 1 spine between branches of cervical groove, and proto- berance behind lateral termination of posterior branch. Anterior margin of raised posterior rim minutely tuberculate but otherwise unarmed. Short setae arranged evenly over most surfaces. Second, third and fourth abdominal tergites with sharp median spine on anterior transverse carina; second and third tergites with additional transverse carina; fifth and sixth tergites and posterior part of fourth tergite smooth; short setae on most surfaces, particularly edges and margins of carinae. Anterior lobe of plueron of second tergite with small rounded protuberance; similar, larger protuberance mesial to this near posterior margin of second, third and fourth segments. Sternum unarmed; short setae on distinct intersegmental ridges and scattered evenly on segments. Eyestalks movable, unarmed; slightly broader at base; cornea not inflated; short setae dorsally near base of cornea. Sharp conical tooth projecting anteriorly from intersection of bases of eyestalk, antennule and antenna. Basal segment of antennular peduncle with lateral swelling, scattered small protuberances on anterior part of swelling, 2 sharp spines, 1 above the other, projecting from dorsolateral surface of segment anteriorly, most dorsal spine more slender, often with slight inward curve, distal ventromesial margin dentate. Antennular peduncle when extended reaching just beyond tip of rostrum. Basal segment of antennal peduncle broad with blunt triangular ventromesial tooth projecting forward. Second segment with blunt conical lateral spine on distal margin, and small lobe mesiad. Distal margin of third segment dentate dorsoventrally and mesially. Fourth segment with dorsolateral projection and ventrolateral margin dentate. Antennal flagellum nearly 3 times carapace length. Carpus of endopod of third maxilliped with several setae associated with low rounded protuberances on extensor margin. Merus with 2 sharp teeth on proximal flexor margin, distal and extensor margins with low rounded protuberances. Dorsal and ventral angles at distal margin of ischium sharp, but not expanded into prominent teeth; mesial margin dentate. Pereiopods with low sculpturing similar to that of carapace. Epipods on chelipeds and first 2 pairs of ambulatory legs. Chelipeds 1 1/2 to 2 times carapace length. Dactylus more than 1/2 length of manus. Fingers straight, abutting or nearly abutting dorsally along entire margin in all but largest males, toothed on opposing margins, teeth increasing in size distally; palm slightly inflated, broader than width of fingers, mesial surface with small tuberculate crests, lateral edge with several small protuberances, but no distinct spines. Carpus approximately 1/3 length of chela; distal margin with sharp triangular tooth at ventral articulation; dorsal surface usually with 1 small tooth or spine in center of short tuberculate ridge on dorsal surface between sharp mesial and lateral spines; dorsomesial edge slightly inflated, moderately sculptured, small protuberance on dorsolateral surface, Merus slightly more than twice length of carpus, shorter than chela; sharp spine at each of 4 angles near distal margin: 1 sharp spine ventromesially near middle of segment. Ischium with dorsal protuberance near distal margin. Second, third and fourth pereiopods similar. Tip of dactylus of second pereiopod reaching to fingers of chela; dactylus of third and fourth pereiopods each reaching beyond distal margin of propodus of preceding leg. Dactylus gently curved with corneous tip; 8 or 9 small teeth on proximal half of flexor margin with corneous spinule or short stiff seta emerging from distal edge of each tooth, decreasing in size proximally. Propodus only slightly longer than dactylus, somewhat laterally compressed; distal ventral margin with 2 small movable spines emerging form pair of lobes, small protuberances arranged over all surfaces of segment, but no spines. Carpus approximately 1/2 length of propodus; single sharp dorsal spine on each distal margin of second and third pereiopods, reduced to minute tooth or absent on fourth pereiopod, dorsal and dorsolateral edges raised slightly. Merus longer than propodus; distal margin with mesial toothed crest, smooth dorsal lobe and lateral tooth (less distinct on fourth pereiopod). Second and third pereiopod each with blunt projection dorsally on distal margin of ischium. Fifth pereiopods with merus slightly expanded; exposed surface sculptured with small protuberances. Uropod with posterolateral margin of protopod scalloped, small notch and sharp tooth posteriorly. Posterior margins of endopod and exopod with denticles at bases of marginal setae. Telson consisting of 10 plates, smooth, maximum width greater than length. Color.--The color of a large ovigerous female before preservation was generally light yellowish tan on the dorsal surface of the carapace, at the lateral edges of the abdominal segments and on the tailfan. The rostrum and all pereiopods were orange-tan. The anterior edges of the tergites (which fit beneath preceding segment) and the ventral surface of the thorax were white. The eggs were deep translucent orange. Size.--Specimens collected by the GERDA and PILLSBURY had the following size ranges: $\sigma$, cl. 8.6 - 31.8 mm, $\varphi$, cl. 5.0 - 21.7 mm, and ovigerous $\varphi$, cl. 18.7 - 21.7 mm. Specimens reported previously, collected by the BLAKE and ATLANTIS fall within these ranges. Sexual dimorphism.--Large males (cl greater than 10 mm) have the characteristic row of thick golden setae on the margin of the lateral plates of the telson, while small males and females have few, in any, regular marginal setae in this location. Perez (1927:287) mentioned a female having a fringe of plumose setae (the row of thick setae on males of other species is referred to as a "comb" in his work). The smallest male, cl. 8.6 mm, examined has no setae on this margin; a larger one, cl. 10.5 mm, has a row of short thick setae; on the largest males, the setae are thick, dense and longer. While most males and females have the fingers of the cheliped abutting along their entire margins (no gape), the 2 largest males (cl. 31.8, 21.5 mm) have the fingers slightly gaped at the base; a smaller male (cl. 20.7 mm) has no gape, nor does the largest female specimen (cl. 21.7 mm). Habitat.--At stations in the Straits of Florida where M. abbreviata was taken, the bottom type was pteropods, shells and rocks with alcyonarians and sponges. The bottom was fine white mud at the GERDA station in the Bahamas, and green-brown mud at the PILLSBURY station near Colombia. Types.--Deposition of the holotype not determined; perhaps at Paris Museum. ♀, one of syntypes, cl. 11 mm (from lit.). Type locality.--BLAKE station 195, Martinique, 917 m (first station listed). Geographic range.--Munidopsis abbreviata is known in the western Atlantic from the Straits of Florida and the Bahamas south to Surinam, in the Caribbean along the north coast of South America, and in the northwestern Gulf of Mexico. In addition to the type locality and the locations listed for the material examined, M. abbreviata has been reported in the literature from the following localities: off Guadeloupe (A. Milne Edwards and Bouvier, 1897:93); north coast of Cuba (Chace, 1942:77); and from the northwestern Gulf of Mexico (Pequegnat and Pequegnat, 1970:140). Bathymetric range.--The possible depth range for material in this collection is 597-1345 m; calculated range is 724-1318 m. The possible range recorded previously was 917-1347 m. Parasites.--A small male specimen taken at PILLSBURY station 1262 had a small bopyrid parasite in the left branchial cavity. This was identified as Pseudione sp., similar (but not identical) to P. galacanthae Hansen. Associates.--Munidoopsis abbreviata was taken at 15 stations by the GERDA and PILLSBURY, and at 6 of these stations Munidoopsis sigsbei was also collected. Relationships.--Munidopsis abbreviata bears some resemblance to M. simplex also from the western Atlantic, but the latter is a much smaller species with sharp dorsal spines on the carapace, a narrower rostrum and no epipods on the pereiopods. M. abbreviata shares several characters with M. gilli from the Bahamas: epipods on the chelipeds and first 2 pairs of ambulatory legs, a central spine on the second, third and fourth abdominal tergites, and irregular armature of the carapace. M. gilli is a larger species having the rostrum more strongly upturned with distinct lateral spines; however, M. abbreviata may be more closely related to M. gilli and some other species with 3 pereiopodial epipods (M. cubensis and M. camelus) than to the superficially more similar species having different arrangements of the epipods (M. abbreviata has the rostrum upturned and occasionally armed see remarks). M. abbreviata also looks somewhat like M. chuni Doflein and Balss from the west coast of Africa, but the latter has sharp carapacial spines rather than denticulate tubercles. A. Milne Edwards and Bouvier (1897:93) and Faxon (1895:87) have referred to the apparent close relationship of M. abbreviata and M. villosa Faxon from the Gulf of Panama. Faxon listed the differences between the 2 species as follows: in Munidopsis villosa "...the tubercles and ridges of the carapace are more pronounced and the whole surface of the animal more hairy. The frontal border is armed on each side with a sharp spine, which is wanting in M. abbreviata. The median dorsal spine on the fourth abdominal somite is obsolete, while the fifth somite bears a well-developed acute spine, like those on the second and third somites. In M. abbreviata the fifth somite is unarmed. The distal half of the rostrum is curved upward much more strongly in M. villosa than..." it is in M. abbreviata. Munidopsis villosa is represented by a single specimen in the "Albatross" collection. It is very much larger than the type specimen of M. abbreviata from the "Blake" dredgings, and it is possible that the peculiarities above specified may be due to age or individual variation. But I think it more probable that we have to do with two closely allied or representative species on the Atlantic and Pacific sides of the continent." A large specimen (cl. 31.8 mm) of M. abbreviata in this collection demonstrates that the above differences are not due to age, but are consistent between the species. Remarks.--The degree of upturn of the rostrum varies among the individual specimens from nearly horizontal to distinctly flexed distally. This character does not appear to be related consistently to size or sex. A few specimens have a small spine on one side of the rostrum near the upturn. The size and nature of the gastric tubercles also varies among individuals from a pair of small distinct gastric spines to obscure tubercles; the pair of tubercles or knobs on the front slope of the gastric swelling are more constant. Munidopsis abdominalis (A. Milne Edwards, 1880) Figure 3 Elasmonotus abdominalis A. Milne Edwards, 1880: 61.--A. Milne Edwards and Bouvier, 1894b: 280, 281, 282 (key); 1897: 101-103, pl. VIII, figs. 7-10.--Young, 1900: 414 (key), 415.--Perez, 1927: 288. Munidopsis abdominalis: Benedict, 1902: 315 (list).--Doflein and Balss, 1913: 174 (list), 177 (table).--Chace, 1942: 75 (key), 98-99.--Pequegnat and Pequegnat, 1970: 140 (key); 1971: 6 (key). Material examined.--Straits of Florida: G-158, 531-540 m, 1 ♂, 8.5 mm, 3 ovigerous ♀, 7.0-9.8 mm, UMML 32:5213; G-301, 622-648 m, 1 ♀, 5.7 mm, UMML 32:5214; G-635, 458-480 m, 1 ♀, .6.7 mm, UMML 32:5215.--Santaren Channel: G-1015, 516-525 m, 1 ♀, 4.0 mm, UMML 32:5216. Distribution plot 2. Diagnosis.--Rostrum long, unarmed, spine-like, broad basally with distal constriction and sharp point, slightly upturned distally; gastric region of carapace unarmed; frontal margin unarmed but with long spine beneath frontal margin between eyestalk and antenna; anterolateral spine small but distinct; lateral and posterior margins unarmed; abdomen unarmed; eyestalks unarmed; no epipods on chelipeds or ambulatory legs. Description.--Carapace length approximately equalling maximum width, generally quadrangular, slightly wider anteriorly; dorsal surface densely granulate or tuberculate, height of tubercles varying, tubercles frequently with dentate anterior edge; transverse grooves not distinct across carapace, more visible near lateral margins; regions of carapace discernible but not well-defined; gastric, metagastric and cardiac Distribution plot 2.—Munidopsis abdominalis (A. Milne Edwards, 1880) collected by the GERDA. Figure 3. --Munidopsis abdominalis (A. Milne Edwards, 1880). ♀, cl. 5.7 mm, G-301: a, lateral view of carapace and abdominal tergites; b, dorsal view; c, right third pereiopod, lateral view; d, posterior abdominal tergites, uropods and telson. ♀, cl. 7.0 mm, G-158: e, endopod of right third maxilliped. Scales in mm. regions slightly inflated, appearing as continuous medial convexity; 4 rounded deep depressions without sculpturing in surface of carapace: 1 on either side of posterior mesogastric region, and 1 on either side of metagastric region; depressions giving slightly swollen appearance to surface of carapace lateral and posterior to them; smooth areas preceding posterior margin on either side of midline. Rostrum approximately 2/3 carapace length; width at base slightly more than 1/4 carapace width, lateral margins smooth, parallel to slightly concave in proximal half; lateral margins denticulate in distal half tapering to acute apex, with smooth gentle upward flexure, more pronounced in females and larger specimens; upper surface with flattened tubercles in proximal half, becoming slightly carinate toward apex; ventral surface smooth with low rounded carina. Frontal margin curving smoothly from base of rostrum to behind antenna, unarmed, but with long sharp immovable spine emerging from between bases of antenna and eyestalk; this spine curved mesially, with denticle on lateral surface 1/2 distance to apex; lateral 1/4 of frontal margin forming sharp denticulate edge. Anterolateral tooth small, distinct; surface beneath and behind spinulate. Lateral margins rounded, sculptured but unarmed, nearly straight except for obscure indentations at lateral terminations of cervical grooves. Posterior margin slightly concave, sculptured but unarmed; transverse ridge interrupted at midline. Second abdominal tergite with smooth transverse carina extending nearly to lateral margins, anterior half of pleuron with spiniform granules. Transverse carina on anterior part of third tergite not as distinct; pleura smooth. Fourth, fifth and sixth tergites smooth. Sternum unarmed, tuberculate on anterior projection between bases of chelipeds; intersegmental grooves distinct. Eyes small, colorless, movable; cornea no wider than eyestalk. Basal segment of antennular peduncle with 2 long spines distolaterally and 2 short small spines ventromesially on distal edge. Several denticles on ventrolateral surface. Extended flagellum barely reaching apex of rostrum. Basal segment of antenna with short lateral spine and long ventral projection. Second segment with short lateral spine and long ventromesial spine. Third segment longer, with long ventral and dorsomesial spines. Last segment with shorter ventromesial and dorsolateral spines. Antennal flagellum longer than carapace, usually reaching to articulation of carpus and manus of cheliped. Carpus of endopod of third maxilliped with conical spine dorsally near distal margin, longer spine near articulation with merus and mesial tuft of setae. Merus with long distal spine on extensor margin; ventral (flexor) margin with long sharp spine basally and several denticulate tubercles distally and on ventrolateral surface, occasionally 1 tubercle developed into major or minor spine. Ischium with long slender spine at dorsal angle of distal margin, broader spine at ventral angle; mesial margin dentate; ventroalternal surface with several low denticulate tubercles near ventral angle. Pereiopods with denticulate tubercles, sculpturing more distinct on dorsal and lateral surfaces and on proximal segments. No epipods on chelipeds or ambulatory legs. Chelipeds 2 to 3 1/2 times carapace length, slightly flattened dorsoventrally. Width of manus in male more than 1/3 length; width in female approximately 1/4 length at widest point near articulation with dactylus. Dactylus less than 1/2 length of manus. Fingers toothed on opposing margins with slight gape proximally, but abutting most of length dorsally in female; gape pronounced in male; fingers hollowed out ventrally, tips curved, strongly spooned, dense fringe of short setae on lateral margins of fingers. Manus and carpus sculptured but unarmed, projection on carpus at articulation with propodus distinctly dentate in male. Carpus approximately 1/3 length of chela. Merus approximately same length as carapace, distal margin with small sharp ventromesial tooth; proximal part of mesial surface with many long setae and 1 to 6 or 7 (frequently 3) sharp conical spines, often extending in irregular row along dorsal edge of segment. Ischium with heavy dorsal tooth; sharp spine on ventral projection often followed by smaller spines or teeth proximally. Second, third and fourth pereiopods similar, short, broad. Dactylus almost as long as propodus, curved, with corneous brown tip followed on ventral margin by series of blunt teeth with broad corneous spinules projecting from anterior edge of each; longitudinal marginal band of short plumose setae. Propodus tuberculate on extensor surface; flexor margin with dense band of short plumose setae originating near distal end of segment, becoming thicker proximally; setae extending over much of mesial surface of second pereiopod. Tuft of similar setae on distoventral lobe of carpus; carpus approximately 1/2 length of propodus, with prominent spine near distal end on dorsal (extensor) margin; second prominent spine near proximal end with several spinulate tubercles between spines and several more proximal to second spine; longitudinal denticulate ridge lateral to dorsal edge. Merus approximately same length as propodus, with prominent distal spine on expanded dorsal edge followed by series of small teeth decreasing in size to obscurity proximally; lateral surface rounded, with denticulate tubercles. Merus of fifth pereiopods expanded ventrally, exposed surface tuberculate. Uropods with posterolateral margin of protopod scalloped, surface smooth. Endopod and exopod with low tubercles and/or short immovable calcified setae on exposed surfaces. Telson consisting of 7 plates, smooth, obscurely punctate; posterior margin with deep medial indentation. Color.--The specimens examined were preserved in alcohol and had no traces of pigment. No records of color for this species were found in the literature. Size.--Specimens collected by the GERDA showed the following sizes: ♂, cl. 8.5 mm, ♀, cl. 4.0-9.8 mm, and ovigerous ♀, cl. 7.0-9.8 mm. Sexual dimorphism.--The male examined (cl. 8.5 mm) has the characteristic "comb" of thick golden setae on the lateral margins of the telson; setae are sparse and slender in this location on the females. (Perez, 1927:288, described the females as having flexible plumose setae in this location; he had not seen males). The cheliped of the male is broader and generally more setose than those of the females; the fingers are distinctly gaped basally in the male, while they are in contact along most of their length dorsally in females. The male and the 2 smallest females (cl. 4.0, 5.7 mm) have the rostrum nearly straight, while the larger females have the rostrum gently flexed upward. Habitat.--The bottom at 2 of the stations where M. abdominalis was collected was characterized by sea urchins at one, and corals and alcyonarians at the other. Types.--One of the ovigerous female syntypes is housed at the MCZ; the deposition of the other was not determined, but it is probably at the Paris Museum. One of the syntypes has cl. approximately 8.0 mm. Type locality.--BLAKE sta. 291, Barbados, 366 m (200 fm). Geographic range.--Munidopsis abdominalis is known in the western Atlantic from the Straits of Florida south to St. Kitts, and in the Caribbean off Cuba and the Lesser Antilles. The only records of this species besides the type locality and the locations of the material presented herein are those given by Chace (1942:98-99) based on material from near the north and south coasts of Cuba and off St. Kitts. Bathymetric range.--The possible depth range for material in this collection in 458-648 m; calculated range is 480-622 m which extends the range somewhat deeper than previous reports of 366-458 m. Parasites.--None of the material examined showed any external evidence of branchial or abdominal parasites. No records of such parasites on this species were found in the literature. The male specimen (cl. 8.5 mm) from G-158 had several epizoans attached to the third maxilliped and tip of the cheliped; these were identified as hydrozoans, probably belonging in the family Campanulariidae. Associates.--Munidopsis abdominalis was collected by the GERDA at only 4 stations; no significant association was observed between this and other species of Munidopsis. Relationships.--A. Milne Edwards and Bouvier (1897:103) mention close affinity between M. abdominalis and M. miersii (Henderson) from Fiji in the western Pacific, but they point out that the latter species has a shorter rostrum, gastric tubercles and different armature on the merus of the third maxilliped. The arrangement of epipods in M. miersii could not be determined from the literature. Among western Atlantic species, M. abdominalis superficially resembles M. granulens Mayo, but the latter can be distinguished easily by the shorter, differently-shaped rostrum, sculptural differences, the presence of epipods on the periopods and many other characters. Remarks.--Chelipeds are equal in all 4 complete specimens examined (in contrast to those of the female described by A. Milne Edwards and Bouvier, 1897:102). The ovigerous females carried the following numbers of eggs: cl. 9.8 mm, approximately 40 eggs, all about 1 mm in diameter, cl. 9.2 mm, approximately 25 eggs, all smaller than 1 mm, cl. 7.0 mm, with 9 eggs, all smaller than 1 mm in diameter. Munidopsis alaminos Pequegnat and Pequegnat, 1970 Figures 4, 5 Munidopsis alaminos Pequegnat and Pequegnat, 1970: 140 (key), 142-145, figs. 5-1, 5-5 - 5-7, tables 5-2, 5-4; 1971: 6 (key), 18, fig. 11. Material examined.--Off Atlantic coast of Panama, Gulfo de los Mosquitos: P-447, 657-673 m, 1 ♂, 9.2 mm, 1 ovigerous ♀, 11.2 mm, UMML 32:5221.-- Off Yucatan, Mexico: P-607, 715-787 m, 2 ♂, 4.5, 8.6 mm, 1 ovigerous ♀, 9.9 mm, (USNM).--Off Guadeloupe: P-920, 531-733 m, 3 ♀, 5.9-7.5 mm.(2 with branchial parasites, 1 with abdominal parasite), UMML 32:5217.-- NW of Anguilla: P-988, 686-724 m, 2 ♂, 7.0, 418 mm (with abdominal para- site), 1 ♀, 8.2 mm (with abdominal parasite), UMML 32:5218.--S of Jamai- ca: P-1225, 457-558 m, 1 ovigerous ♀, 7.5 mm, UMML 32:5219; P-1255, 622- 823 m, 1 ♀, 7.9 mm, (RMNH); P-1261, 595-824 m, 1 ♀, 10.0 mm (RMNH). See distribution plot 3. Diagnosis.--Rostrum horizontal; triangular, armed with many spinules or denticles on dorsal and lateral surfaces; dorsal surface of carapace with many sharp spinules; frontal margin with spinulate lobe behind an- tenna, but no large spine; posterior margin spinulate; abdominal seg- ments spinulate, second and third each with medial expansion; eyestalks with several spinules, cornea small; no epipods on chelipeds or ambula- tory legs. Description.--Carapace slightly longer than broad (cw/cl = 0.9C), general- ly quadrangular, dorsal surface spinulate; gastric and cardiac regions inflated, with central conical swellings; smooth transverse depression anterior to gastric region accentuating irregular transverse swellings on either side of midline in anterior gastric region; hepatic and Distribution plot 3.—Munidopsis alamino Pequegnat and Pequegnat, 1970 collected by the PILLSBURY. Figure 4. --Munidopsis alaminos Pequegnat and Pequegnat, 1970, ovigerous ♀, cl. 11.2 mm, P-447, dorsal view. Figure 5. --Munidopsis alaminos Pequegnat and Pequegnat, 1970. ♂, cl. 9.2 mm, P-447: a, carapace and abdomen, lateral view, setae not shown; d, right third maxilliped, ventrolateral view. Ovigerous ♀, cl. 11.2 mm, P-447: b, right antennular peduncle, ventrolateral view; c, posterior abdominal tergites, uropods and telson, not all setae shown. metabranchial regions inflated to lesser degree than central swellings; lateral branches of cervical groove more distinct than central portion; depressions distinct on either side of metagastric region and anterolateral to cardiac inflation. Rostrum in shape of isosceles triangle, apex frequently somewhat rounded; horizontal or slightly upturned distally; lateral margins rounded, spinulate with fringe of fine setae. Frontal margin with small expanded lobe behind antenna, spinulate but without larger, distinct post-antennal spine. Spinule at anterolateral angle of carapace frequently larger or broader than others. Lateral margins straight or slightly convex posteriorly, spinulate. Narrow posterior rim slightly raised or not at all inflated, spinulate, slightly concave with medial indentation. Carapace and appendages with dense covering of fine setae on most surfaces. First abdominal tergite smooth centrally, posterolateral projection with several spinules; 2 transverse swellings indistinct across second and third tergites with median spinulate knob or lobe projecting slightly forward; swollen pleura sculptured, knobs at lateral termination of transverse swelling spinulate; pleura narrowing laterally. Fourth tergite with 1 transverse swelling anteriorly, spinulate on forward edge, posterior surface smooth. Fourth and fifth tergites with smooth inflation, sixth flattened. Fifth and sixth segments with 2 or 3 small, widely-set punctations on lateral part of segment. Thoracic sternites smooth, intersegmental depressions barely visible with indistinct rows of fine setae behind them. Eyes colorless, movable, small; cornea reaching approximately 1/2 length of rostrum, often smaller in diameter than eyestalks; eyestalks with scattered spinules, mesial surface concave. Basal segment of antennular peduncle with lateral swelling spinulate, terminating in 2 sharp distal spines: 1 above and slightly laterad; spines occasionally bifurcate or with accessory spinule. Distal margin of swollen ventromesial projection serrate. Peduncle reaching beyond tip of rostrum. Small conical tooth emerging from between bases of eyestalk and antenna. Basal segment of antennal peduncle with blunt ventral projection. Second segment with sharp lateral spinule on distal margin. Third segment with sharp dorsal and lateral spine on distal margin. Fourth segment with dorsolateral projection. Antennal flagellum short, reaching beyond merus of cheliped. Exopod of third maxilliped with long second segment broader at base. Endopod with ischium terminating in sharp tooth dorsally, blunter tooth ventrally. Merus with 2 to 4 broad teeth on ventral margin, basal tooth largest; dorsal spine distally. Carpus and propodus with several scattered granules or spinules on lateral surfaces. Dactylus slender. Lateral setae on pereiopods longer, many plumose, forming fringe. No epipods on chelipeds or ambulatory legs. Chelipeds approximately twice carapace length, maximum width 1/8 to 1/10 cheliped length. Dactylus approximately 1/2 length of manus, fingers not widely gaped on dorsal margin; opposing margins abutting in small specimens, slightly apart in larger ones. Tips spooned, toothed along dorsal opposing margins; manus slightly compressed dorsoventrally, especially in males. Dorsal surface of manus evenly spinulate or spinate, spines sharp, arranged in indistinct longitudinal rows. Carpus less than 1/2 length of manus, also spinulate. Merus approximately equal in length to propodus, spinate; spines on mesial surface larger, more distinct. Ischium with large conical tooth dorsally, spinate ventral projection. Ventral surfaces relatively smooth or sparsely granulated. Second, third and fourth pereiopods similar: dactylus approximately 1/2 length of propodus, with very sharp corneous tip, otherwise unarmed. Propodus with 3 or 4 indistinct longitudinal rows of spines, carpus and merus with similar spination. Carpus approximately 1/3 length of propodus. Merus approximately same length as propodus in second and third pereiopods, proportionately shorter and with more spines in fourth. Ventral and mesial surfaces of these appendages rounded, smooth than dorsal and lateral surfaces. Merus of fifth pereiopods expanded, exposed lateral surface spinulate, setose. Uropods and telson smooth, flat, unarmed, with dense covering of fine short setae. Telson consisting of 9 plates; small anterolateral plate with central punctation, similar to those on posterior abdominal segments; several other punctae arranged symmetrically on telson. Color.--The specimens examined are preserved in alcohol and are devoid of color except for the pale brown tips on the ambulatory legs and, in some specimens, the pale golden translucent cornea and yellowish thicker setae. Size.--The following size ranges were found in the PILLSBURY material: ♂, cl. 4.5-9.2 mm, ♀, cl. 5.9-11.2 mm, and ovigerous ♀, cl. 7.5-11.2 mm. Sexual dimorphism.--The most striking difference between mature males and females is the size and shape of the chelipeds; males have longer, broader chelipeds with a noticeable gape between the fingers, while females have shorter, more slender chelipeds, often spinier, with only a slight gape. Males also have the comb of short stiff golden bristles on the lateral margins of the telson, which is reduced to a fringe of fine setae in females. In the material examined, a greater swelling of the anterolateral regions of the carapace in males (as stated by Pequegnat and Pequegnat, 1970, figure 5-6) was not apparent; in fact, the females seemed to have this area slightly more inflated. The median swellings in the gastric and cardiac regions, however, were more pronounced and sharper in males than in females. The differences in degree of spination and pubescence, and in breadth of rostrum between individual specimens were not consistent with the sexes. Habitat.--The bottom type was observed at one of the seven PILLSBURY stations where M. alaminos was captured, as rubble with pteropod shells. Types.--Holotype, ♂, cl. 11 mm, USNM 128810; allotype, ovigerous ♀, USNM 128811. Type locality.--NW Gulf of Mexico, ALAMINOS Sta. 68-A-13-4, 25°38.4'N, 96°18.3'W, 512 m (280 fm). Geographic range.--This species is known from near Anguilla south to French Guiana in the western Atlantic, from the Gulf of Mexico and the Caribbean Sea. Previous records include: NW and N Gulf of Mexico (Pequegnat and Pequegnat, 1970:142); and off Dominica and French Guiana (Pequegnat and Pequegnat, 1971:18). Bathymetric range.--Possible depth range for specimens collected by the PILLSBURY is 457-842 m; calculated range is 558-715 m. Previously known range is 504-828 m; calculated range based on previous reports is 512-810 m. Parasites.--The abdominal parasites on specimens from station P-920 and P-988 are peltogastrid rhizocephalans, tentatively identified as Tortugaster fistulatus Reinhard. The branchial parasite on another specimen from P-920 is a bopyrid isopod, identified as Pseudione sp., probably an undescribed species. Also epizoans were found on this species --mainly hydrozoans and foraminiferans. Associates.--No significant associations between M. alaminos and other species of Munidopsis were observed. Relationships.--Munidoosis alaminos most closely resembles M. townsendi Faxon from the southeastern Pacific: they agree in general armature, body shape and proportion, however the latter species has the carapace tuberculate rather than spinulate, and several larger protuberances on the carapace; also M. alaminos has a greater number of smaller spinules on the pereiopods. The other Pacific species having a quadrate carapace, M. quadrata Faxon and M. carinipes Faxon, show some similarities to M. alaminos, but the rostrum is broader at the base in these species, the decoration on the carapace is either tuberculate or granulate rather than spinulate, and the abdominal segments have a larger median projection than in M. alaminos. Among western Atlantic species, M. alaminos has its greatest affinities with M. riveroi Chace, M. longimanus (A. Milne Edwards) and M. brevimanus (A. Milne Edwards); all the latter three have the broader rostrum excavated to some degreee, and lack the carapacial spinulation, in addition to many other differences. Munidopsis armata (A. Milne Edwards, 1880) Figures 6, 7 Elasmonotus armatus A. Milne Edwards, 1880:61.--Henderson, 1888:159, pl. XIX, fig. 5.--A. Milne Edwards and Bouvier, 1894b:263, 281, 282 (key), fig. 33; 1897:104-106, pl. VIII, figs. 11-14.--Young, 1900: 414 (key), 415-416. Munidopsis armata: Benedict, 1902:276 (key), 316 (list).--Doflein and Balss, 1913:175 (list), 177 (table).--Schmitt, 1935: 179 (key).--Chace, 1942: 74 (key), 90.--Pequegnat and Pequegnat, 1970: 140 (key) 145, table 5-3; 1971: 6 (key). Material examined.--Straits of Florida: G-130, 1021 m, 2 ♂, 8.1, 8.3 mm, 1 ♀, 8.7 mm UMML 32:5222; (?)G-132, 275-302 m (see Remarks), 1 ♂, 6.5 mm, (RMNH); P-636, 1003-1336 m, 1 ♂, 11.4 mm, UMML 32:5224.--Off Atlantic coast of Colombia: P-364, 924-950 m, 4 ♀, 6.5-13.5 mm, UMML 32:5223.--Off British Guiana: P-689, 1373-1446 m, 1 ♀, 11.1 mm, 1 oigerous ♀, 10.8 mm, (USNM).--Off Venezuela (S of Orchilla): P-741, 1052-1067 m, 1 ♂, 6.2 mm, with abdominal parasite, (USNM); (S of Curacao): P-755, 796-1006 m, 1 ♀, 915 mm, UMML 32:5225.--W of Haiti: P-1137, 1034 m, 3 ♂, 5.2-10.9 mm, 1 ♀, 8.7 mm, UMML 32:5226.--S of Jamaica: P-1224, 878-906 m, 1 ♀, 11.5 mm, (RNMH). See distribution plot 4. Diagnosis.--Rostrum nearly horizontal, with abrupt constriction distally, with obtuse teeth at base of constriction; dorsal surface of carapace unarmed; distinct submarginal depressions laterally; frontal and posterior margins of carapace unarmed; second and third abdominal segments with strong rounded transverse carina; eyes unarmed; no epipods on Distribution plot 4.—Munidopsis armata (A. Milne Edwards, 1860) collected by the GERDA and PILLSBURY. + 1 station not shown off British Guiana pereiopods. Description.--Carapace longer than broad (cw/cl approximately 0.88); lateral margins raised, forming prominent rim, convex, broadest just behind middle; gastric region inflated, with pair of obscure tubercles anteriorly; cervical groove visible centrally behind gastric region, obscure laterally; broad, smooth postcervical groove separating metagastric and cardiac regions. Well-defined patterns of curved setae on very smooth dorsal surface of carapace: over entire gastric region except for bare area on either side of midline, in triangular area posterior to hepatic region laterally, in transverse row on ridge behind cervical groove; smooth area anterior to cardiac region followed by many short transverse rows of setae, tubercles at bases laterally; extensive smooth area anterior to posterior margin except for several groups of setae along midline; posterior margin with 2 or 3 rows of setae. Rostrum 1/2 to 3/4 carapace length, slightly upturned, margins subparallel, slightly convex laterally with lateral fringe of short curved setae in basal portion; distal half constricted, tapering to apex; obtuse or small teeth at base of constricted portion. Frontal margin curved behind antenna, no post-antennal spine; notch mesial to sharp anterolateral spine. First abdominal tergite barely visible beneath posterior margin of carapace. Posterior margin of second and third tergites with strong transverse carina projected triangularly to medial crest, usually rounded, but not spined; forward edge of crest with row of curved setae on central third. Fourth, fifth and sixth tergites smooth, not carinate; fourth and fifth with curved setae; setae extending onto sixth tergite as patches on either side of midline. Figure 6. --Munidopsis armata (A. Milne Edwards, 1880), ♀, cl. 9.5 mm, P-755, dorsal view, setae on right side omitted. Figure 7. --Munidopsis armata (A. Milne Edwards, 1880). ♀, cl. 9.5 mm, P-755: a, carapace and abdomen, lateral view. ♀, cl. 13.5 mm, P-364: b, right antennular peduncle, ventrolateral view; c, right third maxilliped, ventrolateral view. ♂, cl. 11.4 mm, P-636: d, posterior abdominal tergites, uropods and telson. \[ \begin{align} a & \quad 10 \text{ mm} \\ b, c & \quad 5 \text{ mm} \\ d & \quad 5 \text{ mm} \end{align} \] Sternum unarmed; intersegmental ridges and grooves distinct. Eyes unarmed; long movable eyestalks wider at base; cornea slightly elongate, small, diameter not greater than diameter of eyestalk, reaching approximately 1/3 length of rostrum. Small irregular projection beneath frontal margin emerging from intersection of bases of eyestalk, antennule and antenna. Basal segment of antennular peduncle with rounded ventrolateral swelling, armed with long slender dorsal spine and more distally with 1 dorsolateral spine; distal margin with small ventromesial and mesial projections; extended antennular peduncle reaching nearly to end of rostrum. Basal segment of antenna with small lateral projection and large triangular ventral projection. Second segment with blunt lateral tooth. Third segment with distal margin slightly projected mesially. Distal segment with dorsolateral projection distally. Antennal flagellum reaching well beyond distal margin of carpus of cheliped. Ischium of endopod of third maxilliped with short triangular tooth dorsally on distal margin, large curved flattened tooth ventrolaterally. Merus with short dorsal tooth on distal margin; flexor margin with 2 large sharp spines, proximal spine broadest, with setae along curved lower margin. Carpus with several curved setae on extensor margin. No epipods on chelipeds or ambulatory legs. Chelipeds 3 to 4 times carapace length; sculpturing and dentate tubercles on most surfaces, fine setae associated with some tubercles. Manus not quite 1/2 length of cheliped, width of manus approximately 1/4 length. Dactylus less than 1/2 length of manus; mesial margins roughened with short denticulate ridges, but no major spines; both dactylus and fixed finger toothed along opposing margins, teeth large at spooned tips; dorsal opposing margins nearly abutting in females and small males, distinct gape in larger males; dactylus of larger males with several rounded teeth on inner margin near base extending into gape; fixed finger with outward flexure at base forming gape, minutely toothed on inner margin of gape; ventral surface of manus and carpus smoother than other surfaces. Carpus approximately 1/3 length of manus; distal margin with at least 2 distinct spines: 1 dorsolateral spine, 1 dorso-mesial spine, usually with denticulate projection mesial to dorsomesial spines, occasionally similar projection mesial to dorsomesial spine; dorsal surface with smoother shallow longitudinal depression centrally, with denticulate projections along either side. Merus approximately same length as dactylus; distal margin with large sharp spine at ventromesial, dorsomesial and dorsolateral angles; vent olateral angle with smooth lobular projection; often smaller spine adjacent to distal margin beneath dorsoalternal spine; merus smoother than more distal segments, except for 2 sharp spines on ventromesial margin proximally. Ischium with small conical spine dorsally. Second, third and fourth pereiopods similar. Tip of dactylus of second pereiopod reaching distal margin of carpus of cheliped; third and fourth pereiopods slightly shorter. Tip of dactylus curved, corneous; bluntly toothed flexor margin with short corneous spinule projecting from forward edge of each tooth. Dactylus approximately 1/2 length of propodus. Propodus unarmed except for calcified setae on ventral margin near distal end. Carpus with denticles and low tubercles on dorsal margin in longitudinal rows, and small distal tooth or projection, but no large spines. Merus longer than propodus with sharp dorsal spine on distal margin. Exposed surface of merus of fifth pereiopod punctate with 2 small tubercles on leading edge. Uropod with posterolateral margin of protopod scalloped, no distinct teeth. Notch at insertion of endopod followed by minutely denticulate lobe. Lateral margin of endopod denticulate. Telson consisting of 8 plates, narrowed posteriorly, with deep median indentation in posterior margin. Color.--Specimens examined were preserved in alcohol and devoid of pigment except for the golden color of larger setae and the corneous brown tips of the ambulatory legs. No color records were found in previous reports. Size.--Specimens collected by the GERDA and PILLSBURY show the following size ranges: ♂, cl. 5.2-11.4 mm, ♀, cl. 6.5-13.5 mm, and ovigerous ♀, cl. 10.8 mm. Sizes reported for specimens collected by the BLAKE and the CHALLENGER fall within these ranges. Sexual dimorphism.--The chela is broader and gaped in larger males (the smallest male with a gape had cl.=8.1 mm; the largest male with ungaped chelae had cl.=6.7 mm). The characteristic fringe of thicker golden setae was present on the lateral margins of the telson of all males except the very smallest (cl. 5.2 mm). Habitat.--The bottom types and characteristic epifauna at several PILLSBURY stations where Munidopsis armata was collected were varied: sponges, mud and rubble, hard brown mud covered by siliceous sponges and branching madreporarians. Henderson (1888:159) reported pteropod ooze as the bottom type at the two CHALLENGER stations where this species was taken. _Type._--Holotype, ♀, cl. approximately 10 mm, MCZ 4758. _Type locality._--Fredericksted (St. Croix, Virgin Islands), BLAKE Sta. 137, 1144 m (625 fm). _Geographic range._--Munidopsis armata is known from the Caribbean and from the Straits of Florida south to British Guiana in the western Atlantic. In addition to the type locality and localities listed herein for material examined, M. armata has been reported in the literature from off Sombrero and Culebra Island, West Indies (Henderson, 1888:159), and from the north coast of Cuba and Martinique (Chace, 1942:90). _Bathymetric range._--The possible depth range for material in this collection is 796-1446 m; calculated range is 906-1373 m. One damaged specimen is labeled as collected at G-132 (275-302 m), but this is excluded from consideration here because of the likelihood of contamination from G-130 (1021 m), the poor condition of the specimen, and the great gap between the depth at G-132 and all other bathymetric records for this species. The possible depth range recorded previously was 677-1217 m (370-665 fm); the calculated range, based on earlier records, is 715-979 m (390-535 fm). _Parasites._--A small female collected by the PILLSBURY at station 741 had a large peltogastrid rhizocephalan parasite attached to the underside of the abdomen. This was tentatively identified as belonging to the genus Galatheascus, but the species was undetermined and may be new. Associates.—Munidopsis armata was collected at 8 stations by the GERDA and PILLSBURY; at 6 of these stations, Munidopsis sigsbei was also collected. The index of affinity, based on these data, between M. armata and M. sigsbei is 0.25. Relationships.—The shape of the rostrum, the raised rims on the lateral margins, and the carinae on the second and third abdominal tergites serve to separate this species from all described species. It bears little similarity to any other species which have, from time to time, been placed in the genus Elasmonotus. A. Milne Edwards and Bouvier (1897:106) suggested an affinity between M. armata and both M. abdominalis (A. Milne Edwards) and M. quadrata Faxon, but M. abdominalis lacks prominent carinae, M. quadrata has a blunt medial spine, the rostra are different in all three, and neither of the latter two have the raised marginal rims characteristic of M. armata. Remarks.—The size of the gastric tubercles varies from small but distinct spines on several of the smaller specimens to very obscure swellings, frequently hidden by curved setae. Occasionally there is a distinct spine beneath the anterolateral spine of the carapace. The proximal spines on the merus of the cheliped are consistently 2 in number, with the single exception of one large female with 3 spines in that location. Some variation exists in the projection of the transverse abdominal carinae; in some specimens, the expansion is somewhat triangular, while in others it is more rounded. This seemed to be unrelated to sex, size or the depth at which the specimen was taken. Although the stiff curved setae are often broken off from body surfaces, the patterns usually remain quite distinct on the carapace and abdominal tergites. Munidopsis bermudezi Chace, 1939 Figure 8 Munidopsis bermudezi Chace, 1939: 46; 1942: 73 (key), 83-85, figs. 29-30.--Sivertsen and Holthuis, 1956: 44, pl. IV, fig. 3.--Pequegnat and Pequegnat, 1970: 139 (key), figs. 5-1, 5-8, table 5-2; 1971: 5 (key) 22. Munidopsis: Murray and Hjort, 1912: 420. Material examined.--Bahama Islands, S of Acklins Island: P-1138, 2745-2751 m, 1 ♂, 13.3 mm, UMMI 32:5229.--Atlantic Ocean, N of Virgin Islands: P-1376, 5179-5184 m, 1 ♀, 31.5 mm (with abdominal parasites, USNM). Diagnosis.--Rostrum nearly horizontal, unarmed; anterior gastric region of carapace with 1 pair of heavy spines (occasionally reduced to tubercles in large specimens); frontal margin with post-antennal spine; posterior margin unarmed; abdominal tergites unarmed; eyes armed with large blunt spine on mesial surface of small cornea; epipods on chelipeds but not on ambulatory legs. Description.--Carapace longer than broad (cw/cl = 0.90-0.95), slightly convex transversely, densely covered with short curved setae, most plumose, on dorsal surface except for 2 pairs of depressed areas at muscle attachment; gastric region with 1 pair triangular spines anteriorly; mesogastric region slightly more inflated with several inconspicuous swellings arranged symmetrically. Cervical groove distinct across center of carapace and in both anterior and posterior branches. Slightly inflated metagastric region with distinct striation centrally; postcervical groove separating metagastric and cardiac regions, latter with Figure 8. --Munidopsis bermudezi Chace, 1939, juvenile ♂, cl. 13.3 mm, P-1138: a, dorsal view, both second pereiopods missing, setae on right side omitted; b, posterior abdominal tergites, uropods and telson, setae on right side omitted; c, lateral view, setae shown on antennular flagellum only; d, right third maxilliped, lateral view. Scales in mm. similar striation on ridge anteriorly; branchial regions depressed to margins, several striations and small tubercles in this region and on or near raised lateral margins. Rostrum more than 1/3 length of carapace, nearly horizontal, slight upturn distally, broad at base, tapering evenly to apex, forming isosceles triangle with blunt median carina; 2 pairs of low tubercles near base. Frontal margin with triangular post-antennal tooth. Anterolateral angle with large tooth just in front of termination of anterior branch of cervical groove; another slightly smaller tooth posterior to this followed by 4 or 5 much smaller spinules; larger spine just behind posterior branch of cervical groove. Raised rim of posterior margin unarmed. Abdomen unarmed, pubescent; second, third and fourth tergites each with 2 rounded transverse carinae, more distinct on anterior tergites; fifth and sixth tergites flattened. Pubescence lacking on anterior part of pleura of third through sixth tergites. Sternum unarmed, not pubescent; setae only along intersegmental striae. Eyes colorless, practically immovable; cornea very small; eyestalk short, extended distally over dorsomesial margin of cornea forming large sharp spine; lateral margin unarmed or with small obscure tooth. Basal segment of antennular peduncle with several rounded tubercles on forward edge of lateral inflation; dorsal margin with rounded carina terminating in sharp distal spine, larger conical spine projecting beneath; mesial carina terminating in small blunt tooth; distoventral margin projecting slightly; distal margin of segment bearing flagellum when extended not reaching apex of rostrum; flagellum short, barely reaching beyond tip of rostrum. Basal segment of antenna with expanded ventromesial tooth and smaller lateral tooth. Distal margin of second segment with broad lateral spine and small mesial spine. Third segment with setae on distal margin but no spines. Fourth segment with broad dorsolateral spine and small ventrolateral lobe distally. Antennal flagellum approximately same length as carapace. Merus of endopod of third maxilliped with 2 or 3 teeth on ventral margin; 1 small distal tooth on dorsolateral margin. Ischium with ventral carina terminating in triangular tooth, dorsolateral margin with small blunt tooth at distal corner; serrate mesial margin without distal tooth or spine. Epipods on chelipeds but not on ambulatory legs. Chelipeds approximately same length as carapace and 3 1/2 times maximum width of manus; short curved plumose setae distributed densely over all surfaces except ventral surface of propodus and carpus; longer setae on mesial surfaces. Length of manus slightly less than twice maximum width; dactylus approximately 1/2 length of manus. Tips of fingers spooned, dentition extended on tips and along abutting margins dorsally; margins of fingers rounded and gaped ventromesially. Propodus with longitudinal crest of several teeth on lateral margins near distal end and small blunt tooth on mesial margin; dorsal surface with several tubercles. Carpus less than 1/2 length of manus; distal margin with 4 spines or teeth: 1 conical dorsomesial spine, 1 smaller dorsal tooth, 1 triangular lateral spine, and 1 large triangular spine ventrally; lateral spine followed by several rounded tubercles on dorsolateral surface; several similar tubercles dorsomesially. Merus approximately same length as manus; distal margin with 4 spines: 1 dorsal, 1 dorsomesial, 1 ventromesial and 1 ventrolateral; 4 spines in dorsal row posterior to distal spine, decreasing in size proximally; small sharp spine on mesial margin proximal to ventromesial spine; lateral and ventral surfaces with several rounded tubercles. Ischium with 1 dorsolateral spine and 1 spine immediately posterior to ventromesial projection on distal margin. Second pereiopods missing on specimen examined. Chace's (1942: fig. 29) illustration of the holotype shows second and third pereiopods similar, with propodus armed with 2 small sharp spines on dorsomesial ridge, and carpus armed with 4 or 5 sharp spines decreasing in size proximally. Third and fourth pereiopods similar. Ventral margin of dactylus with 6 to 8 spines behind curved, tan-colored corneous tip; each spine with short stiff seta projecting from distal edge. Propodus of third pereiopod with sharp spine and tubercle on dorsomesial edge; row of tubercles on dorsolateral and ventrolateral edges and 2 movable spines on small ventral lobes near distal edge of third and fourth pereiopods. Propodus of fourth pereiopod without dorsal spination. Carpus more than 1/2 length of propodus; dorsomesial edge with 3 or 4 sharp spines including 1 on distal margin; small spine or tubercle between most proximal and next spine; smaller spine lateral to this on distal margin followed by longitudinal row of tubercles on dorsal ridge; several denticles on distal edge of ventrolateral lobe. Distal margin of merus with large sharp spine on either side of dorsal lobe; spine followed on dorsomesial edges by longitudinal row of 5 or 6 spines, decreasing in size proximally; several low tubercles in line between these spines; several spines following dorsolateral tooth, reduced to tubercles on fourth pereiopod; ventral surface with scattered tubercles. Ischium short with small dorsal tooth and several scattered tubercles. Fifth pereiopods with setae, but no distinct sculpturing or spines. Protopod of uropod with posterolateral margin scalloped and with sharp spine posteriorly. Exopod with several widely-spaced movable spinules on surface near lateral margin; similar spinules on lateral and posterior margins; endopod with few spinules on exposed surface near posterior margin; posterior margin bordered with spinules. Exposed surfaces of uropods pubescent. Telson consisting of 8 plates, broader than long; posterior margin with medial indentation; pubescent, but no distinct spinules. Color.--The specimens examined were preserved in alcohol and had no traces of color. There are no records of color for this species. Size.--The 2 specimens in this collection are a male, cl. 13.3 mm, and a female, cl. 31.5 mm. Size ranges for specimens reported previously are: ♂, cl. 23 to approximately 30 mm (cl. + rostrum = 69 mm), ♀, cl. 10 to approximately 30 mm (cl. + rostrum = 40.2 mm), and ovigerous ♀, cl. 28.0 mm. The male collected by the PILLSBURY is the smallest male recorded thus far. Morphological differences between the large and small specimen are discussed in the Remarks section. Sexual dimorphism.--The small male does not have the characteristic fringe of golden setae on the lateral margins of the telson, but this may be due to its size and apparent immaturity. The 2 specimens examined were so different in size that no attempt was made to relate differences in morphology to sex. Habitat.--The bottom at the station where M. bermudezi was collected in the Bahamas was characterized by sponges and a few solitary corals; the bottom type north of the Virgin Islands was clay. Type.--The holotype is an ovigerous ♀, cl. 28.0 mm, cl. + rostrum = 37.7 mm; MCZ 10231. Type locality.--South coast of Cuba, ATLANTIS Sta. 2976 B, 2434-3020 m. Geographic range.--This species is known from both the east and west sides of the Atlantic Ocean. Apart from the locations reported here and that of the holotype, the following records are found in the literature: Caribbean Sea: N coast of Cuba (Chace, 1942: 83); eastern Atlantic Ocean: N of Azores (Sivertsen and Holthuis, 1956: 44); Gulf of Mexico (Pequegnat and Pequegnat, 1970: 145; 1971: 22). Bathymetric range.--The depths from which M. bermudezi has been collected by the PILLSBURY are approximately 2750 and 5180 m (from the Bahamas and north of the Virgin Islands, respectively). The possible range, based on previous records was 2434-3300 m; calculated range was 2654-3300 m. Parasites.--The large female specimen was heavily parasitized by rhizcephalans of the family Peltogastridae, probably an undescribed species of Cyphosaccus Reinhard, 1958. Associates.--There were no other galatheid crustaceans collected with M. bermudezi by the PILLSBURY. The literature reviewed did not indicate that other specimens have been taken with this species in the same sample. Relationships.--Munidopsis bermudezi appears to belong in the Atlantic deep-water complex of species including M. crassa and M. geveri. These species are large, heavily calcified galatheids with short chelipeds, a triangular rostrum, distinct eyespines, gastric spines, an unarmed abdomen and epipods on the chelipeds. M. bermudezi is more pubescent than the others, and its corneae are quite small, each with a long blunt mesial tooth. The carapacial spination and sculpturing on M. bermudezi is different from that of M. crassa and M. geveri: the latter two have many spines or flattened denticulate tubercles in addition to the distinct pair of gastric spine; M. bermudezi usually has only the gastric spines distinct and other rounded tubercles, but no additional spines. (The large female presents a slightly different pattern, with gastric spines reduced to tubercles, and other tubercles, particularly marginal ones, enlarged and sometimes pointed). M. similis, also from the western Atlantic, is somewhat similar but in that species the chelipeds are longer than in M. bermudezi and they lack epipods; the cornea is not as small, and there is usually a small lateral eyespine in M. similis. Chace (1942:85) pointed out the similarity between M. bermudezi and the figure of M. ceratophthalma Alcock from the Indian Ocean, but said that the lateral spine behind the posterior branch of the cervical groove is much larger in the ATLANTIS specimens and the gastric spines are lacking in Alcock's (1901) species. In addition, the shape of the rostrum and chelipeds is different in the two species. Munidopsis aculeata Benedict from the Indian Ocean and M. subscuamosa Henderson from Japan are also in this species complex and thus are somewhat similar to M. bermudezi. Both have a greater number of distinct gastric spines, more carapacial sculpturing and more slender chelipeds. Munidopsis barnardi Kensley from South Africa is related to these species, but has more spines on the gastric region of the carapace and the rostrum more upwardly directed than does M. bermudezi. Remarks.--The large female specimen is different from the juvenile male as follows: on the female there is no distinct pair of gastric spines on the carapace, rather several scattered tubercles; spines on the lateral margin are directed laterally, and pubescence, although present, does not obscure sculpturing on body surfaces; the rostrum is broader at the base and has a slight distal upturn. There is some question as to whether this female specimen belongs to M. bermudezi since it differs from the original description of that species as indicated above and was collected from considerably deeper water (approximately 5000 m) than other specimens (approximately 3000 m). It is necessary to compare this with the other specimens of similar size before finally deciding whether or not it is specifically distinct. For the present, the differences from the other specimens are considered only to be individual or phenotypical, possibly due to depth. The juvenile male is closer to the description of the holotype, and has been used as the basis for the redescription. Munidopsis bradleyi Pequegnat and Pequegnat, 1971 Figures 10, 11 Munidopsis bradleyi Pequegnat and Pequegnat, 1971: 6 (key), 7-9, figs. 1, 2. Material examined.--Bahama Islands: G-679, 595-711 m, 1♂, 12.6 mm, UMML 32:5227.--Off Guadeloupe: P-923, 476-686 m, 1♀, 20.0 mm, (RMNH).--S of Jamaica: P-1256, 521-658 m, 1♂, 6.1 mm UMML 32:5228. Distribution plot 5. Diagnosis.--Rostrum nearly horizontal, armed with 1 pair anterolaterally-projecting spines; gastric region with 1 pair spines anteriorly followed by at least 1 median spine; frontal margin with prominent post-antennal spine; posterior margin of carapace with at least 1 pair of spines near midline; second and third abdominal tergites with median pair of spines; fourth tergite without spines; eyes unarmed; epipods on chelipeds but not on ambulatory legs. Description.--Carapace longer than broad (cw/cl = 0.90-0.95), vaulted transversely; mediolongitudinal swelling interrupted by 2 transverse channels: cervical groove posterior to mesogastric region extending to lateral margins of carapace; postcervical groove separating metagastric and cardiac regions; anteriorly-projecting ridges posterior to grooves each with 1 distinct median spine, smaller rounded tooth lateral to spines; anterior gastric region with 1 pair of large spines; posterior midline, 2 well-marked spines, 1 behind other, with minute rounded tooth laterally at bases of spines (total of 4 distinct median spines on carapace). Dorsal surface elsewhere with scattered granules, symmetrically arranged, frequently with anterior edge moderately serrate; metabranchial regions Distribution plot 5.--Munidopsis bradleyi Pequegnat and Pequegnat, 1971 collected by the GERDA and PILLSBURY. Figure 10. --Munidopsis bradleyi Pequegnat and Pequegnat, 1971, ♀, cl. 20.2 mm, p-923: a, dorsal view of carapace; b, ventrolateral view of right third maxilliped; c, lateral view of right antennule; d, dorsal view of right cheliped. Scales in mm. Figure 11. --Munidopsis bradleyi Pequegnat and Pequegnat, 1971. ♀, cl. 20.2 mm, P-923; a, lateral view of carapace; b, dactylus of second pereiopod, lateral view. ♂, cl. 22.4 mm, OREGON Sta. 10844: c, posterior abdominal tergites, uropods, and telson. Scales in mm. of carapace rugose with such protuberances. Short fine setae over most dorsal and exposed surfaces. Rostrum nearly horizontal, between 1/3 and 1/2 carapace length, broad at base, tapering distally, slightly carinate with pair of anterolaterally-projecting spines approximately 1/3 distance from distal end. Frontal margin with distinct post-antennal spine. Lateral margin with 4 large curved spines, anterolateral spine slightly larger; posterior lateral spine with 1 much smaller spine behind it and several minute teeth diminishing in size posteriorly. Ridge bordering posterior margin of carapace with median pair of spines. Abdomen with median pair of spines on transverse ridges of second and third tergites; transverse groove behind ridge; fourth tergite with 1 anterior transverse ridge; last 2 segments smooth. Sternum unarmed and smooth; intersegmental ridges distinct. Eyes colorless, unarmed and movable; cornea very slightly larger than eyestalk. Sharp conical spine projecting from beneath carapace emerging from intersection of bases of antennule, antenna and eyestalk; base of spine partly fused to basal segment of antenna. Basal segment of antunnular peduncle inflated, swelling with several tubercles; 2 distolateral spines, most distal spine slightly longer. Basal segment of antenna broad with 2 large spines: 1 lateral, 1 ventromesial. Second segment with 1 lateral and 1 mesial spine distally; small lobe just mesial to lateral spine on dorsal edge; transverse indentation in dorsal surface of segment. Third segment with distal margin slightly raised. Distal segment with small denticulate projection dorso-laterally. Flagellum extending beyond cheliped distally by approximately 1/3 length of flagellum. Merus of endopod of third maxilliped armed with 1 distinct dorsolateral spine near distal margin; 2 large spines on ventral margin, proximal spine slightly larger. Ischium with ventral carina terminating in spine, mesial border serrate, large distal spines on dorsolateral margin. Pereiopods slightly sculptured, usually with tubercles, some denticulate; most surfaces covered with scattered setae of various lengths, many plumose. Epipods on chelipeds but not on ambulatory legs. Chelipeds measured from articulation of coxa and basis, less than 2 1/2 times as long as carapace, excluding rostrum. Maximum length of dactylus less than 1/2 length of propodus; length of chela approximately 6 times maximum width. Propodus oval in cross section, devoid of spines; tips of fingers spooned, dentate, teeth continuing proximally along abutting margins. Carpus less than 1/3 length of propodus; 3 small spines on distal margin: 2 dorsal, 1 ventral. Merus approximately same length as propodus, 4 spines arranged around distal margin; 4 equal spines in longitudinal row behind dorsodistal spine; 3 spines in row behind distal spine on dorsomesial margin, alternately spaced with those in dorsal row, first and third very small, second approximately same size as dorsal spines; frequently tubercles or denticle between spines: 2 strong spines mesioventrally on proximal half of segment forming row with distal spine; ventrolateral surface of merus unarmed. Ischium with dorsal spine at articulation with merus. Second, third and fourth pereiopods similar. Dactylus of second pereiopod reaching distal margin of carpus of cheliped; dactylus of third and fourth pereiopods each reaching distal margin of propodus of preceding leg. Dactylus with corneous brown tip; row or 7 to 9, usually 8, denticles on ventral margin, diminishing in size to small denticulate tubercles proximally; thick corneous spinule, gold-colored in preservation, projecting from anterior edge of each denticle or tubercle, 12 to 14 spinules on each dactylus. Distal margin of propodus with row of minute blunt teeth, ventrally divided by median gap with 1 larger denticle near each end resembling very short calcified seta; otherwise, propodus unarmed. Carpus less than 1/2 as long as propodus, with single dorsal spine on distal margin; low, slightly tuberculate longitudinal ridge dorsolaterally and shallow concavity. Merus slightly longer than propodus; 3 spines on distal margin: 2 dorsal, 1 ventral; expanded lobe between dorsal spines; second and third pereiopods with longitudinal row of 4 spines and 1 tubercle on proximal half of raised dorsal margin behind mesial dorsal spine; only 3 spines in this location on fourth pereiopod, with tubercle lateral, and slightly anterior, to 2 proximal spines; frequently tubercles in line between spines, particularly on distal half of segment; longitudinal row of tubercles and/or small spines behind dorsolateral spine; ventrolateral margin with scattered denticulate tubercles. Distal margin of ischium with 1 dorsal spine and ventrolateral serration. Fifth pereiopods with merus expanded, external surface tuberculate. Protopod of uropod with posterior margin notched, spinule and smaller denticles on each side of notch. Exopod and endopod with granular denticles on lateral margins; similar denticles on surface of exopod between raised area and lateral margin, and on surface of endopod at posterolateral corner; surfaces appearing very smooth. Telson consisting of 10 plates, central and intermediate plates often indistinct; posterior margin deeply scalloped. Color.--All specimens examined were preserved in alcohol and showed no traces of color except for the corneous brown tips of the ambulatory legs and the golden color of thicker setae. Size.--Specimens examined in this collection have the following sizes: ♂, cl. 6.1-12.6 mm, ♀, cl. 20.0 mm. The largest male recorded is 31 mm cl.; the largest female (ovigerous) is 33 mm cl. (Pequegnat and Pequegnat, 1971: 9). Sexual dimorphism.--The only apparent sexually dimorphic character in this species is the dense fringe of golden setae on the lateral margins of the telson in males; females have only a few shorter fine setae in this location. Habitat.--The bottom type of GERDA Sta. 679 in the Bahamas was composed of soft mud and cinders with debris bottles and copper pieces. Data were not available for other stations at which Munidopsis bradleyi was collected. Type.--The holotype is an ovigerous ♀, cl. 33 mm, USNM 138227. Type locality.--Caribbean Sea off Colombia, OREGON Sta. 4854, 11°10.8'N, 74°28.5'; 549 m. Geographic range.--This species is known in the western Atlantic from the Bahamas south to Guadeloupe in the Lesser Antilles, and in the Caribbean Sea. In addition to the type locality, records in the literature included the following localities: north coast of Haiti, and the Lesser Antilles from St. Barthélemy to Dominica (Pequegnat and Pequegnat, 1971: 7). Bathymetric range.--The possible depth range for specimens in this collection is 476-711 m; calculated range could not be determined. The previously recorded possible range was 549-914 m; calculated range was 549-860 m. Parasites.--There is no external evidence of parasitism in any of the specimens examined. Associates.--At 2 or the 3 GERDA and PILLSBURY stations where M. bradleyi was taken, M. erinaceus was also collected. Relationships.--Munidopsis bradleyi can be distinguished easily from all species described from the western Atlantic. Of these, it appears to be most closely related to M. cubensis Chace, M. gilli Benedict, and M. expansa Benedict. The median and lateral spines on the carapace, relatively horizontal rostrum (not strongly upturned), paired spines on the abdominal segments, chelipeds twice as long as the carapace, and lack of epipods on the ambulatory legs serve to distinguish this species from M. cubensis. M. expansa and M. gilli have epipods on the first pair, and first and second pairs of ambulatory legs, respectively, have the rostrum upturned, and do not have paired spines on the second and third abdominal segments. There are some similarities between M. bradleyi and M. trifida tomentosa (Benedict) from the western Pacific redescribed by Baba (1969), but the latter lacks medial spination on the carapace and abdomen. M. bradleyi is extremely close to M. camelus (Ortmann) from Japan. The specimens of M. bradleyi examined are identical in morphology to that redescribed for M. camelus by Miyake and Baba (1967) except that M. camelus has epipods on the chelipeds and first 2 pairs of ambulatory legs, 1 pair of small spines behind the bifurcation of the cervical groove (instead of none), a mesial as well as a lateral spine distally on the second segment of the antennal peduncle; the proximal spine on the merus of the third maxilliped is much stronger than the distal spine, and there are 2 rows of small spines rather than 1 on the carpus of the cheliped. There appear to be other minor differences, particularly in the spination of the pereiopods, but using the literature available on M. camelus, it was not possible to compare details of this spination. Discussion.--Chace (1942) pointed out that the genus Galacantha must be merged with Munidopsis due to several factors, one of which is the unreliability of the Galacantha-like rostrum as a primary character. M. bradlevi and M. camelus, in addition to M. gilli, M. expansa and M. cubensis mentioned by Chace, have the rostrum intermediate between the Galacantha-type rostrum of M. spinosa and M. rostrata and the horizontal rostrum present in most other species of Munidopsis. The close similarities between M. bradlevi and M. camelus, despite the quite different arrangement of pereiopodial epipods, point out the apparent variability of the latter character among species. This renders the arrangement of epipods less useful in determining relationships above the species level. Figure 13. — Munidopsis brevimanus (A. Milne Edwards, 1880). c', cl. 9.0 mm, P-1224: a, carapace and abdomen, lateral view; b, posterior abdominal tergites, uropods and telson; d, left third maxilliped, ventrolateral view; f, left antennule, antennal peduncle beneath rostrum and eye, ventrolateral view. c', cl. 7.3 mm, BLAKE Sta. 291, (holotype): g, posterior abdominal tergites, uropods and telson; e, left antennular peduncle, ventrolateral view; g, left third maxilliped, ventrolateral view. well-defined, appearing centrally as depression separating meso- and metagastric regions; lateral termination of anterior branch distinct as sharp oblique groove behind anterolateral angle of carapace; posterior branch less distinct; postcervical groove broader and deeper between small metagastric region and swollen cardiac region. Dorsal surface of carapace with 4 depressions: 1 on either side of posterior mesogastric region, and 1 slightly more mesial on either side of metagastric region; shallow depression extending obliquely posterior to lateral margins from anterior depression (posterior branch of cervical groove), narrow sharper groove extending obliquely forward to lateral margins, terminating at same point. Gastric region elongate inflation, bordered anteriorly by pair of transverse depressions; anterior gastric region with granulation more distinct on either side of midline, but with neither spines nor distinct pair of gastric tubercles. Rostrum broad at base, tapering to apex; lateral margins vaguely sinusoidal, slightly convex anterior to corneae, tip drawn out slightly to moderate point; dorsal surface with medial concavity, low granules scattered near lateral margins. Base of rostrum curving smoothly to depressed dentate lobe on frontal margin. Anterolateral angle rounded, granulate, but unarmed. Lateral margins rounded, granulate, with notch anteriorly at termination of anterior cervical groove, convexity noticeable between notch and indentation at termination of posterior cervical groove. Posterior margin smoothly concave, rim raised only slightly, sculpturing obscure. First abdominal tergite with smooth knob at articulation with second tergite. Second tergite with small dorsal projection at midline on raised anterior transverse rim; large rounded tubercle at lateral termination of rim; pleuron with transverse row of several tubercles near margins; most lateral tubercles well-developed. Third tergite slightly more projected dorsally with triangular tubercle at midline similar to that on second tergite. Third and fourth tergites similar; pleura narrowed laterally and curved forward. Fifth tergite with 2 pairs of obscure depressions arranged around broad center; pleura narrowed laterally, with several tubercles on dorsal surface. Sixth tergite smooth, with slight longitudinal median depression; posterolateral lobe distinct. Sternum unarmed except for several obscure granules anteriorly between bases of chelipeds; obscure sculpturing centrally on either side of midline; sternites punctate laterally near margins; distinct intersegmental ridges following groove. Eyes small, unarmed, movable; usually partially concealed beneath rostrum; cornea not wider than eyestalk; eyestalk sometimes with small obscure swellings laterally. Small minutely tuberculate projection emerging from between bases of eyestalk and antenna. Basal segment of antennular peduncle with several conical tubercles on anterior part of lateral projection, largest one slightly dorsal, ventrolateral surface of enlarged portion flattened; anterior sharp spine with several spinules on ventral margin; larger projection, spines or tubercles more proximally on segment; occasionally accessory spinule on dorsal edge of spine. Extended flagellum reaching beyond rostrum. Basal segment of antenna with large ventral projection terminating in 2 spinules, often with another spinule ventral to them; small lateral projection with spine. Second segment with sharp lateral spine and mesial distal margin slightly projected. Third segment with conical lateral and dorsal spines and smaller mesial spine. Fourth segment with small dorsolateral tooth-like projection and smaller dorsomesial projection. Ischium of endopod of third maxilliped with sharp dorsal spinule on distal margin; ventral angle sharp, terminating bluntly or in sharp right angle or triangle, but without projected spine. Flexor margin of merus with large flattened tooth with rounded ventral edge near base of segment, adjacent sharp spine with 1 or 2 additional spinules more distally; distal margin with 1 or 2 dorsal spines or teeth, sometimes several spinules along extensor margin. Carpus with several (6 or 7) spinules on dorsal (extensor) surface. Pereiopods with slightly more sculpturing (rounded or flattened tubercles) on meral segments than on other segments. No epipods on chelipeds or ambulatory legs. Chelipeds approximately 3 1/2 times carapace length in male, less than 2 1/2 times carapace length in females. Manus dorsoventrally flattened; dorsal surface quite smooth in male, female with several tubercles; width of manus in male approximately 1/4 length; width of manus slightly less than 1/3 length in females. Dactylus approximately 1/3 length of manus in male; dactylus of female proportionately longer; mesial margin flattened, straight, hollow at base on mesial margin, followed by straight row of teeth. Fixed finger of male with outward curve near base forming gape; fingers abutting only in distal 1/4; fingers of female without curve or gape; fingers toothed and abutting along entire margin; tips spooned, dentate, gaped ventrally. Lateral and mesial edges of manus with scattered rounded tubercles, extending onto fixed finger as sharp longitudinal ridge on lateral margin. Carpus short, dorsomesial edge tuberculate, terminating in denticulate triangle; dorsal surface smooth with irregular longitudinal rows of tubercles dorsolaterally; lateral surface with flattened tubercles; ventral surface smooth. Merus shorter than manus; evenly-spaced conical tubercles on all surfaces; mesial surface slightly flattened distally; distal margin with sharp ventromesial spine and spinulate or spinate lateral projection behind distolateral lobe; short transverse tuberculate ridge near distal margin dorsally. Ischium with conical dorsal projection; ventromesial margin with series of spines decreasing in size proximally. Second, third and fourth pereiopods similar, short; tip of dactylus of second pereiopod reaching approximately middle of merus of cheliped. Dactylus approximately 1/2 length of propodus; sharp tip curved, corneous, followed on flexor margin by series of 6 or 7 triangular teeth, decreasing in size proximally each with slender corneous spinule on anterior edge; setae of various lengths scattered about surfaces. Propodus with extensor margin slightly flattened, mesial edge with irregular row of short conical spines, dorsal edge with projections less prominent; lateral surface with 2 irregular rows of tubercles on proximal 2/3 of segment, becoming larger proximally; ventromesial surface smooth, rounded; 2 corneous spinules on either side of notch at distal flexor margin. Carpus short, broad, with crest of conical tubercles on expanded extensor margin, most distal tubercle triangular, prominent, spine-like on second pereiopod; ridge of smaller rounded tubercles laterally and irregular area of larger tubercles below. Extensor margin of merus expanded into sharp dorsal crest, obscurely dentate in distal portion; longitudinal depression on lateral surface below crest, ventrolateral edge with irregular row of conical tubercles and smaller tubercles above; mesial surface with longitudinal concavity below dorsal crest, mesial surface relatively smooth with several scattered tubercles; fourth pereiopod with more tubercles on merus. Short ischium with several tubercles on distal margin and on dorsolateral surface. Fifth pereiopods not present in male specimen examined. Females with several irregular rows of conical tubercles on expanded area on distal 2/3 of segment. Protopod of uropod with conical anterolateral tooth followed by rounded lobe; posterior projection with notch between 2 small rounded processes. Telson as broad as long, narrowing posteriorly; anterior plate with rounded posterior margin, small triangular central plate separated from anterior plate by fissure; lateral plates with obscure small swelling centrally; endopod with several similar swellings on exposed surface; posterior margin of telson indented. Color.--All specimens examined were preserved in alcohol and were devoid of pigment. No records of color were found in the literature. Size.--The specimen collected by the PILLSBURY at station 1224 is the first male of this species to be recorded, and it is the largest specimen reported thus far, cl. 9.0 mm. The two females examined are ovigerous and have cl. 6.5 mm (ATLANTIS Sta. 3435) and 7.3 mm (holotype). There are no other records of sizes or measurements in the literature. Sexual dimorphism.--The male specimen has the characteristic fringe of thick golden setae on the lateral margins of the telson; marginal setae in this location on females are short, very fine and sparse. Females have shorter chelipeds (Cheliped length / cl. = 2.3, 2.1) than does the male (3.6), and slightly narrower, although they are broader with respect to length. The females have the abdominal tergites slightly more rounded than the male, and the carinae are not as strongly projected in the females. Habitat.--The bottom type has not been noted at any of the locations from which this species has been collected. Type.--The holotype is an ovigerous ♀, cl. 7.3 mm, MCZ 2630. Type locality.--Off Barbados, BLAKE Sta. 291, 366 m (200 fm). Geographic range.--Munidopsis brevimanus has been collected infrequently from scattered locations in the western Atlantic: from the north coast of Cuba, Jamaica and Barbados. All locations reported previously are listed under Material examined. Bathymetric range.--The depth at which the single specimen of M. brevimanus in our collection was taken was 878-906 m. The previously recorded possible depth range was 366-549 m; calculated previous depth range was 366-466 m (200-255 fm). Calculated depth range based on current and previous records remains 366-878 m. Parasites.--There have been no reports of parasites on M. brevimanus. Associates.--No statement is made concerning associated species due to the single occurrence of M. brevimanus in this collection. Relationship: -- Munidopsis brevimanus is a member of the Elasmonotus group containing M. alaminos Pequegnat and Pequegnat, M. riveroi Chace and M. longimanus (A. Milne Edwards) also from the western Atlantic. Of these, it is most closely related to M. longimanus; these two are quite similar morphologically, and identification of specimens belonging to either species must be made with care using relative characters. M. brevimanus has the abdominal tergites less strongly projected dorsally than does M. longimanus, the rostrum broader, slightly shorter, less triangular and more acuminate at the tip; in addition, M. brevimanus has slightly shorter, broader and less ornate chelipeds, the lateral margins of the carapace are more convex, the posterior margin less concave and the rim less prominent. Also the antennal peduncle is broader with more distinct spines in M. brevimanus, the antennular peduncle is more ornate, the pleura of the second abdominal tergite are not as ornata, and the telson has the posterior medial projection of the central anterior plate separated or articulated with the main part of the plate. Of the other closely related species, M. alaminos has the carapacial sculpturing spinulate, the rostrum narrower and not excavate, and the chelipeds shorter; M. riveroi is more robust with the carapace more convex and coarse sculpturing on raised areas, the chelipeds narrower and longer, and the rostrum more distinctly excavate dorsally and sinuous. Pacific species with some relationship to this group include M. quadrata Faxon, M. carinipes Faxon and M. miersii Henderson. All three of these have the rostrum drawn out to a sharper point than M. brevimanus; the first two have narrower chelipeds, and there is medial armature on the abdominal carinae; M. miersii has prominent gastric tubercles and only faint abdominal carination. Remarks.--As Chace mentions (1942: 98), the rostrum of the holotype is more attenuate, less rounded than in the ATLANTIS specimens; also, the abdominal carinae are more prominent in the holotype. Chace illustrated the holotype (1942: fig. 33); one of the ATLANTIS females is figured in this paper as well as the telson, antennular and antennal peduncles of the holotype. Discussion.--Chace (1942) revived the name Munidopsis brevimanus after it had disappeared from the literature subsequent to Faxon's suggestion (Milne Edwards and Bouvier, 1894b: 283) that Elasmonotus brevimanus might be only the female of E. longimanus. A. Milne Edwards and Bouvier pointed out at that time that they had examined a male and a female of E. longimanus and found them almost identical except that the female had the chelipeds shorter and more slender than the male, whereas the female specimen Milne Edwards had described as E. brevimanus had the chelipeds shorter and broader than those of E. longimanus. Despite this observation, Milne Edwards and Bouvier followed Faxon's opinion, and their final report of the BLAKE material (1897) did not include E. brevimanus. Chace felt that the holotype of M. brevimanus and a series of specimens taken by the ATLANTIS showed differences from Milne Edwards and Bouvier's figure of M. longimanus which were "not entirely sexual." Chace (1942: 97-98) went on to specify that "In M. brevimana the carapace is broader (despite Milne Edwards statement to the contrary) and the lateral margins are more..." convex, not subparallel as in M. longimanus; the rostrum is slightly shorter and broader, less triangular and less rounded at the tip, although in the two "Atlantis" specimens it is not drawn out to a sharp point as in the figured type; the carinate lobes on the second, third and fourth abdominal somites are not so narrowly and strongly produced outwards, although this character is somewhat variable; and the chelipeds are shorter and stouter. . . ." Now that males and females of both species have been examined, it is possible to further substantiate Milne Edwards' original suspicion and Chace's opinion that two species are involved. The two species present some problems however, since their characters overlap and are somewhat variable. Although the abdominal carinae of females of M. longimanus are not quite as prominent as those of males, males and females both have these carinae more prominent than either sex of M. brevimanus. Both males and females of M. longimanus have the chelipeds longer and narrower than males and females of M. brevimanus. Correct spelling of the species name.--Benedict (1902), in his list of species, incorrectly feminized the species name of M. brevimanus. The species name is a noun, not an adjective, and as such the ending does not change with a change in gender of the generic name. Thus M. brevimanus as well as M. longimanus are the correct spellings. Munidopsis crassa Smith, 1885 Figures 14, 15 Munidopsis crassa Smith, 1885: 494-496; 1886: 645-647, pl. 4.--A. Milne Edwards and Bouvier, 1894b: 275 (key); 1899: 82.--Benedict, 1902: 276 (key), 318 (list).--Murray and Hjort, 1912: 62, (as "chalk-coloured crab").--Doflein and Balss, 1913: 176 (list), 177 (table).--Chace, 1942: 73 (key).--Gordon, 1955: 237-245, text figs. 1A, 2A, 2A', 3A, pl. 1.--Sivertsen and Aølthuis, 1956: 46-47, pl. IV, fig. 1.--Zariquiey Alvarez, 1968: 268 (key), 269-271, fig. 95b.--Miyake and Baba, 1970: 93-94 (list).--Pequegnat and Pequegnat, 1970: 139 (key); 1971: 5 (key), 18-19.--Fowler, 1912: 574. Munidopsis Munidopsis crassa: Bouvier, 1922: 47-48, pl. I, fig. 5.--Nobre, 1936: 117. Material examined.--Western Caribbean Sea: NW of Swan Island, P-631, 4355-4393 m, 1 ovigerous ♀, 36.3 mm, UMML 32:5232; S of Yucatan Channel, P-577, 4415 m, 1 ♂, 18.1 mm, UMML 32:5231.--St Croix Basin, Virgin Islands: P-1401, 4226-4133, 1 ♂, 23.0 mm, (USNM).--Southern Bahama Islands: S of Caicos, P-1426, 3965-4096 m, 2 ♂, 33.0, 36.0 mm, 2 ♀, 30.0 mm (with rhizocephalan parasite), 23.7 mm, UMML 32:5233; W of Great Inagua, P-1429, 2532-2515 m, 1 ♀, 17.5 mm, (RMNH). See distribution plot 6. Diagnosis.--Rostrum unarmed, nearly horizontal with slight distal upturn; gastric region of carapace with 1 pair of sharp spines anteriorly and several smaller spines; frontal margin with distinct post-antennal spine; posterior margin and abdominal tergites unarmed; eyes with sharp conical spine extending from dorsomesial surface of cornea; epipods on Distribution plot 6.--Hundipeltis crassa Smith, 1895 collected by the Pillsbury. Figure 14. --Munidopsis crassa Smith, 1885, ♂, cl. 18.1 mm, P-577, dorsal view. Figure 15. --Munidopsis crassa Smith, 1885, ♂, cl. 18.1 mm, P-577: a, lateral view of carapace and abdominal tergites; b, posterior abdominal tergites, uropods and telson; c, right third maxilliped, ventrolateral view; d, right antennule. Scales in mm. chelipeds but not on ambulatory legs. Description.--Carapace slightly longer than broad (cw/cl - 0.80-0.85); transversely convex; lateral margins nearly parallel. Cervical groove smooth, conspicuous behind mesogastric region, anterior and posterior lateral branches distinct. Slightly curved postcervical groove distinct between cardiac and metagastric region. Anterior gastric region with 2 sharp conical spines slightly larger than others, 1 on each side of midline; remainder of prominent gastric region, epibranchial lobes, metagastric region and mesobranchial region armed with many sharp spines and tubercles, arranged somewhat symmetrically; cardiac and metabranchial regions with interrupted crenulate or spinulate transverse rugae; smooth areas between rugae; several short setae scattered along raised forward edge of sculpturing, edge often projected to form toothed ridge. Posterior carapacial margin raised, with crenulate crest on anterior edge and transverse row of tubercles posteriorly. Rostrum broad, tapering to triangle; length, from base of eyestalk, about 1/2 of maximum carapace width; rostrum nearly horizontal, distal part slightly upcurved, more so in larger specimens; dorsal side with strong mediolongitudinal carina, surface roughened with small tubercles; distolateral margins sharp, with several minute spines; ventral side smooth. Frontal margin with 1 sharp spine immediately over base of antenna; another sharp spine at anterolateral angle; epibranchial lobe projecting beyond this laterally, armed at anterior angle with large, toothlike spine, and slightly upcurved; several spines posterior to this on anterior half of lateral margin, decreasing in size posteriorly except for prominent spine at anterior angle of metabranchial region. Abdomen unarmed; second and third abdominal tergites somewhat similar, each with 2 roughened transverse crests rising behind smooth anterior part of segment; fourth tergite with 1 distinct ridge; fifth and sixth tergites without transverse ridges, sixth with prominent median lobe projecting from posterior margin and smaller lobe on each side; exposed parts of all pleura with scattered tubercles, second pleuron broadest, with anterior edge turned up to form convexity anterior to lateral extension of transverse crest. Sternum unarmed; anterior edge at insertion of chelipeds serrate; area between chelipeds with several tubercles and tufts of setae; similar but less distinct sculpturing on each segment near lateral margins; intersegmental indentations distinct, ridges prominent. Eyes colorless, barely movable, armed on dorsomesial edge with sharp conical spine projecting from eyestalk beyond cornea; mesial surface of spine often with minute denticle near tip or more proximally beneath rostrum; protuberance on ventromesial surface of eyestalk infrequently with small tubercle or tooth. Basal segment of antennular peduncle with lateral tuberculate inflation, tubercles often spinulate; 2 sharp distolateral spines, dorsal spine slightly shorter; ventromesial part of distal margin projected, spinulate. Extended flagellum barely reaching tip of rostrum. Basal segment of antenna broad, with large dentiform process ventromesially and sharp ventrolateral spine. Second segment with large sharp conical spine distolaterally; adjacent dorsal surface with smaller rounded projection with apical denticle; ventromesial toothed protuberance often with smaller adjacent teeth. Third segment with 4 teeth or groups of small teeth around distal margin; mesial and lateral teeth most prominent. Toothed lobe on mesial and dorsolateral margins of dissegment. Flagellum long, approximately 3 times length of carapace. Merus of endopod of third maxilliped armed with 4 to 6 teeth on ventral margin, middle or proximal 2 usually larger, occasionally with small tooth between; usually small tooth dorsolaterally on distal margin. Ischium with ventral carina; mesial carina serrate; spine on distal dorsolateral margin. Pereiopods evenly sculptured with tubercles, projections and spines; setae sparsely scattered over most surfaces. Epipods on chelipeds, but not on ambulatory legs. Chelipeds, measured from ischiual fracture, approximately same length as carapace including rostrum. Length of dactylus approximately 1/2 length of propodus. Tips of dactylus and propodus spooned, dentate; teeth continuing proximally along upper edge of abutting margins; narrow gape proximally. Longitudinal ridge along lateral edge of fixed finger distally; sculpturing sparse on dorsal surface of propodus, several protuberances, some with denticles, on mesial and lateral edges of flattened palm arranged in indistinct longitudinal rows. Carpus less than 1/2 length of chela; several spines on distal margin: mesial spine sharp, confluent, followed by 3 similar spines in oblique row; 2 other rows of spines on dorsolateral and lateral edges with tubercles scattered in between. Merus shorter than chela; 4 spines on distal margin; conspicuous row of similar spines on dorsal edge of segment; other rows of spines and tubercles around segment, particularly following large distal spines. Ischium with prominent dorsal spine, ventromesial ridge with spines. Second, third and fourth pereiopods similar. Dactylus of second pereiopod reaching beyond cheliped; dactylus of third pereiopod almost reaching tips of cheliped fingers. Dactylus with corneous brown tip, unarmed except for serrate ventral margin and tufts of setae in rows on dorsal edge. Propodus with 4 longitudinal sculptured ridges: dorsomesial ridge with 6 to 10 conspicuous spines, increasing in size proximally; spines on other ridges reduced; lateral 2 ridges close together; surface with distinct longitudinal groove. Carpus less than 1/2 length of propodus; dorsolateral surface with 3 longitudinal ridges: most dorsal ridge with row of approximately 6 sharp spines including spine on distal margin; spines reduced on middle ridge; third row of protuberances laterally less distinct. Merus approximately same length as propodus; surfaces angulated, with rows of low tubercles and spines separating faces; dorsal ridge with sharp spines terminating in large spine distally; another spine distolaterally; lateral surface with tubercles and spines in indistinct rows. Ischium with dorsal spine and ventrolateral serration on distal margin of second and third legs; fourth pereiopods unarmed. Fifth pereiopod with merus expanded, external surface roughened; several small protuberances on ventrolateral edge, medial one conspicuous. Protopod of uropods with postero-lateral margin notched, with sharp spinules mesially and serrations laterally. Telson broader than long, consisting of 8 plates; telson and uropods with tubercles scattered over surfaces, some posterior tubercles with short calcified setae. Color.--The specimens examined are preserved in alcohol and are chalky white with no traces of pigment. Bouvier (1922: 48) described the color of a living specimen of M. crassa as milky white with a rusty tint on the legs, and Murray and Hjort (1912: 62) described the specimen collected by the 1910 Michael Sars Expedition as a "chalk-coloured crab." Size.--Specimens in this collection have the following sizes: ♂, cl. 18.1-36.0 mm, ♀, cl. 17.5-36.3 mm, and ovigerous ♀, cl. 36.3 mm. All specimens previously reported fall within these ranges, with the exception of the ovigerous female holotype with cl. approximately 45 mm. Sexual dimorphism.--The males of this species have a distinct row of short golden setae on the lateral margins of the telson; this fringe is completely lacking in females. These setae in M. crassa are not as distinctive as the fringe of thick, often long, setae found on males of many other species of Munidopsis. The chelipeds do not differ appreciably between the males and females; both sexes have the opposing toothed margins abutting along their entire length dorsally. The difference in curvature of the rostrum and ocular spination between males and females mentioned by Bouvier (1922: 47) appear to be individual variations rather than sexual ones. Habitat.--The bottom at 2 of the stations where M. crassa was collected was characterized by sponges at one and coral and cinders at the other. The bottom type at stations of the type series ranged from Globigerina. ooze to gray mud and sand. Type.--The holotype is an ovigerous female with cl. approximately 45 mm; USNM 8563. Type locality.--Western North Atlantic, ALBATROSS Sta. 2224, 4710 m. Geographic range.--Munidopsis crassa is known from both sides of the North Atlantic, from the eastern, southern and western Caribbean Sea, and from the Bahama Islands. Records in the literature include the following: western North Atlantic, off coast of United States (Smith, 1885: 494); eastern North Atlantic: between Portugal and the Azores (A. Milne Edwards and Bouvier, 1899: 82), north of Canary Islands (Gordon, 1955: 239), and Bay of Biscay (Sivertsen and Holthuis, 1956: 46); middle North Atlantic, west of mid-Atlantic ridge (Bouvier, 1922: 47): Caribbean Sea, Yucatan Basin and Colombian Basin (Pequegnat and Pequegnat, 1971: 18). Bathymetric range.--Calculated depth range for material in this collection is 2532-4415 m. One station (P-1429) at depths of 2514-2532 m is the shallowest record for M. crassa. All previous depth records fall within the calculated depth range of the type series, 3183-4795 m. Parasites.--One female specimen from P-1426 was parasitized by many pelto trid rhizocephalans of the genus Cyphosaccus, probably an undescribed species related to C. chacei Reinhard. There are no reports of parasitism on other specimens of M. crassa. Associates.--Munidopsis crassa is the only galatheid crustacean collected from PILLSBURY stations listed for it. Munidopsis geveri was collected with M. crassa in the Colombia Basin (Pequegnat and Pequegnat, 1971: 19). Relationships.--Munidopsis crassa is closely related to M. geveri, also from the western Atlantic, but can be distinguished from that species by the carapacial spination: M. crassa has several small spines on the gastric region in addition to the single pair of large spines of M. geveri; there are as many as 9 lateral spines posterior to the anterolateral spine on M. crassa in contrast to usually only 4 lateral spines on M. geveri. M. bermudezi and M. similis are other western Atlantic species which bear some resemblance to M. crassa, but both lack carapacial spines other than a single gastric pair; M. bermudezi is more hirsute, and M. similis lacks epipods on its comparatively longer chelipeds. Gordon (1955: 244) has discussed in depth the relationship of M. crassa to M. subsquamosa Henderson and its varieties M. subsquamosa aculeata Henderson and M. subsquamosa pallida Alcock from both sides of the Pacific Ocean and from the Indian Ocean. She compared the specimen of M. crassa from the Canary Islands with the CHALLENGER specimens of M. subsquamosa from off Yokohama and M. subsquamosa aculeata from between Marion Island and the Crozets and from west of Patagonia. She states that the specimen of "M. crassa" has a longer, more upcurved rostrum, a more pronounced supra-antennal spine and a shorter spine on the eyestalk than in any of the CHALLENGER specimens." Furthermore, she observed that M. crassa and the M. subsquamosa material differ with respect to length of fingers on the chela, spination of the carpus of P₁ and spination on P₄. She preferred to keep the two species separate, based on material examined, but pointed out the possibility that they might subsequently have to be regarded as one widely distributed and very variable species. Munidopsis cubensis Chace, 1942 Figures 16, 17 Munidopsis cubensis Chace, 1942: 72 (key), 78-80, fig. 27.--Pequegnat and Pequegnat, 1970: 138 (key); 1971: 4 (key). Material examined.--Straits of Florida: GERDA Sta. 114, 869-759 m, 1♀, 18.2 mm, UMML 32:5234. Diagnosis.--Rostrum upturned, armed at end of horizontal portion with pair of lateral spines; 1 pair spines on anterior gastric region of carapace; frontal margin unarmed; posterior margin with pair of small spines near midline; second and third abdominal tergites each armed with median spine on anterior ridge, second tergite with smaller median spine on posterior ridge, fourth tergite with slight median tuberosity but no distinct spine; eyes unarmed; epipods on chelipeds and first 2 pairs of ambulatory legs. Description.--Carapace longer than broad (cw/cl approximately 0.90-0.95); vaulted transversely; gastric region slightly inflated, armed with 1 pair of distinct spines anteriorly, dorsal surface elsewhere transversely rugose and granulate; central gastric ruga ridge-like with median denticle. Cervical groove distinct behind gastric region; postcervical groove separating metagastric and cardiac regions broader than cervical groove; ridges posterior to grooves sharp, serrate, but otherwise unarmed. Short curved setae over most dorsal and exposed surfaces, usually associated with protuberances. Rostrum carinate, approximately 1/2 length of carapace, distal half upturned at angle of approximately 45° from horizontal, tapering distally, armed at end of broader horizontal portion with pair Figure 16. --Munidopsis cubensis Chace, 1942. ♀, cl. 18.2 mm, G-114: a, carapace, lateral view, setae omitted; b, dorsal view, setae shown on left side only; c, left antennular peduncle, ventrolateral view; d, right third maxilliped, ventrolateral view. Scales in mm. Figure 17. --Munidopsis cubensis Chace, 1942. ♀, cl. 18.2 mm, a, posterior abdominal tergites, uropods and telson; b, left pereiopod. of spines. Frontal margin minutely serrate but unarmed. Lateral margin with 3 or 4 spines: anterolateral spine largest, broad at base, 1 or 2 smaller spines behind anterior branch of cervical groove; very small spine behind posterior branch. Ridge bordering posterior margin of carapace with small but distinct pair of spines medially and occasionally additional smaller spines or tubercles. Abdomen with 1 median spine on anterior transverse ridge of second and third abdominal tergites; small median spine on posterior ridge of second tergite; fourth tergite with slight median swelling on anterior ridge; fifth and sixth segments relatively smooth. Sternum with several low tubercles between bases of chelipeds, obscurely serrate ridges with setae posterior to distinct intersegmental grooves. Eyes colorless, unarmed and movable; diameter of cornea slightly wider than eyestalk. Small tuberculate projection emerging from beneath frontal margin at intersection of bases of antenna, antennule and eyestalk. Basal segment of antennular peduncle inflated; surface of swollen areas lightly sculptured; 2 sharp distolateral spines, most distal spine slightly broader; distal margin minutely serrate with small triangular projection mesially. Basal segment of antenna broad with expanded triangular tooth ventromesially and small tuberculate lateral tooth. Second segment with sharp lateral spine. Third segment with distal margin serrate, otherwise unarmed. Distal segment with small dorsolateral lobe on distal margin. Flagella missing on specimen examined; flagella exceeding 3 times length of cheliped on drawing of holotype (Chace, 1942: fig. 27). Merus of endopod of third maxilliped armed with small dorsolateral spine near distal margin; 2 larger spines on ventromesial margin, proximal spine broader at base. Ischium with ventral carina terminating in triangular tooth, mesial border serrate, small distal spine on dorsolateral margin. Pereiopods with tubercles, often multidentate, over most exposed surfaces, more distinct and heavier on more proximal segments. Epipods on chelipeds and first 2 pairs of ambulatory legs. Chelipeds approximately 1 1/2 times carapace length. Dactylus slightly longer than 1/2 length of propodus; dactylus slightly longer than 4 times maximum width; tips of fingers slightly broadened, spooned, dentate; opposing margins obscurely toothed, abutting along entire dorsal face of chela, lengthwise excavation between fingers ventrally. Carpus more than 1/3 length of propodus; distal margin with small dorsomesial spine, dorsal serrate ridge and small ventral spine; slight mediolongitudinal swelling on dorsal surface with distinct tubercles. Merus approximately same length as propodus; 4 small spines arranged around distal margin; denticulate tubercles slightly more prominent in lengthwise row along dorsal surface and ventromesial surface; 1 ventromesial spinule. Ischium with dorsal spine at articulation with merus. Second, third and fourth pereiopods almost identical. Dactylus with corneous brown tip followed by 10 or 11 small triangular spines, each bearing 1 corneous spinule on forward edge. Propodus less than 2 times length of dactylus; distal margin with serrations ventrally, but unarmed except for rows of tubercles on dorsal and lateral surfaces. Carpus less than 1/2 length of propodus, single sharp dorsal spine on distal margin followed by indistinct raised row of tubercles; shallow concavity lateral to this separating dorsal crest from low tuberculate ridge. Merus slightly longer than propodus; distal margin with sharp dorsal spine; dorsal margin with low tuberculate ridge and several small blunt teeth; ventral spine on distal margin followed by denticulate tubercles; lateral face tuberculate; mesial face smooth. Ischium with small dorsal tooth on distal margin, ventrolateral serration and ventral projection. Fifth pereiopods with merus expanded, exposed surface tuberculate. Protopod of uropods with indentation in posterolateral margin and 2 small lobes posteriorly. Most exposed surfaces of telson and uropods with short setae, usually small swellings at bases of setae. Telson with 7 plates distinct; central and intermediate plates less distinct; posterior plates well-separated by non-calcified regions; posterior margin with median indentation. Color.--The specimen examined is preserved in alcohol and is completely devoid of color except for pale yellow color of thicker setae and corneous light brown tips of dactyli. No records of color in this species were found. Size.--♂, cl. 20.0 mm (holotype); ♀, cl. 18.2 mm (material examined). Sexual dimorphism.--The only difference observed between the description and illustration of the male holotype and the female specimen examined is the heavy, but not conspicuous, fringe of setae on the lateral margins of the telson of the male; this fringe is absent entirely from the female. Material.—There were large rocks on the bottom at station 1401. Type.—The holotype is a male, cl. 20.0 mm, MCZ 11791. Type Locality.—Eastern Cuba, Atlantic Sea, 385m, northwest of Puerto Cayo Moa, Oriente Province: 20°46'N, 74°59'W; 1144 m. Geographic Range.—The type from off Cuba and the specimen from the Straits of Florida are the only ones thus far recorded. Depth Range.—The depth at which the specimen reported herein was collected was 759-869 m. The depth at which the type was taken was 1144 m. Parasites.—The specimen examined shows no external evidence of parasitism; no parasites were reported for the type. Associations.—It is difficult to determine the significance of the single joint occurrence of M. lingimanus with M. subensis. Relationships.—Of western Atlantic species, Munidopsis subensis appears to be most closely related to M. apingae Benedict and M. gilli Benedict, both with laterally armed, upturned rostra, but differs from both in having only 1 pair of well-developed gastric spines on the carapace. In addition, M. pubensis and M. gilli both have epipods on the first 3 pairs of pereiopods; however M. gilli has 1 large gastric tuberculation less distinct lateral sulcation and sculpturing on the carapace, and a distinct median tooth on the fourth abdominal tergite. M. subensis is more heavily sculptured on the carapace than gastric and antennal spines; has 2 pairs spines on the chela propodiolum. M. apingae, Sarmiento and Pequegnat is quite similar to M. cubensis, but has the rostrum less upturned, epipods only on the chelipeds, more gastric spines, and paired abdominal spines. The morphology of M. cubensis is quite similar to that of the Japanese species, M. camelus Ortmann, with epipods on the first 3 pairs of pereiopods, but the latter species has 5 gastric spines, paired abdominal spines and longer chelipeds. Munidopsis trifida tomentosa (Henderson), also from the western Pacific, looks somewhat like M. cubensis, but has no pereiopodial epipods, no abdominal spines and longer chelipeds. Remarks.--The specimen of M. cubensis taken by the GERDA constitutes the first record of a female of the species, and the only record other than the one based on the holotype. Munidopsis erinaceus (A. Milne Edwards, 1880) Figures 18, 19 Galathodes erinaceus A. Milne Edwards, 1880: 53-54. Munidopsis erinacea: Henderson, 1888: 149, pl. 16, fig. 4.--A. Milne Edwards and Bouvier, 1894b: 275 (key); 1897: 67-69, pl.VII, figs. 9-12.--Young, 1900: 407 (key), 411-412.--Benedict, 1902: 77 (key), 320 (list).--Doflein and Balss, 1913: 175 (list), 176 (list), 177 (table).--Schmitt, 1935: 179 (key).--Boone, 1927: 60.--Chace, 1942: 74 (key), 90-91.--Pequegnat and Pequegnat, 1970: 140 (key), 146-147, table 5-2, fig. 5-1. Munidopsis erinaceus: Perez, 1927: 287.--Pequegnat and Pequegnat, 1971: 6 (key). Material examined.--Straits of Florida: G-121, 604-586 m, 2 ♂, 12.0, 13.5 mm (USNM); G-830, 342 m, 1 ♀, 10.7 mm, (USNM); G-870, 807-755 m, 1 ♀, 14.5 mm, 1 ovigerous ♀, 9.5 mm, UMML 32:5235; P-1309, 311 m, 1 ♀, 10. mm (USNM).--Santaren Channel: G-815, 618 m, 1 ♂, 8.4 mm, 1 ♀, 7.5 mm (RMNH).--Northwest Providence Channel: G-917, 659-706 m, 1 ♂, 11.1 mm, 1 ovigerous ♀, 8.1 mm, UMML 32:5236.--Off Atlantic coast of Colombia: P-374, 434-373 m, 2 ovigerous ♀, 813, 12.3 mm (USNM); P-381, 724-597 m, 1 damaged ovigerous ♀, 16 mm, UMML 32:5237; P-394, 416-634 m, 1 ♂, with abdominal parasite, 8.3 mm, 1 ovigerous ♀, 11.0 mm (RMNH); P-776, 408-576 m, 1 ♂, 9.1 mm, 1 ♀ with branchial parasite, 10.4 mm, UMML 32:5241; P-781, 531-567 m, 1 ♀, 14.0 mm (USNM); P-784, 567-715 m, 1 ♂, 13.8 mm, UMML 32:5242.--Off Venezuela (W of Tortuga Island): P-740, 827-924 m, 1 ♂, 18.5 mm, UMML 32:5238; (N of Golfo de Trieste): P-753, 384-607 m, 1 ♂, 9.8 mm with abdominal and branchial parasites, 1 ♀, 12.8 mm with branchial parasite, UMML 32:5239; P-754, 684-1574 m, 1 ♂, 16.8 mm, UMML 32:5240.--E of Grenadine Islands: P-861, 357-586 m, 3 ♂, 6.0-7.5 mm, 1 ovigerous ♀, 10.0 mm, UMML 32:5243.--Off St. Lucia: P-904, 589-439 m, 1 ♂, 14.4 mm, 2 ovigerous ♀, 8.1, 9.3 mm, UMML 32:5244.--Off Guadeloupe: P-919, 683-733 m, 2 ovigerous ♀, 8.1, 9.8 mm (USNM); P-920, 683-733 m, 1 ovigerous ♀, 11.9 mm (RMNH); P-923, 476-686 m, 36 ♂, 9.2-14.5 mm (6 with branchial parasites), 38 ♀, 8.2-13.4 mm (28 ovigerous, 8.4-13.4 mm), 3 of non-ovigerous with branchial parasites, 9.6-10.5 mm (USNM).--NW of Anguilla: P-989, 664-706, 1 ♂, 9.5 mm (RMNH).--S of Jamaica: P-1255, 622-823 m, 1 ♀, 8.7 mm (RMNH); P-1256, 521-658 m, 2 ♂, 9.3, 11.7 mm, UMML 32:5245.--Off Honduras: P-i355, 450-576 m, 8 ♂, 9.1-16.8 mm (16.8 mm with 2 abdominal parasites), 13 ♀, 9.0-16.1 mm (6 ovigerous, 11.2-16.1 mm), 13.1 mm non-ovigerous with 2 abdominal parasites) (RMNH). See distribution plot 7. Diagnosis.--Rostrum almost horizontal, with 1 pair of divergent lateral spines; gastric region of carapace with 2 pairs of spines; frontal margin with sharp post-antennal spines; posterior margin unarmed; second, third and fourth abdominal tergites armed, but no spines on midline; no eyespines; no epipods on pereiopods. Description.--Carapace longer than broad (cw/cl approximately 0.80), lateral margins slightly convex. Gastric region inflated, armed with 2 pairs of sharp curved spines: anterior pair largest, situated in line with eyes; 2 pairs of spines on cardiac region; (total of 4 pairs of spines on carapace centrally, arranged widest apart anteriorly, rows converging posteriorly). Each metabranchial area with 1, 2 (usually) or 3 spines. Cervical groove narrow, distinct across center of carapace Distribution plot 7.--Munidopsis erinacus (A. Milne Edwards, 1880) collected by the GERDA and PILLSBURY. Figure 18. --Munidopsis erinaceus (A. Milne Edwards, 1880). Ovigerous ♀, cl. 10.8 mm, P-923, dorsal view, setae shown on right side only. Figure 19. --Munidopsis erinaceus (A. Milne Edwards, 1880). Ovigerous ♂, cl. 13.3 mm, P-1355: a, carapace and abdomen, lateral view, setae not shown. ♀, cl. 14.0 mm, P-1355: b, right second pereiopod, fine dense setae not shown. ♂', cl. 13.5 mm, P-1355: c, posterior abdominal tergites, uropods and telson. and in both lateral branches. Postcervical groove deep and broad across central 1/3 of carapace between metagastric and cardiac regions. Surface covered with stiff, curved setae; smooth between spines except for fine sculpturing on metabranchial regions and branchiostegites. Rostrum 1/2 carapace length or less, narrow, conical, almost horizontal, slightly upcurved distally; armed with 1 pair of sharp curved lateral spines diverging at 45° angle from rostral spine approximately 1/2 distance from base. Frontal margin armed with 1 slender spine slightly mesial to antenna. Anterolateral spine large, sharp, diverging at 45° angle from midline, followed by 1 smaller more divergent spine, and 2 large spines with forward-curving tips set at almost 90° angle to midline. Posterior margin transversely carinate, but unarmed. First abdominal tergite smooth, obscure rounded transverse carina anteriorly. Second tergite with 2 pairs of sharp curved spines spaced evenly across central transverse carina. Third and fourth segments each with 3 pairs of spines; central 2 pairs in line with those of second tergite, third pair located laterally. Pleura of second and third tergites narrowed laterally to form sharp spine. Fifth and sixth segments without spines. Curved setae abundant on abdominal segments, particularly from middle of second segment to middle of fourth segment; posteriorly, setae shorter and fewer, sometimes absent. Sternum unarmed; intersegmental ridges and depressions distinct. Eyes colorless, cornea noticeably wider than eyestalk, unarmed, movable; base of cornea with small dorsal and large mesial emarginations and many long setae. Small sharp spine projecting from plate beneath frontal margin of carapace between eyestalk and bases of antennule and antenna. Basal segment of antennular peduncle with ventrolateral denticulate swelling, dorsal surface of swelling with sharp spine, 1 or more accessory spinules proximally on larger specimens, lower distal spine larger. Ventromesial angle with sharp spine; mesial angle with spinule. Antennular flagellum extending, by length of third segment, beyond tip of rostrum. Basal segment of antenna broad; 1 sharp lateral and ventromesial spine. Second segment with 2 long sharp spines on distal margin: 1 lateral, 1 ventromesial. Distal margin of third segment with long ventromesial spine, shorter dorsomesial spine, and lateral spinule. Fourth segment with dorsolateral ventrolateral and ventral denticles. Antennal flagellum approximately 4 times length of carapace, extending beyond chelipeds. Ischium of endopod of third maxillipeds triangular in cross section; mesial margins serrate, ventral and lateral angles each with sharp distal spine. Ventral margin of merus with 2 long curved spines: dorsal margin with smaller sharp distal spine. No epipods on pereiopods. Chelipeds 2 1/2 to 3 times carapace length. Dactylus fully 1/2 length of chela; gape at base of fingers variable: wide in large specimens, narrow in small specimens and some females. Fingers toothed along opposing margins; in males distal 1/3 to 1/2 with margins abutting; tips spooned, dentate. Maximum width of chela 1/4 length; manus with 2, occasionally 3, small teeth on mesial margin; 1 or 2 on dorsolateral margin proximally. Carpus short, less than 1/3 length of chela; 4 sharp spines on distal margins: 1 dorsomesial, 1 dorsolateral, 1 lateral and 1 ventrolateral; dorsomesial and ventrolateral surfaces each with smaller spine; 3 or 4 teeth on dorsal surface. Merus not quite as long as chela, with 4 sharp spines at distal angles; dorsal surface with 4 or 5 sharp spines in longitudinal row, often 1 or 2 smaller spines lateral to these distally; 2 or 3 large ventromesial spines and 5 smaller ventrolateral spines. Ischium with 2 spines on ventral projection, distal spine longer; 3 to 6 small teeth or spines on ventral surface, 1 heavy spine on dorsal surface. Surfaces of all pereiopods smooth between spines, with dense covering of long fine stiff setae. Second, third and fourth pereiopods similar; dorsal and lateral surfaces densely covered with long, curved setae. Dactylus of second pereiopod reaching distal margin of carpus of cheliped, curved tip brown, corneous, followed by 8 to 12 sharp ventral teeth, decreasing in size proximally, forward edge of each tooth with movable corneous spine. Propodus approximately twice length of dactylus, dorsal surface with row or 3 to 5 small spines; distal margin with 1 spine at dorsolateral edge and 2 small movable spines ventrally; lateral surface with row or 2 to 4 widely-spaced smaller teeth. Dorsal edge of carpus with 4 sharp spines, distal spine largest; 2 or 3 spinules on dorsolateral face, and 1 spinule on lateral surface near distal margin. Merus with 5 or 6 sharp spines dorsally; ventral edge with more, slightly smaller spines, most distal spine placed slightly laterally; lateral surface with 4 or 5 spinules in row or arranged irregularly; 2 or 3 small spines on ventromesial edge, distinct on second pereiopod, sometimes absent on third and fourth pereiopods. Distal margin of ischium with small dorsal tooth, 3 small ventral spines. Fifth pereiopods with merus setose and with 3 spinules on ventral margin. Posterolateral margins of protopod of uropod scalloped; posterior lobe with obscure notch, serrate on lateral side, 1 or 2 denticles mesially. Telson consisting of 8 plates, narrowing posteriorly; posterior margin in 2 lobes. Color.--All the specimens in our collection are preserved in alcohol and are chalky white. There are no records of color for this species. Size.--The following ranges of size were found based on the material examined: ♂, cl. 6.0-18.5 mm, ♀, cl. 7.5-16.1 mm, and ovigerous ♀, cl. 8.1-16.1 mm. Sexual dimorphism.--Perez (1927) noted the light fringe of plumose setae on the lateral margins of the telson of females (contrasted to the "comb" of stiff yellow setae present on males). A. Milne Edwards and Bouvier (1897) stated the sexual differences are the same as those of M. spinifer (rostrum a little more upturned in males, 2 longer and sharper lateral spines) but the chelae in the females are completely unarmed. These characters were not consistent in a large series of males and females; most large females had denticles on the mesial surface of the manus and the rostrum slightly curved upward. Habitat.--The bottom type at stations where M. erinaceus was collected varied from pteropod ooze to mud, clay and coral rubble with sponges. The data did not indicate that the species occurred on one of these types more than another. Type.--♂, cl. ?. The location of all of the type material is not known; some of the syntypes are at the MCZ. Type locality.--Near St. Lucia, BLAKE Sta. 222, 422 fm (approximately 773 m). Geographic range.--This species is known from the Straits of Florida south to Brazil, from the Gulf of Mexico and from the Caribbean Sea. Previous western Atlantic records include: Caribbean Sea: Nevis, Fredericksted (St. Croix), St. Vincent, St. Lucia (A. Milne Edwards and Bouvier, 1897: 68); Pernambuco, Brazil (Henderson, 1888: 149); north coast of Cuba (Chace, 1942: 90-91); and northwest Gulf of Mexico (Pequegnat and Pequegnat, 1970: 147). Bathymetric range.--The possible depth range for material in this collection is 311-1574 m; calculated range is 311-827, which falls within the previously recorded range of 276-1016 m. Parasites.--Two male specimens and a female specimen from P-1355, and 1 male from P-394, each had 2 specimens of Cyphosaccus cornutus Reinhard, 1958 attached to ventral surfaces of the abdomen. A male from P-753 was the host of 3 specimens of this rhizocephalan parasite (family Peltogastridae), as well as an isopod Pseudione sp., probably new, (family Bopyridae) in the branchial cavity. Pseudione were also found parasitizing 6 males and 3 females from P-923, and 1 female from P-776. Reinhard (1958) described the type of Cyphosaccus cornutus from material provided by a female specimen of M. erinaceus reported by Chace (1942) as having "abdominal parasites." No other records of parasitism in this species were found. Associates.--At 7 or the 25 stations at which M. erinaceus was collected, Munidopsis polita was also taken in the same sample, and M. riveroi was collected with M. erinaceus at 5 stations. The indices of affinity between M. erinaceus and these species, based on these data, are 0.34 and 0.32, respectively. Relationships.--Munidopsis erinaceus is superficially similar to the less common M. spinifer, also from the western Atlantic. The two can be separated easily, however, by the unarmed posterior margin of the carapace, 2 pairs of gastric spines and the absence of medial abdominal spines on M. erinaceus, as opposed to the presence of 3 to 5 pairs of posterior carapacial spines, 3 pairs of gastric spines and mesial spines on the abdominal segments of M. spinifer. The relationship of these 2 species to the Pacific species is presented in the discussion of the relationships of M. spinifer. Remarks.--Specimens of M. erinaceus show individual variations: e.g., there may be either 2 or 3 spinules on the dorsal margin of the merus of the third maxilliped, extra spines may be present on the branchial regions of the carapace and occasionally a spine is found on the pleuronotal margin of the fourth abdominal segment. Correct spelling of the species name.--The species name erinaceus is from Latin, meaning "hedgehog." Since the name is a noun in apposition, its ending does not change with the gender of the generic name; thus, Henderson and others were incorrect in their spelling, and erinaceus is correct. Munidopsis geyeri Pequegnat and Pequegnat, 1970 Figures 20, 21 Munidopsis geyeri Pequegnat and Pequegnat, 1970: 139 (key), 149-151, figs. 5-1, 5-9, 5-10, table 5-2; 1971: 5 (key), 19. Material examined.--Gonave Bay, Haiti: P-1180, 3111-3496 m, 1 ♂, 21.8 mm, 1 ♀, 27.1 mm, 1 juvenile, 19.9 mm (gonopores not developed, pleopods not modified), UNML 32:5246. Diagnosis.--Rostrum unarmed, with upward flexure distally; gastric region of carapace with only 1 pair of distinct spines; frontal margin with post-antennal spine; posterior margin of carapace and abdominal tergites unarmed; eyestalks with dorsomesial spine; epipods on cheliped but not on ambulatory legs. Description.--Carapace slightly longer than broad (cw/cl = 0.82-0.87); transversely convex; lateral margins nearly parallel. Central portion, anterior and posterior lateral branches of cervical groove well-defined. Transverse, straight postcervical groove separating cardiac and metagastric regions on medial third of carapace, extending posteromedially as branchiocardiac grooves, but not reaching smooth posterior marginal groove. Anterior gastric region with only 1 pair of distinct conical spines; remainder of gastric region with large raised squamae; squamae arranged somewhat symmetrically with anterior margin spinulate; smaller squamae on epibranchial region between lateral branches of cervical groove; posterior half of carapace with squamae transversely expanded to form interrupted rugae; occasionally complete rugae across cardiac region; evenly-spaced, short setae in continuous row along forward edge of Figure 20. --Munidopsis geyeri Pequegnat and Pequegnat, 1970, ♀, cl. 19.1 mm, P-1180, dorsal view, setae shown on left side only. Figure 21. --Munidopsis geveri Pequegnat and Pequegnat, 1970, ♂, cl. 19.1 mm, P-1180: a, lateral view, setae omitted; b, right antennular peduncle; c, posterior abdominal tergites, uropods and telson; d, endopod of right third maxilliped. Scales in mm. sculpturing; central seta of row often larger. Posterior marginal rim with spinulate crest on forward edge and additional transverse ruga posterior to it. Rostrum broad, tapering to triangle, length from base of eyestalks approximately 1/2 maximum carapace width, nearly horizontal with smooth upward flexure distally; medial longitudinal carina distinct dorsally with small squamae more distinct proximally; area between carina and marginal rim of rostrum with larger flattened tubercles; many small teeth on lateral margin of rostrum beyond eyes; ventral surface smooth. Frontal margin with sharp post-antennal spine and small spinulate ridge lateral to base of spine; margin spinulate mesial to small anterolateral spine. Largest marginal tooth originating just behind anterior branch of cervical groove; smaller tooth posterior to this; lateral margins irregular due to carapacial sculpturing, but no other distinct spines present except for small curved tooth just behind posterior branch of cervical groove. Abdomen unarmed; second, third and fourth abdominal segments similar, each with 2 puctate transverse carinae rising behind smooth anterior part of segment, separated by transverse furrow across tergite; small rounded tubercles in depressions with setae, anterior carina on each segment extending nearly to lateral margin of pleuron and merging with large rounded tubercles; posterior carina extending across tergite only, with very slight median projection; fifth and sixth plates without transverse ridges, but with regular short setae projecting from posterior edges of scattered obscure squamae. Broad median lobe on posterior margin of sixth segment not projected; smaller lobe on each side. Sternum unarmed; anterior margins between insertion of chelipeds serrate; several low tubercles with setae on surface of sternite between chelipeds; intersegmental transverse depressions and ridges distinct. Eyes colorless, practically immovable, armed on dorsomesial edge with large, sharp, conical spine projecting anterolaterally from eyestalk beyond cornea; minute denticles with setae projecting from base of denticle on mesial surface of spine; often several small tubercles with short setae on dorsal and lateral margins of eyestalk near base of cornea. Basal segment of antennular peduncle with tuberculate lateral inflation; 2 sharp distolateral spines, ventral spine slightly heavier, longer; ventromesial part of distal margin slightly projected, denticulate. Setae of extended flagellum barely reaching tip of rostrum. Basal segment of antenna broad, with sharp triangular projection ventromesially and broader denticulate lobe projected ventrolaterally. Second segment with sharp conical spine on distolateral margin; smaller lobe with apical denticles just mesial to this; mesial surface with sharp tubercles, forming small ventromesial projection distally. Third segment with small groups of denticles around distal margin, usually larger denticle in lateral and mesial groups; 2 tubercles on each of dorsal, mesial and lateral surfaces of segment; dorsolateral margin of distal segment with apically denticulate projection; dorsomesial margin with distal row of denticles, smaller group of denticles ventrolaterally. Flagellum long, approximately 4 times carapace length. Merus of endopod of third maxilliped armed with several irregular teeth on ventral margin, 2 usually larger than others, small tooth dorsolaterally on distal margin. Ventral carina of ischium terminating in small tooth distally; mesial carina serrated; small spine on distal dorsolateral margin. Pereiopods evenly sculptured with tubercles, projections and spines; setae associated with most sculpturing. Epipods on chelipeds, but not on ambulatory legs. Chelipeds, measured from ischial fracture, approximately 1 1/2 times carapace length, or nearly equal to total carapace length including rostrum. Width of chela from 1/3 to 1/2 length of chela, lateral margin with slight indentation between palm and fixed finger, giving claw curved appearance. Length of dactylus slightly less than 1/2 length of propodus; tips of dactylus and propodus spooned, dentate; teeth continuing but becoming obscure proximally along upper abutting margins; very narrow gape between proximal halves of fingers. Mesial and lateral edges of flattened palm with several flattened tubercles with setae on anterior denticulate margins; dorsal surface with evenly-spaced groups of short setae, but chela otherwise unarmed. Carpus approximately 1/3 length of chela; distal margin with 4 distinct spines: 1 lateral, 1 dorso-lateral, 1 mesially adjacent to propodal articulation, and 1 mesial; occasionally a sharp dorsomesial spine or larger tubercle well behind mesial spine; dorsal surface with many small flattened anteriorly denticulate tubercles and associated setae. Ventral surface relatively smooth. Merus shorter than chela; sharp spine at each of 4 distal angles; dorsal spine followed by longitudinal row of several, usually 4 spines, most distal spine largest, others decreasing in size proximally; squamose tubercles on dorso-lateral surfaces best developed, becoming obscure proximally. Ischium with prominent dorsal spine, typical ventral projection, small ventrolateral tooth distally, and scattered tubercles principally on lateral surfaces. Second, third and fourth pereiopods similar. Dactylus of second pereiopod reaching beyond cheliped; dactyli of each of following legs reaching distal margin of propodus of preceding leg. Dactylus with corneous brown curved tip, unarmed except for low swellings on dorsal surface distally and ventral row of approximately 13 denticles, each with corneous spinule projecting from anterior edge. Propodus approximately twice length of dactylus; several raised longitudinal rows of small tubercles on all but ventral surfaces, dorsal and mesial ridges most distinct; indentations between rows relatively smooth; several proximal spines in mesial row: usually 2 on second pereiopod, 1 on third and 1 or none on fourth, but number variable; mesial ridge also with even fringe of plumose setae associated with sculpturing. Carpus less than 1/2 length of propodus; large sharp spine at dorsomesial angle of distal margin, usually followed by row of 3 smaller spines with smallest spine in middle; smaller spine lateral to large spine on distal margin and, slightly lateral to this, distinct ridge of tubercles; lateral surface with denticulate flattened tubercles, ventral surface relatively smooth except for small tooth on distal margin. Merus slightly longer than propodus, with large sharp dorsomesial spine on distal margin; lateral spine similar on second pereiopod, smaller on third and still smaller on fourth; dorsomesial ridge with 6 or 7 prominent spine decreasing in size proximally; dorsolateral surface with flattened tubercles and setae: 2 indisitinct rows of such tubercles on ventral surface. Ischium with blunt dorsal tooth on second pereiopod; third and fourth with projection only. Fifth pereiopod with merus expanded, sculptured laterally with low tubercles and several small blunt teeth on ventral margin, medial tooth conspicuous. Protopod of uropod with posterolateral margin in 3 lobes; posterior lobe with group of denticles and 2 sharp teeth separated by notch; posterior surface with 1 or 2 flattened squamae, posterior edge denticulate, with setae (as in carapacial sculpturing). Telson consisting of 8 plates; telson and uropods with squamose tubercles with setae scattered over surfaces; exposed posterior areas on endopod with several short calcified setae. Color.--The specimens examined are preserved in alcohol and are chalky white; setae are pale golden. There are no color records for this species. Size.--Specimens in this collection had the following sizes: ♂, cl. 21.8 mm, ♀, cl. 27.1 mm, and 1 juvenile, cl. 19.1 mm. No ovigerous females have been collected. The male holotype is the only other specimen whose size (cl. 17 mm) has been reported to date. Sexual dimorphism.--There are no obvious differences between the male and female specimens. The male specimen (cl. 21.8 mm) has the lateral margins of the telson with a distinct but not dense fringe of setae which is lacking in the large female and in the juvenile. The rostrum of the male is curved upward to a slightly greater degree than that of the female. Habitat.--The bottom at P-1180 in Gonave Bay consisted of yellow clay mud with vegetable debris and rotten logs. Type.--The holotype is a male with cl. 17 mm; USNM 128812. Type locality.--SW Gulf of Mexico, ALAMINOS Sta. 69-A-11-92, 23°30'N, 95°32'W; 2928-3001 m. Geographic range.--This species is known from the western Atlantic in the NW Gulf of Mexico and the Caribbean Sea. In addition to the new location near Haiti listed herein and the type locality, it has been collected in the Colombian Basin and south of Jamaica by the ALAMINOS (Pequegnat and Pequegnat, 1971: 19). Bathymetric range.--Calculated depth range for this species is 2790-4151 m. Possible depth range is 2650-4151 m. Parasites.--There is no external evidence of branchial or abdominal parasites in any of the specimens examined, and no records of parasitism exist. All specimens examined have microscopic filamentous epizoans, possibly fungi, but as yet unidentified, attached to body surfaces, appendages and setae. These are less than 0.5 mm in length and approximately 0.01 mm in diameter. The gastric mill of one specimen was filled with fibers, some of them straight, some curved into a circle. The length of some longer fibers which appeared to be complete is approximately 4 or 5 mm; their diameter is less than 0.05 mm. Associates.--Munidopsis livida was collected at P-1180 along with M. geveri. The ALAMINOS collected these two species together at the station south of Jamaica, and M. colombiana, M. crassa, M. sundi and M. reynoldsi with M. geveri in the Colombian Basin. Relationships.--Munidopsis neyeri is quite similar to the specimen of M. subsquamosa Henderson from the western Pacific as described and illustrated in the literature. The characteristics mentioned by Pequegnat and Pequegnat (1970: 150) as distinguishing M. neyeri from M. subsquamosa (with movable eyes, punctations on the abdominal somites and only 3 denticulate spines on the merus of the third maxilliped of the latter) are not sufficient to separate these species. Henderson (1888: 152-153) described the eyes as possessing "but slight mobility" and the merus of the third maxilliped as being armed on the inner margin with a series of short irregular teeth; the illustration of the third maxilliped (pl. XVII, 4a) shows at least 4 teeth on this margin. The western Pacific species, however, does appear to have a few more spines on the gastric region of the carapace and on the pereiopods, and to have the rostrum more nearly horizontal. Thus there is some question as to the distinctness of M. neyeri from M. subsquamosa and it is possible that the former will prove to be a subspecies of the latter. Until more material of both species is available, it seems best to use the name M. neyeri for the West Indian material. Among western Atlantic species, M. neyeri is most closely related to M. crassa, but can be distinguished from it easily by the greater number of dorsal and lateral spines on the carapace of M. crassa. It appears that M. neyeri differs from M. crassa in somewhat, though not exactly, the same manner as M. subsquamosa Henderson differs from M. subsquamosa aculata Benedict (the latter was raised to species rank by Benedict, 1902). Thus the western Atlantic species M. crassa and M. neyeri are somewhat analogous to the western Pacific species, M. aculeata and M. subsquamosa, respectively; the exact relationship of the species of each pair remains to be determined. It should be emphasized that there is no question that M. geyeri is distinct from M. crassa. (See relationships of M. crassa for further discussion.) Munidopsis gilli Benedict, 1902 Figure 22 Munidopsis gilli Benedict, 1902: 276 (key), 283-284, 320 (list), fig. 27. --Doflein and Balss, 1913: 176 (list), 177 (table).--Chace, 1942: 72 (key).--Peugnat and Pequegnat, 1970: 138 (key); 1971: 4 (key). Material examined.--Straits of Florida: P-634, 1638-1757 m, 1 ovigerous ♀, damaged, cl. approximately 25 mm, (USNM). Diagnosis.--Rostrum carinate, upturned distally, armed at end of broad horizontal portion with 1 pair of divergent spines; gastric region of carapace with 1 pair of large blunt spines anteriorly, and 1 large central spine; several groups of smaller rounded protuberances arranged symmetrically over surface of carapace; frontal margin without distinct spine; posterior margin armed with several tubercles; second, third and fourth abdominal tergites each armed with large blunt median tooth and several smaller protuberances laterally; eyes unarmed; epipods on chelipeds and first 2 pairs of ambulatory legs. Description.--Carapace slightly longer than broad, transversely convex; gastric region slightly inflated, armed with 3 large spiniform tubercles spaced equidistant: anterior pair behind and mesial to antennae, third spine on midline; several pairs of smaller tubercles arranged symmetrically over gastric region and carapace; surface slightly inflated around base of each protuberance. Cervical groove distinct with anterior and posterior lateral branches shallower than postcervical groove between metagastric and cardiac regions; inflation behind each groove with small protuberance on either side of midline; cardiac protuberances spiniform, Figure 22. --Munidopsis gilli Benedict, 1902, oveigerous ♀, cl. 25.0 mm, damaged: a, dorsal view, setae not shown; b, posterior abdominal tergites, uropods and telson, setae shown only on posterior margins of tailfan; c, right fourth pereiopod, setae omitted; d, left antennular peduncle, ventrolateral view; e, right third maxilliped. Scales in mm. followed by pair of smaller tubercles. Metabranchial regions with many tubercles of various sizes. Short, fine setae arranged over most dorsal and exposed surfaces of carapace, abdomen and appendages. Rostrum approximately 1/3 length of carapace, broad at base, tapering distally, upturned distally, armed with pair of divergent lateral teeth at end of horizontal portion approximately 1/3 distance from distal end, triangular in cross section at that point; dorsal surface with several tubercles on each side of rounded medial carina. Frontal margin with roughened angle posterior to antennae, but no well-formed tooth; margin concave between slight projection and broad anterolateral tooth. Lateral margins irregular: 2 projections between notches at lateral termination of anterior and posterior branches of cervical groove; tubercular projection behind posterior indentation. Ridge with several pairs of tubercles bordering carapacial margin. Abdomen with large blunt central spine and 3 small lateral tubercles on second, third and fourth tergites; fifth and sixth tergites unarmed except for small lateral granules. Sternum unarmed; intersegmental ridges and grooves distinct. Eyes missing on material examined: corneae appearing small on roughened eyestalks in drawing of type specimen (Benedict, 1902, fig. 27). Bifurcate conical protuberance beneath frontal margin emerging from intersection of bases of antennule, antenna and eyestalk. Basal segment of antennular peduncle inflated, 2 distolateral spines, most distal spine broader at base, distal margin dentate. Basal segment of antenna broad with lateral triangular tooth and broad, blunt ventromesial spine. Second segment with blunt lateral spine and 2 ventromesial projections distally. Third segment with distal margin obscurely dentate. Distal segment with 3 dentate lobes distally: 1 dorsolateral, 1 dorsomesial, and 1 ventral. Flagella not present on material examined. Merus of endopod of third maxilliped armed with 1 distinct dorso-lateral tooth near distal margin, other very small teeth along dorsal margin; 2 sharp conical teeth on mesial ventral margin, small tooth just distal to second tooth, several other small tubercular teeth on ventro-lateral surface. Ischium with ventral and dorsolateral carinae each terminating in broad tooth; mesial margin with corneous denticles. Pereiopods with spiniform, denticulate and blunt tubercles arranged over surfaces, usually widely spaced in irregular rows. Epipods on chelipeds and first 2 pairs of ambulatory legs. Chelipeds less than 1 1/2 times carapace length; maximum length of dactylus more than 1/2 length of propodus; fixed finger with slight lateral bend at base; opposing margins of fingers toothed, abutting along entire length; tips spooned, dentate; chela without major spines but with many distinct tubercles; length of chela approximately 3 times maximum width. Carpus less than 1/3 length of manus; small conical tooth at distolateral angle; lateral margins and dorsomesial surface with several distinct tubercles. Merus not as long as propodus; distal margin with sharp mesial and ventromesial tooth, tuberculate lateral projection adjacent to rounded protuberance distally; dorsal transverse ridge near distal margin dentate; distinct dorsal row of approximately 6 larger tubercles; ventromesial margin with 2 large spiniform tubercles. Ischium with dentate dorsal projection. Second, third and fourth pereiopods similar; surfaces tuberculate. Dactylus with corneous brown tip followed on ventral margin by row of as many as 14 teeth, each armed on anterior edge with corneous spinule; dactylus more than 1/2 length of propodus. Propodus with several irregular rows of distinct tubercles, but no major spines. Carpus with 4 spiniform tubercles on dorsal edge. Merus with dentate triangular projection on dorsal margin distally, smooth protuberance between this and smaller ventrolateral lobe; dorsal edge slightly expanded, with row of denticulate tubercles; mesial surface flattened, with fewer tubercles. Fifth pereiopod with merus expanded, tuberculate on outer surface and on ventral margin. Protopod of uropod with posterior margin notched, denticles on either side of notch larger mesially. Exopod smooth, endopod with several granulas on exposed dorsal surface. Telson with 1 small tubercle in center of each anterolateral plate, 3 or 4 in longitudinal row on each lateral plate and several granules in row on posterior plates; telson consisting of total of 10 plates. Color.--The specimen examined is preserved in alcohol and is chalky white. There is no mention in the literature of coloration in this species. Size.--♂, holotype, cl. 24 mm, ovigerous ♀, material examined, cl. 25 mm. Sexual dimorphism.--Only the female of this species was examined; the lateral margins of the telson have no thick setae, and the opposing margins of the fingers of the cheliped are abutting along their entire length. Habitat.--The bottom at PILLSBURY Sta. 634 was characterized as mud with large rocks. Type.--The holotype is a male, cl. 24 mm, USNM 20562. Type locality.--Off Bahama Islands, ALBATROSS Sta. 2629, 2139 m. Geographic range.--Munidopsis gilli has been collected only from the western North Atlantic east of Florida. The specimen reported herein is the first to be recorded since the type. Parasites.--The PILLSBURY specimen shows no external evidence of parasitism; no parasites were reported for the type. Associates.--The specimen was the only galatheid crustacean in the sample. Relationships.--Munidopsis gilli appears to be closely related to 3 species from the western Atlantic: M. bradleyi Pequegnat and Pequegnat, M. cubensis Chace, and M. expansa Benedict. It differs from all these in having only 3 major spines on the gastric region of the carapace. It can be distinguished further from M. bradleyi by the presence of epipods on the first 2 pairs of ambulatory legs, by the shorter, broader chelipeus, the more strongly upturned rostrum, and by having a single median spine on the second, third and fourth abdominal segments. The upturned rostrum and the arrangement of epipods is the same as those in M. cubensis, but M. cubensis has smaller, sharper lateral and gastric spines which are more forwardly directed, has the carapace more transversely rugose, with fewer prominent protuberances, and lacks a distinct median spine on the fourth abdominal tergite. Munidopsis expansa differs from M. gilli in general appearance, sculpturing and shape of the carapace, and has no epipods on the second pair of ambulatory legs. M. gilli also bears some resemblance to M. cameius (Ortmann) from Japan, but the latter species has 5 distinct gastric spines, paired abdominal spine, and longer chelipeds. Munidopsis trifida Henderson from the IndoPacific may be in this species complex, but it lacks epipods on all pereiopods and has the abdomen devoid of spines. Remarks.--The female Munidopsis gilli taken by the PILLSBURY is badly damaged with parts of the specimens missing, but there is no difficulty in determining its identity. This specimen, with its one egg, constitutes the first record of a female of the species. Munidopsis granulens Mayo, 1972 Figures 23, 24 Munidopsis granulens Mayo, 1972: 531-534, figs. 3, 4. Material examined.--Northwest Caribbean Sea, Arrowsmith Bank: P-584, 347-353 m, 1♂, holotype, 6.2 mm, USNM 140190. Diagnosis.--Rostrum spade-shaped, constricted between eyes, fused to granular overgrowths covering mesial part of corneae; carapace densely granulate, with pair of anterior gastric protuberances; frontal margin with triangular post-antennal projection; abdominal segments and posterior margin of carapace granulate but unarmed; epipods on chelipeds and first pair of ambulatory legs. Description.--Carapace, measured from base of eyes, slightly longer than broad, generally quadrangular; dorsal surface densely granulate; deep grooves separating distinct areas of carapace; gastric, cardiac, mesobranchial and lateral part of metabranchial regions inflated; posterior margin of carapace swollen; gastric region with pair of protuberances posterior to and in line with eyes. Rostrum spade-shaped; lateral margins concave in proximal half between eyes, tapering to apex from widest point at distal margin of cornea; distolateral margins of rostrum also concave; shallow longitudinal depression in midline of rostral projection, posterior extension bifurcated by irregular row of granules forming obscure carina; depression or carina not extending to gastric protuberances. Frontal margin between rostrum and anterolateral angle of carapace indistinct due to contiguous granular overgrowth on eyestalk; front transverse between triangular projection behind antenna and anterolateral angle. Figure 23. --Munidopsis granulens Mayo, 1972, ♂, cl. 6.2 mm, P-584 (holotype): a, dorsal view; b, thoracic sternites, ventrolateral view, setae shown on left side only. Figure 24. --Munidopsis granulens Mayo, 1972, $\sigma$, cl. 6.2 mm, p-584 (holotype): $a$, carapace and abdomen, lateral view; $b$, posterior abdominal tergites, uropods and telson; $c$, right antennule, basal part of antenna and anterior carapace, ventrolateral view; $d$, right third maxilliped, ventrolateral view. Scales in mm. Lateral margins nearly straight except for convexities at swollen hepatic and branchial regions. Posterior margin slightly convex with small medial indentation. First abdominal tergite smooth with low ridge, barely visible in dorsal view. All other abdominal segments, telson, and uropods with dorsal surfaces granulate. Second and third segments with prominent transverse carina densely granulate; third, fourth and fifth segments with medial sculpturing increasingly elaborate posteriorly; sixth tergite with sculpturings and swellings, but without distinct transverse ridge; several pairs of obscure setae distributed over surface of abdomen. Thoracic sternum unarmed, smooth except for several granules on each side of segment bearing chelipeds; intersegmental ridges distinct, with anteriorly-directed setae. Eyes colorless, small; granulate overgrowths covering posteromesial part of cornea dorsally and ventrally. Basal segment of antennular peduncle ornate; entire surface granulate except smooth area adjacent to anteroventral extension of base of antenna; dorsal projection with 5 spines: posterior 1 or 2 small, other 3 or 4 slightly curved, with additional small spines between distal 2; granulate distal projection extending from swollen base just mesial to dorsal projection; another shorter projection ventrally bearing distal segments of antennula. Basal segment of antennal peduncle with large granulate projection ventrally, extending almost to base of antennal flagellum; small blunt lateral projection. Second segment with several granules forming distolateral projection. Third segment with granules on distal margin. Last segment small. Antennal flagellum almost reaching to articulation of menus and carpus of cheliped. Exopod of maxilliped with granulation on dorsolateral surface of long second segment. Endopod granulose, several rounded tooth-like projections on dorsal and ventral margins near distal ends of ischium and merus. Large rounded tooth dorsally near base of carpus projecting anteriorly. Propodus and dactylus smooth with long setae on mesial borders. Distal 3 segments flexed against concave mesial surfaces of ischium and merus. Ischium with sharp toothed carina on mesial margin. Pereiopods granulose on all surfaces. Epipods on chelipeds and first pair of ambulatory legs. Chelipeds more than 3 times length of carapace, without wide gape. Manus slightly compressed dorsoventrally. Dactylus less than 1/3 length of propodus including fixed finger. Carpus about 1/2 length of propodus. Merus slightly shorter than entire propodus; several larger tubercles on dorsal surface near proximal end. Second, third and fourth pereiopods similar. Second pair when extended not reaching distal end of merus of cheliped. Dactylus with corneous brown tip; row of minute corneous spinules on ventral margin. Merus with several large tubercles or raised groups of granules on dorsal border. Dactylus and carpus about 1/2 length of propodus and ischium. Fifth pereiopods with granulation on lateral surface of merus. Telson and uropods with granules on dorsal surfaces. Telson and protopod of uropod sculptured, with several swellings. Telson ovate, broader than long, with medial indentation on posterior margin. Plumose setae on telson and uropods posteriorly. Color.--The holotype is preserved in alcohol and is chalky white except for golden setae and the pale brown corneous tips on dactyli of ambulatory legs. Size.--The holotype is small, with a carapace length of only 6.2 mm. Sexual dimorphism.--The male lacks the gape between the fingers of the cheliped and the tuft or "comb" of thick setae on the posterolateral margins of the telson characteristic of males of many species. It is not known whether this individual is fully mature; however, the pleopods appear to be modified completely in the male condition. No females have been collected thus far. Habitat.--The bottom at P-584 was characterized by the presence of sponges. Type.--The male holotype is deposited in the National Museum of Natural History, USNM 140190. Type locality.--PILLSBURY Sta. 584, Arrowsmith Bank in the northwestern Caribbean Sea, 347-353 m. Geographic and bathymetric distribution.--This species is known thus far only from the type locality. Parasites.--There is no evidence of branchial or abdominal parasites on the specimen. Associates.--Munidopsis granulens was the only species of Munidopsis collected at P-584. Relationships.--Munidopsis granulens is distinguished from all other species in the genus by the following combination of characters: carapace evenly granulate, eyes with granular overgrowths at the base of the cornea, but without spines; chelipeds approximately 3 times length of carapace, epipods on chelipeds and first pair of ambulatory legs, and abdomen granulose and sculptured. M. squamosa (A. Milne Edwards) appears to be its closest relative in the western Atlantic, but that species has many large protuberances on the carapace, a mesial projection on the eyes, chelipeds less than twice the carapace length, and epipods on the second pair of ambulatory legs. M. granulata Miyake and Baba and M. granosa Alcock from Indopacific waters resemble this species in some features, but both lack epipods on the chelipeds and ambulatory legs, and neither have decoration on the eyes. M. abdominalis (A. Milne Edwards), also from the western Atlantic, bears some resemblance to M. granulens, particularly in the rectangular shape of the carapace and granular sculpturing, but the former species has a long sharp rostrum, no epipods on the pereiopods, and smooth abdominal tergites. Munidopsis impolita, new species Figures 24A, 24B Material examined.--Off Yucatan, Mexico: PILLSBURY Sta. 607, 715-787 m, 1 ♂, 7.4 mm (paratype), 1 ♀, 8.1 mm (holotype) (USNM).--Straits of Florida: G-160, 585 m, 1 ovigerous ♀, 7.0 mm, UNML 32:5247. Diagnosis.--Rostrum short, triangular, bluntly spine-like, unarmed, horizontal; carapace without spines, regions swollen and distinct, anterior gastric region with distinct medial indentation; frontal margin of carapace only slightly projected; small distinct protuberance beneath frontal margin emerging from intersection of bases of eyestalk, antennule and antenna; eyes unarmed except for obscure lateral protuberance near base of eyestalk; no epipods on pereiopods. Description.--Carapace longer than broad (cw/cl = 0.85-0.87), lateral margins slightly convex, broadest just behind middle; dorsal surface without spines, but regions well-defined; gastric region inflated, defined posteriorly and posterolaterally by smooth, deep cervical groove; anterior branch of groove continuing obliquely forward to lateral margins as shallow depression, more distinctive laterally; posterior branch deeper, extending from depression on either side of posterior gastric region to lateral margin. Postcervical groove quite broad and deep centrally, connecting 2 depressions on either side of cardiac region and continuing laterally to separate meso- and metabranchial regions. Anterior part of gastric region in 2 prominent swellings, separated by posterior continuation of median rostral carina; front part of swellings sculptured with irregular tubercles followed by transverse striation or Figure 24a. --Munidopsis impolita, new species. ♂, holotype, cl. 7.4 mm, P-607. Figure 24b. --Munidopsis impolita, new species. ♂, holotype, cl. 7.4 mm, P-607: a, carapace and abdomen, lateral view; b, right third maxilliped, ventrolateral view; c, right antennular peduncle, ventrolateral view; d, frontal margin of carapace, rostrum, eye, antennule and antenna, dorsal view; e, sternal plate, ventral view; f, posterior abdominal segments, uropods and telson. Munidopsis polita (Smith, 1883), ♂, cl. 7.7 mm, P-923: g, sternal plate, ventral view, showing proportionately larger sockets for articulation of basal segment of cheliped. series of short, beaded striae; sculpturing on remainder of gastric region consisting of irregular transverse rows of minute tubercles; lateral part of gastric region with longitudinal series of coarse, rounded tubercles and 1 tubercle posteromesially; another large tubercle on mesial part of hepatic region lateral to anterior tubercles. Anterior margin of cardiac region elevated, ridge-like; anterior border of metabranchial region similarly ridge-like or appearing as interrupted line of short transverse striae; smooth channel mesial to mesobranchial region leading from posterior depression to anterior depression, and separating distinctive swollen areas posterolateral to gastric region. Sculpturing on hepatic and branchial regions consisting of short rows of minute tubercles on swellings, irregularly transverse or oblique; tubercles well-separated on metabranchial region; several coarse tubercles near posterolateral margins of cardiac region. Rostrum in shape of narrow isosceles triangle, horizontal, more than 1/3 carapace length; dorsal surface smooth on either side of rounded, minutely tuberculate carina, extending posteriorly between and beyond anterior swelling of gastric region; lateral margins of rostrum with smooth rims becoming weakly serrate and obscure distally. Frontal margin with post-antennal lobe obscure; deep depression between frontal margin and inflated hepatic region projecting to form anterolateral angle. Anterolateral angle less than 90°, armed with widely-spaced minutely denticulate tubercles, but not spines. Lateral margin notched behind hepatic region at termination of anterior branch of cervical groove; some of lateral tubercles projecting outward slightly, but no spines. Posterior margin slightly concave; raised marginal rim carinate, beaded anteriorly, followed by scattered groups of minute granules. Second, third and fourth abdominal tergites with raised sharp rim anteriorly, followed on second tergite by shorter less distinctive transverse carina. Posterior part of third and fourth tergites smooth; fifth and sixth tergites smooth. Posterolateral lobes on sixth tergite obscure. Sternum unarmed, but with several granules on broad anterior plate between chelipeds; anterior margin and intersegmental ridges beaded, smooth medially; sockets for articulation of basal segments of chelipeds narrow. Eyes small, movable; cornea barely reaching middle of basal segment of antennular peduncle, narrower than dorsoventrally-compressed eyestalks; eyestalk with small lateral projection near base. Minutely beaded blunt projection emerging beneath frontal margin from plate at intersection of bases of antennule, antenna and eyestalk. Basal segment of antennular peduncle enlarged, armed anteriorly with 2 slender spines: dorsolateral spine shorter, more slender, ventral spine reaching beyond tip of rostrum; spines well-separated in dorsal view; lateral swelling with scattered tubercles. Basal segment of antenna with ventromesial projection; distal margin with lateral denticulation, but not projected. Second and third segments unarmed except for minute distolateral tooth on second, and beaded distal margin of third. Fourth segment with dorsolateral lobe on distal margin. Antennal flagellum more than 3 times carapace length, reaching well beyond chelipeds. Endopod of third maxilliped with ventral angle of ischium not crista, terminating distally in several minute denticles; dorsolateral edge sharper with conical distal tooth. Merus with 2 spinules on proximal half of flexor margin, and occasionally distal tubercle; lateral surface and extensor margin with several tubercles; small tooth distally. Pereiopods long and slender, with even sculpturing consisting of tubercles and short beaded swellings. No epipods on chelipeds or ambulatory legs. Chelipeds approximately 3 to 3 1/2 times carapace length. Manus dorsoventrally compressed, less than 1/2 length of cheliped; width almost 1/6 length in both male and female specimens examined. Dactylus less than 1/2 length of manus; mesial margin with large blunt tooth proximally, followed by series of small teeth. Fingers abutting along entire dorsal opposing margins, spooned distally with larger teeth, gaped ventrally. Palm inflated, with obscure longitudinal depression on dorso-mesial surface. Carpus approximately 1/3 length of manus; tubercles coarser mesially; mesial surface slightly flattened. Merus shorter than manus, slightly flexed outward from middle; distal margin with small ventromesial tooth; mesial surface with longitudinal channel. Ischium with small dorsal tooth. Second, third and fourth pereiopods similar: long, slender; second, third and sometimes fourth pereiopods reaching beyond carpus of cheliped. Dactylus approximately 1/2 length of propodus, curved, terminating in very sharp extensive corneous tip, unarmed on flexor margin. Propodus, carpus, merus and ischium unarmed. Merus of fifth pereiopods lightly sculptured on exposed lateral surface; flexor margin cristate, with several small median projections. Posterolateral margin of protopod of uropod nearly straight, minutely serrate on either side of small marginal indentation; decoration sometimes obscure except for small posterior projection. Uropods smooth. Telson consisting of 8 plates, broader than long, narrower posteriorly. Color.--All specimens examined were preserved in alcohol and were devoid of pigment. Size.--♂, cl. 7.4 mm, ♀, cl. 7.2 mm, and ovigerous ♀, cl. 6.8 mm. Sexual dimorphism.--The male has the characteristic fringe of long thick golden setae on the posterolateral margins of the telson; females have only a few short fine setae in this location. The chelipeds are virtually the same in both male and female specimens examined. It is possible that larger males (as yet not collected) have the chelipeds gaped as in M.polita. In M. impolita, the chelae of the female are not unusually narrow as they are in females and small males of M. polita. Habitat.--The bottom at P-607 was characterized by rubble, pteropod shells and fine sediments. Type.--The holotype is a female, cl. 7.2 mm, USNM 000000. Type locality.--Western Caribbean, off Yucatan, Mexico, PILLSBURY Sta. 607, 715-787 m. Geographic range.--Munidopsis impolita has been collected from only 2 locations in the western Atlantic: from the Straits of Florida and off Yucatan, Mexico. It is unlikely, but possible, that some material reported as M. polita by Smith (1883: 54) and the Pequegnats (1970:155; 1971: 21) is actually this species. Bathymetric range.--Possible depth range for M. impolita is 585-787 m; calculated range is 585-715 m. Parasites.--There is no external evidence of branchial or abdominal parasites in the material examined. Associates.--Munidopsis alaminos and M. serratifrons were collected with M. impolita at the type locality. Relationships.--Munidopsis impolita is almost identical to M. polita (Smith), but varies from it as follows: The rostrum is distinctly carinate dorsally, with the ridge extending posteriorly between 2 swellings on the anterior gastric region. These swellings are more prominent on M. impolita than on M. polita. The post-antennal lobe is less noticeable on the frontal margin and the frontal area is armed instead with a projection beneath the frontal margin lateral to the eyes of M. impolita; this projection is not present in M. polita. The anterolateral angles are sharper in M. impolita, although they are unarmed in both species. The nature of the carapacial sculpturing is subtly different in the 2 species: the swellings posterolateral to the gastric region are much more prominent in M. impolita, with the channel separating them from the mesobranchial regions more distinct; the arrangement of larger low tubercles on the lateral margins of the gastric region and mesial part of the metabranchial regions is different, and all tubercles appear more separate and distinct in M. impolita. The articular sockets on the sternite between the chelipeds are narrower in M. impolita, and the anterior aded margin of that plate is straighter. The antennular peduncle has the basal segment enlarged in M. impolita, with the spines widely-spaced, slender and long, reaching beyond the apex of the rostrum, whereas M. polita has this segment smaller, with the spines closer together, often overlapping in dorsal view, and not reaching the tip of the rostrum. The male of M. impolita has the chelipeds very similar to those of a male M. polita of comparable size, but the female holotype of M. impolita has the chelipeds much broader than females of M. polita. The posterior margin of the protopod of the uropod is different in M. impolita: the mesial lobe is quite straight, with an obscure notch and serrations, and it is projected further posteriorly, whereas in M. polita this lobe is scalloped or rounded. The relationships of both M. polita and M. impolita to other species are discussed in the appropriate section in the account of M. polita. Munidopsis latifrons (A. Milne Edwards, 1880) Figure 25 Galathodes latifrons A. Milne Edwards, 1880: 57.--A. Milne Edwards and Bouvier, 1894b: 279 (key); 1897: 94-96, pl VIII, figs. 2,3.--Young, 1900: 413. Munidopsis latifrons: Benedict, 1902: 276 (key), 321 (list).--Doflein and Balss, 1913: 175 (list), 177 (table).--Chace, 1942: 74 (key), 87-88.--Pequegnat and Pequegnat, 1970: 139 (key), 152-153, table 5-3; 1971: 5 (key). Not Elasmonotus latifrons Henderson, 1885: 416; 1888: 160, pl. 19, fig. 1 (= M. latirostris Faxon, 1895). Nor Orophorhynchus latifrons A. Milne Edwards and Bouvier, 1894b: 287 (key) (=M. latirostris Faxon, 1895). Material examined.--Straits of Florida: G-170, 659-677 m, 1 ♂, 9.6 mm, UMMI 32:5248; G-295, 842-833 m, 1 ♂, 6.5 mm, UMMI 32:5249; G-311, 805-787 m, 2 ♀, 6.0, 7.5 mm, 2 ovigerous ♀, 5.5, 6.5 mm (USNM); G-354, 805-830 m, 1 ovigerous ♀, 7.0 mm (RMNH).--Caribbean Sea, S of Jamaica: P-1262, 805-1089 m, 1 ♀, 5.5 mm UMMI 32:5250. See distribution plot 8. Diagnosis.--Tridentate rostrum; gastric region of carapace unarmed; frontal margin with post-antennal spine; longitudinal series of 4 or 5 sharp spines just above lateral margin behind cervical groove; entire animal covered with curved setae, pairs of longer, thicker setae arranged over carapace, abdomen and legs; second abdominal tergite with 1 pair of medial spines; 1 submarginal spine on second and third pleura; no eyespines; no epipods on chelipeds or ambulatory legs. Distribution plot 8.--Munidopsis latifrons (A. Milne Edwards, 1880) collected by the GERDA and PILLSBURY. Figure 25. --Munidopsis latifrons (A. Milne Edwards, 1880). ♂, cl. 6.5 mm, G-295: a, right cheliped; b, right second pereiopod, setae not shown. Ovigerous ♀, cl. 7.0 mm, G-354: c, dorsal view, setae, except major ones, omitted from left side; d, lateral view, showing right third maxilliped; e, right cheliped, dorsal view. Description.--Carapace longer than broad (cw/cl = 0.75-0.79), transversely convex; gastric region slightly inflated, unarmed. Cervical groove marked by smooth indentation; postcervical groove and posterior marginal groove deeper across middle of carapace than cervical groove. Carapace and most surfaces covered with heavy curved setae, projecting outward before curving anteriorly. Several pairs of longer setae arranged over dorsal surface, particularly on either side of midline. Rostrum broad at base (approximately 1/3 carapace width), almost horizontal, slightly upcurved from base; lateral margins convex; length approximately 2/5 carapace length, terminating in 3 sharp teeth: central tooth longer, lateral teeth slightly or distinctly divergent. Frontal margin between base of rostrum and anterolateral spine sloping (approximately 45° to transverse line), with long, sharp post-antennal spine slightly mesial to antenna. Anterolateral spine blunt, followed by 1 to 3 sharp, laterally-projecting spines on lateral margin anterior to cervical groove; 3 to 5 sharp spines behind cervical groove just mesial to lateral margin. First abdominal tergite smooth. Second tergite with 1 pair of medial spines on central transverse carina; occasionally 1 or more spines at this location on third tergite; second and third segments with 1 sharp submarginal spine on pleuron. All segments densely setose. Sternum smooth; several setae at anterior margin between chelipeds and several intersegmental setae. Slight indentations between segments, no strong ridges or grooves; longitudinal groove between fourth pereiopods. Eyes small, movable, partly covered by rostrum. Sharp conical spine emerging from intersection of bases of eyestalk, antenna and antennule just below and mesial to post-antennal spine. Basal segment of antennular peduncle inflated, armed with 2 sharp spines distally; ventral spine slightly heavier and sometimes longer. Distal margin with several denticles ventromesially, and 1 small mesial tooth. Second and third segments short. Proximal margin of flagellum when extended reaching tip of rostrum. Basal segment of antenna broad, with 1 broad lateral tooth and expanded ventromesial projection terminating in triangular tooth. Second segment with short lateral and mesial teeth distally. Third segment with short mesial spine and dorsal projection or blunt tooth. Fourth segment with distolateral projection. Antennal flagellum approximately 1 1/2 times carapace length. Ischium of endopod of third maxilliped triangular in cross section; mesial margin toothed; distal margin expanded into triangular tooth at dorsal and ventral angle. Merus with small tooth dorsodistally; flexor (ventral) margin with 2 sharp spines, proximal spine slightly broader at base; occasionally small tooth or denticle near distal end. Pereiopods with short and long curved setae arranged over most surfaces, particularly on chelipeds. No epipods on pereiopods. Length of cheliped approximately 2 1/2 to 3 times length of carapace. Manus unarmed, approximately 1/2 length of cheliped, broader in middle at articulation of dactylus. Fingers less than 1/2 length of manus. Fixed finger of males arched to form gape proximally, expanded distally forming spooned tip; opposing margins toothed; rounded teeth on proximal 1/2 of dactylus larger. Carpus short, with 3 sharp spines distally: 1 spine at each of dorsomesial, dorsolateral and lateral angles; small tooth at articular knob ventrally. Merus approximately same length as manus; 4 long spines on distal margin: 1 at each angle; dorsolateral spine followed by 4 sharp spines on proximal half of segment; 2 large spines spaced evenly along mesial surface. Ischium with sharp spine ventromesially just posterior to distal termination and 1 sharp tooth dorsally. Second, third and fourth pereiopods similar. Second pereiopod not reaching distal margin of merus of cheliped. Dactylus less than or equal to 1/2 length of propodus; tip curved, corneous, followed by 6 to 8 corneous spinules on flexor margin. Propodus with distal, dorsolateral and ventromesial denticle, otherwise unarmed. Carpus approximately length of dactylus; dorsal margin expanded, armed with 3 sharp spines. Merus with sharp dorsal and ventral spine on distal margin, followed by 5 sharp spines on both dorsal and ventral margins of second pereiopod, 4 on third and fourth pereiopods; lateral face setose but unarmed on second and third pereiopods; several short spines on exposed surfaces of fourth pereiopod; ventromesial edge of merus of all pereiopods with several short spines. Ischium with several small blunt spines around distal margin. Merus of fifth pereiopods with 3 sharp triangular teeth on ventral margin. Protopod of uropods with posterolateral margins scalloped, posterior lobe with serrations, sometimes obscure, followed by notch and small tooth. Width of telson anteriorly same as length, much narrower posteriorly; telson composed of 7 plates (no separate central plate); several pairs of conspicuous thicker setae projecting upward from surfaces and margins of telson and endopods of uropods. Color.--Specimens preserved in alcohol are off-white; setae are pale yellow; tips of dactyli are corneous brown. There are no color records for this species in the literature. Size.--♂, cl. 6.5-9.6 mm, ♀, cl. 5.5-7.5 mm, and ovigerous ♀, cl. 5.5-7.0 mm. Sexual dimorphism.--The chela is broader and gaped in large males, and there is a fringe of short thick setae on the lateral margins of the telson, while the female has opposing margins of the fingers in contact, and no lateral fringe of setae on the telson. The abdomen is slightly broader in mature females. Habitat.--The bottom at some stations where M. latifrons was taken consisted of coral rubble and sponges. Type.--The holotype is an ovigerous female, cl. approximately 7 mm; deposition of this specimen is unknown. The type could not be located at the MCZ. Type locality.--Off Barbados, BLAKE Sta. 288, 730 m (399 fm). Geographic range.--Munidopsis latifrons has been collected in the Straits of Florida, in the Caribbean Sea, south of Jamaica, and off Barbados. In addition to the type locality and locations listed for material examined, M. latifrons has been collected near the north coast of Cuba (Chace, 1942: 87). Bathymetric range.--The calculated depth range for material in this collection is 677-833 m; possible range is 659-1039 m. Previously reported possible range was 677-1107 m. Parasites.--None of the specimens in this collection show external evidence of parasitism; there are no previous records of parasites occurring in this species. Associates.--Munidopsis latifrons was taken by the GERDA and PILLSBURY at 5 stations; at 4 of these, M. serricornis was also collected. Relationships.--Munidopsis latifrons can be distinguished easily from the other species with tridentate rostra by the armature of the second and third abdominal tergites and several other characters. It is perhaps most closely related to the setose species, M. crinita Faxon from Panama, but differs from that species in lacking gastric spines and having abdominal spines. The pereiopods are spinier than in most species in the complex: having tridentate rostra; M. acuminata Benedict is almost as spinose, but differs from M. latifrons in having epipods on the chelipeds, in addition to characters already mentioned. Remarks.--Spination is subject to a degree of individual variation: one specimen has the merus of the cheliped lacking the proximal dorsal spines, one has 1 small gastric spine, another has only 1 of the pair of medial spines on the second abdominal tergite, and another has a spine on the third tergite with the other spine placed half way to the pleural margin. The spines on the lateral margins of the carapace may vary in number, but their lateral projection and the position of the posterior spines above the lateral margins are fairly consistent. Munidopsis livida (A. Milne Edwards, 1886) Figures 26, 27 Elasmonotus lividus A. Milne Edwards, in Perrier, 1886: fig. 242, no. 9. Orophorhynchus lividus: A. Milne Edwards and Bouvier, 1894b: 199, 209, 224, 231, 232, 287 (key), fig. 12, 208; 1900: 343-346, pl. IV, fig. 3 (color), pl. XXXI, fig. 17-22. Munidopsis livida: Benedict, 1902: 322 (list).--Doflein and Balss, 1913: 176 (list), 178 (table).--Miyake and Baba, 1970: 94 (list).--Paquegnat and Pequegnat, 1971: 6 (key), 19-21, fig. 12 a. Material examined.--W of Haiti (Gonave Channel): P-1180, 3111-3496 m, 4 ♂, 8.7-12.7 mm, 2 ♀, 8.8, 14.3 mm UMMI 32:5251. Diagnosis.--Rostrum broad proximally, tapering beyond eyes to apex; nearly horizontal, upcurved distally in large specimens; dorsal surface of carapace unarmed; frontal margin with small post-antennal tooth; anterolateral tooth small; broad tooth behind anterior branch of cervical groove on lateral margin followed by 2 or 3 smaller teeth; posterior margin of carapace and abdomen unarmed; eyes armed with prominent masial and smaller lateral tooth; epipods on chelipeds but not on ambulatory legs. Description.--Carapace longer than broad (cw/cl = 0.86-0.88); dorsal surface tuberculate, rugose laterally, but not armed with spines or distinct pairs of tubercles on gastric region. Central part and anterior branch of cervical groove defining moderately inflated gastric region; posterior branch of cervical groove distinct, extending obliquely to lateral margins; postcervical groove distinct across central third of Figure 26. --Munidopsis livida (A. Milne Edwards and Bouvier, 1894), ♀, cl. 14.3 mm, P-1180: a, lateral view of carapace and abdomen; b, dorsal view. Figure 27. --Munidopsis livida (A. Milne Edwards and Bouvier, 1894), ♂, cl. 12.7 mm, P-1180: a, rostrum, right antennule, antenna and third maxilliped, ventrolateral view; b, rostrum, right eye, antennule and antenna, dorsolateral view; c, sternal plate, ventral view; d, posterior abdominal segments, uropods and telson. \[ \frac{a-c}{d} \] \[ 10 \text{ mm} \] \[ 5 \text{ mm} \] carapace. Rostrum less than 1/2 but more than 1/3 carapace length, broad; width at base approximately 1/3 anterior carapace width; lateral margins subparallel or slightly concave, smooth in proximal 1/4 or 1/3, serrate distally, tapering from just beyond eyes to acute tip; dorsal surface with rounded longitudinal carina extending from apex to anterior gastric region; ventral surface almost smooth with faint median carina; rostrum nearly horizontal or gently flexed downward with distal upcurve. Frontal margin with small triangular post-antennal tooth; anterolateral tooth small or obscure, followed by notch at lateral termination of anterior branch of cervical groove; large sharp triangular tooth lateral to notch, followed by 2 or 3 small teeth on lateral margin, decreasing in size posteriorly; small tooth or tubercle just behind lateral termination of posterior branch of cervical groove. Posterior margin unarmed; raised rim slightly concave. Abdomen unarmed, exposed surface punctate; second and third tergites each with 2 transverse carinae; anterior carina sharper, extending almost to pleural margins, blunt on pleuron; posterior carina rounded, not reaching to pleural margins. Anterior swelling discernible on fourth tergite, posterior one obscure. Fifth and sixth tergites smooth. Sternum with anterior margins and intersegmental striae minutely denticulate; plate between chelipeds with scattered denticulate squamae, less distinct squamae on posterior sternites. Eyes small, immovable. Eyestalk with mesial denticulate, often bifid anterior projection extending beyond cornea, and with shorter lateral projection. Basal segment of antennular peduncle enlarged; lateral swelling tuberculate anteriorly; 2 dorsolateral teeth, most ventral tooth longer, broader; distal margin serrate ventromesially, with small mesial or dor- somesial tooth. Extended flagellum reaching beyond tip of rostrum. Basal segment of antenna with denticulate triangular lateral tooth and long sharp ventromesial tooth. Distal margin of second segment with conical lateral tooth, occasionally small mesial tooth or denticle. Third segment elongate; distal margin denticulate, with mesial projec- tion. Fourth segment with distolateral projection and distal margin denticulate. Antennal flagellum 1 to 2 times total carapace length, reaching well beyond chelipeds. Endopod of third maxilliped slender; ischium unarmed except for serrate mesial edge. Merus with flexor margin denticulate but with no prominent teeth; lateral extensor margin with several obscure tubercles along distal part. Epipods on chelipeds but not on ambulatory legs. Chelipeds short, approximately same length as carapace or very slightly longer. Manus broad (width approximately 1/2 length), dorso- ventrally compressed; length less than 1/2 cheliped length; dorsal sur- face tuberculate, with short setae; tubercles on mesial and lateral sur- faces expanded to denticulate squamae with longer associated setae; mesial margin expanded slightly, with longitudinal depression laterally. Dactylus less than 1/2 length of manus. Fingers abutting along bluntly toothed opposing margins, or with narrow gape; teeth larger at spooned tips; fingers gaped ventrally and armed with large tufts of setae dis- tally; distolateral margin of fixed finger expanded into row of small teeth. Carpus short, distal margin irregularly denticulate, small tooth at dorsal articulation; dorsomesial edge expanded, terminating in small tooth on distal margin; dorsal surface flattened, squamose; squamae larger laterally. Merus approximately same length as manus, subtriangular in cross section; surfaces squamose or tuberculate; dorsal angle sharp, cristate proximally. Ischium cristate dorsally, with minute tooth near distal margin. Second, third and fourth pereiopods similar. Dactylus of second pereiopod reaching beyond cheliped. Dactylus approximately 1/2 length of propodus; curved corneous tip followed on flexor margin by series of approximately 10 triangular teeth diminishing in size proximally, each armed on anterior edge with slender curved corneous spinule. Propodus with extensor margin expanded, cristate, denticulate; mesial surface with longitudinal depression; lateral surface with 2 longitudinal swellings: most dorsal distinct, tuberculate; ventral surface rounded with 2 movable spinules on distal margin separated by notch. Carpus approximately same length as dactylus; extensor margin expanded into ridge and armed with denticulate tubercles, terminating in transverse denticulate crest on distal margin; lateral surface with narrow denticulate ridge; ventrolateral surface with irregular row of large squamae. Merus approximately twice length of carpus in second pereiopod; length of merus proportionately shorter in third and fourth pereiopods; extensor margin expanded, cristate, crest sharper proximally, terminating distally in denticulate triangle on second pereiopod, tooth-like and more prominent on third and fourth pereiopods; lateral surfaces squamose with ventral triangle on distal margin. Exposed surface of merus of fifth pereiopods lightly sculptured, expanded centrally, with several denticles on cristate flexor margin. Protopod of uropod with posterior lateral lobe notched; several denticles lateral to notch, 2 or 3 small teeth or 1 bifid tooth mesial to notch. Exposed surface of endopod punctate with longitudinal series of spinules. Telson slightly broader than long; generally rectangular, smooth, punctate, consisting of 8 plates; posterior margin with moderate medial indentation. Color.--All specimens examined were preserved in alcohol and were devoid of color except for the pale brown corneous tips of the ambulatory dactyli and some thicker golden setae. The colored illustration of a specimen from near the Canary Islands (A. Milne Edwards and Bouvier, 1900: pl. IV, fig. 3) show the carapace and abdomen pinkish white, the pereiopods faintly yellow, and the corneae red-orange, as is stated in the text (A. Milne Edwards and Bouvier, 1900: 346). Size.--♂, cl. 8.7-12.7 mm, ♀, cl. 8.8-14.3 mm. Pequegnat and Pequegnat (1971: 21) give a size range of 7 to 19.8 mm (including rostrum) for all specimens, and 9 to 10 mm for ovigerous females. Sexual dimorphism.--Males have a series of short thick setae on the posterolateral margins of the telson, but these do not form the prominent "comb" characteristic of males of many species of Munidopsis. Females have no marginal setae in this location. The largest female (cl. 14.3 mm) has the abdomen noticeably broader than other specimens examined. No other differences were observed between males and females aside from primary sexual characters. The features described by Milne Edwards and Bouvier (1900: 346) for the female they examined are apparently attributable to her large size rather than to sex. Habitat.--The bottom at P-1180 consisted of yellow clay mud with vegetable debris and rotten logs. Type.--The holotype is a male with cl approximately 9 mm. Present deposition of the type was not determined; possibly it is located at the Paris Museum. Type locality.--Cap Ghir, TALISMAN Sta. 41, 30°01'N, 14°06'W (near the Canary Islands), 2115 m. Geographic range.--This species is known from both sides of the Atlantic Ocean: in the east near the Canary Islands (type locality), and in the west from the NE Gulf of Mexico and from the Caribbean S of Jamaica (Pequegnat and Pequegnat, 1971: 20). Bathymetric range.--The PILLSBURY collection extends the possible depth range for this deep-water species from 2070-2790 m to 3496 m. Calculated depth range based on all reports is 2115-3111 m. Parasites.--No external evidence of branchial or abdominal parasites was found in the material examined. In addition to several foraminiferans, many specimens have microscopic filamentous epizoans, possibly fungi but as yet unidentified, attached to body surfaces, appendages and setae. These were also found on specimens of M. geveri taken in the same sample (see parasite section of M. geveri for more information). Associates.--Munidopsis geveri was the only other galatheid crustacean collected at P-1180 along with M. livida. The ALAMINOS also collected M. geyeri with M. livida at a station south of Jamaica (Pequegnat and Pequegnat, 1971: 20). Relationships.--As pointed out by A. Milne Edwards and Bouvier (1900: 346), M. livida appears to be most closely related to M. platiostris (A. Milne Edwards and Bouvier), also from the western Atlantic. It is interesting that the depth ranges of these two species are near the extremes of the genus: M. livida is a deep-water species (from depths greater than 2000 m), while M. platiostris is one of the shallowest (usually less than 500 m). Both are in the Orophorhynchus species complex, which includes M. aries (A. Milne Edwards). M. livida can be immediately distinguished from M. platiostris by the rostral carina, the lack of gastric tubercles and the presence of epipods on M. livida. M. aries has the carapace and rostrum shaped differently than that of M. livida, lacks epipods on the pereiopods, lacks a lateral eyespine, and has a pair of gastric protuberances. Munidopsis marginata (Henderson) and M. latirostris Faxon (= M. latifrons Henderson) from the western Pacific bear some resemblance to M. livida. The former is most similar to M. livida, but the pereiopods are spinier and the frontal margin of the carapace and carapacial sculpturing are different. M. latirostris has the rostrum shorter and shaped differently, and has the chelipeds much longer. Munidopsis granosa Alcock and M. edwardsi (Wood-Mason) from the Indian Ocean are in the Orophorhynchus complex also. M. edwardsi is quite similar to M. livida, but has the rostrum more triangular and distinct spines on the meri and carpi of the ambulatory legs. M. granosa has the abdominal tergites armed with a short median tooth, lacks epipods. on the chelipeds, and has the rostrum broadly triangular. Munidopsis parfaiti (A. Milne Edwards) from the eastern Atlantic is related to these species also, but is somewhat closer to M. aries; M. parfaiti can be separated easily from M. livida by its more granulate sculpturing and the median tubercles arming the abdomen. Munidopsis longimanus (A. Milne Edwards, 1880) Figures 28, 29 Elasmonotus longimanus A. Milne Edwards, 1880: 60.--A. Milne Edwards and Bouvier, 1894b: 282 (key), 283; 1897: 106-110, pl IX, figs. 1-6.--Young, 1900: 414 (key), 416.--Perez, 1927: 288. Munidopsis longimana: Benedict, 1902: 277 (key), 322 (list).--Doflein and Balss, 1913: 175, 176 (lists), 177 (table).--Schmitt, 1935: 179 (key), 179-180.--Chace, 1942: 75 (key), 95-96. Munidopsis longimanus: Pequegnat and Pequegnat, 1970: 140 (key), 153, fig. 5-1, table 5-2; 1971: 6 (key). Material examined.--Straits of Florida: G-114, 869-759 m, 1 ♂, 7.5 mm, (USNM); G-226, 802-805 m, 1 ♀, 10.5 mm with branchial parasite, UMML 32: 5252; G-365, 672 m, 1 ♂, 7.7 mm, UMML 32:5253; G-368, 961-1016 m, 1 ♀, 6.7 mm (USNM).--Off Atlantic coast of Colombia: P-388, 814-1050 m, 1 ♂, 9.9 mm (RMNH); P-776, 408-576 m, 1 ♂, 7.4 mm, UMML 32:5254.--Off coast of Venezuela (S of Orchilla): P-741, 1052-1067 m, 1 ♂, 9.3 mm, (USNM).--Off Tobago: P-847, 733-1281 m, 1 ♀, 10.6 mm, UMML 32:5255.--Off St. Lucía: P-904, 589-439 m, 1 ♂, 5.0 mm, 1 ovigerous ♀, 6.0 mm, (RMNH).--S of Jamaica: P-1224, 878-906 m, 1 ♂, 9.2 mm, (USNM). Distribution plot 9. Diagnosis.--Rostrum broadly triangular, unarmed, horizontal, slightly excavate medially, tip usually rounded; tubercles on dorsal surface of carapace, but no spines; frontal and posterior margins unarmed; second, third and fourth abdominal tergites strongly projected dorsally, each usually with median tubercle or blunt tooth, but no sharp spine; eyestalks unarmed; no epipods on pereiopods; chelipeds usually more than Distribution plot 9.--Munidopsis longimanus (A. Milne Edwards, 1880) collected by the GERDA and PILLSBURY. Figure 28. --Munidopsis longimanus (A. Milne Edwards, 1880), ♂, cl. 9.2 mm, P-1224, dorsal view. Figure 29. --Munidopsis longimanus (A. Milne Edwards, 1880), ♂, cl. 9.2 mm, P-1224: a, carapace and abdomen, lateral view; b, right third maxilliped, ventrolateral view; c, posterior abdominal tergites, uropods and telson; d, right antennule and antenna, ventrolateral view. \[ \begin{array}{c} a \\ b-d \\ \end{array} \] \[ \begin{array}{c} 10 \text{ mm} \\ 5 \text{ mm} \\ \end{array} \] 3 times carapace length. Description.--Carapace longer than broad (cw/cl = 0.85-0.90), generally quadrate, slightly wider anteriorly; dorsal surface granulate or minutely tuberculate, decoration often obscure in small specimens; sculpturing often arranged in irregular transverse rows, particularly along middle of carapace and in metabranchial regions; transverse grooves not distinct across carapace; cervical groove visible as short channel separating meso- and metagastric regions at midline and at lateral termination, anterior branch distinctive as oblique groove; postcervical groove broader. Gastric region inflated but lateral margins not well-defined; anterior margin defined by transverse depression across base of rostrum; sculpturing larger, more distinct in center of gastric region, metagastric region and on small cardiac swelling. Surface of carapace with 4 depressions without setae or sculpturing: 1 on either side of posterior mesogastric region, and 1 more mesial on either side of metagastric region. Rostrum in form of broad isosceles triangle, lateral margins tapering evenly to rounded apex, or slightly convex just anterior to eyes; dorsal surface with central excavation; center of depression smooth, without granules. Frontal margin with depressed post-antennal lobe lateral to base of rostrum; forward edge with several enlarged granules, but no major spine. Anterolateral angle rounded, slightly projected, densely granulate, but unarmed. Lateral margins rounded, granulate, interrupted anteriorly by channel at lateral termination of anterior branch of cervical groove, slightly convex between this point and indentation marking posterior branch of cervical groove. Posterior margin raised only slightly, unarmed, but with granulation more distinct medially; smoothly concave. First abdominal segment with several granules on rounded flange at posterolateral margin. Second tergite with conical granulate dorsal projection in center of segment, granules more distinct on forward edge; narrow transverse ridge extending laterally on either side 1/2 distance to lateral margins; anterolateral surface and margin of pleuron with granules developed into broad spinules; posterolateral margin swollen, slightly projected laterally. Third tergite more strongly projected dorsally; projection curved anteriorly with several tubercles on forward edge and surface; posterior surface of tergite smooth; similar transverse ridge extending laterally, several tubercles anterior to ridge; pleuron narrowed laterally and curved forward with distinct depression fitting beneath pleuron of second tergite. Fourth segment with strong dorsal projection, not quite as acute as that on third tergite; projection giving abdomen distinctive triangular appearance in dorsal view with abdomen in normal tucked position; forward (upper) edge of projection with several sharp tubercles, slightly raised triangular area on posterior (lower) surface of projection; pleuron extremely narrow laterally. Fifth tergite without granules or tubercles; 4 shallow oval depressions in pairs on either side of midline. Sixth tergite smooth, with obscure depression centrally, posterolateral lobes distinct. Sternum concave anteriorly in largest specimens, unarmed except for punctations and obscure flattened granules evenly covering surface between bases of chelipeds and on ridges following distinct intersegmental grooves. Eyes small, often hidden beneath rostrum; eyestalks movable, unarmed, with several obscure granules on ventrolateral surface. Cornea slightly elongate, approximately same length as eyestalks, very slightly inflated; obscure spinules projecting from between bases of eyestalk and antenna. Large basal segment of antennular peduncle with lateral swelling, slender dorsal spine and longer spine more distally usually with accessory spinules near tip and on ventral margin; ventromesial edge projected with several spinules increasing in size proximally. Basal segment of antennal peduncle immovable, with strong ventral projection as blunt tooth, obscure lateral projection small. Second segment with obscure dorsal projection or blunt tooth near proximal margin; blunt lateral tooth on distal margin. Third segment with several tubercles or blunt teeth on surfaces; distal margin with 3 blunt spinules, 1 on each side smaller than dorsal spinule. Distal segment with blunt lateral tooth and broad mesial projection with sharp tip. Flagellum reaching distal margin of merus of cheliped. Ischium of endopod of third maxilliped with small sharp dorsal spine on distal margin; ventromesial edge projected as broad flattened protuberance with slight outward curve; distal end of protuberance smooth or obscurely dentate. Merus broad, flattened curved tooth proximally on flexor margin; medium-sized adjacent tooth followed by spinule distally on larger specimens; extensor margin with 2 or 3 sharp spinules followed by sharp spine distally. Carpus with 6 or 7 spinules on extensor (dorsal) surface. Pereiopods with sculpturing on merus more distinct than on other segments. No epipods on chelipeds or ambulatory legs. Chelipeds usually 3 to 4 times carapace length; in females not less than 2 1/2 times carapace length. Manus dorsoventrally flattened; width of manus in females approximately 1/6 length; width of manus in male at widest point approximately 1/4 length. Dactylus less than 1/2 length of manus, very straight on lateral and mesial margins; fingers toothed on opposing margins; gape variable in males, abutting in distal 1/3 in largest specimens, abutting entire length in females. Tips spooned, with distinct ventral hollow. Manus smooth on dorsal and ventral surfaces with few scattered obscure tubercles; slightly expanded mesial margin with many small granules and fine setae of various lengths; lateral edge with similar sculpturing extending distally as ridge forming sharp margin between dorsal and ventral surfaces of curved fixed finger. Carpus short, dorsomesial margin slightly swollen, granulate; 2 irregular longitudinal rows of tubercles dorsolaterally; mesial and lateral surfaces sculptured; ventral surface smooth. Merus approximately same length as manus; sculpturing distinctive; all surfaces with evenly-spaced coarse tubercles enlarging proximally to form blunt spines; segment generally quadrangular in cross section; mesial surface with longitudinal indentation distally; distal margin denticulate dorsally, with no major spines; projection at ventromesial angle tooth-like, often with several blunt spinules at tip. Ischium with large somewhat tooth-like dorsal projection at distal margin; all surfaces with blunt spines, ventral projection with large toothed projection mesially near distal margin followed by longitudinal row of blunt teeth, decreasing in size proximally. Second, third and fourth pereiopods similar, short. Tip of second pereiopod reaching approximately 1/2 length of merus of cheliped. Dactylus approximately 1/2 length of propodus; sharp curved corneous tip followed on flexor margin by series of projections becoming smaller and more tooth-like proximally, each armed on anterior edge with slender corneous spinule; ventral and mesial surfaces with many setae of various lengths, singly and in tufts. Propodus setose on flexor margin; dorsal surface smooth distally with irregular longitudinal row of blunt teeth on proximal 2/3 of segment, increasing in size proximally; similar rows dorsolaterally and laterally. Carpus short, broad, with crest on expanded extensor margin armed with 5 or 6 blunt teeth; lateral ridge with obscure tubercles, and several additional tubercles in irregular row below. Extensor margin of merus expanded into sharp dorsal crest, minutely dentate; longitudinal depression on lateral surface below crest; lateral surface with scattered tubercles, ventrolateral edge with irregular row of broad blunt teeth; mesial surface below dorsal crest with longitudinal concavity, mesial surface relatively smooth. Short ischium with several low blunt teeth on dorsal, lateral and ventral surfaces. Expanded merus of fifth pereiopods with 3 irregular longitudinal rows of broad blunt spinules on distal 2/3 of segment. Protopod of uropod with smooth surface; posterolateral margin with 1 or 2 obscure teeth. Telson approximately as long as broad, narrowing posteriorly; telson consisting of 9 plates: anterior plate with posterior acute tip of margin continuous with plate, not separated by fissure or articulation; posterior margin of telson deeply indented medially. Color.--The specimens examined had been preserved in alcohol and are chalky white. No records of color in this species have been found in the literature. Size.--Specimens collected by the GERDA and PILLSBURY had the following ranges of size: ♂, cl. 5.0-9.9 mm, ♀, cl. 6.0-10.6 mm, and ovigerous ♀, cl. 6.0 mm. Sexual dimorphism.--The most consistently dimorphic character is the comb of thick golden setae on the posterolateral margins of the telson in males; this comb is not present in females. Males have the manus of the cheliped broader (approximately 1/4 length of manus) than females (width of manus is approximately 1/6 length). The gape between fingers on the cheliped on the males varied from no gape (cl. 5.0 mm) to a distinct gape (cl. 7.4-9.9 mm), but 2 males with cl. 7.5 and 7.7 mm have the fingers abutting along the entire length as do most females. The largest female examined (cl. 10.6 mm) has a small gape. Habitat.--The bottom type at the 2 stations where that information was recorded was characterized as consisting of pteropods at one and of heavy brown clay at the other. Type.--The holotype is a male with cl. approximately 8.5 mm. Present deposition of the specimen was not determined; it is probably at the Paris Museum. A specimen labeled COTYPE is at the MCZ, number 2646. Type locality.--Martinique, BLAKE Sta. 195, 918 m (502 fm). Geographic range.--Munidopsis longimanus has been collected throughout the tropical western Atlantic, from the Straits of Florida through the Caribbean Sea as far south as Barbados, and from the Gulf of Mexico. Localities recorded in the literature include the following: Caribbean Sea: Fredericksted (St. Croix), Dominica, Martinique, St. Lucia (A. Milne Edwards, 1880: 60; A. Milne Edwards and Bouvier, 1897: 109); N and S coasts of Cuba (Chace, 1942: 96); NE and NW Gulf of Mexico (Pequegnat and Pequegnat, 1970: 153). Schmitt (1935: 180) gives a location off Cape Catoche, Yucatan, apparently based on previous records, which, however, could not be found elsewhere in the literature. Bathymetric range.--The possible depth range for material collected by the GERDA and PILLSBURY is 408-1281 m; calculated range is 576-1052 m. Possible range based on previous records was 512-1281 m; calculated previous range was 681-1263 m. If the depth given by Schmitt (1935: 80) is correct, the possible depth range is 44-1281 m. Parasites.--The branchial parasite carried by the female from G-226 is a bopyrid isopod of the genus Pseudione; the species is undetermined and may be undescribed. The unidentified branchial parasite reported by Chace (1942: 96) on a female from the north coast of Cuba is the only other record of parasitism in this species found in the literature. A few unidentified foraminiferans adhering to the body surfaces of some specimens were the only epizoans observed. Associates.--At the 10 stations where M. longimanus was collected, M. sigsbei was also taken. The index of affinity calculated from these data for these two species is 0.23. Relationships.--Munidopsis longimanus most closely resembles M. brevimanus (A. Milne Edwards) also from the western Atlantic. It can be distinguished from the latter, although with some difficulty, by its more rounded rostrum, longer, more ornate chelipeds (which are also broader in males and proportionately narrower in females), and more strongly dorsally-projected abdominal carinae. Also M. longimanus has the lateral carapacial margins straighter, a tuberculate or spinulate projection on the second abdominal pleuron, no ventromesial spine near the distal margin of the merus of the cheliped, the posterior medial projection of the anterior plate of the telson contiguous with the plate (not separated by a fissure), and the fifth and sixth abdominal tergite with more distinctive sculpturing centrally. See relationship and discussion sections of the account of M. brevimanus for more information. Munidopsis nitida (A. Milne Edwards, 1880) Figures 30, 47b Orophorhynchus nitidus A. Milne Edwards, 1880: 59. Orophorhynchus spinosus A. Milne Edwards, 1880: 58. Munidopsis nitida: A. Milne Edwards and Bouvier, 1894b: 275 (key); 1897: 74-75, pl VI, figs. 6, 7.--Young, 1900: 407 (key), 409.--Benedict, 1902: 276 (key), 323 (list).--Doflein and Bals, 1913: 176 (list), 177 (table).--Chace, 1942: 73 (key).--Pequegnat and Pequegnat, 1970: 139 (key), 153-155, figs. 5-1, 5-12, table 5-2; 1971: 6 (key). Material examined.--Gonave Bay, Haiti: P-1178, 1766-1903 m, 2 ♀, 11.0, 11.6 mm, 1 ovigerous ♀, 17.2 mm, UNML 32:5256.--St. Croix Basin, Virgin Islands: P-1304, 3477-3971 m, 1 ♂, 13.6 mm, 1 ♀ (damaged), 14.0 mm, (USNM). Diagnosis.--Rostrum simple, triangularly spine-like, very slightly upturned; 1 pair of spines on anterior gastric region of carapace; frontal margin with distinct post-antennal spine, anterolateral spine much smaller; 3 lateral spines; posterior margin unarmed; abdominal tergites unarmed; eyes armed with large mesial spine distally, and lateral denticle, occasionally bifurcate; epipods on chelipeds only; chelipeds approximately same length as carapace. Description.--Carapace length measured from behind eyes greater than maximum width (cw/cl = approximately 0.90), transversely convex; gastric region with 1 pair of distinct spines anteriorly; posterior to these, short, sparsely setose striations arranged in 5 or 6 irregular transverse rows. Striae distinct on anterior ridge of metagastric Figure 30. --Munidopsis nitida (A. Milne Edwards, 1880). ♀, cl. 11.6 mm, P-1178: a, lateral view; b, dorsal view; c, right third maxilliped. Scales in mm. and cardiac regions; metagastric region smoother than metabranchial region; cardiac and branchial regions sculptured with distinct but interrupted transverse striae. Rostrum 1/3 to 2/5 carapace length; width of rostrum between eyes approximately 1/2 length, tapering distally, with several lateral denticles; rostrum almost horizontal with very slight distal upturn in larger specimens. Frontal margin of carapace with distinct post-antennal spine approximately same size as gastric spines; margin depressed to short anterolateral spine just posterolateral to antennal basis. Lateral margin with 3 distinct spines: anterior spine largest (larger than gastric spine), distinct smaller spine posteriorly, and spine equal in size to the second at lateral termination of cervical groove; occasionally denticle in space between second and last spines. Posterior margin of carapace unarmed. Abdomen unarmed; second, third and fourth tergites each with 2 transverse carinae: anterior carina behind depressed front edge of tergite sharper, extending laterally almost to margins of pleura; posterior carina rounded dorsally, extending only across tergite, bending to terminate at posterior margin of segment; fifth tergite with swelling in position and shape of posterior carina, but without anterior ridge; sixth tergite with short setae in row extending from near center of segment toward posterolateral margin, followed by shallow depression. Most margins of carinae and swellings with sparse rows of short setae. Sternum unarmed; several short rows of setae on striae between coxae of chelipeds, but no spines. Eyes colorless, barely movable; eyestalk short, expanded distally over mesial margin of cornea to form prominent sharp spine directed anterolaterally, eyestalk expanded laterally to form smaller anterolateral spine (2 such spines on large female specimen); eyestalk projected laterally at base, projection armed with 1 or several denticles. Larger specimens with ventromesial denticle on swollen distal margin of eyestalk. Basal segment of antennular peduncle broad, with denticulate lateral swelling; 2 dorsolateral spines: smaller dorsal spine above large conical distal spine; 1 denticle on serrate distomesial margin. Second peduncular segment not reaching rostral apex. Distal tuft of setae on third segment of antennular peduncle extending beyond distal carpal margin of cheliped. Basal segment of antenna with triangular ventromesial spine and lateral tooth with terminal denticle. Distal margin of movable second segment with sharp lateral spine and small lobe just mesially; ventromesial projection with small denticle. Third segment with serrate distal margins, small mesial and lateral tooth. Distal margin of fourth segment minutely denticulate, with small dorsolateral projection. Flagellum 3 to 4 times carapace length. Merus of endopod of third maxilliped small, with 3 or 4 very small irregular teeth on ventromesial margin; 1 minute tooth on distolateral margin. Ischium with blunt ventral carina terminating in 1 minute tooth distally. Epipods on chelipeds, but not on ambulatory legs. Chelipeds approximately same length as carapace; broad dorsal surface of manus lightly sculptured, setae of various lengths sparsely scattered over surface of segments. Width of manus more than 1/2 length; dactylus less than 1/2 length of manus. Cross section of manus ovaly flattened. Abutting margins of fingers toothed dorsally, gaped ventrally. Carpus approximately 1/2 length of manus; distal margin obscurely denticulate, with sharp mesial spine, slightly smaller dorsolateral spine, and sharp spinule dorsally at propodal articulation; broader spine at ventral articulation. Merus extending only 1/2 distance from base of rostrum to tip; distal marging with 4 spines: 1 lateral, 1 ventromesial, and smaller spines dorsally and ventrally; 3 or 4 spines in longitudinal line behind dorsal spine, decreasing in size proximally. Ischium with small distodorsal tooth and sharp ventrolateral spine; row of denticles near base of ventromesial projection. Second, third and fourth pereiopods quite similar. Second pereiopod reaching beyond tip of cheliped by at least 1/2 length of dactylus; dactylus of third and fourth pereiopods each reaching distal propodal margin of preceding leg. Tip of dactylus curved, pale brown; ventral margin with row of 10 denticles decreasing in size proximally, 1 short spinule projecting from distal edge of each denticle. Propodus approximately twice length of dactylus; distal ventral margin with 2 sharp movable spinules mounted on outer edges of 2 small denticulate lobes; second pereiopod with similar small spinule on ventral margin approximately 1/3 distance from distal margin to base of segment; dorsal, mesial and lateral faces of propodus flattened or slightly concave, angles between surfaces distinct, ventral margins rounded. Carpus less than 1/2 length of propodus; angle between dorsal and mesial faces acute, armed with 3 sharp distally-directed spines, largest on distal margin with slightly smaller spine laterally; low longitudinal crest on segment dorsally; ventrolateral lobe with denticulate distal margin. Merus with dorsomesial ridge armed with 6 to 7 spines, including sharp distal spine, decreasing in size proximally; second sharp spine on distal margin lateral to dorsal lobe, spine smaller on fourth pereiopod; ventrolateral surface with several denticulate ridges and associated setae. Ischium unarmed. Fifth pereiopods unarmed. Protopod of uropod in 3 lobes, posterior lobe with denticles lateral to notch and triangular spine mesial to notch. Exopod and endopod with granular denticles on lateral and posterior margins; similar denticles or small movable spinules on exposed surface of exopod, and larger ones, occasionally in pairs or with setae, on endopod. Width of telson approximately 1 1/2 times length; telson consisting of 10 plates, posterolateral margins of intermediate plates indistinct. Color.--The specimens examined were preserved in alcohol and are chalky white except for the brown corneous tips of the dactyli. Size.--♂, cl. 12.0-13.6 mm, ♀, cl. 11.0-17.2 mm, and ovigerous ♀, cl. 13.0-17.2 mm. The specimens examined are within the previously reported size range, cl. 9-18 mm (Pequegnat and Pequegnat, 1970: 155). Sexual dimorphism.--There are no remarkable differences between the chelipeds of the male and the females examined. The only noticeable sexual difference other than those associated with the gonopores and pleopods, is the single row of thick medium-length golden setae on the posterolateral margin of the telson of the male; this fringe is not present on the females. Habitat.--The bottom at P-1178 was characterized as yellow clay mud with much log debris. Type.--The holotype is a male with cl. approximately 9.0 mm; MCZ 6341. Type locality.--Off Guadeoupe, BLAKE Sta. 163, 1407 m. Geographic range.--Munidopsis nitida is known from the Caribbean Sea and from the Gulf of Mexico. The type locality and BLAKE Sta. 180, off Dominica, 1787 m, are the only previous records of M. nitida from the Caribbean. Several specimens were taken by the ALAMINOS from the southwestern Gulf of Mexico. The extension of the range of M. nitida to the Pacific as recorded by Milne Edwards and Bouvier (1897: 75) is an error based on their consideration of M. brevimanus Henderson, 1888, as a synonym. Bathymetric range.--Possible depth range for PILLSBURY specimens is 1766-3971 m; calculated range is 1903-3477 m. Previous range reported was 1373-2133 m, bringing the calculated range, including all reports, to 1373-3477 m. Parasites.--The material examined showed no external evidence of parasitism. No reports of parasites were found in the literature. Associates.--Munidopsis simplex occurred at P-1504 with M. nitida. In the other PILLSBURY sample M. nitida was the only galatheid taken. At 1 of the 3 ALAMINOS stations where M. nitida was collected, M. simplex and M. spinoculata were also taken. Relationships.--Munilopsis nitida shows the closest similarities with M. spinoculata (A. Milne Edwards), M. subspinoculata Pequegnat and Pequegnat, M. ramahtraylorae Pequegnat and Pequegnat, M. similis Smith, and M. reynoldsi (A. Milne Edwards) of the western Atlantic species. It differs from the first three in having a pair of spines on the gastric region of the carapace and a small spine on the distolateral margin of the cornea; from the latter two species, it differs in having shorter chelipeds, and it differs from all five in having epipods on the chelipeds. Munidopsis crassa Smith shares this last character, but has several smaller spines on the gastric region in addition to the principal pair, a broader rostrum and heavier sculpturing overall. Munidopsis nitida is quite similar to specimens identified as M. ciliata Wood-Mason from the eastern Pacific by Faxon (1895). Faxon compared the type of M. nitida with his material and stated that the major differences between the two are the pubescence, heavily sculptured carapace (with squamiform ridges) and prominent transverse furrows across the tergites of M. ciliata. Faxon indicated the possibility that these differences might not be specific, but retained the name M. ciliata for the Indopacific form. M. vicina Faxon, from the eastern Pacific, is similar to, but smaller than the previous two species, and exhibits several differences in sculpturing and spination. Munidopsis platirostris (A. Milne Edwards and Bouvier, 1894) Figure 31 Orophorhynchus platirostris A. Milne Edwards and Bouvier, 1894b: 287 (key), 286; 1897: 114-116, pl IX, figs. 12-15, pl. X, fig. 3. Munidopsis (Orophorhynchus) platirostris: Benedict, 1901: 148. Munidopsis platirostris: Benedict, 1902: 276 (key), 324 (list).--Doflein and Balss, 1913: 175 (list), 178 (table).--Schmitt, 1935: 178 (key), 180.--Chace, 1942: 75 (key).--Pequegnat and Pequegnat, 1970: 140 (key); 1971: 6 (key). Material examined.--Straits of Florida: G-493, 183-549 m, 1 σ, 3.1 mm, UMML 32:5257; G-972, 231-221 m, 1 θ, 3.8 mm, (USNM).--Arrowsmith Bank (Yucatan Channel): G-952, 586-92 m, 1 σ, 2.8 mm, 1 θ, 5.5 mm, (USNM); G-880, 101-329 m, 1 σ, 6.0 mm, 1 θ, 4.2 mm, UMML 32:5258; G-894, 174- 207 m, 2 σ, 3.6 mm each, 1 θ, 5.8 mm, (RMNH).--Off St. Vincent: P-876, 231-258 m, 1 ovigerous θ, 5.5 mm, (RMNH).--Off Dominica: P-931, 146-494 m, 2 σ, 3.9, 6.5 mm, UMML 32:5259.--N of Dominican Republic: P-1160, 201-842 m, 1 σ, 4.0 mm, (USNM).--S of Dominican Republic: P-1396, 390- 395 m, 1 ovigerous θ, 5.5 mm, (USNM). See distribution plot 10. Diagnosis.--Rostrum spade-shaped, unarmed, slightly upturned; 1 pair of tubercles or small spines on anterior gastric region of carapace; frontal margin with large triangular post-antennal spine; posterior margin of carapace, abdominal segments and eyes unarmed; no epipods on pereio- pods. Description.--Carapace length measured from base of rostrum approximately same as carapace width at widest point near middle, occasionally broader Distribution plot 10.--Mundidopsis platirostris (A. Milne Edwards and Bouvier, 1894) collected by the GERDA and PILLSBURY. Figure 31. --Munidopsis platiostris (A. Milne Edwards and Bouvier, 1894). ♀, cl. 5.8 mm, G-894: a, lateral view of carapace and abdomen, setae omitted; b, dorsal view; d, posterior abdominal tergites, uropods and telson. ♂, cl. 6.0 mm, G-880: c, right third maxilliped, ventrolateral view. ...an long; dorsal surface smooth or with scattered evenly-spaced tubercles; surface covered with minute punctations usually visible only with magnification; carapacial regions and grooves usually ill-defined or obscure; gastric region smoothly inflated, armed with single pair of rounded tubercles or spines anteriorly; carapace in front of gastric region sometimes with slight transverse indentation or channel delimiting base of rostrum; cervical groove obscure, centrally adjacent to obscure post-cervical groove, cardiac and metabranchial regions very slightly inflated. Rostrum approximately 1/2 carapace length, broad; lateral margins subparallel from base to just beyond eyes, serrate distally, tapering to point, apex acuminate; dorsal surface flat or barely excavate (lateral margins slightly raised), smooth or with scattered obscure tubercles; ventral surface with round medial carina distally. Frontal margin with large triangular post-antennal tooth, minutely dentate on margins. Anterolateral tooth broad, margins finely dentate; distinct notch posteriorly followed by 1 smaller tooth; lateral margins convex, sharply carinate, obscurely dentate, with small notch approximately 1/2 distance to posterior margin. Posterior margin very slightly concave, with smooth raised rim. Abdomen unarmed; second, third and fourth tergites each with 2 transverse carinae; anterior carina sharper, extending across tergite of second segment and to lateral margins on third and fourth segments; posterior swelling rounded, not extending as far laterally; fifth and sixth segments smooth; pleura of third to sixth segments narrowed laterally. Sternum slightly convex antero-posteriorly, unarmed; intersegmental channels narrow. Eyes movable, retractable beneath lateral margins of rostrum; cornea with distinctive faceting, reaching 1/2 length of rostrum. Basal segment of antennular peduncle enlarged, distinctive, with 2 large teeth distally: dorsal tooth slightly lateral to one beneath, both finely denticulate on margins; lateral swelling with small conical tooth; ventromesial projections on distal margin tooth-like. Extended peduncle reaching apex of rostrum, flagellum extending beyond. Basal segment of antenna projected ventromesially as unusually long triangular tooth, as long as antennal peduncle; smaller curved tooth laterally. Second segment with blunt lateral spine and smaller mesial tooth. Third segment unarmed or irregularly denticulate on distal margin. Distal segment of peduncle with small lateral and smaller mesial projection. Flagellum reaching to manus of cheliped or beyond. Ischium of endopod of third maxilliped with ventromesial angle terminating in triangular spine or rounded tooth; termination of dorsal carina tooth-like or blunt. Merus flattened, flexor margin with 2 small teeth, extensor margin with small tooth distally. Carpus with several coarse tubercles on extensor surface. No epipods on chelipeds or ambulatory legs. Chelipeds approximately twice carapace length in large males (c. 6.5 mm), usually about 1 1/3 times carapace length in females and smaller males. Manus broad, dorsoventrally flattened; manus of large males as long as carapace length; dorsal surface with evenly-spaced low tubercles, or smooth; width of manus approximately 2/3 length. Dactylus less than 1/2 length of manus. Fingers of large males with slight outward curve producing small gape; females with less curvature and narrow gape fingers abutting dorsally along with smooth margins; teeth larger at spooned tips, fingers gaped ventrally. Lateral and mesial margins of manus expanded into sharp edges proximally, armed with irregular tubercles or small dentate projections; lateral ridge becoming cristate distally on fixed finger; tubercles or projections becoming dentate. Carpus short, dorsomesial edge cristate, terminating in denticulate triangle on distal margin; dorsal surface slightly depressed; dorsolateral surface raised with several irregular tubercles; ventral surface smooth, with triangular projection at distal articulation. Merus shorter than manus, subquadrate in cross section; distal margin with blunt spines at doromesial and ventromesial angles and with ventrolateral projection; dorsal surface with tubercles forming rounded longitudinal crest, sharper proximally; dorsomesial edge with row of tubercles or projections. Ischium with large triangular dorsal projection or spine. Second, third and fourth pereiopods similar. Tip of dactylus of second pereiopod reaching base of manus of cheliped. Dactylus approximately 1/2 length of propodus, sharp corneous tip curved, followed on flexor margin by series of 6 or 7 slender sharp spines decreasing in size proximally, each armed on anterior edge with long slender corneous spinule, several long setae on either side of row. Propodus with extensor margin cristate, minutely serrate; ventromesial surface with corneous spinule, near distal margin and one about 1/3 distance to base; lateral surface with faint longitudinal swelling; all other surfaces smooth, ventral margin rounded. Carpus more than 1/2 length of propodus; extensor margin sharply cristate, with prominent triangular spine distally; lateral surface with narrow longitudinal swelling and distal projection, sometimes tooth-like. Merus approximately twice length of carpus, triangular in cross section; extensor margin cristate, terminating in distal projection, increasingly spine-like on third and fourth pereiopods; lateral surface flattened, smoother on anterior pereiopods, tuberculate on fourth pereiopod; lateral edge of flexor margin somewhat cristate, terminating in sharp tooth distally; mesial flexor edge sharp. Ischium short, with small dorsal tooth. Merus of fifth pereiopods expanded centrally; distal half of exposed surface and flexor margin with denticles. Protopod of uropod with lateral margin in 3 lobes; posterior lobe with several denticles on each side of small notch. Exposed surface of endopod with several spinules on raised area just lateral to telson. Telson broader than long; generally trapezoidal, narrowing posteriorly, smooth consisting of only 7 articulated plates; posterior margin with small medial indentation. Color.--All specimens examined were preserved in alcohol and were devoid of pigment. No records of color were found in the literature. Size.--♂, cl. 3.1-6.5 mm, ♀, cl. 3.8-5.8 mm, and ovigerous ♀, cl. 4.5-5.5 mm. Sexual dimorphism.--The largest male specimen (P-931, cl. 6.5 mm) has the chelipeds much longer (twice carapace length) and broader than the ovigerous females, with a small gape not found in other specimens. In addition, the rostrum of this specimen is proportionately longer than others examined. Larger females have the abdomen slightly broader than males. Males have heavier setae along the posterolateral margins of the telson than do females, but this is not developed into the "comb" characteristic of many species. Habitat.--Information about the characteristics of the bottom was recorded at half the stations where M. platirostris was collected; it consisted variously of rocks, algae, coral conglomerate, pumice stone and other sediments. Type.--The holotype is a male, cl. 4.8 mm, NI Z 4762. Type locality.--Off Barbados, HASSLER, 183 m (100 fm). (No other station information given except date, 27-30 December 1871.) Geographic range.--This species is now known in the western Atlantic from the Straits of Florida, Arrowsmith Bank in the northwest Caribbean, north and south of the Dominican Republic, and in the Lesser Antilles (southeastern Caribbean) from Dominica to Barbados. The new locations presented herein are the first to be reported since Benedict (1901: 148) recorded it from the FISH HAWK collections off the east coast of Puerto Rico. Schmitt (1935: 180) reported Curacao in the distribution of M. platirostris; however, the record of this location could not be found elsewhere in the literature although apparently Schmitt's report was not based on new information. Bathymetric range.--Munidopsis platirostris is one of the species of the genus found at the shallowest depths. The possible depth range for material in this collection is 101-842 m; calculated range is 207-390 m. Calculated range including depths previously reported is 183-458 m. Parasites.--No external evidence of branchial or abdominal parasites was found in the material examined. There are no records of parasitism in this species. Associates.--At 7 of the 8 stations where M. platirostris was collected, it was the only species of the genus taken. Munidopsis squamosa was taken in the same haul with M. platirostris south of the Dominican Republic. It is interesting to note that these two species were the only Munidopsis collected from Arrowsmith Bank, although they were not collected together at any one station in that area. Relationships.--Munidopsis platirostris bears most resemblance to M. livida (A. Milne Edwards, 1886), and falls into the Orophorhynchus group of species which also includes M. aries (A. Milne Edwards, 1880). M. platirostris has the rostrum flat dorsally and carinate ventrally, the carapace relatively smooth with prominent gastric tubercles, unarmed eyes and no epipods on the pereiopods, while M. livida has the rostrum of a different shape with dorsal carination, less prominent gastric tubercles on a more heavily sculptured carapace with more distinct grooves, mesial and lateral eyespines, and epipods on the chelipeds. M. aries has the chelipeds shorter and proportionately broader than M. platirostris, with the rostrum more triangular and dorsally carinate, the carapace broader anteriorly with more distinct sculpturing and grooves, post-antennal and anterolateral teeth weaker, and with a small mesial eyespine. Remarks.--The 2 males from Dominica (P-931), particularly the larger one (cl. 6.5 mm) differ slightly from the other specimens in the degree of sculpturing. Low tubercles are scattered evenly over the dorsal surface of the carapace, and are distinct everywhere but on the rostrum. The cervical groove is discernible and the postcervical groove is more distinct. The right cheliped of the larger specimen is longer (twice carapace length) with a very broad manus; the left is shorter and slenlderer. Munidopsis polita (Smith, 1883) Figures 32, 33 Anoplontus politus Smith, 1883: 50-55, pl. 2, fig. 1, pl. 3, figs. 1-5a.--A. Milne Edwards and Bouvier, 1894b: 283.--Verrill, 1885: 558. Munidopsis polita: Benedict, 1902: 276 (key), 324 (list).--Doflein and Balss, 1913: 175 (list, 177 (table).--Chace, 1942: 75 (key).--Pequegnat and Pequegnat, 1970: 140 (key), 155, fig. 5-1, table 5-2; 1971: 6 (key), 21.--Fowler, 1912: 575. Material examined.--Straits of Florida: G-460, 207-247 m, 1 σ, 5.4 mm, (USNM); G-657, 216-201 m, 2 σ, 6.5, 6.6 mm, (RMNH); G-815, 618 m, 1 Φ, 9.0 mm, (USNM); G-870, 807-755 m, 1 Φ, 6.1 mm, (RMNH); G-970, 512 m, 1 ovigerous Φ, 8.6 mm, (USNM).--Off Atlantic coast of Colombia: P-375, 34-129 m, 1 σ, 8.3 mm, UMML 32:5260; P-776, 408-576 m, 1 Φ, 6.3 mm, UMML 32:5262; P-781, 567-531 m, 1 σ, 10.7 mm, (USNM); P-784, 567-715 m, 1 σ, 6.4 mm, (RMNH).--Off Atlantic coast of Panama: P-447, 657-673 m, 2 σ, 7.0, 8.6 mm, 1 ovigerous Φ, 7.2 mm, UMML 32:5261.--Off Guadeloupe: P-923, 476-686 m, 1 σ, 7.7 mm, (USNM). See distribution plot 11. Diagnosis.--Rostrum short, bluntly triangular, spine-like, unarmed, slightly flexed downward; carapace and abdomen completely without spines; anterior gastric region without distinct medial division; frontal margin of carapace with rounded post-antennal lobe; no spine or protuberance beneath frontal margin mesial to eye; eyes unarmed except occasionally for small lateral protuberance near base of eyestalk; no epipods on pereiopods. Description.--Carapace longer than broad (cw/cl = 0.90), generally Distribution plot 11.—Mundopsis polita (Smith, 1883) collected by the GERDA and PILLSBURY. Figure 32. --Munidopsis polita (Smith, 1883), ♀, cl. 8.6 mm, G-970: dorsal view. Figure 33. --Munidopsis polita (Smith, 1883). ♂, cl. 7.0 mm, P-447: a, carapace and abdomen, lateral view. ♀, cl. 8.6 mm, G-970: b, frontal margin of carapace, rostrum, eye, antennule and antenna, dorsal view; c, right third maxilliped, ventrolateral view; d, posterior abdominal tergites, uropods and telson; e, right antennular peduncle, ventrolateral view. \[ \begin{array}{c} a,d \\ b,c,e \quad 5mm \\ 2mm \end{array} \] quadrate, lateral margins slightly convex, broadest near middle; dorsal surface devoid of spines; gastric region inflated, defined laterally and posteriorly by smooth indentation; cervical groove distinct with anterior and posterior branches delimiting swollen epibranchial region; postcervical groove in form of deep channel, most prominent feature of carapace and curving posteriorly then anteriorly separating inflated meso- and epibranchial regions; triangular cardiac region further defined on its posterolateral margin by distinct branchiocardiatic groove, separating it from tuberculate metabranchial region. Sculpturing consisting primarily of minute flattened obscure tubercles, arranged in 1 pair of transverse lines on anterior part of gastric region; sculpturing very fine on rostrum and on gastric and cardiac regions, coarser laterally, becoming rugose and forming small transverse ridge on anterior margin of metabranchial region; 2 closely-set larger rounded tubercles near lateral margin of gastric region, 1 mesial and posterior to these on each side, and 1 lateral to these on mesial part of hepatic region. Rostrum short, blunt, in shape of isosceles triangle, 1/4 to 1/3 carapace length; dorsal surface finely tuberculate with broadly rounded carina narrowing posteriorly in front of gastric region; rostrum with downward flexure; lateral margins tapering evenly to apex with narrow border continuing in smooth curve posterior to eyes to post-antennal lobe on frontal margin; lobe sometimes denticulate. Anterolateral angle at 90°, granulate or tuberculate, but unarmed. Lateral margin with distinctive notch at termination of anterior branch of cervical groove. Posterior margin slightly concave; raised rim broadest medially, with fine sculpturing. Second, third and fourth abdominal tergites with anterior transverse rim, followed on second tergite by shallow groove, and barely perceptible on third and sometimes fourth tergites. Fifth and sixth segments smooth. Sternum concave and punctate anteriorly; pair of curved projections at each coxal articulation; intersegmental groove followed by ridges, distinct towards lateral margin, obscure medially. Eyes small, movable; cornea reaching 1/2 length of rostrum, slightly dilated from dorsoventrally flattened eyestalk, facets not visible; minor projection or tubercle laterally near base of eyestalk. Plate at intersection of bases of eyestalk, antennule and antenna unarmed. Basal segment of antennular peduncle enlarged with tuberculate lateral swelling; 2 distal spines located one above other, most ventral spine largest and slightly mesial, reaching to or just beyond apex of rostrum. Second segment as well as distal segment and flagellum extending beyond rostrum. Basal segment of antenna with small ventromesial projection, denticulate on distal margin laterally, but not projected. Second and third segments unarmed except for occasional denticle or spinule distolaterally on second segment. Fourth segment with distolateral projection sometimes denticulate. Endopod of third maxilliped with ventral angle of ischium not sharp, terminating distally in several denticles; dorsolateral edge more carinate, with distal tooth. Merus with 2 large teeth, occasionally third smaller, on flexor margin; extensor margin with obscure tubercles along edge and small tooth distally. Pereiopods long, slender, subcylindrical, generally smooth, sculpturing in form of low rounded tubercles, more distinct on mesial surfaces of proximal segments; no epipods on chelipeds or ambulatory legs. Chelipeds approximately 3 1/4 to 3 3/4 times carapace length. Manus slightly dorsoventrally-flattened; width of manus in large males (cl. more than 8.0 mm) approximately 1/4 to 1/5 length; width of manus 1/7 to 1/8 length in females. Dactylus slightly less than 1/2 length of manus, subcylindrical, very straight; mesial margin with large blunt tooth near base, followed by even row of small teeth, increasing in size distally. Fixed finger of larger males toothed along entire mesial margin, with outward curve forming gape at base, fingers abutting in distal 1/2 to 2/3; females and smaller males (cl. less than 7.5 mm) without curve or gape; tips spooned, dentate, gaped ventrally. Carpus approximately 1/3 length of manus; dorsomesial margin rounded, slightly inflated near distal and proximal ends. Merus shorter than manus, distal half with slight outward flexure; distal margin with conical ventromesial tooth and longitudinal groove on mesial surface. Ischium with small dorsal tooth. Second, third and fourth pereiopods similar, long slender; tip of third pereiopod often reaching beyond tip of second pereiopod to manus of cheliped; fourth often reaching middle of carpus of cheliped. Dactylus more than 1/2 length of propodus, curved, terminating in very sharp corneous tip, unarmed on flexor margin. Propodus and carpus unarmed. Merus long, unarmed except for small lateral tooth on distal margin, and tubercles becoming more distinct proximally, especially on fourth pereiopod. Ischium with small dorsal tooth decreasing to obscurity from second to fourth pereiopod. Middle of merus of fifth pereiopods expanded, finely tuberculate; several small teeth or tubercles on ventral margin. Posterolateral margin of protopod of uropod in 2 lobes, each with small notch in middle. Lateral margin of exopod and endopod very straight. Telson broader than long, narrowing posteriorly; lateral plates with slight central concavity; posterior margin with medial indentation. Color.--All specimens examined were preserved in alcohol and were devoid of pigment. No records of color were found in the literature. Size.--Specimens collected by the GERDA and PILLSBURY showed the following ranges of size: ♂, cl. 5.4-10.7 mm, ♀, cl. 6.1-9.0 mm, ovigerous ♀, cl. 7.2-8.6 mm. Sexual dimorphism.--Males have the characteristic fringe of thick golden setae on the lateral margins of the telson; few, if any, marginal setae are present in this location on females. Large males have the manus much broader than females and smaller males. Males with cl. 6.7 mm or more have the manus width 1/4 to 1/6 length with a gape near the base of the fingers increasing proportionately to carapace length; females and smaller males have the width of the manus equal to only 1/7 or 1/8 length and have the fingers closely abutting along their entire opposing margins. Habitat.--The bottom type or characteristics were recorded at 4 GERDA and PILLSBURY stations where M. polita was collected: 2 stations had ptercopod shells and mud, 1 had thick green-brown mud, and 1 had sponges on the bottom. At the 5 FISH HAWK stations off Martha's Vineyard, the bottom was muddy at 4 stations and had hard sand and sponges at one. Type.--Designation of holotype not indicated in Smith, 1883. Subsequent designation not determined. Type locality.--Western North Atlantic (off Martha's Vineyard), FISH HAWK Sta. Geographic range.--Munidopsis polita has been collected in the northern Atlantic Ocean near Cape Cod, in the Gulf of Mexico, in the southern and northern Straits of Florida, in the Caribbean along the north coast of South America, Nicaragua and off Guadeoupe in the Lesser Antilles. (Except for the FISH HAWK Sta. 941, where 16 specimens were collected, 3 is the maximum number of specimens taken in an individual haul.) In addition to the type locality, the following locations are reported in the literature: NW Gulf of Mexico (Pequegnat and Pequegnat, 1970: 155); E of Nicaragua (Pequegnat and Pequegnat, 1971: 21). Bathymetric range.--The possible depth range for material collected by the GERDA and PILLSBURY is 129-807 m; calculated depth range is 134-755 m. Possible depth range including previous records is 129-860 m. Parasites.--There is no external evidence of branchial or abdominal parasites in any of the material examined. No records of parasitism in this species were found in the literature. Associates.--Other species of galatheids were collected with M. polita at 8 of the 11 stations of the GERDA and PILLSBURY. M. erinaceus was collected at 7 of these, and M. riveroi at 5, giving them an index of affinity with M.polita of 0.32 and 0.25, respectively. Several other species occurred with M. polita at 1 station only. Relationships.--Munidopsis polita is very closely related to M. impolita, a new species, also from the western Atlantic, with which it may be easily confused. Both species have the rostrum, carapace and abdomen the same general shape and size, similar pereiopods, arrangement of epipods, and most other characters. M. polita, however, has the rostrum distinctly flexed downward, the terminal spines on the basal segment of the antennular peduncle appearing adjacent or overlapping in dorsal view, a more distinct post-antennal lobe, and no spine or tubercle emerging from the plate at the intersection of the bases of the eye, antennule and antenna; also, the regions of the carapace are less distinct and sculpturing is generally finer in M. polita than in M. impolita (see discussion of the relationships of M. impolita). Two other western Atlantic species, M. espinis Benedict and M. sulfensis Pequegnat and Pequegnat, bear some resemblance to M. polita in general appearance, but both have epipods on the first 3 pairs of pereiopods, the eyes fused to the rostrum, and the chelipeds not more than twice carapace length. Munidopsis inermis Faxon, from the eastern Pacific, resembles M. polita in many ways, but the rostrum of the former species is broader basally, narrower distally, and more strongly decurved; the carapace is longer and narrower in M. inermis, and the propodi of the ambulatory legs are proportionately shorter. It is interesting that M. polita, M. impolita, M. espinis and M. inermis are among the few species of the genus which lack ventral spinules or teeth on the dactyli of the ambulatory legs. It seems likely that if the genus Munidopsis is subdivided, this Anoplontus complex, including these 5 species and others with this general appearance and unarmed dactyli, may form a natural group. The relative significance of the arrangement of epipods is questionable in this group, since M. polita and M. impolita definitely lack epipods on any pereiopods while M. espinis and M. gulfensis have epipods on the chelipeds and first 2 pairs of ambulatory legs. The arrangement of epipods in M. inermis could not be determined from the literature. Discussion.--Pequegnat and Pequegnat (1971: 21) reported differences between specimens collected from deeper waters in the Gulf of Mexico and Caribbean and the type material from the North Atlantic. It appears that the differences they observed fall within the range of variation of Munidopsis polita, and may be due to individual variation as much as to their deeper occurrence. Specimens from 134-807 m display the following variation; eyes both larger and smaller with both shorter, narrower and longer, wider eyestalks than the type material; basal segment of the antennule with short spines not reaching the apex of the rostrum and with long slender spines reaching well beyond the rostrum; the merus of the cheliped shorter than the total carapace length in a specimen from 567-531 m, and longer than the carapace in a specimen from 134-129 m; rostrum both narrower and broader than type material. The rounded post-antennal lobe varies somewhat among specimens, but apparently the amount of projection is not absolutely correlated to the depth at which they live, although the specimens from the shallowest stations (C-460, G-657, P-375) all have the post-antennal lobe as prominent as that shown on the illustration of the type (Smith, 1883: pl.2, fig. 1). This is an important character in distinguishing M. polita from M. impolita which has the lobe almost obscure and a small projection or spine emerging from beneath the frontal margin; it should be pointed out that specimens of M. polica with a distinct post-antennal lobe have been collected from depths even greater (618-807 m) than one at which M. impolita has been collected (585 m). Munidopsis ramahtaylorae Pequegnat and Pequegnat, 1971 Figure 34 Munidopsis ramahtaylorae Pequegnat and Pequegnat, 1971: 7 (key), 11-13, figs. 5, 6. Material examined.--Off Atlantic coast of Colombia: P-394, 416-834 m, 2 ovigerous ♀, 7.4, 7.8 mm, 1 ♀, 8.4 mm, UMML 32:5263; P-776, 408-576 m, 1 ♂, 8.4 mm, (USNM).--Off Honduras: P-1355, 450-576 m, 1 ovigerous ♀, 11.0 mm, (USNM). Distribution plot 12. Diagnosis.--Rostrum unarmed, acarinate, decurved distally; lateral margins subparallel at base, slightly convex distally; gastric region of carapace unarmed, unsculptured; frontal margin with distinct postantennal spine, but no spine at anterolateral angle; posterior margin of carapace and abdominal tergites unarmed; length of eyespine approximately 1/2 diameter of cornea; no epipods on pereiopods; sternum armed with 2 pairs of slender spines; coxa of chelipeds unarmed. Description.--Carapace longer than broad (c1/c1 = 0.87-0.91), longitudinally and transversely convex. Cervical groove shallower medially; anterior branch distinct, delimiting slightly inflated gastric region; postcervical groove separating metagastric and cardiac region. Regions of carapace not prominent, dorsal surface unarmed, pubescent, short setae arranged in irregular discontinuous transverse rows posteriorly, giving posterior third of carapace slightly striated appearance. Rostrum acarinate, slightly decurved distally, transversely convex at base, flatter distally; length, measured from point even with base of cornea, 1/4 to 1/3 carapace length; width at base approximately 2/5 Distribution plot 12.—Munidopsis ramahaylorae Pequegnat and Pequegnat, 1971 collected by the PILLSBURY. Figure 34. --Munidopsis ramahtaylorae Pequegnat and Pequegnat, 1971. Ovigerous ♀, cl. 7.4 mm, P-394: a, carapace and abdomen, lateral view, setae omitted; b, posterior abdominal tergites, uropods and telson; f, dorsal view, setae omitted on right side, antennae and left third pereiopod missing. Ovigerous ♀, cl. 11.0 mm, P-1355: c, right third maxilliped, ventrolateral view; d, anterior sternites and coxae of chelipeds, setae omitted; e, right antennular peduncle, eye and rostrum, ventrolateral view. Scales in mm. length of rostrum; margins subparallel in basal half, convex and serrate distally, apex acute, often with apical spinule. Frontal margin with distinct sharp post-antennal spine; no tooth at anterolateral angle; notch lateral to angle; triangular tooth at anterior termination of slightly convex lateral margins; otherwise, margins of carapace unarmed. Abdomen pubescent except on most prominent surfaces of swellings and on surfaces sliding beneath preceding segment, unarmed. Second, third and fourth tergites each with blunt transverse ridge, followed by shallow groove on second and third tergites. Fifth and sixth tergites without sculpturing. Sternum armed with 4 sharp spines between coxae of chelipeds: central 2 spines curved mesially; lateral spines smaller, with denticles laterally. Eyes colorless; 1 large spine projecting anteriorly from center of cornea; length of eyespine less than diameter of cornea, but more than 1/2 diameter; smaller sharp spine on ventromesial part of cornea projecting from distal margin of eyestalk. Calcification, with setae, covering large part of corneal surface. Basal segment of antennular peduncle swollen; 2 distolateral spines, ventral spine longer, broader at base; 1 small tooth on distomesial margin. Basal segment of antenna with lateral spine and broad ventromesial tooth. Second segment with lateral spine and small ventromesial tooth; transverse indentation in dorsal surface. Third segment with lateral and mesial tooth distally. Dorsolateral lobe of distal segment with denticle distally. Flagellum approximately twice carapace length. Endopod of merus of third maxilliped with 2 small teeth or spines on ventromesial margin: 1 proximal, 1 in middle of segment; occasionally 1 or 2 minute teeth distally. Ischium with blunt ventral carina with 1 small tooth distally; mesial border serrate with approximately 18 teeth. Pereiopods lightly sculptured, dorsolateral surfaces of proximal segments scabrous; dorsal surfaces with many short setae; dactylus of ambulatory legs and both fingers of chelipeds noticeably lacking pubescence found on other segments; several larger longer, non-plumose, setae scattered mainly on mesial and ventral surfaces. No epipods on chelipeds or ambulatory legs. Chelipeds short, broad, slightly longer than total carapace length. Manus and half of carpus only extending beyond apex of rostrum; width of manus 1/2 length. Dactylus less than 1/2 length of propodus. Propodus and carpus dorsoventrally flattened; double row of small rounded teeth on distolateral margin offixed finger; tips of fingers spooned, dentate; teeth continuing proximally on abutting dorsal margins, gape between margins ventrally. Carpus less than 1/2 length of propodus; 1 small tooth on distal margin dorsally; another on mesial margin near distal end of segment. Merus subtriangular in cross section; distal margin with 1 small tooth dorsally and 1 large tooth at each angle; dorsal surface expanded with row of 5 or 6 smaller teeth diminishing in size proximally. Ischium with several teeth on distal margin: largest tooth dorsal, 1 or 2 ventrolateral; ventromesial prolongation with small tooth on mesial margin. Second, third and fourth pereiopods similar. Second pereiopod extending beyond chelifed by 1/2 length of dactylus; dactylus of third and fourth pereiopods each reaching distal margin of propodus of preceding leg. Tip of dactylus pale brown, followed on flexor margin by series of 8 or 9 denticles diminishing in size proximally; corneous spinule projecting from anterior edge of each denticle. Distoventral margin of propodus with 2 movable spines separated by small denticulate lobes; otherwise, propodus unarmed. Carpus approximately 1/2 length of propodus; distal margin with 2 sharp dorsal teeth, 2 indistinct, slightly tuberculate ridges dorsally; 1 or 2 blunt teeth on mesial ridge on second pereiopod; slight protuberance at this location on third and fourth pereiopods; occasionally few minute denticles on distoventral margin. Merus slightly longer than propodus, laterally compressed with lateral surface dorsally oriented; 2 sharp teeth on distal margin: 1 mesial, 1 lateral, with smooth lobular projection between; similar projections on distal margin ventromesially; row of 4 or 5 spines and tubercles on flexor margin, row or 6 or 7 distinct spines on extensor margin of second and third pereiopods, less distinct on fourth pereiopods; all projections decreasing in size proximally. Ischium unarmed. Fifth pereiopods with merus expanded, lateral surface slightly scabrous. Protopod of uropod with posterolateral margin in 3 lobes, minute denticles between lobes; 1 small tooth on posterior margin mesial to notch. Exopod and endopod with granular denticles on lateral margins; similar but larger denticles or spinules on exposed surface of endopod and exopod. Telson broader than long, divided into 8 plates; anterior plate with slight medial inflation; posterior margin with small medial indentation. Color.--Specimens examined are preserved in alcohol and are devoid of pigment. Size.--♂, cl. 8.4 mm, ♀, cl. 7.4-11.0 mm, ovigerous ♀, cl. 7.8-11.0 mm. The male holotype increases the size range of males to 11.0 mm. Sexual dimorphism.--The male specimen has an inconspicuous row of setae on the posterolateral margins of the telson; there are no setae in this location on female specimens. The chelipeds of the male are slightly broader and longer than those of a female of comparable size, and the opposing margins of the fingers are sinusoidal in the male, straight in the female. A larger female (cl. 11.0 mm) has a slight gape between the fingers, with a small blunt projection on the fixed finger; the margins are straight in the distal half. Habitat.--Data on the bottom type were not recorded for any of the 3 PILLSBURY stations where M. ramahrtaylorae was taken. Types.--The holotype is a male, cl. 11 mm, USNM 138232; the paratype is also a male, cl. 10 mm, USNM 7807. Type locality.--Near St. Barthelemy, Lesser Antilles, OREGON Sta. 6696, 649-667 m. Geographic range.--Munidopsis ramahrtaylorae has been collected infrequently from widespread locations throughout the Caribbean Sea: in the north, near Cuba; in the east, near St. Barthelemy; in the south, from the coast of Colombia; and in the western Caribbean, off Honduras. The type locality and another location south of Cuba reported by Pequegnat and Pequegnat (1971: 11) are the only records so far published. Bathymetric range.--Possible range for the material examined is 408-634 m, which falls within the calculated range for previously reported depths of 368-649 m; possible previous range was 368-667 m. Parasites.--No parasites were found on the specimens examined, and there are no records of parasitism in this species. Associates.--Munidopsis erinaceus was collected at all 3 PILLSBURY stations where M. ramahtaylorae was taken; M. riveroi was taken at 2 of these stations. The index of affinity was calculated between M. ramahtaylorae and these at 0.24 for the first species, and 0.29 for the second. Relationships.--Munidopsis ramahtaylorae is similar to M. spinoculata (A. Milne Edwards); both species have the characters used to distinguish M. spinoculata from other species of Munidopsis in the keys presented by Benedict (1902), Chace (1942) and Pequegnat and Pequegnat (1970). See Table 1 for comparison of characters of these 2 species and those of M. subspinoculata (p. 344). M. ramahtaylorae, however, has the rostrum slightly decurved, with the lateral margins convex, and lacking a median longitudinal carina, whereas M. spinoculata has the rostrum straight or slightly upturned, with straight lateral margins, and a distinct longitudinal carina. Also, M. ramahtaylorae has the dorsal surface of the carapace smoother, more pubescent, and with the lateral margins convex, compared to the ridged carapace of M. spinoculata which has straight lateral margins and setae restricted to transverse rows. Munidopsis ramahtaylorae bears some resemblance to M. bermudezi Chace from which it can easily be distinguished by the absence of epipods on the chelipeds, the absence of spines on the gastric region of the carapace, the central location of the large eyespine, and the lack of an anterolateral spine on the frontal margin of M. ramahtaylorae. Munidopsis ramahtaylorae appears to be related to M. hendersoniana Faxon, from the Gulf of Panama. M. hendersoniana however, has the rostrum bluntly carinate and longer with respect to carapace length, the dorsal surface of the carapace lateral to the gastric region concave, and the pereiopods with larger, evenly-spaced spines. Munidopsis riveroi Chace, 1939 Figures 35, 36 Munidopsis riveroi Chace, 1939: 48; 1942: 75 (key), 93-95, figs. 31, 32. --Pequegnat and Pequegnat, 1970: 140 (key); 1971: 6 (key), 21-22. Material examined.--Off Atlantic coast of Colombia: P-374, 434-373 m, 1 ♂, 9.6 mm, (USNM); P-394, 416-634 m, 2 ♂, 9.1, 12.0 mm, 2 ovigerous ♀, 12.8, 13.5 mm, (USNM); P-776, 408-576 m, 5 ♂, 6.8-12.3 mm (1 with branchial parasite), 1 ♀, 10.5 mm, 3 ovigerous ♀, 11.2-14.8 mm, (NMNH 32:5264; P-781, 567-531 m, 1 ♂, 12.5 mm, 2 ♀, 8.1, 12.5 mm (with branchial parasite), 5 ovigerous ♀, 14.2-15.5 mm, (RMNH).--Off Guadeloupe: P-923, 476-686 m, 1 ♂, 12.0 mm (with branchial parasite), (RMNH). Distribution plot 13. Diagnosis.--Rostrum unarmed, broad hood-like, dorsally excavate, apex drawn out to point; no spines on dorsal surface or margins of carapace, but several raised tuberculate areas on inflated gastric region; frontal margin with post-antennal lobe; second, third and fourth abdominal tergites armed with blunt median tooth on each of 2 transverse carinae; eyes unarmed; no epipods on pereiopods. Description.--Carapace distinctly longer than broad (cw/cl = 0.80-0.85); slightly narrower anteriorly; dorsal surface transversely convex, various areas decorated with tubercles and distinct groups of tubercles arranged somewhat symmetrically, nearly all body surfaces pubescent, smooth between decorations; cervical groove visible as broad transverse indentation with oblique anterior and posterior branches extending to lateral margins. Gastric region further inflated, well-defined anteriorly and laterally by groove extending across base of rostrum, turning Distribution plot 13.—Mumidopsis riveroi Chace, 1939 collected by the Pillsbury. Figure 35. --Munidopsis riveroi Chace, 1939, ♂, cl. 12.0 mm, P-394, dorsal view. Figure 36. --Munidopsis riveroi Chace, 1939, ♂, cl. 12.0 mm, P-394: a, lateral view of carapace and abdomen, setae omitted; b, posterior abdominal tergites, telson and uropods, setae shown on posterior margins of telson only; c, right third maxilliped; d, right antennule; latter two ventrolateral view. posteriorly behind antenna; center of gastric region armed with most prominent cluster of tubercles; smaller cluster anteriorly on midline; front of gastric region with pair of irregular transverse groups of granules, several small groups behind this on either side; prominent sculpturing also posterior to central protuberance; groups of tubercles arranged transversely, extending to lateral margins on raised areas behind cervical groove; forward part of cardiac region in raised tuberculate crest; transverse rows of tubercles on cardiac region posteriorly; hepatic regions granulate or tuberculate, sculpturing most dense near margins. Rostrum broad, hood-like; lateral margins subparallel from base to just beyond eyes, tapering distally to apex, tip often somewhat drawn out, slightly upturned, margins minutely dentate; dorsal surface with broad medial excavation, protuberances or tubercles arranged symmetrically on either side of excavation, basal pair most prominent. Frontal margin with slight rim curving away from base of rostrum to tuberculate post-antennal lobe. Anterolateral angle rounded, densely tuberculate but unarmed. Lateral margin unarmed; indentation at lateral termination of anterior branch of cervical groove; convex between this and slight indentation at terminus of posterior branch of cervical groove. Posterior margin unarmed; leading edge or raised rim minutely granulate, obscure sculpturing posterior to ridge. First abdominal tergite with smooth rounded flange at posterolateral margin. Second, third and fourth tergites each with 2 transverse carinae armed medially with blunt triangular tooth; anterior ridge sharper, extending to lateral margins of pleura, second tergite with knob approximately 2/3 distance to margin of pleura; posterior carina rounded; pleura of third, fourth and fifth segments narrowed laterally; fifth segment with medial knob anteriorly followed by 2 pairs of shallow oval depressions with few or no setae; similar depressions on sixth segment; posterolateral margins of sixth segment with distinct rounded lobes. Sternum smooth, devoid of setae except for few on rounded intersegmental ridges. Eyes movable, unarmed; cornea conspicuous, dilated. Spinule projecting from plate at intersection of bases of eye, antennule and antenna. Basal segment of antennular peduncle enlarged, but ventrolateral inflation somewhat flattened; anterior surface with sharp dorsal spine and large spine beneath and slightly mesial; ventromesial projection dentate. Basal segment of antenna with small lateral protuberance and ventral spine. Second segment with dorsal projection proximally at articulation; sharp lateral spine on distal margin. Third segment with small sharp dorsolateral spine on distal margin and minute spinule or protuberance mesially and laterally. Fourth segment with lateral projection terminating in sharp spine. Flagellum reaching to manus of cheliped or beyond fingers. Ischium of endopod of third maxilliped with sharp dorsal carina terminating in spine; rounded ventral edge terminating in sharp point. Merus concave laterally, flexor margin with 2 or 3 small triangular teeth following curved proximal edge; extensor margin with small distal tooth. Carpus with several minute tubercles on extensor (dorsal) surface. No epipods on chelipeds or ambulatory legs. Chelipeds 2 1/2 to 3 times carapace length, subcylindrical, slender. Manus almost 1/2 length of cheliped, width approximately 1/9 length. Dactylus slightly less than 1/2 length of manus; mesial margins of both fingers very straight, finely toothed along dorsal abutting edges, several tufts of long golden setae on dorsal and ventral surfaces, narrow gape basally; tips spooned, dentate. Manus setose, smooth, with few scattered obscure tubercles. Carpus short, less than 1/4 length of manus, dorsal and mesial swellings minutely tuberculate at distal articulation; scattered tubercles. Merus approximately same length as manus; tubercles distinct; dorsomesial row of 3 or 4 sharp spines; distal margin with transverse row of small tubercles across dorsal surface, and ventromesial spine; ventrolateral projection often with several spinules near tip. Ischium with blunt dorsal projection, ventral prolongation unarmed. Second, third and fourth pereiopods similar, short. Tip of second pereiopod not reaching 1/2 length of merus of cheliped. Dactylus approximately 1/2 length of propodus; curved corneous tip followed on flexor margin by 4 or 5 triangular teeth decreasing in size proximally, leading edge sometimes with setae, but no corneous spinules; ventral surface with many short setae, some in tufts. Propodus smooth, subcylindrical, length increasing proportionately from second to fourth pereiopod, most surfaces pubescent; blunt tooth on flexor margin near distal articulation. Carpus unarmed, setose, with obscure longitudinal dorsolateral elevation. Merus laterally compressed, expanded flexor margin straight, obscurely denticulate on ridge-like edge, longitudinal depression below ridge; scattered low tubercles on lateral surface more distinct on third and fourth pereiopods; merus becoming proportionately shorter and broader from second to fourth pereiopods; mesial surface smoother with fewer setae. Ischium short, not distinctive. Expanded merus of fifth pereiopod with distal half of exposed surface setose, flexor margin with flattened denticulate expansion midway along length; another obscure tooth distally on flexor margin. Protopod of uropod with margin of posterolateral lobe obscurely dentate. Telson broader than long, consisting of 10 plates, slightly narrower posteriorly; posterior margin with medial indentation. Color.--All specimens examined has been preserved in alcohol and were devoid of color except for certain thick golden setae on telson and other appendages. No records of color in this species were found in the literature. Size.--♂, cl. 6.8-12.5 mm, ♀, cl. 8.1-15.5 mm, and ovigerous ♀, cl. 11.2-15.5 mm. Sexual dimorphism.--Males have the dense comb of setae on the posterolateral margins of the telson; these setae are lacking in females. Chelipeds of both males and females have only a narrow gape between the bases of the almost straight fingers; males have the chelipeds slightly longer proportionately than do the females. Females, particularly large ovigerous specimens, have the abdomen noticeably broader and fuller. Habitat.--Of the stations where M. riveroi was collected, the bottom type was recorded only at P-781; the bottom there consisted of mud and pteropod shells. Types.--The holotype is a male, cl. 12.8 mm, MCZ 10230. The paratype is an ovigerous female, cl. 13.8 mm. Type locality.--North coast of Cuba (Nicholas Channel off Punta Sagua la Grande, Santa Clara Province), ATLANTIS Sta. 2989, 659 m (360 fm). Geographic range.--Munidopsis riveroi has been collected from locations throughout the Caribbean and along the north coast of Cuba, and with some regularity along the north coast of South America. Apart from the locations listed herein for material, the following localities have been reported in the literature: North coast of Cuba (Chace, 1939: 48; 1942: 93); Caribbean Sea: Honduras, Colombia, Venezuela, Dominica, St. Barthélemy, Haiti (Pequegnat and Pequegnat, 1971: 22). Bathymetric range.--The possible depth range for material collected by the GERDA and PILLSBURY is 373-686 m; calculated range is 434-531 m. Possible range including previous records is 338-914 m; calculated range including previous records is 430-860 m. Parasites.--The branchial parasites mentioned in the listing of material are bopyrid isopods of the genus Pseudione, probably an undescribed species. One of the male specimens from P-776 has several colonies of campanulariid hydroids attached to the propodi of the second and third pereiopods. No records of parasites appear in the literature. Associates.--An index of affinity between M. riveroi and M. erinaceus was calculated at the relatively high significance point of 0.34; the index for M. riveroi with M. ramataylorae and M. polita was 0.29 and 0.23 respectively. Relationships.--Munidopsis riveroi can be included in the Elasmonotus group of species including other western Atlantic species, M. brevimanus (A. Milne Edwards), M. longimanus (A. Milne Edwards) and M. alaminos Pequegnat and Pequegnat. The rostrum of M. riveroi is more acuminate than that of the first two of these, and broader than that of the third. M. riveroi has larger eyes and longer, narrower chelipeds than any of these. It is less spiny than M. alaminos, has the abdominal tergites less prominent dorsally than M. longimanus, and the carapace more strongly arched transversely with the raised portions more coarsely tuberculate than M. brevimanus. Munidopsis robusta (A. Milne Edwards, 1880) Figures 37, 38 Galathodes robustus A. Milne Edwards, 1880: 54. Munidopsis robusta: A. Milne Edwards and Bouvier, 1894: 275 (key); 1897: 69-71, pl. VI, figs. 15-20, pl. VII, fig. 1.--Young, 1900: 407 (key), 411.--Benedict, 1902: 277 (key), 325 (list).--Doflein and Balss, 1913: 175 (list), 178 (table).--Chace, 1942: 74 (key).--Springer and Bullis, 1956: 15.--Bullis and Thompson, 1965: 9.--Pequegnat and Pequegnat, 1970: 140 (key), 155, fig. 5-1, table 5-2; 1971: 6 (key). Material examined.--Straits of Florida: G-654, 324 m, 1 ovigerous ♂, 19.1 mm, (USNM); G-970, 512 m, 2 ♀, 11.9 mm, 16.2 mm (with branchial parasite) UMMZ 32:5265; G-1099, 1 ovigerous ♀, 16.5 mm, (RMNH).--Gulf of Mexico: 439-454 m, 1 ♀, 18.1 mm UMMZ 32:2488.--Off Surinam: OREGON Sta. 4301, 366 m, 1 ovigerous ♀, 17.5 mm, (USNM). See distribution plot 14. Diagnosis.--Rostrum triangular, spine-like, dorsally tuberculate, laterally serrate, but unarmed; rostrum flexed upward or with sharp distal upturn; gastric region of carapace with large central protuberance or blunt spine and 5 smaller protuberances arranged anterior to this; frontal margin with triangular post-antennal lobe, with tubercles anteriorly; sharp triangular tooth at anterolateral angle directed anterolaterally; posterior margin with blunt medial spine; second, third and fourth abdominal tergites with medial spine; eyes unarmed; no epipods on chelipeds or ambulatory legs. Description.--Carapace distinctly longer than broad (cw/cl = 0.85-0.95); broadest posteriorly, strongly convex transversely; dorsal surface Distribution plot 14.—Munidopsis robusta (A. Milne Edwards, 1880) collected by the GERDA. Figure 37. --Munidopsis robusta (A. Milne Edwards, 1880), ♀, cl. 11.9 mm, G-970, dorsal view, setae omitted from right side. Figure 38. --Munidopsis robusta (A. Milne Edwards, 1880). ♀, cl. 11.9 mm, G-970: a, lateral view of carapace and abdomen, setae omitted; b, posterior abdominal tergites, telson and uropods (exopods hidden beneath endopods, setae omitted from right side). ♀, cl. 16.2 mm: c, right third maxilliped, ventrolateral view; d, basal segment of right antennular peduncle, ventrolateral view. decorated with many knobs and tubercles, densely putescent in smooth areas between protuberances; regions well-defined; gastric region not greatly inflated, bordered posteriorly by central part of shallow cervical groove; deep indentation on either side at bifurcation of cervical groove; posterior branch oblique, deeper than anterior branch, both delimiting epibranchial region; hepatic region separated from gastric region by shallow smooth depressions; postcervical groove smooth, distinct extending laterally nearly to margins then curving to merge with posterior branch of cervical groove; branchiocardiac grooves less distinct. Center of gastric region with prominent knob with tubercle or tooth directed dorsally and forward; smaller medial tooth or tubercle anterior to this preceded by widely-spaced pair of tuberculate crest-like protuberances, and followed by 2 pairs of protuberances laterally; 5 distinct protuberances arranged around posterior margin of gastric region, and 1 protuberance on either side; groups of 3 or 4 low tubercles anterior to lateral protuberances. Metagastric region with transverse crescentic row of tuberculate swellings posterior to cervical groove. Anterior raised part of cardiac region with medial conical tooth on anterior edge; several tuberculate swellings posteriorly; similar sculpturing in 2 irregular oblique rows extending anterolaterally on metabranchial regions, and on swelling behind and slightly mesial to epibranchial region; coarse tubercles lateral to this and on epibranchial and hepatic region. Rostrum triangular, dorsally inflated, lateral rounded surfaces of swelling; with pairs of tuberculate procuberances merging and becoming indistinct on rounded dorsal carina; rostrum flexed upward from frontal margin or with distal upturn; lateral margins serrate distally beyond eyestalks; ventral surface with rounded carina. Frontal margin with triangular post-antennal lobe tuberculate or dentate anteriorly. Anterolateral angle with broad triangular tooth, projecting anterolaterally and terminating in spine. Lateral margins tuberculate from carapacial sculpturing; portion of branchiostegite visible in dorsal view below and behind epibranchial region. Posterior margin finely sculptured; raised rim beaded on leading edge with medial projection tooth-like. First abdominal segment with posterolateral articular flange rounded. Second, third and fourth abdominal tergites with large medial conical spine; anterior transverse swelling on second, third and fourth tergites with distinct ridge extending laterally to pleuronal margins, becoming tuberculate laterally; second and third tergites with transverse swelling on posterior half; posterior part of fourth tergite and fifth and sixth tergites relatively smooth; fifth tergites with 4 obscure ovate depressions centrally; sixth tergite with posterolateral lobes. Sternum unarmed; intersegmental depressions followed by rounded transverse swellings with rows of short fine setae; shallow longitudinal depression in center between sternites of ambulatory legs. Eyestalks movable; mesial edge pinched, mesial surface indented, projected onto cornea as dorsomesial lobe; cornea dilated, somewhat elongate and inflated anteromesially; cornea of preserved specimens somewhat corneous; facets small, barely perceptible. Basal segment of antennular peduncle not swollen, elongate, relatively slender; distal margin armed dorsolaterally with sharp triangular spine; smaller sharp spine posterior and slightly lateral to this; sharp ventromesial spine with setae on distal margin and smaller dorso-mesial tooth; spines on basal segment reaching beyond eyes but not beyond rostrum. Extended second segment, as well as distal segment of peduncle and flagellum, reaching beyond rostrum. Basal segment of antennal peduncle unarmed except for low lateral tooth with setae. Second segment with dorsomesial knob at articulation near basal margin; distal margin with sharp conical lateral spine and small lobe just mesial to it. Distal margin of third segment with dorsal, slightly lateral spinule, and lateral denticle. Dorsolateral projection of last segment terminating in small spine. Flagellum more than twice carapace length, reaching well beyond tip of chelipeds. Carpus of endopod of third maxilliped with several small tubercles in longitudinal, slightly lateral, row on extensor margin, terminating in sharp spinule on distal margin. Merus with sharp dorsal spine at distal end of extensor margin; proximal part of flexor margin projected into laterally compressed lobe with distal triangular tooth, often with smaller tooth distally adjacent. Ischium with dorsal tooth distally; flexor margin projected into ventral carina terminating in broader, blunter tooth; mesial carinate margin with corneous teeth. No epipods on chelipeds or ambulatory legs. Chelipeds 2 to 2 1/2 times carapace length. Manus less than 1/2 cheliped length, unarmed, slightly compressed dorsoventrally; width of manus 1/7 to 1/8 manus length in females. Dactylus approximately 1/2 length of manus; fingers fairly straight, finely toothed and abutting along entire length of dorsal opposing margins; tips slightly spooned; ventral surface excavate, gaped, with 4 distinctive tufts of heavy golden setae on mesial surface of each edge, and several smaller tufts. Carpus short, with sharp dorsal spine on distal margin; proximal dorsal surface with 2 rows of tubercles, becoming obscure distally. Merus with sharp spine at each of dorsolateral, dorsomesial and ventromesial angles of distal margin; dorsal surface with 3 large spines in longitudinal row, and smaller spine distal or proximal to these, 2 or 3 spines mesial to these; surface elsewhere tuberculace, setose, with setae conspicuous on mesial surfaces. Ischium with large conical tooth dorsally; ventral projection with smaller tooth near distal margin. Second, third and fourth pereiopods similar, setose, particularly on mesial surfaces and on all surfaces of dactyli. Dactylus of second pereiopod reaching to or just beyond distal margin of morus of cheliped. Dactylus shorter than propodus, but more than 1/2 length, curved; brown corneous tip strongly curved, followed on flexor margin by series of 6 or 7 sharp conical teeth, decreasing in size proximally, each with thick seta on anterior edge. Propodus unarmed, subcylindrical. Carpus short, obscurely tuberculate, unarmed. Merus shorter and broader proportionately proceeding from second to fourth pereiopods; dorsal edge slightly raised, obscurely tuberculate; dorsolateral surface tuberculate, tubercles more prominent on fourth pereiopod; unarmed except for small triangular tooth distolaterally, more prominent on second and third pereiopods. Ischium unarmed. Merus of fifth pereiopods expanded, 1 or 2 small teeth on flexor (ventral) margin. Uropods with posterolateral margin in 2 lobes; margin of anterior lobe irregular at articulation of exopod; posterior margin of posterior lobe with 2 or 3 blunt, obscure denticles. Telson broader than long, composed of 10 articulated plates; large lateral plate with low-rounded tubercle near center; posterior margin slightly indented. Color.--The specimens examined were preserved in alcohol and were devoid of any pigment except for the brown corneous tips of the periopodal dactyli, certain thick golden setae on the mouthparts and other appendages, and the translucent yellowish cornea. No records of color in this species were found in the literature. Size.--Only females are represented in the GERDA collections; 2 ovigerous females, cl. 16.5, 19.1 mm and 2 females without eggs, cl. 11.9, 16.2 mm (the latter with a large branchial parasite). Other material examined was within these ranges. Sexual dimorphism.--As indicated above, only female specimens of M. robusta were examined. These have the fingers of the cheliped abutting along their entire dorsal margins and only a few fine setae along the posterolateral margins of the telson. Habitat.--The bottom type was recorded at only one of the GERDA stations where this species was collected: it consisted of pteropods and grey mud. Type.--The holotype is an ovigerous female, cl. approximately 17 mm; MCZ 6339. Type locality.--Off Granada, BLAKE Sta. 258, 281 m (159 fm). Geographic range.--Munidopsis robusta has been collected throughout the Gulf of Mexico, and in the western Atlantic from northern Florida to Surinam. This species appears to be more abundant and widespread in the Gulf of Mexico and on both sides of Florida than in any other area where it has been taken. It has not been collected in the Caribbean. Sea, except for the single type specimen from Grenada. Apart from the type locality and the localities listed herein, the following locations have been reported in the literature: NE Gulf of Mexico, southern Straits of Florida (Springer and Bullis, 1956: 15); east of northern Florida (Bullis and Thompson, 1965: 9); NW, SW and NE Gulf of Mexico (Pequegnat and Pequegnat, 1970: 155). Bathymetric range.--Possible and calculated depth ranges for the material examined are the same, 324-622 m. Possible depth range including previous records is 110-824 m; calculated range based on previous records is 110-476 m. Thus GERDA station 1099 in the Straits of Florida is the deepest confirmed record (622 m) for M. robusta. Parasites.--The branchial parasite on a specimen from G-970, is a bopyrid isopod identified as Pseudione, probably of an undescribed species. The only record of parasitism in M. robusta is an abdominal parasite, the type specimen of a rhizocephalan, Tortugaster fistularus Reinhard (1948: 33) found on a specimen of M. robusta from off Tortuga, Florida. Associates.--Other species of Munidopsis (M. erinaceus and M. polita) were taken with M. robusta at only one GERDA station. Relationships.--A. Milne Edwards and Bouvier (1897: 71) suggested affinities between Munidopsis robusta and M. serratifrons (A. Milne Edwards); the latter, however, is a much smaller species with a prominent pair of gastric spines, 2 medial cardiac spines, 3 pairs of posterior branchial spines, more abdominal spines, a carinate rostrum and immovable eyestalks in addition to numerous other distinguishing characters. The general shape of the carapace and rostrum is somewhat similar, however, and this species may be M. robusta's closest western Atlantic relative. M. sericea Faxon and M. margarita Faxon from the eastern Pacific were also reported as closely related to M. robusta; the first definitely belongs in the group with 2 sharp lateral spines on the rostrum which contains M. erinaceus and M. spinifer, rather than with M. robusta. M. margarita, however, is closer to M. robusta. M. margarita also displays a close similarity in many features with M. serratifrons which serve to distinguish both from M. robusta. Remarks.--All reports in which the sex of the specimens examined is presented indicate that so far only females of this species have been collected. As the reports of Springer and Bullis (1956: 15) and Bullis and Thompson (1965: 9) do not give details about the fairly large quantity of material they had, it is possible that some males were collected by the OREGON. Munidopsis rostrata (A. Milne Edwards, 1880) Figures 39, 40 Galacantha rostrata A. Milne Edwards, 1880: 52.--Smith, 1882: 21, pl. IX, figs. 2, 2a; 1884: 355.--A. Milne Edwards and Bouvier, 1894: 271 (key), 322; 1897: 60-63, pl. IV, figs. 21-24; 1900: 308-311, pl. VI, fig. 9 (color).--Faxon, 1893: 180; 1895: 78-79, pl. B, figs. 1, la. --Benedict, 1902: 304-305 (list).--Stebbing, 1908: 20.--Hansen, 1908: 35-36.--Fowler, 1912: 575-576.--Doflein and Balss, 1913: 174 (table). Perez, 1927: 285 (sexual dimorphism).--Barnard, 1950: 494, fig. 92, e-f.--Haig, 1955: 39-40.--Tirmizi, 1966: 206 (key), 206-209, figs. 23, 24.--Kensley, 1968: 284 (list), 292. Munidopsis rostrata: Smith, 1885: 493; 1886: 649, pl. VI, figs. 1, la. --Chace, 1942: 72 (key), 75-76.--Pequegnat and Pequegnat, 1970: 138 (key); 1971: 4 (key).--Miyake and Baba, 1970: 95 (list). Galacantha Talismani Filhol, 1885, pl. 3.--Perrier, 1885: 295, 341, fig. 242, no. 8. Galacantha talismanii: Henderson, 1888: 167, pl. XX, fig. 1. Galacantha bellis Henderson, 1885: 418; 1888: 167-168, pl. XIX, fig. 6. --Murray, 1895: 1129. Galacantha areolata Wood-Mason and Alcock, 1891: 200.--Alcock and Anderson, 1894: 173.--Illustrations of Zoology of the Investigator, Crustaceans, 1901: pl. 55, figs. 5, 5a. Galacantha investigatoris Alcock and Anderson, 1894: 173.--Illustrations of Zoology of the Investigator, Crustaceans, 1901: pl. 12, fig. 4. --Benedict, 1902: 304 (list). Galacantha rostrata var. Investigatoris Alcock, 1901: 275 (key), 276-277. Distribution plot 15.--Montidopsis rostrata (A. Milne Edwards, 1880) collected by the Pillsbury. Figure 39. --Munidopsis rostrata (A. Milne Edwards, 1880), ♂, cl. 21.7 mm, P-844: a, lateral view of carapace and abdomen; b, posterior abdominal segments, uropods and telson; c, dorsal view. Some setae omitted. Figure 40. --Munidopsis rostrata (A. Milne Edwards, 1880), ♂, cl. 21.7 mm, P-844: a, right third maxilliped, ventrolateral view; b, rostrum, eye, antennule and antenna, ventrolateral view; c, dactylus of right third pereiopod, lateral view. \[ \frac{a, b}{c} = \frac{10 \text{ mm}}{5 \text{ mm}} \] Galacantha faxoni Benedict, 1902: 304 (new name for Faxon's material). Material examined.--Off Atlantic coast of Colombia: P-782, 2669-2626 m, 1 ♂, 26.3 mm, (RMNH).--Off Tobago: P-844, 1464-1848 m, 1 ♂, 21.7 mm (with abdominal parasite), 1 ♀, 20.0 mm, UMML 32:5266.--Gonave Bay, Haiti: P-1181, 2489-2548 m, 1 ♀, 11.5 mm, (RMNH). See distribution plot 15. Diagnosis.--Rostrum narrow, horizontal proximally with strong distal up-turn, armed laterally at distal part of horizontal portion; gastric region of carapace with prominent pair of spines anteriorly and huge laterally-compressed spine projecting upward from posterior part; frontal margin unarmed between rostrum and sharp anterolateral spine; posterior margin unarmed; median spine on second, third and fourth segments; eyes unarmed; epipods on chelipeds and first 2 pairs of ambulatory legs. Description.--Carapace longer than broad (cw/cl = 0.82-0.89), moderately convex transversely; cervical groove discernible as smooth crescent in center of tuberculate carapace, anterior and posterior lateral branches obscure; postcervical groove broader, smooth, extending across central 1/3 of carapace, terminating laterally in depressions; anterolateral to each of these, on either side of gastric region, another smooth rounded depression. Anterior gastric region with pair of prominent conical spines; posterior gastric region with huge laterally-compressed median spine projecting dorsally and slightly anteriorly; anterior ridge of cardiac region with median spine equal in size to anterior gastric spines. Rostrum narrow, dorsally carinate, horizontal in basal portion; distal portion projecting upwards as laterally-compressed spine similar to median gastric spine; pair of smaller spines projecting anterolaterally and slightly upward from distal termination of horizontal portion, followed on base of lateral margins by 1 or more pairs of smaller teeth. Frontal margin unarmed between base of rostrum and large, flattened anterolateral spine; anterolateral spine followed by longer similar spine projecting anterolaterally from lateral margins and occasionally by additional small triangular tooth. Lateral margin with notch indicating termination of posterior branch of cervical groove, followed by triangular tooth or blunt tuberculate protuberance. Raised ridge bordering posterior margin of carapace sharply carinate; carina followed by transverse line of tubercles; area with sculpturing broader at posterolateral angles. Abdomen with large median spine on anterior ridge across center of second, third and fourth tergites. Two transverse tuberculate carinae across tergites; pleura with coarser tubercles, especially on second segment; anterior ridge interrupted laterally, with tuberculate swelling lateral to depression. Fifth segment smooth, unarmed, with slightly oblique nearly longitudinal channel in same location as depressions on preceding tergites; center obscurely punctate, weak tubercles laterally and on sixth tergite. Sixth tergite with channels shallower, more oblique. Sternum with intersegmental grooves and setiferous ridges distinct; anterior plate between chelipeds concave, occasionally with pair of rounded tubercles; longitudinal median furrow between pereiopods on second through fourth sternites. Eyes movable, prominent, unarmed; cornea ovoid, slightly inflated. Short tooth emerging from intersection of bases of eyestalk, antenna and antennule. Basal segment of antennular peduncle enlarged; lateral swelling tuberculate anteriorly; distal margin with large, slightly incurving dor- solateral tooth, short dorsomesial tooth, and minutely denticulate ven- tral projection. All setae associated with tubercles and margins long and fine. Basal segment of antennal peduncle broad, immovable; distal margin with small triangular ventromesial projection, and larger, blunter later- al projection. Second segment broad, with small tooth proximally at mesial articulation; triangular lateral projection on distal margin with groove and small lobe mesially on dorsal surface; ventromesial tubercu- late protuberance near distal margin. Third segment with scattered tu- bercles; distal margin with dorsolateral and ventromesial minutely den- ticulate crests. Distal margin of fourth segment with dorsolateral part projected anteriorly. Antennal flagellum 3 to 4 times carapace length. Ischium of endopod of third maxilliped terminating distally in tri- angular point on ventromesial angle and small tooth dorsolaterally. Me- rurus with broad basal tooth on flexor margin followed by smaller sharp spine, 2 spines, or bifid spine; lateral surface and extensor margin tuberculate. Carpus with lateral part of extensor margin slightly ex- panded, weakly tuberculate. All pereiopods with tubercles, usually multidenticulate, arranged over most exposed surfaces. Epipods present on chelipeds and first 2 pairs of ambulatory legs. Chelipeds approximately 1 1/2 times carapace length. Dactylus more than 1/2 length of manus; fingers dorsoventrally compressed; dorsal sur- faces smooth; opposing margins toothed and abutting along entire length; tips spooned with large teeth; fingers gaped ventrally. Manus approxi- mately 1/2 length of cheliped; palm broader than fingers; dorsal palmar surface with coarse tubercles arranged in irregular longitudinal rows, sculpturing weaker on ventral surface. Carpus more than 1/3 length of chela, with large dorsomesial spine on distal margin; 1, 2 or 3 smaller triangular spines dorsolaterally near distal margin. Merus shorter than chela, armed distally with sharp mesial, ventromesial and lateral spine; distal margin with denticulate crest dorsally, with small triangular tooth near lateral termination. Ischium with conical dorsal tooth and ventral tooth near distal termination of ventral prolongation. Second, third and fourth pereiopods quite similar. Dactylus of second pereiopod reaching beyond chelipeds, dactyli of third and fourth pereiopods reaching middle of dactylus of preceding leg. Dactylus approximately 1/2 length of propodus, corneous brown tip followed on flexor margin by series of approximately 18 small triangular teeth, each armed on anterior edge with short curved setae; distal half of extensor margin with 2 parallel rows of setae forming fringe. Propodus slender, subcylindrical, tubercles arranged in longitudinal rows on dorsal and lateral surface; tubercles weaker, sparse on ventromesial surface; ventral surface with lobe lateral to notch near distal margin bearing movable spinule. Carpus slightly more than 1/3 length of propodus; flexor margin slightly expanded, coarsely tuberculate; distal tubercles prominent; longitudinal row of smaller tubercles dorsolaterally. Merus with terminal triangular spine on either side of lobe on distal margin, dorsomesial spine larger. Ischium with small dorsal tooth on distal margin. Merus of fifth pereiopod tuberculate on exposed lateral surface; cristaate flexor margin with several ventral projections. Protopod of uropod with posterior lobe notched, minutely serrate lobe lateral to notch and 2 small teeth mesial to notch. Exposed surface of protopod and endopod tuberculate. Telson broader than long, narrower anteriorly and posteriorly; divided into 10 plates, medial plate slightly inflated; tubercles arranged somewhat symmetrically on mesial part of most plates; posterior margin with medial indentation. Color.--A color slide of a freshly-caught Munidopsis rostrata shows the animal to be completely red-orange, with the spines, distal segments of the appendages and antennae slightly darker, and the corneae paler orange. Smith (1884: 355) reported the colors of recently-preserved material collected off the east coast of the United States as dark purplish-red, with lighter red antennal flagella and nearly white eyes. A. Milne Edwards and Bouvier (1900:311) reported the general color of the body as white tinted with orange, with spines of the "shell" and appendages, the sides and numerous band on the abdomen, and the greatest part of the surface of the legs vivid orange, as are the ocular peduncles. The colored figure (A. Milne Edwards and Bouvier, 1900: pl. VI, fig. 9) shows the colors as described above, except that the background color appears to be more yellowish. Hansen (1908: 36) reported the INGOLF specimens as reddish-yellow, with pale red eyes. The material examined is preserved in alcohol and is chalky or creamy white except for the brown corneous tips of the ambulatory dactyli and the golden color of thicker setae. Alcock (1901: 276) reported specimens from the Indian Ocean varying from dull chalky-orange to bright orange-red with whitish patches. Size.--Specimens taken by the PILLSBURY fall within the following ranges: ♂, cl. 21.7-26.3 mm, and ♀, cl. 11.5-20.0 mm. Males have been reported with cl. equalling 34.5 mm (Smith, 1882: 355); thus M. rostrata attains a larger size than most other species in the genus. Sexual dimorphism.--The most striking secondary sexual character is the "comb" of thick golden setae on the posterolateral margins of the telson of the males; marginal setae are completely lacking in this location on the females. The males have the fingers of the cheliped abutting along their entire margins, as do the females. Habitat.--The bottom at P-1181 consisted of fine yellow mud. Globigerina ooze and blue mud are the principle bottom types reported for stations where M. rostrata has been collected previously. Type.--The holotype is a female with cl. approximately 18 mm, MCZ 4740. Type locality.--Off Bequia, Lesser Antilles, BLAKE Sta. 236; 2912 m (1591 fm). Geographic range.--This species is one of the most widespread in the genus, having been taken on both sides of the Atlantic and Pacific Oceans as well as in the Indian Ocean. This report extends its Caribbean range south to the coast of Colombia, and further south in the western Atlantic to Tobago. Locality records found in the literature are as follows: Western North Atlantic: off eastern coast of United States (Smith, 1882: 21; 1884: 355; 1886: 649); Caribbean Sea: S of Cuba (Chace, 1942: 76), Lesser Antilles (A. Milne Edwards, 1880: 33); North Atlantic, W of Iceland (Hansen, 1908: 36); eastern Atlantic: near Canary Islands (A. Milne Edwards and Bouvier, 1900: 311), near Cape Point, South Africa (Stebbing, 1908: 20; Barnard, 1950: 494; Kensely, 1968: 292); eastern Pacific: off coast of Chile (Henderson, 1885: 418), Gulf of California and near the Galapagos (Faxon, 1895: 78); western Pacific, near Banda (Henderson, 1888: 167); and the Indian Ocean: Bay of Bengal (Wood-Mason and Alcock, 1891: 200), Arabian Sea (Alcock and Anderson, 1894: 33). Bathymetric range.—Munidopsis rostrata is a deep-water species, which has not been found shallower than 1600 m. Possible depth range for specimens collected by the PILLSBURY is 1464-2669 m; calculated depth range is 1848-2626 m, which falls within the previously reported range of 1647-2912 m. Parasites.—The male specimen from P-844 has a small rhizocephalan, probably Sacculina sp., attached beneath the second segment of the abdomen. No other parasites were found on the material examined. No records of parasitism in this species were found in the literature. Associates.—Munidopsis rostrata was the only Munidopsis taken at 2 of the 3 PILLSBURY stations where it was found. Relationships.—Munidopsis rostrata is a member of the relatively distinctive Galacantha complex of species with extreme development of carapacial spines. The old genus Galacantha was one of the last to be merged with Munidopsis. Although Smith (1885: 493) included it in Munidopsis, citing M. bairdi as intermediate, several recent authors (Barnard, 1950: 494; Haig, 1955: 39; Tirmizi, 1966: 206; and Kensley, 1968: have continued to split the two, despite the arguments and additional intermediate species (M. cubensis Chace, M. expansa Benedict and M. gilli Benedict) presented by Chace (1942: 69). Chace admits that the typical forms can be recognized readily by the abnormal development of dorsal carapacial spines, but he states that the latter three species, along with G. camelus Ortmann, show the unreliability of the form of the rostrum (horizontal proximally with distinct distal upturn) which A. Milne Edwards and Bouvier considered so important in defining the genus. There is no question, however, that the Galacantha-like species are closely related to one another. There has been some controversy over the validity of some of the species included in the synonymy of M. rostrata, but there is general agreement (Chace, 1942: 76; Stebbing, 1908: 20; and Faxon, 1895: 79) that M. rostrata is a variable abyssal species distributed world-wide. Munidopsis spinosa (A. Milne Edwards) is the closest relative to M. rostrata in the western Atlantic; the former can be easily distinguished from M. rostrata by the lack of lateral spines on the rostrum and the greater number of median cardiac spines on the carapace. Munidopsis trachynotus Anderson and M. valdiviae Doflein and Balss, from the Arabian Sea and the east coast of Africa respectively, are very close to M. rostrata, both having the basal portion of the rostrum armed with lateral spines. M. trachynotus, however, has the posterior margin of the carapace as well as the lateral parts of the abdominal carinae armed with a row of small spines and the general sculpturing of the carapace is more spinulate. M. valdiviae has only one prominent anterolateral spine, rather than two. M. diomedae Faxon, from the eastern Pacific, has no lateral spines on the rostrum, smaller gastric spines than M. rostrata, rugose sculpturing posterolaterally on the carapace, and often lacks a median spine on the fourth abdominal tergite. Munidopsis serratifrons (A. Milne Edwards, 1880) Figures 41, 42 Galathodes serratifrons A. Milne Edwards, 1880: 55. Munidopsis serratifrons: Henderson, 1888: 149-150, pl. XVI, fig. 3.--A. Milne Edwards and Bouvier: 275 (key); 1897: 78-80, pl VI, fig. 1-5. --Young, 1900: 407 (key), 410-411.--Benedict, 1902: 277 (key), 326 (list).--Doflein and Balss, 1913: 175, 176 (lists), 178 (table).-- Chace, 1942: 73 (key), 85-86.--Pequegnat and Pequegnat, 1970: 139 (key), 155-156, table 5-3; 1971: 5 (key). Material examined.--Bahama Islands: G-190, 733-897 m, 1 ♂, 7.8 mm, (RMNH); G-191, 824-860 m, 2 ♀, 9.2, 11.0 mm, (USNM); (Mayaguana Passage) P-1438, 770-742 m, 1 ovigerous ♀, 6.0 mm, UMML 32:5268.--Off Yucatan, Mexico: P-607, 715-787 m, 1 ♂, 8.4 mm, 1 ♀, 7.2 mm, UMML 32:5267. Distrib.plot 16. Diagnosis.--Rostrum unarmmed, lateral margins serrate, nearly horizontal or gently flexed upward; gastric region of carapace with 1 pair of widely-spaced sharp spines; frontal margin unarmed, post-antennal lobe with denticles, but no major spine; posterior margin armed with 1 pair of sharp curved spines; second and third abdominal tergites with lateral spine on either side of medial spine, third with additional medial spine, fourth with single medial spine; eye with dorsomesial denticle on surface of cornea; no epipods or pereiopods. Description.--Carapace, measured from behind eyes, slightly longer than broad (cu/cl = 0.85-0.95), broadest posteriorly; dorsal surface evenly granulate or tuberculate, tubercles spinulate anteriorly; cervical groove distinct, transverse centrally behind gastric region, turning forward Distribution plot 16.—Munidopsis serratifrons (A. Milne Edwards, 1860) collected by the GERDA and PILLSBURY. Figure 41. --Munidopsis serratifrons (A. Milne Edwards, 1880), ♀, cl. 7.2 mm, P-607, dorsal view, left fourth pereiopod missing. Figure 42. --Munidopsis serratifrons (A. Milne Edwards, 1880). ♂, cl. 11.0 mm, G-191: a, lateral view of carapace and abdomen, only major setae on carapace shown; d, carpus and manus of cheliped, dorsal view, setae not shown; e, right third maxilliped, ventrolateral view. ♀, cl. 9.2 mm, G-191: b, right antennular peduncle, lateral view, setae omitted; f, posterior abdominal tergites, telson and uropods (exopods hidden beneath endopods). ♀, cl. 7.2 mm, P-607: c, right antennal peduncle, dorsal view, setae omitted. All scales in mm. laterally; anterior branch distinct, continuing obliquely to lateral margin; posterior branch less distinct as shallow smooth depression; postcervical groove adjacent and posterior to central part of cervical groove, extending across central third of carapace, connecting pair of small oval depressions on either side in front of cardiac region. Gastric region greatly inflated, armed anteriorly with large pair of spines, medial tuberosity with several long thick setae slightly anterior to spines; larger medial swelling posterior to spines flanked by small spinulate protuberance on either side, similar protuberances arranged symmetrically anterolateral, lateral and posterior to major spines. Center of inflated cardiac region with large spine curved forward, followed by smaller spine; metabranchial region with longitudinal series of 3 large projections near lateral margins: most anterior spine largest, curved anteromesially, followed by small tooth-like tuberculate protuberance. Rostrum approximately 1/3 carapace length, broad at base, lateral margins subparallel, smooth between eyes, serrate distally, tapering to apex; rostrum nearly horizontal or flexed upward from base; dorsal surface with evenly distributed granules on either side of strong medial carina; carina denticulate in distal 2/3; 1 pair of tubercles prominent near base; ventral surface smooth. Frontal margin curving smoothly behind eyes to rounded postantennal lobe, armed anteriorly with several minute denticles. Anterolateral spine large, well-developed. Lateral margin with similar spine just behind termination of anterior branch of cervical groove; spinules or tubercles enlarged just behind lateral termination of posterior branch of cervical groove. Posterior margin inflated, armed with pair of large curved spines and many small granules. First abdominal tergite with knob or tubercle on articular flange. Second tergite with prominent rounded tooth projecting posterolaterally from raised anterior margin near articulation with first segment; anterior part of segment smooth; posterior part with 2 transverse carinae: first indistinct medially, forming rounded denticulate ridge most prominent approximately 1/2 distance from center of tergite to pleural margin; second carina rounded, extending across tergite with 3 large curved spines centrally on posterior margin; 2 small teeth lateral to these; carina interrupted by short deep channel, then extending laterally from rounded swelling, curving slightly forward, and forming ornately spinulate crest; pleuron with granules on excavate dorsal surface. Third segment with large curved medial spine on anterior carina; carina extending laterally to margins as continuous dentate crest; second carina with large curved medial spine flanked on either side by a smaller curved spine and 2 small protuberances; channel interrupting swelling similar to preceding segment, rounded protuberance lateral to this followed by granules, but no projected ridge. Fourth segment with cristate anterior carina armed medially with large curved spine, followed by transverse swelling across tergite with rounded tubercle at lateral termination; larger tubercle lateral to indentation and smaller tubercles lateral and slightly anterior to this, occasionally with medial tubercle. Fifth segment relatively smooth, obscure swelling in position of posterior carina of previous segments and 3 lateral tubercles as above. Central portion of sixth tergite quadrate, posterior margin with posterolateral lobe; obscure tubercle lateral to this and 1 even more distinct lateral and anterior to this on mesial surface of slightly concave pleuron. Sternum unarmed; intersegmental ridges distinct with setae following broad depression between coxae of pereiopods. Eyes large, immovable; eyestalk short, barely visible at base of slightly elongate cornea, extending out onto dorsomesial surface of cornea terminating in small but distinct spinule and strong setae along forward edge. Basal segment of antennular peduncle with proximal half inflated laterally, swelling armed with several small tubercles or spinules on leading edge; dorsal margin expanded with series of irregular sharp teeth or spinules in longitudinal row, varying in size, but terminating in large sharp conical spine; distal portion narrower, with larger sharp distal spine dorsally and 2 small teeth below this. Second segment reaching tip of rostrum. Third segment and flagellum extending beyond rostrum. Basal segment of antennal peduncle with large ventromesial spine, often with denticies on lateral edge. Second segment with large lateral spine on distal margin, spinule on mesial margin and dorsal protuberance proximally near basal articulation. Distal margin of third segment with small mesial, dorsal and lateral teeth. Fourth segment with lateral portion and projected mesial portion terminating in triangular tooth. Flagellum extending just beyond distal margin of merus of cheliped. Carpus of endopod of third maxilliped with 6 or 7 small teeth along dorsal edge. Flexor margin of merus with 3 conical spines, basal spine largest, small one near distal margin; extensor margin with series of approximately 4 sharp spinules along dorsal edge, distal spinule largest; spinulate tubercles arranged evenly over lateral surface. Ischium with ventral carina terminating in sharp spine distally; dorsolateral edge with similar spine distally; ventrolateral face with several tubercles. Pereiopods spinulate on all dorsal and lateral surfaces; sculpturing obscure on dactyli. No epipods on chelipeds or ambulatory legs. Chelipeds 3 to 4 times carapace length, slightly compressed dorsoventrally; mesial surface with long curved setae, especially prominent on merus. Width of manus 1/5 to 1/6 manus length. Dactylus less than 1/2 length of manus. Fingers toothed along entire length of opposing margins dorsally; proximal half gaped, very narrow in females, pronounced in males; fingers hollowed ventrally, tips curved, spooned; dorsolateral and dorsomesial surfaces with short transverse rows or clusters of denticles, sometimes obscure. Manus with distinct longitudinal row of 6 or 8 small spines on dorsomesial edge, several other prominent spinules arranged irregularly on dorsal surfaces; ventral surface relatively smooth, with minute, often obscure tubercles. Carpus approximately 1/3 length of manus; large curved spine prominent on dorsomesial edge about 1/3 length from distal end; 3 longitudinal rows of 6 or more small spines located on dorsomesial, dorsal and dorsolateral ridges, with spine at distal termination. Merus approximately same length as manus; distal margin with slender sharp mesial and ventromesial spine; smaller lateral spine behind articular lobe and similar spine posterior and slightly dorsal to this; mesial surface with large curved spine about 1/2 length from distal margin, and 2 similar spines more proximally. Short ischium with conical dorsal spine. Second, third and fourth pereiopods similar, slender, spiny. Dactylus of second pereiopod reaching to distal margin of merus of cheliped. Dactylus slightly more than 1/2 length of propodus, curved, tip corneous; flexor margin with series of 12 or more slender corneous spinules mounted on obscure swellings; extensor surface with obscure denticulate sculpturing, more distinct proximally; mesial surface with several tubercles in oblique row near proximal margin. Propodus with several longitudinal rows of spinules; row of 7 to 10 on lateral face most distinct; dorso- lateral and dorsal row more irregular; dorsolateral row extending to dis- tal margin. Carpus approximately 1/2 length of propodus, armed distally on extensor (dorsal) margin with small, sharp spine, followed by 3 sharp spinules; longitudinal row of approximately 6 spinules lateral to this on dorsolateral edge; lateral surface with 2 or 3 spinules. Merus of second pereiopod slightly longer than propodus, proportionate length of merus decreasing in third and fourth pereiopods; dorsal (extensor) margin raised, with several small spines along edge, proximal spines more promi- nent, terminating in conical spine on distal margin; ventral edge with many similar spines, and 1 on distal margin; lateral surface with spinules in irregular longitudinal rows; mesial and ventral surfaces relatively smooth. Ischium with small tooth dorsally and several spinules on mesial surface and on distolateral margins. Merus of fifth pereiopods slightly expanded; distal 2/3 of lateral surface densely spinulate. Protopod of uropods with 2 separated denticles on posterolateral margin, occasionally 2 denticles in place of lateral one. Endopod with several short calcified setae on exposed surface and on posterior margin. Telson composed of 7 plates; small swelling slightly anterolateral to center of slightly concave lateral plate, and several minute tubercles on mesial portion; similar tubercle near posterolateral margin of antero- lateral plate; posterior plates each with longitudinal row or 5 or 6 ob- scure tubercles; posterior margin barely indented medially. Color.--All specimens examined were preserved in alcohol and were devoid of any pigment except for pale brown corneous tips on the dactyli of pereiopods, and the golden color of the larger setae. Size. --♂, cl. 7.8 l! 0 mm, ♀, cl. 7.2 mm, and ovigerous ♀, cl. 6.0 mm. The only size recorded in the literature is for the type specimen which falls within these ranges. Sexual dimorphism. --Males have the typical comb of thick golden setae on the lateral margins of the telson; this comb is lacking in females. Fingers of the cheliped are abutting along their dorsal length in females, while they are noticeably gaped in the larger males, and to a lesser degree in the smaller males. No obvious difference in the breadth of the abdomen was observed between sexes. Habitat. --The bottom types at stations where Munidopsis serratifrons was taken were characterized variously as white clay, dead coral and rubble with pteropod shells and fine sediment. Type. --The holotype is a male with cl. approximately 3 mm, MCZ 4748. Type locality. --Off Dominica, BLAKE Sta. 185, 609 m (333 fm). Geographic range. --Munidopsis serratifrons is known in the western North Atlantic from Bermuda to Dominica, from the Bahamas and Cuba, and in the Caribbean from off Yucatan. Apart from the type locality, records in the literature are: off Bermuda (Henderson, 1888: 149); off Havana, Cuba (Benedict, 1902; 326); and north coast of Cuba (Chace, 1942: 86). Bathymetric range. --Possible range for the GERDA and PILLSBURY material is 715-897 m; calculated depth range is 770-824 m. If previous records are included, possible and calculated ranges are the same, 604-1908 m, with the CHALLENGER record of 1075 fm off Bermuda greatly increasing the bathymetric range of this species. Parasites.--The material examined is without any external evidence of branchial or abdominal parasitism; no reports of parasites were found in the literature. Associates.--Other Munidopsis were taken at only 2 of the 4 GERDA and PILLSBURY stations where M. serratifrons was collected. Relationships.--The relationship between M. serratifrons and M. robusta (A. Milne Edwards) is discussed in the species account of the latter. Although these two species have in common the general shape of the carapace and the lack of pereiopodal epipods, M. robusta has the rostrum without a medial carina, the dorsal sculpturing on the carapace not as distinctly spinose, no posterior branchial spines, only 1 blunt medial spine or tooth on the posterior carapacial margin and on each of the second, third and fourth abdominal tergites. A. Milne Edwards and Bouvier (1897: 80) mentioned an affinity of M. serratifrons with M. ornata Faxon, pointing out, however, that the abdomen of the latter species is completely unarmed. They failed to mention the even closer similarity to M. margarita Faxon as revealed by the illustrations of this species from the eastern Pacific (Faxon, 1895: pl. XX, fig. 2); this species has more spines on the gastric region and posterior margin of the carapace, and on the abdominal tergites; the armature of the frontal margin of the carapace was not well described and may have been illustrated incorrectly, as the figure distinctly shows 2 post-antennal spines. Unfortunately the chelipeds were missing from the type specimen of M. margarita. Munidopsis hastifer Benedict, from Japan, is another close relative of M. serratifrons. It appears from the original description and illustration of the former, however, that M. hastifer has many more spines on all regions of the carapace and has the chelipeds broader and somewhat shorter than does M. serratifrons. Munidopsis sigsbei (A. Milne Edwards, 1880) Figures 43, 44 Calathodes Sigsbei A. Milne Edwards, 1880: 56-57. Munidopsis sigsbei: Henderson, 1888: 150-151, pl. 18, fig. 2.--A. Milne Edwards and Bouvier, 1894: 275 (key); 1897: 83-88, pl. V, figs. 8-26.--Young, 1900: 406 (key), 407-408.--Benedict, 1902: 276 (key), 326 (list).--Schmitt, 1935: 179 (key), 181.--Chace, 1942: 73 (key), 82-83.--Springer and Bullis, 1956: 15.--Pequegnat and Pequegnat, 1970: 139 (key), 156, fig. 5-1, table 5-2; 1971: 5 (key). Munidopsis sigsbevi: Doflein and Balss, 1913: 176 (list), 178 (table). Material examined.--Straits of Florida: G-121, 1281 m, 2 ♂, 7.0, 13.0 mm, UMML 32:5281; G-129, 1281 m, 1 ♂, 11.1 mm, UMML 32:5282; G-130, 1021 m, 1 ♂, 13.5 mm, 1 ♀, 14.8 mm, UMML 32:5283; G-223, 897-915 m, 1 ♂, 15.4 mm, (USNM); G-226, 802-805 m, 1 ♂, 11.0 mm, UMML 32:5284; G-368, 961-1016 m, 1 ♂, 7.5 mm, 3 ♀, 7.2-11.0 mm, (USNM); G-372, 1107-1162 m, 1 ♂, 13.5 mm, 1 ♀, 14.4 mm, 1 ovigerous ♀, 11.1 mm, (USNM); G-374, 1208-1241 m, 2 ♂, 12.6-16.5 mm, 3 ♀, 8.5-12.5 mm, UMML 32:5285; G-375, 1153-1190 m, 3 ♂, 7.6-15.7 mm, 1 ovigerous ♀, 12.6 mm, (RMNH); G-448, 1135-1184 m, 1 ♂, 10.5 mm, UMML 32:5275; G-449, 1373-1428 m, 1 ♂, 9.6 mm, UMML 32:5276; G-859, 1162-1201 m, 1 ♂, 12.8 mm, (RMNH); G-860, 724-755 m, 1 ♀, 11.0 mm, UMML 32:5277; G-963, 1442-1455 m, 1 ♀, 11.9 mm, UMML 32:5278; G-965, 1395-1400 m, 1 ♂, 16.0 mm, (RMNH); G-980, 920 m, 1 ♂, 9.5 mm, UMML 32:5279; G-1111, 1080-1089 m, 1 ovigerous ♀, 11.0 mm, UMML 32:5280; P-636, 1003-1336 m, 2 ♀, 12.5, 15.7 mm, (USNM).--Off Atlantic coast of Colombia: P-364, 924-950 m, 1 ♂, 12.5 mm, 1 ♀, 7.4 mm, UMML 32:5271; P-388, 814-1050 m, 1 ♂, 18.0 mm, 1 ♀, 14.8 mm, UMML 32:5272; P-407, 1158-1225 m, 8 ♂, 12.0-16.3 mm, 3 ♀, 9.0-14.8 mm, 7 ovigerous ♀, 11.4-16.7 mm, UML 32:5273.--Off Atlantic coast of Panama (Golfo de los Mosquitos): P-448, 952-869 m, 1 ♀, 10.6 mm, (USNM).--Off Venezuela: (S of Orchilla), P-741, 1052-1067 m, 10 ♂, 7.4-18.8 mm, 7 ♀, 10.0-17.0 mm, 1 ovigerous ♀, 16.1 mm, (USNM); (off Los Roques) P-747, 1098-1175 m, 1 ♂, 9.5 mm, with abdominal parasite, (USNM); (N of Golfo de Venezuela) P-770, 1299-1318 m, 1 ♂, 19.0 mm, (USNM).--Off Surinam: P-672, 1221-1336 m, 1 ♂, 10.8 mm, (USNM); P-675, 1235-1272 m, 18 ♂, 10.9-21.8 mm, 9 ♀, 12.2-17.4 mm, 5 ovigerous ♀, 13.7-20.0 mm, (USNM); P-673, 1042-1070 m, 3 ♂, 14.5-22.0 mm, 2 ♀, 11.5, 20.1 mm, 2 ovigerous ♀, 14.0, 17.0 mm, UML 32:5269; P-682, 1318-1345 m, 2 ♂, 5.6, 14.0 mm, UML 32:5270.--Off Tobago: P-846, 659-1126 m, 2 ♂, 15.1, 18.7 mm, (RMNH); P-847, 733-1281 m, 5 ♂, 14.7-19.4 mm, 1 ovigerous ♀, 12.7 mm, (RMNH).--Off Monserrat and Nevis: P-954, 686-1043 m, 2 ♂, 12.0, 13.6 mm, 2 ♀, 9.6, 11.5 mm, UML 32:5274.--Off Martinique: P-892, 116-1354, 1 ♀, 11.8 mm, (USNM).--W of Haiti: P-1187, 1087 m, 1 ♂, 6.6 mm, 1 ♀, 6.3 mm, (RMNH).--S of Jamaica: P-1224, 878-906 m, 2 ♂, 14.0, 17.8 mm, (RMNH); P-1261, 595-824 m, 4 ♂, 13.8-16.0 mm, 1 ♀, 10.0 mm (USNM).--SW of Jamaica: P-1235, 1226-1629 m, 1 ♂, 10.0 mm, (USNM). See distribution plot 17. Diagnosis.--Rostrum long, simple, spine-like, horizontal; dorsal surface of carapace unarmed; frontal margin unarmed; anterolateral spine short; lateral margin unarmed except for obscure denticles anteriorly; posterior marginal rim armed with 1 to 5 spines near midline; abdominal segments unarmed; eyestalks long, no eyespines; epipods on chelipeds, but not on ambulatory legs. Description.--Carapace distinctly longer than broad (cw/cl = approximately 0.65-0.70); gastric region inflated, delimited posteriorly by broad Distribution plot 17.—Manidensis sigsbei (A. Milne Edwards, 1880) collected by the GERDA and PILLSBURY. +3 stations off Surinam not shown Figure 43. --Munidopsis sigsbei (A. Milne Edwards, 1880), c, cl. 12.6 mm, G-374. Figure 44. --Munidopsis sigsbei (A. Milne Edwards, 1880). Ovigerous ♀, cl. 11.5 mm, P-407: a, lateral view of carapace and abdomen. ♂, cl. 19.0 mm, P-675: b, posterior abdominal segments, uropods and telson. ♀, cl. 12.5 mm, P-675: c, right chela and carpus, dorsal view. ♂, cl. 17.8 mm, P-1224: left chela and carpus, dorsal view. ♂, cl. 16.0 mm, G-965: d, endopod of right third maxilliped, ventrolateral view. ♀, cl. 9.5 mm, P-675: f, anterior carapace with aberrant rostrum. Setae shown on b and e only, scales in mm. central portion of cervical groove; shallower postcervical groove separating metagastric and cardiac regions, and narrower branchiocardiac grooves. Anterior gastric region smooth, low transverse striae with minutely dentate anterior borders on posterior half; similar sculpturing on posterior surfaces of carapace, more continuous and distinct across inflated cardiac and metabranchial regions, forming small crest on anterior margin of cardiac region, and lower ridge on anterior margin of metagastric region. Rostrum more than 1/3 carapace length, horizontal, with rounded dorsal carina, tapering distally; lateral margins unarmed except for minute anteriorly-projecting teeth, widely-spaced. Frontal margin unarmed between base of rostrum and small anterolateral spine; lateral margins unarmed except for occasional minute tooth or tubercle anteriorly. Posterior raised rim of carapace armed medially with usually 1 to 5 sharp spines, occasionally more. Abdominal tergites without spines. Second segment with sharp transverse carina extending across tergite anteriorly; slight transverse swelling posterior to this. Third tergite with lower rounded carina anteriorly, posterior swelling ill-defined. Fourth, fifth and sixth abdominal tergites nearly smooth. Sternum unarmed; intersegmental ridges sharp. Eyestalks movable, relatively long, slightly compressed and dilated at base, narrowing distally; cornea slightly wider than distal part of peduncle, reaching approximately 1/3 length of rostrum; eyestalk with scattered setae but otherwise unarmed. Sharp broad spine emerging from plate at intersection of bases of eyestalk, antennule and antenna beneath frontal margin of carapace. Basal segment of antennular peduncle with upper lobe appearing discoidal in dorsal view; sharp spine on anterior edge of lobe, longer spine below and slightly mesial to this on dorsodistal margin of segment. Ventromesial margin dentate, larger specimens frequently with several well-developed spinules. Antennular peduncle, when extended, reaching beyond tip of rostrum. Basal segment of antennal peduncle with lateral and ventral tubercles, but no distinct spines. Second segment with sharp conical spine on distal margin laterally. Third segment unarmed, distal margin obscurely dentate. Fourth segment with dorsolateral dentate lobe on distal margin. Antennal flagellum more than twice carapace length. Endopod of third maxilliped with propodus slightly flattened, mesial surface concave. Merus with proximal ventral margin expanded into broad tooth, several setae on curved lower margin of tooth; small tooth or spine adjacent to this on ventral margin; dorsal margin with several small swellings and sharp distal spine. Ischium with distal ventrolateral angle expanded with broad tooth; dorsal angle terminating in small spine. Pereiopods tuberculate, many tubercles projected distally with dentate anterior margins and setae between denticles. Larger specimens often with some denticles developed into spines. Epipods on chelipeds, but not on ambulatory legs. Chelipeds 3 to 4 times carapace length. Dactylus approximately 1/2 length of manus. Fingers often slightly curved outward; toothed on opposing margins; larger males (cl. 12.0 mm or longer) with pronounced proximal gape and tubercles projecting into gape from dactylus; smaller males and most females with toothed opposing margins abutting along entire length. Larger males sometimes with tubercles developed into spines on lateral margin of manus; manus broad and slightly compressed in larger individuals. Carpus less than 1/3 length of chela, 3 sharp spines at angles on distal margin: 1 dorsomesial, 1 dorsolateral and 1 ventrolateral. Merus more than twice length of carpus, shorter than chela; 4 spines at angles on distal margin; 3 or 4 spines in line behind distal dorsolateral spine; 2 or 3 behind dorsomesial spine. Ischium with dorsolateral spine at insertion of merus; occasionally spine or tubercles on ventral projection; coxa with sharp ventromesial spine. Second, third and fourth pereiopods similar. Tip of dactylus of second pereiopod not reaching distal margin of merus of cheliped; relative lengths of ambulatory legs varying, but dactylus usually reaching at least to distal margin of propodus of preceding legs. Dactylus with curved corneous tip followed on ventral margin by approximately 6 teeth, decreasing in size proximally, distal 3 or 4 usually well-developed; short corneous spinule projecting from anterior edge of each spine, also greatly decreasing in size proximally. Propodus broader distally, less than twice length of dactylus, unarmed except for small scattered tubercles on all surfaces and pair of denticles on ventral distal margin followed by similar denticle approximately 1/3 distance to base of segment. Carpus approximately 1/2 propodus length; sharp single dorsal spine on distal margin, followed by low ridge with several tubercles; ridge lateral to this more distinct, often terminating in 1 or more denticles, but no large spine. Merus of second pereiopod slightly longer than propodus, third and fourth pereiopods with this segment proportionately shorter; large sharp dorsal spine on distal margin, sculptured lobe lateral to this with small sharp tooth (sometimes tubercle on second pereiopod) below this; lateral surface heavily sculptured with short denticulate transverse striae; dorsal edge with several small spines or teeth proximally; teeth more distinct on third and fourth pereiopods. Ischium short with small dorsal tooth near insertion of merus. Fifth pereiopods with merus broader in middle of segment, 2 or 3 small tubercles on ventrolateral edge. Uropod with posterolateral margin or protopod scalloped, lateral edge of posterior lobe denticulate; dorsal surfaces of endopod and exopod with setae but no denticles. Length of telson approximately same as maximum width, narrower posteriorly, consisting of 8 plates; males with fringe of thick curved golden setae on margin of lateral plate; setae thinner, plumose, fewer in this location on females; posterior margin of telson deeply scalloped. Color.--In live material, the carapace, chelipeds, eyestalks and mouthparts are dull orange in color. The cornea is distinctly white. The ambulatory legs and edges of the tailfan are lighter, from pale orange to white distally. The dorsal surface of the abdominal tergites may be evenly dull orange, or lighter like the ambulatory legs, with an orange band across each segment. Specimens preserved in alcohol soon lose all traces of pigment and the corneae appear translucent. Size.--Specimens taken by the GERDA and PILLSBURY fell within the following size ranges: ♂, cl. 5.6-22.0 mm, ♀, cl. 6.8-20.1 mm, and ovigerous ♀, cl. 11.0-20.0 mm. Ovigerous females with cl. as small as 10.0 mm were taken by the ALAMINOS (Pequegnat and Pequegnat, 1970). Sexual dimorphism.--Males of all sizes have the characteristic row of thick golden setae on the lateral margins of the telson, while in the female, setae in this position are like the other marginal setae. The chelipeds of large males are much broader than those of female of the same size, with the manus slightly compressed and a large gape with several tubercles between the bases of the fingers. Also the chelipeds may be much spinier in the males, and have a distinct dorsal depression on the carpus. Smaller males (cl. 12 mm or shorter) have the chelipeds slender and ungaped, as in the females. The difference in the rostral curvature between males and females noted by A. Milne Edwards and Bouvier (1897: 88) is not obvious nor consistent in the material examined, although a few females have the rostrum very slightly curved upward. Habitat.--The bottom at many of the stations in the Straits of Florida where M. sigsbei was taken was characterized by pteropod ooze; several stations also had dead Thalassia blades and coral rubble. The bottom type at the deeper PILLSBURY stations was primarily mud or clay. Type.--The holotype is a female with cl. approximately 16 mm; present deposition not determined, probably at the Paris Museum. Type locality.--Martinique, BLAKE Sta. 200, 864 m. Geographic range.--Munidopsis sigsbei is widely distributed in the Gulf of Mexico, throughout the Caribbean, and from the Straits of Florida at least as far south as Surinam in the western Atlantic. In addition to the type locality and the locations listed for the material examined, M. sigsbei has been reported in the literature from the following localities: off Sombrero, West Indies (Henderson, 1888: 150); southern Gulf of Mexico, Fredericksted, and Guadeloupe (A. Milne Edwards and Bouvier, 1897: 88); north coast of Cuba, Grenada and south of Jamaica (Chace, 1942: 82); and throughout the Gulf of Mexico (Pequegnat and Pequegnat, 1970:156). Bathymetric range.--The possible depth range for material in this collection is 595-1629 m; calculated range is 805-1442 m. The range recorded previously was 733-1784 m. Parasites.--A male specimen taken at P-747 has 1 specimen of Tortugaster fistulatus Reinhard, a peltogastrid rhizocephalan, attached to the ventral surface of the abdomen. Several other specimens have foraminiferans and hydroids attached to various surfaces of the body and appendages. Associates.--Specimens of Munidopsis sigsbei in this collection were taken at 38 stations; other species collected with it, and their indices of affinity are as follows: M. simplex at 12 (8 of 17 stations in the Straits of Florida), 0.34; M. armata at 7, 0.25; M. abbreviata at 6, 0.17; and M. longimanus at 4, 0.23. Relationships.--Although Munidopsis sigsbei superficially resembles other western Atlantic species in the group having a long simple spine-like rostrum and no spines on the frontal margin of the carapace (M. simplex, M. curvirostra, M. reynoldsi and M. abbreviata), in fact it differs markedly from them; it is the only species with the following combination of characters: the gastric region of the carapace unarmed, the posterior margin armed, the abdomen unarmed and epipods on the chelipeds only.(See discussion of relationships in M. simplex). Munidopsis similis Smith, 1885 Figures 45, 46, 47a, 48 Munidopsis similis Smith, 1885: 496; 1886: 647-649, pl. 5, figs. 1-1e, pl. 6, figs. 2, 2a.--Benedict, 1902: 276 (key), 326 (list).--Doflein and Balss, 1913: 176 (list), 177 (table).--Chace, 1942: 73 (key).--Pequegnat and Pequegnat, 1970: 139 (key); 1971: 7 (key). Not Hansen, 1908: 38-39, pl. 3, figs. 4a-4b. (= ? M. crassa Smith) Material examined.--Western North Atlantic: ALBATROSS Sta. 2192, 1940 m, ovigerous ♀, holotype, 17.0 mm, USNM 8255.--Caribbean Sea, off St Vincent: P-871, 2628-2681 m, 1 ♂, 14.3 mm, UMML 32:5286.--S of Hispaniola: P-1266, 1894-3111 m, 1 specimen, badly damaged, approximately 15 mm, sex undeterminable, UMML 32:5287. Diagnosis.--Rostrum simple, triangular, spine-like, with very slight distal upturn; 1 pair of spines on anterior gastric region of carapace; frontal margin with distinct post-antennal spine, anterolateral spine slightly smaller; 4 lateral spines; posterior margin unarmed; abdominal tergites unarmed; eyes armed with large mesial spine distally and small lateral spine; no epipods on chelipeds or ambulatory legs; chelipeds approximately twice carapace length. Description.--Carapace longer than broad (cw/cl = 0.75-0.80), transversely convex; gastric region with 1 pair of distinct spines anteriorly; posterior to these, swellings with 1 or more setae; posterior half of gastric region with 5 distinct transverse striae; several swellings with setae on hepatic regions. Central ridges behind cervical and postcervical grooves distinct, striate. Entire dorsal surface of carapace behind Figure 45. --Munidopsis similis Smith, 1885, ♀, cl. 14.3 mm, P-871, dorsal view. Figure 46. --Munidopsis similis Smith, 1885, ♀, cl. 14.3 mm, P-871: a, carapace and abdomen, lateral view; b, endopod of right third maxilliped, ventrolateral view. Figure 47. —Munidopsis similis Smith, 1885, ♀, cl. 14.3 mm, P-871: a, posterior abdominal tergites, uropods and telson. —Munidopsis nitida (A. Milne Edwards, 1880), ♀, cl. 11.6 mm, P-1178: b, posterior abdominal tergites, uropods and telson. Figure 48. --Munidopsis similis Smith, 1885, ovigerous ♀ holotype, cl. 17.0 mm, ALBATROSS Sta. 2192: a, dorsal view; b, carapace and abdomen, lateral view, setae shown on antennular flagellum and telson only; c, endopod or left third maxilliped, ventral view. cervical groove sculptured with short swollen transverse striae, particularly prominent on metabranchial regions. Rostrum 1/4 to 1/3 carapace length; width of rostrum between eyes slightly more than 1/2 length, tapering, with slight upturn distally, taper more acute at tip. Frontal margin of carapace with distinct post-antennal spine; anterolateral spine slightly smaller. Lateral margin with 4 distinct spines: most anterior spine largest, followed by 2 slightly smaller spines, and 1 broader spine just behind lateral termination of cervical groove. Posterior margin of carapace unarmed. Abdomen unarmed; second and third segments with 2 transverse carinae: anterior carina behind depressed front edge of tergite sharper, extending laterally almost to pleural margins; posterior carina rounded dorsally, extending only across tergite, bending posteriorly to terminate at posterior margin of segment; fourth tergite with suggestion of transverse swelling and row of setae in place of carina; fifth segment almost smooth. Carinae with sparse rows of moderately long setae. Sternum unarmed; several short transverse striae with setae between coxae of chelipeds; margins minutely serrate, but without spines. Eyes colorless, barely movable; eyestalk short, expanded distally over dorsomesial margin of cornea, forming sharp, anteriorly-directed spine; distolateral margin of eyestalk forming small lateral spine directed anterolaterally; base of eyestalk with lateral projection forming denticle; slightly larger ventromesial denticle on eyestalk extending anteriorly as far as distal margin of cornea, smaller denticles on dorsal and ventral sides of lateral denticle. Basal segment of antennular peduncle broad with sculpturing on forward edge of lateral swelling; 2 sharp dorsolateral spines, 1 above and 1 on distodorsal margin: dorsomesial carina terminating in 1 distal denticle; distoventral margin serrate; tuft of setae at base of antennular flagellum barely reaching distal margin of merus of cheliped, long flagellum extending beyond base of carpus. Basal segment of antennal peduncle with triangular ventromesial spine, broadest at base, and smaller lateral tooth with terminal spine. Distal margin of movable second segment with sharp lateral spine, small projection with denticle just mesial to it, and minute ventromesial denticle. Distal margins of third and fourth segments with small mesial and lateral denticles, and pairs of setae, longer setae laterally. Antennal flagellum approximately 3 times carapace length. Merus of endopod of third maxilliped with 3 or 4 small, well-spaced teeth on ventromesial margin; 1 small tooth on distolateral margin. Ischium with small tooth or teeth terminating blunt ventral carina and small tooth on distolateral corner; no tooth at distal end of serrate mesial margin. No epipods on chelipeds or ambulatory legs. Chelipeds approximately twice length of carapace and 10 times maximum width of cheliped (at manus); widely-spaced tubercles with straight setae scattered on all surfaces. Length of manus almost 4 times maximum width; dactylus less than 1/2 length of manus. Tips of fingers spooned, dentate; toothed on adjacent abutting margins dorsally, rounded and gaped ventrally. Mesial margin of propodus with 2 sharp curved spines. Carpus less than 1/2 length of manus; distal margin with large curved mesial spine, dorsal spine, smaller dorsolateral spine and triangular projection ventrally terminating in small spine; large curved spine posterior and slightly dorsal to mesial spine; 1 small tooth posterior and more dorsal to this. Merus approximately same length as manus; distal margin armed with 4 spines: 1 dorsal, 1 dorsomesial, 1 ventrolateral and 1 ventromesial; 4 or 5 spines in dorsal row, decreasing in size proximally; second large curved spine on mesial margin posterior to dorsomesial spine; 2 sharp spines on ventral margin. Ischium with spine dorsally and ventrally and lateral denticle just posterior to articulation with merus. Second, third and fourth pereiopods similar, long and slender. Dactylus of each of second, third and fourth pereiopods reaching manus of cheliped; each segment reaching beyond middle of same segment on preceding leg. Dactylus more than 1/2 length of propodus, tip slightly curved, pale brown; ventral margin with row of approximately 12 denticles, decreasing in size to obscurity proximally, distal 8 to 10 with corneous spinule projecting from anterior edge of each denticle. Propodus smooth with sparsely-distributed long, straight, setae, unarmed except for 2 sharp movable spines on small ventral lobes at distal margin, and a similar small spine or spines located posteriorly 1/4 to 1/2 distance to base of segment. Carpus approximately 1/2 length of propodus; dorsomesial edge with 3 or 4 sharp spines including 1 on distal margin; smaller spine laterally on distal margin followed by longitudinal ridge, with several tubercles, lateral to this irregular row of tubercles; ventromesial surface smooth except for several minute denticles on distal margin. Merus with dorsomesial ridge armed with 7 to 9 spines including larger sharp distal spine, decreasing in size proximally; sharp lateral spine on distal margin of second and third pereiopods reduced to blunt tooth on fourth pereiopod; dorsolateral and ventrolateral surfaces smoother. Ischium with dorsal swelling or tubercle, but no spines. Fifth pereiopods with merus expanded, lightly sculptured laterally, but unarmed. Protopod of uropod with posterolateral margin divided in 2 distinct lobes, with smaller lateral projection anteriorly; posterior lobe with 4 or 5 minute denticles lateral to notch and sharp spine posteromesially: small granulose ridge anterior to notch. Exopod with approximately 12 widely-spaced, small, movable spinules; lateral margin with widely-spaced granular denticles, posterior margins of exopod and endopod with closely approximated granules; endopod with 2 larger spinules posterior to uropodial notch, 2 or 3 groups of 3 to 4 spinules posterior to this along center of exposed surface, lateral margin with approximately 3 widely-spaced denticles. Length of telson almost as great as maximum width, narrowing posteriorly, consisting of 8 distinct plates, and 2 less distinct intermediate plates; posterior margin deeply scalloped; no spinules on posterior margin. Color.--The specimens examined are preserved in alcohol and are totally devoid of color except for pale brown tips on dactyli and thicker golden setae. Size.--♀, cl. 14.3-17.0 mm; other specimen damaged, sex indeterminate, cl. approximately same as holotype. Sexual dimorphism.--Only a complete female of this species was available; lateral margins of the telson of this specimen have no thick setae, and the single remaining cheliped did not have the fingers gaped. The 2 chelae of the damaged specimen also have the opposing margins of the fingers abutting along their entire length. Habitat.--The bottom at station P-871 in the Venezuelan Basin was characterized as a mixture of bluish sticky clay and a fine silt with an impoverished fauna. The trawl at P-1266 brought up a large chunk of consolidated clay with its flat top coated with manganese; the fauna from that station was negligible. The bottom at the type locality was characterized as consisting of globigerina ooze. Type.--The holotype is a female with cl. 17.0 mm, USNM 8255. Type locality.--Off Nantucket, western North Atlantic; ALBATROSS Sta. 2192, 39°46.5'N, 70°14.8'W; 1940 m. Geographic range.--The 2 new locations reported here extend the geographical range of Munidopsis similis from the northeastern coast of the United States to include the Caribbean Sea. Bathymetric range.--1885-2681 m is the possible range of depth for this species according to the records for the stations where it has been collected. The calculated range is 1885-2628 m. Parasites.--The specimens examined show no external evidence of abdominal or branchial parasitism. Associates.--Munidoosis similis was the only representative of the genus taken at the 2 PILLSBURY stations where it was collected. Relationships.--There are several western Atlantic species to which M. similis appear to be related. It is very similar in morphology to M. nitida (A. Milne Edwards), but differs from it in two striking characters: M. similis has the chelipeds much longer (approximately 2 times the carapace length) than M. nitida (which has the chelipeds approximately equaling the carapace length) and M. similis has no epipods on the pereiopods, whereas they are present on the chelipeds of M. nitida. M. crassa Smith and M. geyeri Pequegnat and Péquegnat, also from the western North Atlantic, are somewhat similar to M. similis, but have epipods on the chelipeds, a pair of mesial eyespines only, and are more robust species; in addition M. crassa has 2 pairs of gastric spines. M. similis also bears some resemblance to M. reynoldsi as described by A. Milne Edwards and Bouvier (1897: 80-83, pl. VI, figs. 1-5) but the latter species lacks a post-antennal spine, has a longer rostrum and shorter chelipeds. The presence of gastric spines on the carapace serves to distinguish M. similis from M. spinoculata (A. Milne Edwards), M. subspinoculata Pequegnat and Pequegnat, and M. ramahtaylorae Pequegnat and Pequegnat. Munidopsis similis looks quite similar to M. verrilli from southern California as illustrated by Benedict (1902); the length and shape of the chelipeds appear to be different, however, as well as the number of carpal spines on the pereiopods. M. ciliata Wood-Mason from the Indo-Pacific is similar to M. similis, but has the chelipeds shorter and the posterior abdominal segments more rugose than the latter species. M. ceratophthalma Alcock resembles M. similis, but lacks epipods on the chelipeds and lacks gastric spines. Remark.--The damaged specimen from P-1266 was identified as M. similis on the basis of its chelipeds which are intact, and fragments of the anterior portion of the body. The chelipeds are nearly identical to those on the undamaged specimen from P-871. The abdomen and sternites are missing entirely however, which has made it impossible to determine the sex of this individual. The most striking difference between the holotype and the specimens from the Caribbean is the carpal spination of the ambulatory legs: the holotype has 4 or 5 well-developed spines on the dorsal edge of the carpus, whereas in the Caribbean material the spines are quite reduced except for the distal pair. The cheliped on the holotype is broader with respect to its length, and the shape of the manus is slightly different in the holotype. The holotype is larger overall, the sculpturing on the posterior half of the carapace is less distinct, more rounded, and many of the setae are worn away. Both the holotype and a specimen from the Caribbean have been illustrated to show these differences. Discussion.--I cannot agree that the specimen from the north Atlantic, west of Iceland, assigned to M. similis by Hansen (1908) belongs to the same species redescribed here from Smith's holotype. The differences between the two (both ovigerous females) are as follows: the holotype has the rostrum almost straight with only a slight upward curve distally, a distinct spine on the frontal margin of the carapace directly behind the antenna, and one pair of distinct spines on the anterior gastric region of the carapace; as Hansen pointed out, his specimen has the rostrum strongly recurved, no post-antennal spine, and 5 small gastric spines in addition to the 2 major ones. Other differences include the length of the chelipeds with respect to that of the carapace (3:1 in the holotype, 1:1 in Hansen's specimen) and the presence of a small tooth on the eyestalk just outside the cornea of the holotype which does not appear on Hansen's illustration. Also the 2 anterior lateral spines appear much broader than in the holotype and all lateral spines are more laterally directed in the specimen illustrated by Hansen. While the identity of Hansen's material remains undetermined, his specimen appears to be closer to M. crassa and/or to M. gayeri than to M. similis, but differs from both in lacking a post-antennal spine. The eggs of the holotype of M. similis measure approximately .2 mm after long preservation in alcohol, in contrast to 3 mm as reported by Hansen. In his original description of M. similis, Smith (1885: 496) stated that this species was "very closely allied to M. crassa, and will possibly prove to be a variety of it." He described M. similis as having epipods on the first pereiopod like M. crassa. Examination of the holotype has shown this to be in error; epipods are completely lacking on all pereiopods in M. similis. Munidopsis simplex (A. Milne Edwards, 1880) Figure 49 Galathodes simplex A. Milne Edwards, 1880: 56. Munidopsis simplex: A. Milne Edwards and Bouvier, 1894: 275 (key); 1897: 89-91, pl. V, figs. 2-7.--Young, 1900: 406 (key), 408.--Benedict, 1902: 277 (key), 326 (list), 178 (cable).--Perez, 1927: 236 (sexual dimorphism).--Chace, 1942: 75 (key), 92.--Pequegnat and Pequegnat, 1970: 140 (key), 156-157, figs. 5-1, 5-13, table 5-2; 1971: 6 (key). Material examined.--Straits of Florida: G-121, 1281 m, 1 ♀, 9.0 mm, (USNM); G-128, 1391-1464 m, 2 ♂, 8.5, 8.7 mm, 2 ♀, 8.7, 9.0 mm, UMML 32:5288; G-129, 1281 m, 1 ovigerous ♀, 11.5 mm, (USNM); G-370, 1281 m, 3 ♂, 8.0-10.3 mm, 1 ovigerous ♀, 8.2 mm, UMML 32:5289; G-374, 1208-1241 m, 2 ♂, 8.5, 9.0 mm, 1 ♀, 9.6 mm, 1 ovigerous ♀, 9.7 mm, UMML 32:5290; G-375, 1153-1190 m, 3 ♂, 6.0-10.0 mm, 1 ovigerous ♀, 8.4 mm, UMML 32:5291; G-449, 1373-1428 m, 1 ♀, 8.2 mm, 1 ovigerous ♀, 8.3 mm, (RMNH); G-859, 1162-1201 m, 2 ♂, 7.2, 8.2 mm, 1 ovigerous ♀, 10.2 mm, (USNM); G-963, 1442-1455 m, 3 ♂, 6.8, 8.2 with abdominal parasite, 8.7 mm, (RMNH); G-964, 1391-1415 m, 1 ♂, 7.3 mm with abdominal parasite, (RMNH); C-965, 1395-1400 m, 1 ♂, 6.2 mm, (USNM).--Bahama Islands: G-923, 1555-1574 m, 1 ♂, 8.1 mm, 1 ovigerous ♀, 11.0 mm (USNM).--Off Atlantic coast of Colombia: P-391, 1222-1748 m, 3 ♂, 7.5-8.6 mm, 8.6 with abdominal parasite, 1 ♀, 8.3 mm with abdominal parasite, UMML 32:5292; P-407, 1158-1225 m, 1 ovigerous ♀, 13.0 mm, (USNM); P-455, 1446 m, 1 ♀, 9.8 mm (RMNH).--Off Surinam: P-675, 1235-1272 m, 8 ♂, 8.8-11.0 mm, 4 ♀, 9.8-11.1 mm, 6 ovigerous ♀, 9.2-12.1 mm, UMML 32:5293.--Off British Guiana: P-689, 1373-146 m, 1 ♂, 7.4 mm, UMML 32:5294.--Off Venezuela (off Los Roques): P-743, 1784- Distribution plot 18.--Munidopsis simplex (A. Milne Edwards, 1880) collected by the GERDA and PILLSBURY. +2 stations off Surinam and British Guiana not shown Figure 49. --Munidopsis simplex (A. Milne Edwards, 1880). ♀, cl. 11.1 mm, P-675: a, carapace and abdomen, lateral view, setae shown on tail-fan only; b, posterior abdominal tergites, uropods and telson; d, dorsal view. Ovigerous ♀, cl. 12.4 mm, P-675: c, endopod of right third maxilliped. Scales in mm. 1867 m, 1 ♀, 8.0 mm, 2 ovigerous ♀, 9.0-11.1 mm, (USNM); (N of Golfo de Venezuela): P-770, 1299-1318 m, 1 ovigerous ♀, 10.6 mm, (RMNH).--Off Tobago: P-844, 1464-1848 m, 3 ♂, 9.1-10.0 mm, 4 ♀, 8.6-12.5 mm, 1 ovigerous ♀, 11.5 mm, UMML 32:5295.--Off Martinique: P-892, 1116-1354 m, 1 ovigerous ♀, 10.2 mm, (RMNH).--St. Croix Basin, Virgin Islands: P-1304, 3477-3971 m, 1 ♂, 9.9 mm, (USNM). See distribution plot 18. Diagnosis.--Rostrum long, simple, spine-like, slightly curved upward; anterior gastric region of carapace with pair of sharp spines; several small spines or tubercles along midline, frequently on anterior cardiac ridge; frontal margin unarmed between base of rostrum and anterolateral spine; lateral and posterior margins unarmed; second and third abdominal tergites with sharp median spine; no eyespines; no epipods on pereiopods. Description.--Carapace longer than broad (cw/cl = approximately 0.80); gastric region inflated, cervical groove much shallower than broad rounded postcervical groove separating metagastric and cardiac regions. Dente projections on front of gastric swelling, anterior gastric region with pair of small spines separated by longitudinal median swelling, armed behind forward pair with 1 to 4 (usually 3) spines or spinules; several transverse ridges, minutely dentate, arranged symmetrically on gastric region, more numerous and continuous on posterior third of carapace. Metagastric region reduced centrally; triangular cardiac region raised anteriorly, forming dentate crest on anterior margin with small median spine. Length of rostrum between 2/5 and 3/5 length of carapace, gently flexed upward with rounded dorsal carina; rostrum lightly sculptured with small dentate tubercles dorsally, ventrally and on lateral margins. Frontal margin of carapace with narrow rim, dentate behind antenna, but unarmed between base of rostrum and anterolateral spines. Lateral margins of carapace sculptured with small teeth or tubercles, but no major spines. Anterior margin of raised posterior rim minutely dentate, but otherwise unarmed. Second and third tergites each with 2 dentate transverse carinae (anterior carina slightly more extensive), each armed with sharp medial tooth, occasionally slight protuberance in this position on fourth tergite. Fourth tergite with anterior carina only, smooth posteriorly. Fifth and sixth abdominal tergites smooth. Sternum unarmed; intersegmental ridges distinct. Eyestalks movable, short, dorsoventrally constricted at base, occasionally few small denticles on lateral margin near base, but no major eyespines; cornea slightly elongate. Basal segment of antennular peduncle with lateral swelling and scattered small protuberances; 2 sharp spines projecting from dorsolateral surface of segment anteriorly, most dorsal spine usually thicker, longer, lower spine simple, or occasionally bifurcate or with accessory spinule beneath; distal ventromesial margin dentate, projected with 1 or usually 2 sharp spines. Antennular peduncle not long, when extended reaching just beyond tip of rostrum. Basal segment of antennal peduncle broad, with dentate lateral projection and complex ventromesial projection. Second segment with sharp lateral spine on discal margin with small tooth or lobe mesial to this and ventrolateral projection. Third segment with sharp mesial, dorsal and lateral spines and dentate ventral projection on distal margin. Fourth segment with dorsolateral lobe elongate, dentate distally; shorter mesial lobe with denticle. Antennal flagellum more than twice carapace length. Merus of endopod of third maxilliped flattened; ventral margin with broad tooth proximally, and 1 or 2 smaller teeth decreasing in size distally; several small rounded teeth along dorsal edge and sharp tooth distally. Ischium with small tooth at each of dorsolateral and ventral angles. Pereiopods tuberculate; tubercles slightly projected distally with dentate anterior margins and setae between denticles, particularly on dorsal surfaces. Larger specimens frequently with denticles developed into spines. No epipods on chelipeds or ambulatory legs. Chelipeds slightly less than 2 to 2 1/2 times length of carapace (males generally with longer chelipeds). Manus almost 1/2 length of cheliped, dactylus approximately 1/2 length of propodus. Combined width of both fingers wider than palm in females, slightly narrower in males; opposing margins dentate, abutting along entire length in both sexes; tips of fingers spooned; ventral surfaces concave; fingers almost devoid of tubercles, dorsal surface of manus tuberculate, but usually without spines. Carpus approximately 1/3 length of chela; distal margin with 3 to 5 spines dorsally, mesial spine often broadly bifurcate; 1 spine centrally at articulation; dorsal surface tuberculate, frequently 1 or more tubercles developed into spines on dorsomesial surface; shallow longitudinal depression dorsally. Merus slightly more than twice length of carpus; distal margin with 1 spine at each of 4 angles, frequently additional spines on either side of dorsal spine; mesial surface with 1 sharp spine, approximately 1/3 distance to base of segment, similar spine ventrally posterior to this; occasionally other smaller spines posteriorly. Ischium with sharp dorsal tooth at insertion of merus. Second, third and fourth pereiopods similar. Tip of dactylus of second pereiopod when extended reaching just beyond distal margin of carpus of cheliped; dactylus of third and fourth pereiopods reaching well beyond distal margin of propodus of preceding pereiopod. Dactylus with curved corneous tip followed by 8 to 12 sharp teeth on flexor margin, decreasing in size proximally; corneous spinule projecting from distal edge of each tooth. Propodus slightly broader distally, less than twice length of dactylus, tuberculate, but without spines; distal margin with 2 minute lobes with central denticle ventrally. Carpus less than 1/2 length of propodus, distal margin with small sharp spine dorsally, usually distinct on second pereiopod, decreasing in size on third and fourth pereiopods; extensor margin behind this slightly raised, tuberculate; distinct narrow low ridge with denticles laterally. Distal margin of merus with several small lobes, small teeth or spinules on dorsal and ventral lobes, usually better developed on anterior pereiopods; all surfaces tuberculate. Ischium with small dorsal tooth near insertion of merus. Fifth pereiopods with merus broader in middle of segment, exposed lateral surface sculptured but usually without spines. Uropod with posterolateral margin scalloped, posterior lobe minutely dentate; sculptured swelling on basal portion near articulation with sixth tergite. Dorsal surfaces of endopod and exopod smooth. Telson broader than long, consisting of 10 plates; scattered setae near junction of plates, particularly on posterolateral margin of medial plate. Males with thick fringe of golden setae on margin of lateral plate; setae short and sparse in this location on female; posterior margin of telson scalloped. Color.--Color notes were taken on a live male specimen. The carapace, chelipeds eyestalks and mouthparts were dull orange; the dorsal abdomen was paler with an orange transverse ridge across each tergite; ambulatory legs and tailfan were also pale, lightening to white distally; the corneae were distinctly white. All material examined is preserved in alcohol and has lost all traces of pigment; the corneae appear translucent in these specimens. Size.--♂, cl. 6.0-11.0 mm, ♀, cl. 7.4-13.0 mm, and ovigerous ♀, cl. 8.2-13.0 mm. Sexual dimorphism.--Males of all sizes have the characteristic row of thick golden setae on the lateral margin of the lateral plate of the telson (also reported by Perez, 1927: 284); setae in this position on the female are short and sparse. Fingers of the chelipeds abut along their entire length in both sexes; even the largest males display no gape. There are subtle differences in the size and shape of the chelipeds, however, which may be used to distinguish the sexes: males have the chelipeds slightly more than 2 times the carapace length; females have them somewhat less than twice the carapace length. Also, the male has the fingers slightly more attenuate and both manus and fingers more slender than do the females. As in most species, the abdomen of the female is broader than that of the male. Habitat.--At many of the stations in the Straits of Florida where M. simplex occurred, the bottom consisted of pteropod ooze; some stations also were characterized as having mud, and several with Thalassia blades and coral rubble. The deeper stations at various locations in the Caribbean had diverse bottom types: green and brown mud, rocks, coral rubble, pteropod shells and siliceous sponges (see appendix). Types.--A. Milne Edwards evidently did not indicate a holotype, and a lectotype has not yet been selected from the type series. Some of the syntypes are housed at the MCZ. Type locality. The following BLAKE stations are presently considered type localities: off Guadeloupe, no. 162 (734 fm), no. 163 (769-878 fm); off Dominica, no. 180 (982 fm), no. 185 (333 fm); off Martinique, no. 195 (502 fm), no. 214 (892 fm); and off St. Vincent, no. 226 (424 fm), no. 227 (573 fm). Geographic range.--Munidopsis simplex appears to be widely distributed throughout the Gulf of Mexico, the Caribbean Sea, and in the western Atlantic from the Bahama Islands at least as far south as Surinam. Apart from the type localities, records in the literature are: north coast of Cuba (Chace, 1942: 92); Gulf of Mexico (Pequegnat and Pequegnat, 1970: 156-157). Bathymetric range.--The possible depth range for material in this collection is 1088-3971 m; calculated range is 116-3477 m. The previously recorded depth range was 609-1858 m, so the deep station in the St. Croix Basin (P-1304) dramatically increases the known depth range. Parasites.--Two males specimens from the Straits of Florida (G-963, G-967) each had a palteogastrid rhizocephalan attached to the ventral surface of the second abdominal segment; the two parasites appear to be alike, and were tentatively identified as Sacculina sp., quite similar to S. bucculenta Boschma, 1933. The first of the parasitized specimens has the fourth fifth and sixth pleopods slightly better developed than normal for males. The other specimen has, in addition to Sacculina, a specimen of Galartheascus minutus Boschma, 1933 attached ventrally between the fifth and sixth segments of the abdomen. A male and female taken off the Atlantic coast of Colombia (P-39) each were parasitized by Galartheascus sp., possibly G. striatus Boschma, 1929, attached between the fifth and sixth segments. These constitute the first records of abdominal parasites in this species; there have been no reports of branchial parasites. Several specimens have various foraminiferans attached to body surfaces. Associates.--At 10 of 22 stations where M. simplex was taken, M. sissboni was also collected. The index of affinity calculated between these two species based on these data is 0.34. Relationships.--As Chace (1942: 92) pointed out, Munidopsis simplex is closely related to M. curvirostra Whiteaves from the northern part of the North Atlantic; on comparing the two species, he expressed little doubt that they are distinct, but said that M. simplex might properly be reduced to subspecific rank. In specimens he examined, the rostrum varied from 41 to 53 per cent of the remainder of the carapace in M. simplex, and from 71 to 76 per cent in M. curvirostra; the rostrum was always more strongly curved in M. curvirostra and the armature of the dorsal surface of the carapace, basa segment of the antennular peduncle and third maxillipeds was usually weaker. In specimens of M. simplex collected by the GERDA and HILLSBURY, the rostrum/carapace length ratio varies from 0.40 to 0.60; the rostrum appears slightly more curved in females than in males, although there are a few males with greater rostral curvature than certain females. The slight increase in rostrum/carapace length ratio in this material is not considered sufficient to alter the status of this species. Other species in the western Atlantic closely related to M. simplex are M. reynoldsi (A. Milne Edwards) and M. similis Smith; both of these have a simple, spine-like rostrum, 1 pair of gastric spines and lack epipods on the pereiopods. M. simplex is the only species with the above characters which also has the second and third abdominal tergites armed. M. reynoldsi has the posterior margin of the carapace armed, the ambulatory legs longer in respect to the chelipeds, and distinct spines along the merus of all periopods; M. similis has more lateral spines, a post-antennal spine on the frontal margin of the carapace and distinct eyespines, which are lacking in the other species mentioned. Milne Edwards and Bouvier (1897) emphasized the similarities between M. simplex and M. sigsbei. These similarities are quite superficial, but since the two species usually occur together, it is useful to cite the major differences between them: M. simplex is a smaller species, more heavily sculptured and spined on the carapace, with shorter, narrower chelipeds (about 2 times carapace length); the abdomen is armed on the second and third segments, and there are no epipods on the pereiopods. M. sigsbei is larger, with the gastric region of the carapace unarmed and relatively smooth; the posterior margin is armed with several spines; the chelifeds are longer (about 3 times carapace length) and broader; the abdomen is unarmed, and there are epipods on the first 3 pairs of pereiopods. Munidopsis stylirostris Wood-Mason from the Gulf of Aden and the Arabian Sea may also be related to M. simplex; it lacks epipods on the pereiopods, has the rostrum spine-like and upcurved, has no post-antennal spine, and has a pair of gastric spines (followed by several medial spines in M. stylirostris var. africana Doflein and Balss), but it lacks spines on the abdominal tergites. Munidopsis spinifer (A. Milne Edwards, 1880) Figures 50, 51 Galathodes spinifer A. Milne Edwards, 1880: 54. Munidopsis spinifer: A. Milne Edwards and Bouvier, 1894: 275 (key); 1897: 64-67, pl. VII, figs. 6-8.--Young, 1900: 407 (key), 412.--Benedict, 1902: 277 (key), 327 (list).--Doflein and Balss, 1913: 175 (list), 178 (table).--Perez, 1927: 285 (sexual dimorphism).--Chace, 1942: 74 (key), 91-92.--Pequegnat and Pequegnat, 1970: 140 (key), 157, table 5-3; 1971: 6 (key). Material examined.--Straits of Florida: G-169, 567-522 m, 1 ♂, 9.1 mm, 1 ovigerous ♀, 7.7 mm, UMML 32:2682; G-386, 604 m, 1 ♀, 6.8 mm, UMML 32:5296; G-635, 458-480 m, 1 ovigerous ♀, 7.7 mm, UMML 32:5297; P-209, depth not recorded, 1 ♂, 5.5 mm, UMML 32:5298.--Bahama Islands: G-690, 494-503 m, 1 ♂, 6.1 mm, (USNM).--Off Guadeloupe: P-944, 360-421 m, 1 ♂, 6.5 mm, (RMNH).--S of Jamaica: P-1225, 457-558 m, 3 ♂, 8.5-12.7 mm, UMML 32:5299. See distribution plot 19. Diagnosis.--Rostrum almost horizontal, with 1 pair of lateral spines; gastric region of carapace with 3 pairs of spines and 3 to 5 spines on posterior margin; second, third and fourth abdominal segments with sharp medial spine, additional spine or spines laterally on second and third segments; no eyespine; no epipods on chelipeds or ambulatory legs. Description.--Carapace longer than broad, lateral margins almost parallel, slightly wider posteriorly. Gastric region inflated, with 3 pairs of sharp spines in longitudinal row, anterior spines largest; 2 pairs on cardiac region posterior to those; 1 spine on mesobranchial region Distribution plat 19.—Plutidiasis sphinx (A. Milne Edwards, 1880) collected by the GERDA and PILLSBURY. Figure 50. --Munidopsis spinifer (A. Milne Edwards, 1880). ♂, cl. 12.7 mm, P-1225: a, dorsal view, no setae shown, shaded areas indicate red-orange color pattern (drawn from color slide taken by D. M. Opresko). ♂, cl. 12.5 mm, P-1225: b, left cheliped, most setae shown. Scales in mm. Figure 51. --Munidopsis spinifer (A. Milne Edwards, 1880). Ovigerous ♀, cl. 7.7 mm, G-169: a, carapace and abdomen, lateral view showing third maxilliped, not all setae shown. Ovigerous ♀, cl. 7.7 mm, G-635: b, anterior carapace and cephalic appendages, setae omitted; c, dactylus of left second pereiopod. ♂, cl. 12.5 mm, P-1225: d, posterior abdominal tergites, uropods and telson, only marginal setae shown; e, right second pereiopod. Scales in mm. followed by 2 on each metabranchial region; metabranchial region lightly sculptured. Cervical groove distinct behind gastric region across center of carapace; postcervical groove posterior to this deeper across central third of carapace. Surface covered with short, curved setae. Rostrum approximately 1/2 carapace length, narrow, slightly carinate, armed with 1 pair lateral spines approximately 1/2 distance from base of rostrum to tip, tapering distally. Frontal margin with 1 sharp spine posterior and slightly mesial to antenna, sometimes greatly reduced. Anterolateral spine sharp, curved, followed by 4 similar spines on lateral margin, spine posterior to cervical groove slightly heavier. Raised rim at posterior margin armed with 3 to 5 spines on each side of midline. First abdominal tergite smooth, unarmed. Second and third segments with 5 spines on rounded crest of transverse carina: spine on midline largest, with smaller spine on each side, other spines more lateral, smaller. Fourth segment with 1 spine on midline, occasionally a small spine on either side. Fifth and sixth segments unarmed, smooth. Second through fifth segments covered with short setae, curved on anterior 2 segments, straight on posterior ones. Sternum unarmed; intersegmental swellings with setae. Eyes colorless, movable, unarmed; eyestalk short, triangular projection from base of cornea; distal margin of eyestalk with forward-projecting setae, some curved, several long, thick. Sharp spine projecting from beneath frontal margin of carapace between eyestalk and bases of antennule and antenna. Basal segment of antennular peduncle swollen, armed with 2 long sharp spine dorsodistally, distal most spine longer. Antennular flagellum extending slightly beyond tip of rostrum. Basal segment of antennal peduncle broad, ventromesial tooth prominent, lateral triangular projection with terminal denticule. Second segment with 2 long sharp spines on distal margin: ventromesial spine longer than lateral spine. Third segment unarmed. Fourth segment with small dorsolateral spine on distal margin. Antennal flagellum as long as 7 times carapace length. Ischium of endopod of third maxilliped triangular in cross section; mesial margin serrate, ventral and lateral angles with sharp distal spine. Ventral margin of merus with 3, sometimes 4, sharp spines, decreasing in size distally; proximal spine broad at base; dorsal margin with small sharp distal spine. No epipods on pereiopods. Chelipeds 2 1/2 to 3 times carapace length. Dactylus approximately 1/2 length of chela; gape at base of fingers (small gape even in some females). Tips of fingers spooned, dentate; fingers toothed along opposing margins; in males, distal 2/3 with margins abutting. Chela narrow, width at widest point less than 1/4 length; manus with several low protuberances on mesial margin, 1 or 2 in center expanded to small tooth. Carpus short, less than 1/2 length of chela, with 4 sharp spines on distal margin: 1 dorsomesial, 1 dorsolateral, 1 lateral and 1 ventrolateral; dorsal face of segment with 3 small spines: 1 spine behind each of dorsal distal spines, and 1 proximal spine. Merus not quite as long as chela, with 4 large spines at distal angles; dorsal surface with 4 large ventromesial spines and 2 or 3 small ventrolateral spines. Ischium with 3 sharp spines along ventral projection and 1 spine on dorsal surface. Surfaces of ambulatory legs and proximal segments of chelipeds with many low, rounded protuberances and short, curved setae. Second, third and fourth pereiopods similar, dorsal and lateral surfaces covered with setae, some longer, most plumose. Dactylus of second pereiopod barely reaching carpus of cheliped; curved tip corneous, followed by 8 to 10 triangular teeth on ventral margin, decreasing in size proximally, distal edge of each tooth with movable corneous spinule. Propodus with 2 or 3 sharp curved spines on dorsal surface, 1 small tooth at dorso-lateral edge of distal margin, 1 movable spine at distal ventral edge of segment, and 1 approximately 1/3 distance from distal end. Carpus with 3 sharp, curved spines on dorsal crest, distal spine largest; distal margin beneath spine with dorsal and ventral denticles. Merus with 5 to 7 sharp curved spines on dorsal edge, decreasing in size proximally; ventrolateral edge with 5 to 7 smaller spines, arranged in row on second pereiopod, more irregular on third and fourth pereiopods. Distal margin of ischium with small dorsal and lateral teeth, several protuberances ventrally on second and third pereiopods, fourth pereiopod only with several protuberances. Fifth pereiopods with merus expanded, lateral surface with short setae, lightly sculptured, with 2 or 3 small teeth on ventral edge. Posterolateral margin of protopod of uropod scalloped; posterior lobe with 3 denticles on lateral side of notch, 1 or 2 mesially. Telson divided into 8 plates, central plate very small. Posterior margin in 2 lobes. Color.--From a color slide of the dorsal aspect taken by Dennis M. Opresko: This species is strikingly colored with broad red-orange stripes on a white background. The rostrum is colored with the pigment extending across the anterior carapace (except for a narrow white frontal rim) and including the anterolateral spines. The colored area continues posteriorly on either side of the midline as a broad stripe taking in the anterior gastric spine, but passing lateral to the 2 posterior pairs; it includes the area of the meso- and metabranchial spines, but does not include the medial pairs on the cardiac region and posterior margin. The abdominal segments show a continuation of this pattern, with the central 3 spines in the white stripe; the lateral spines are not colored, but are in the center of the red-orange area, and there is a narrow area without color at each lateral margin. The cornea of the eye appears to have an inner sphere of red-orange pigment, and there is some color dorsally on the eyestalk at the base of the cornea. It is not possible to be certain about coloration of patterns on the cephalic appendages, but the basal antennular spines are colored, as are the second and third segments of the antennal peduncle. The chelipeds have a broad longitudinal orange band on most of the dorsal surface of the merus with white on either side. The dorsal and mesial surface of the carpus is pale orange, as is the dorsal surface of the chela. The manus appears to have a lighter area on the mesial surfaces, and the dactylus has a darker stripe dorsally. The merus and carpus of the ambulatory legs have a broad orange stripe along the lateral face; the propodus of the second ambulatory leg has a longitudinal stripe on the lateral surface, and it is probably that this segment of the other legs does also. The dactyli and ventral surfaces of the animal were not visible. Size.--♂, cl. 5.5-12.7 mm, ♀, cl. 6.8-7.7 mm, and ovigerous ♀, cl. 7.7 mm. These sizes compare favorably with those given by A. Milne Edwards and Bouvier (1897: 66) which indicate carapace lengths of approximately 12 mm for the male and 7 mm for the female. Sexual dimorphism.--Some large males have the cheliped gaped, but there is a small gape in all specimens examined (including females) and one large male has the opposing margins abutting for almost the entire length of the fingers. Thus the gape is inconsistent in males. The fringe of thick golden setae on the lateral margins of the telson occurs only in males. This feature was pointed out by Perez (1927). The differences in the shape of the rostrum and placement of the lateral spines mentioned by A. Milne Edwards and Bouvier (1897: 66) were not observed in the only male and female taken at the same station (G-169). Habitat.--At the 3 stations for which information about the bottom was recorded, sponges, alcyonarians and coral were characteristic. Type.--The holotype is a male, cl. approximately 12 mm. Present deposition of the type not determined. Type locality.--Caribbean Sea (St. Kitts), BLAKE Sta. 146, 450 m. Geographic range.--Munidopsis spinifer has been collected in the western Atlantic from the Straits of Florida and the Bahamas and in the Caribbean from Cuba to Barbados. Records in the literature are: St. Kitts to Barbados (A. Milne Edwards and Bouvier, 1897: 66-67); north coast of Cuba (Chace, 1942: 91). Bathymetric range.--The possible depth range for specimens collected by the GERDA and PILLSBURY is 203-604 m; calculated range is 421-522 m, which falls within the previously recorded depths of 275-880 m. Parasites.--None of the specimens in this collection shows external evidence of parasitism. The abdominal parasite mentioned by Chace (1942) was identified by Reinhard (1958) as the rhizocephalan Tortugaster fistulatus Reinhard, 1948. Associates.--No other representative of the genus occurred at more than 1 of the 6 stations where Munidopsis spinifer was collected. Relationships.--Munidopsis spinifer resembles M. erinaceus (A. Milne Edwards), also from the western Atlantic, in having a pair of lateral teeth on the rostrum and sharp spines arranged symmetrically over the carapace, abdomen and appendages, but differs from it in a number of characters: M. spinifer has 3 pairs of gastric spines instead of 2 pairs; the posterior margin of the carapace is armed; there are medial spines on the abdominal tergites, lateral spines on the propodus of the ambulatory legs, and most spines are directed more anteriorly than laterally. Munidopsis sericea Faxon and M. agassizi Faxon from the eastern Pacific are close to these species morphologically; both have lateral rostral spines, armed abdominal tergites, and the general configuration of the above, but both lack medial abdominal spines. In addition, M. sericea has only 1 pair of gastric spines and a pair of small supraocular spines; M. agassizi has spines on the dorsal surface of the manus and more lateral spines on the carapace. Remarks.--Although all specimens examined have short curved setae to some degree over the surface of the carapace, abdomen and pereiopods, the male and female from G-169 (northern Straits of Florida) have these surfaces extremely setose (fig. 51). As has been pointed out by Chace (1942), the armature of the third maxillipeds can be quite variable. A single specimen of M. spinifer has 3 sharp ventral spines on the merus of one of its third maxillipeds, as is usually the condition, and 4 distinct ventral spines on the opposite maxilliped. Chace also indicated that M. spinifer had a frontal spine on the carapacial margin which contradicts A. Milne Edwards and Bouvier's description and illustration. While this spine is a consistent feature of individuals in our collection, one specimen (from G-635) has the spine reduced to a spinule. Munidopsis spinoculata (A. Milne Edwards, 1880) Figure 54 Orophorhynchus spinoculatus A. Milne Edwards, 1880: 59. Munidopsis spinoculata: A. Milne Edwards and Bouvier, 1894: 275 (key); 1897: 75-78, pl. VI, figs. 8-11.--Young, 1900: 407 (key), 409.--Benedict, 1902: 276 (key), 327 (list).--Doflein and Balss, 1913: 176 (list), 178 (table).--Chace, 1942: 74 (key), 86.--Pequegnat and Pequegnat, 1970: 139 (key), 158 (in part), Fig. 5-1, table 5-2; 1971: 6 (key), 23-24, fig. 7c. Material examined.--Straits of Florida: G-446, 1135-1184 m, 1 ♂, 7.9 mm, (USNM); G-448, 988-1071 m, 1 ♂, 8.3 mm, UMMI 32:5300.--Off Atlantic coast of Colombia: P-381, 724-597 m, 1 ♂, 7.1 mm, UMMI 32:5301.--Off Dominica: BLAKE Sta. 179, 1508 m (824 fm), 1 ♂, holotype, approximately 9 mm, MCZ 4750. See distribution plot 20. Diagnosis.--Rostrum long, triangular, spine-like, horizontal; lateral margins straight, tapering directly from base to apex; gastric region unarmed, with obscure irregular transverse sculpturing; frontal margin with prominent post-antennal spine; anterolateral tooth small or lacking; posterior margin of carapace and abdominal segments unarmed; cornea with central spine approximately same length as corneal diameter; no epipods on pereiopods; sternum armed with 2 pairs sharp spines between chelipeds; coxa of cheliped with slender mesial spine. Description.--Carapace longer than broad (cw/cl = 0.78-0.84), narrower anteriorly, slightly convex transversely; gastric region moderately inflated; obscure transverse striae in 5 or 6 irregular transverse lines, Distribution plot 20.--Munidopsis spinoculata (A. Milne Edwards, 1880) collected by the GERDA and PILLSBURY. Figure 52. --Munidopsis spinoculata (A. Milne Edwards, 1880). ♂, cl. 8.3 mm, G-448: a, carapace and abdomen, lateral view, setae not shown; d, right third maxilliped, ventrolateral view. ♀, cl. 7.1 mm, P-381: b, anterior sternites and coxae of chelipeds; c, posterior abdominal tergites, uropods and telson; e, dorsal view. interrupted medially, with evenly-spaced setae directed anteriorly; cervical groove shallow but distinct, followed by raised sculpturing across central third of carapace at anterior margin of metagastric region; sculpturing on surface of metagastric and cardiac regions very obscure; anterior margin of cardiac region raised, defined anteriorly by postcervical groove separating cardiac and metagastric region; striae on metabranchial regions more distinct, obscurely beaded, interrupted. Rostrum 1/3 to 2/5 carapace length, horizontal; lateral margins straight, tapering directly from base to apex, minutely serrate in distal half; blunt median longitudinal carina with series of obscure denticles. Frontal margin oblique, fused to eyestalks between base of rostrum and prominent post-antennal spine; margin continuing obliquely to small anterolateral tooth, or anterolateral tooth lacking. Lateral margin with large sharp tooth behind termination of anterior branch of cervical groove, and 1 or more denticles posterior to this on lateral edge of epibranchial region. Raised rim on posterior margin of carapace unarmed except for minute beading. Abdomen unarmed. Second and third segments with 2 transverse carinae: anterior carina sharper, extending laterally to center of pleuron; posterior carina rounded, extending across tergite. Fourth tergite with rounded transverse swelling anteriorly, and very obscure central swelling on posterior part. Fifth and sixth segments smooth. Posterolateral margin of sixth segment slightly lobed. Sternum armed with 2 pairs of small sharp spines on anterolateral margin between coxae of chelipeds. Eyes immovable, base fused to frontal margin of carapace, armed with prominent conical spine projecting anteriorly from center of cornea; length of eyespine almost equal to diameter of cornea; small ventromesial tooth projecting from eyestalk beyond surface of cornea. Basal segment of antennular peduncle with minutely tuberculate lateral inflation; dorsolateral spine smaller than prominent spine beneath it on distolateral margin; longer spine extending beyond eyespine; distal margin serrate ventrally, with minutely denticulate mesial projection. Basal segment of antennal peduncle with small lateral spine and longer prominent sharp ventromesial spine. Distal margin of second segment with small conical lateral spine and occasionally smaller ventromesial tooth. Distal margin of third segment minutely denticulate, denticles occasionally developed into small teeth. Distal margin of fourth segment with dorsolateral spine and dorsal and mesial denticles. Flagellum more than twice carapace length, extending well beyond tips of chelipeds. Merus of endopod of third maxilliped with 2 spinules on flexor (ventral) margin. Rounded ventral carina on ischium terminating in spinule distally. Pereiopods lightly sculptured on dorsal and exposed lateral surfaces. No epipods on chelipeds or ambulatory legs. Chelipeds short, broad, length 1 to 1 1/3 times carapace length. Manus dorsoventrally compressed, equal to approximately 1/2 cheliped length; width of manus almost 1/2 length. Dactylus less than 1/2 length of manus; fingers quite compressed, slightly gaped in both males and females, gape more pronounced in males; opposing margins abutting in distal half, toothed; tips spooned, gaped ventrally; fixed finger with distolateral margin expanded to dentate crest; manus with widely-spaced groups of long setae on most surfaces, particularly on lateral and mesial margins. Carpus less than 1/2 length of manus; distal margin with small dorsomesial tooth and 2 dorsolateral teeth. Merus shorter than manus, extending just beyond tip of rostrum; dorsal margin rounded distally, sharper proximally with denticles becoming coarser proximally; distal margin serrate dorsally, with sharp spine beneath lateral and mesial articular lobes. Ischium with small dorsal tooth distally, and several smaller tubercles posteriorly. Basal segment with sharp slender spine on ventromesial surface directed mesially. Second, third and fourth pereiopods similar. Second pereiopod reaching beyond distal margin of cheliped; third and fourth pereiopods reaching beyond distal margin of propodus of preceding pereiopod. Tip of dactylus curved, corneous, pale brown, followed on flexor margin by series of 10 to 12 triangular teeth, decreasing in size proximally, each armed on distal edge with slender corneous spinule. Propodus approximately twice length of dactylus; extensor surface with 2 minutely denticulate or tuberculate longitudinal ridges, surface flat or slightly excavate between them; slender articulated spinule projecting from each of 2 small ventral lobes on distal margin. Carpus approximately 1/2 length of propodus, extensor margin expanded, with sharp distal spine followed by smaller distinct spine and several denticles or tubercles, decreasing in prominence proximally, occasionally 1 of these developed into spine; distal margin with smaller lateral spine followed by minutely denticulate longitudinal ridge; ventral margin denticulate. Merus with extensor margin expanded dorsally, with widely-spaced denticles, terminating distally in sharp triangular spine; similar distal spine beneath lateral articular lobe on flexor margin. Lateral surface with transverse sculpturing, most distinct on fourth pereiopod. Ischium unarmed. Merus of fifth pereiopod compressed, expanded, cristate ventrally with small projection near middle of ventral margin. Protopod of uropod with obscure sculpturing in center of posteromesial portion; posterior lobe of posterolateral margin with sharp spine mesial to obscure notch. Endopod with several pairs of articulated spinules in oblique row on exposed surface; exopod and endopod with granular denticles on posterolateral and posterior margins. Telson broader than long, consisting of 9 plates, smooth; posterior margin indented medially. Color.--Specimens examined were preserved in alcohol and were completely devoid of color except for the pale brown tips of the dactylus and thick golden setae on certain appendages and body surfaces. Size.--♂, cl. 7.9-8.3 mm, and ♀, cl. 7.7 mm. No ovigerous females were collected by the GERDA and PILLSBURY. Cahce (1942: 86) reported an ovigerous female with the carapace and rostrum measuring about 10 mm. Sexual dimorphism.--Males have a row of setae on the posterolateral margins of the telson which are slightly thicker than other marginal setae, but they do not form the prominent golden "comb" characteristic of many species of Munidopsis; females have very few fine setae in this location. No difference between sexes was observed in the chelipeds or in the width of the abdomen. Habitat.--The bottom type was recorded at all 4 GERDA and PILLSBURY stations where M. spinoculata was collected; the bottom was muddy at all 4 stations; pteropod shells were present at 2 stations; sand and rocks were present at 1 of the latter, and coral and Thalassia debris were found at the other. Type. --♂, cl. approximately 8 mm; MCZ 4750. Type locality. --Off Dominica, BLAKE Sta. 189, 1508 m (824 fm). Geographic range. --Munidopsis spinoculata is known from widely scattered locations throughout the western Atlantic: from the Straits of Florida in the north, west from the SW Gulf of Mexico, south from the Atlantic coast of Colombia in the Caribbean, and east from Dominica. Records found in the literature are: north coast of Cuba (Chace, 1942: 86); SW Gulf of Mexico (Pequegnat and Pequegnat, 1970: 158); off British Honduras and near Jamaica (Pequegnat and Pequegnat, 1971: 23). Bathymetric range. --Possible depth range for the GERDA and PILLSBURY collections is 597-1267 m; calculated range is 724-1135 m. Calculated range including previous records is 724-1508 m. Associates. --Other species of Munidopsis were taken with Munidopsis spinoculata at 2 of the stations reported here; no species occurred with it more than once. Parasites. --The female specimen from P-413 has a single abdominal parasite, probably a peltogastrid rhizocephalan. Unfortunately, the material is dried and further identification is impossible. Relationships. --Several other western Atlantic species are somewhat similar to M. spinoculata. M. subspinoculata Pequegnat and Pequegnat is very similar to M. spinoculata, but the former species lacks the prominent post-antennal spines, has a distinct anterolateral tooth, and has the carapacial sculpturing far more even and continuous, particularly across the gastric region, than does M. spinoculata, in addition to many other characters (see table 1). Munidopsis ramah tavlorae Pequegnat and Pequegnat is also close to these two, but lacks all sculpturing on the carapace, and has the rostrum slightly decurved, in addition to the other characters listed in the table. Munidopsis nitida (A. Milne Edwards) is closely related to M. spinoculata also, as indicated by A. Milne Edwards and Bouvier (1897: 75-77), but M. nitida has a pair of gastric spines and epipods on the chelipeds which serve to separate it easily from M. spinoculata. As stated by Alcock (1901: 271), M. ceratophthalma Alcock from the Andaman Sea (Indian Ocean) is closely related to M. spinoculata; in addition to having the pereiopods with more spines (the only distinguishing feature indicated by Alcock), M. ceratophthalma has the eyespine on the mesial side of the cornea rather than centrally as in M. spinoculata, and the anterolateral spine is more distinct in M. ceratophthalma. Remarks.--The left fourth pereiopod in the male specimen from P-381 (fig. 52,e) is smaller and less sculptured than the opposite pereiopod, and probably has been regenerated. This may also account for the difference in length of the chelipeds of this specimen; all other specimens examined have the chelipeds equal. \| Character \| M. spiniculata \| M. subspiniculata \| M. ramahtaylorae \| \|-----------------------------------------------\|--------------------------------------------------------------------------------\|----------------------------------------------------------------------------------\|---------------------------------------------------------------------------------\| \| Carapace \| Irregular sculpturing with setae, obscurely transverse, with setae across dorsal gastric region \| Regular transverse striae interrupted; no striae along midline \| Smooth, no sculpturing or striations, setae not in transverse rows \| \| Rostrum: Lateral margins \| Straight, tapering directly from base to apex \| Subparallel proximally, slightly convex distally \| Subparallel proximally, convex distally \| \| Median carina \| Present \| Present \| Absent \| \| Shape dorsally \| Horizontal \| Horizontal \| Convex, downcurved \| \| Post-antennal armature \| Spine \| Lobe or spine (?) \| Spine \| \| Anterolateral armature \| Small tooth or none \| Distinct spine \| None \| \| Abdominal tergites \| 1 transverse groove with carina anteriorly \| 2 transverse carinae with grooves \| 1 transverse groove with carina anteriorly \| \| Fourth \| Smooth \| Rounded carina \| Smooth \| \| Fifth \| Smooth \| Setae in 2 oblique rows posteriorly \| Smooth \| \| Sixth \| Smooth \| Smooth \| Smooth \| \| Sternal armature \| 2 pairs sharp spines \| 1 pair sharp spines \| 2 pairs sharp spines \| \| Coxae of chelipeds, mesial surface \| Armed with 1 sharp spine projecting mesially \| Unarmed \| Unarmed \| \| Eyespine \| Length almost equal to diameter of cornea \| Length less than half diameter of cornea \| Length about half diameter of cornea \| \| Antenna, lateral spination \| Distinct only on 2nd segment, basal and 3rd segments at most denticulate \| Small teeth, no spines on basal and 2nd segment, 3rd segment denticulate \| Basal, 2nd and 3rd segments with distinct lateral spines \| Table 1. --Comparison of characters in three species of Munidopsis. Munidopsis spinosa (A. Milne Edwards) Figures 53, 54 Galacantha spinosa A. Milne Edwards, 1880: 53.--A. Milne Edwards and Bouvier, 1894: 270 (key); 1897: 56-60, pl. IV, figs. 14-20.--Young, 1900: 417.--Benedict, 1902: 305 (list).--Doflein and Balss, 1913: 174 (table). NOT Galacantha spinosa var. trachynotus: Alcock, 1901: 277-278 [=Munidopsis trachynotus (Anderson, 1896)]. Munidopsis spinosa: Chace, 1942: 72 (key), 76-77.--Pequegnat and Pequegnat, 1970: 138 (key); 1971: 4 (key). Material examined.--Straits of Florida: G-131, 787-733 m, 1 ♂, 27.0 mm, 1 ovigerous ♀, 32.2 mm, UMML 32:2705; G-870, 807-755 m, 1 ♂, 29.7 mm, 1 ovigerous ♀, 28.9 mm, (USNM).--Off Atlantic coast of Colombia: P-381, 724-597 m, 2 ♂, 29.5, 25.0 mm, 3 ♀, 24.7-31.1 mm (all but largest male with branchial parasite), UMML 32:3149; P-388, 814-1050 m, 1 ovigerous ♀, 28.2 mm, (USNM).--S of Jamaica: P-1224, 878-906 m, 1 ♂, 26.4 mm with branchial parasite, 1 ♀, 30.0 mm with branchial and abdominal parasite (RMNH). See distribution plot 21. Diagnosis.--Rostrum narrow, horizontal proximally with strong distal upturn, unarmed laterally; gastric region of carapace with pair of prominent anterior gastric spines and huge median laterally-compressed spine projecting upwards from posterior part; frontal margin unarmed between rostrum and long anterolateral spine; posterior marginal rim armed with line of short spines; second, third and fourth abdominal tergites armed with prominent median spine and 2 spinose transverse carinae; eyes unarmed, epipods on chelipeds and first 2 pairs of ambulatory legs. Distribution plot 21.--Munidopsis spinosa (A. Milne Edwards, 1880) collected by the GERDA and PILLSBURY. Figure 53. --Munidopsis spinosa (A. Milne Edwards, 1880). ♂, cl. 29.5 mm, P-381: a, posterior abdominal segments, uropods and telson; b, lateral view of carapace and abdomen; c, dorsal view. Most, but not all, setae shown. Figure 54. --Munidopsis spinosa (A. Milne Edwards, 1880). ♂, cl. 29 mm, P-381: a, rostrum, eye, antennule and antenna, ventrolateral view; c, dactylus of right third pereiopod, lateral view. ♀, cl. 24.7 mm: b, right third maxilliped, ventrolateral view. Description.--Carapace longer than broad (cw/cl = 0.85-0.90), transversely convex; cervical groove extending obliquely forward from center of carapace as fairly straight channel to oval depressions posterolaterally on either side of gastric region; anterior and posterior branches proceeding from this point less distinct; postcervical groove present as smooth depression across central third of carapace; groove extending obliquely from just behind and lateral to depression forward to lateral margins. Anterior gastric region with pair of prominent spines; posterior gastric region with huge laterally-compressed spine projecting upward and slightly forward; anterior to this a longitudinal row of short spines on continuation of rostral carina behind anterior gastric spines, and a transverse series of spines; several of gastric and hepatic tubercles spiniform. Ridge behind cervical groove with several small spines; spines also on epibranchial and mesobranchial regions. Cardiac region with median spine on anterior transverse swelling slightly smaller or about same size as anterior gastric spines; several small spines lateral to this and on surface of cardiac region smaller prominent spine directly behind this, and even smaller spine just ahead of posterior marginal depression; metabranchial region covered with spinulate tubercles. Rostrum narrow, roundly carinate, horizontal in proximal half, with distal half projecting upward, similar to anterior gastric spines; lateral margins with basal rim, but no spines. Frontal margin unarmed between base of rostrum and long, sharp, dorsoventrally-compressed spine at anterolateral angle; this spine followed on lateral margin by much smaller prominent spine, and even smaller spine just ahead of lateral notch; carapace slightly broader behind this, with small but prominent lateral spine posterior to notch. Posterior marginal rim bicarinate: anterior ridge with line of short spines, posterior line tuberculate. Abdomen covered with short, blunt spines; second, third and fourth segments with anterior and posterior spinose transverse ridges separated by smooth depression extending across tergite; anterior median spine prominent, much larger than others. Fourth and fifth segments evenly spinose, mesial spines coarser; small medial protuberance on posterior margin of sixth segment. Sternum with intersegmental ridges distinct; sternite between chelipeds with several pairs of low tubercles; longitudinal median furrow distinct, deeper anteriorly. Eyes prominent, movable, unarmed; short eyestalks constricted; cornea dilated, nearly spherical, slightly expanded ventromesially. Small spot of calcification on membrane between bases of antennule, antenna and eyestalk, but no tooth or spine. Basal segment of antennular peduncle with very slight lateral swelling armed dorsally with small, slender spine; distal margin with long, slightly incurved lateral spine, broad ventral projection with several long setae, and short mesial spine. Second segment of extended peduncle reaching tip of rostrum; long third segment and flagellum reaching to carpus of cheliped. Basal segment of antennal peduncle broad, immovable; distal margin with triangular ventromesial projection. Second segment broad, with conical ventromesial spine near distal margin, and minute lateral spinule adjacent to dorsolateral lobe on distal margin. Third segment with several small cristate lobes around distal margin. Fourth segment with broad dorsolateral projection on distal margin. Flagellum indecently long, 6 to 10 times carapace length, without setae. Endopod of third maxilliped with ischium terminating distally in sharp point at dorsolateral and ventral flexor angles. Merus with several obscure tubercles on extensor margin and lateral face; ventral flexor margin with broad flattened basal tooth and smaller tooth distal to that. Epipods present on chelipeds and first 2 pairs of ambulatory legs. Chelipeds 1 1/3 to 1 1/2 times carapace length. Dactylus more than 1/2 to 3/5 length of manus; fingers slightly compressed dorsoventrally, smooth, opposing margins finely toothed, abutting along entire length dorsally, with ventral excavation; tips narrow, with larger sharp interlocking teeth. Manus approximately 1/2 length of cheliped; palm slightly broader than fingers, inflated, evenly sculptured with low, sparse tubercles on dorsal surfaces, dorsomesial series weakly spiniform, tubercles obscure ventrally. Carpus 1/3 or less than 1/3 length of chela; distal margin with prominent dorsolateral spine, occasionally other smaller dorsal spines or triangular teeth on distal margin; dorsal surface with spiniform tubercles arranged in irregular longitudinal dorsomesial, dorsal and dorsolateral rows. Merus shorter than chela; distal margin with ventromesial, dorsomesial, dorsal and lateral spines, dorsomesial spine largest; other surfaces tuberculate; dorsal margin expanded, forming edge proximally. Ischium tuberculate, but with no prominent spines. Second, third and fourth pereiopods very similar. Propodus of second pereiopod reaching beyond cheliped; third and fourth pereiopods nearly as long. Dactylus more than 1/2 length of propodus, slightly curved; tip corneous only at very end, barely discernible; typical teeth and corneous spinules lacking on flexor margin distally; obscure serration proximally; distal third of extensor margin with 2 parallel rows of short setae. Propodus long, slender, slightly broader proximally; extensor margin with several longitudinal rows of obscure tubercles, coarser and somewhat spinulate proximally; flexor surface smooth, rounded; distal margin with 2 small lobes separated by channel; lateral lobe sometimes with spinule. Carpus broader, approximately 1/3 length of propodus; flexor margin slightly expanded; distal terminal spine followed by series of 5 or 6 teeth or spinulate tubercles; dorsolateral series similar; lateral and mesial surfaces with scattered low tubercles. Merus of second and third pereiopods approximately same length as propodus, merus of third pereiopod slightly shorter; distal margin with prominent dorsal spine separated by articular lobe from smaller ventrolateral spine; extensor margin slightly expanded, tuberculate; dorsal, lateral and ventral surface tuberculate, tubercles arranged in irregular longitudinal rows; mesial surface smooth. Ischium with several tubercles, but no prominent spines. Merus of fifth pereiopods with minute obscure tubercles on exposed lateral surface distally. Protopod of uropod with posterior lobe notched: margin serrate lateral to notch, coarse tooth mesial to notch; surface with transverse series of tubercles anteriorly and posteriorly. Endopod with small spinulate tubercles on lateral exposed surface. Telson broader than long, roughly trapezoidal, divided into 8 distinct plates; small intermediate plates obscurely divided from lateral plates, making a total of 10 plates. Spinulate tubercles on all but central plate. Posterior margin with small medial notch between plates. Color.--A beautiful color slide was taken by Dennis M. Opresko of the female specimen from PILLSBURY Sta. 1224 immediately after capture. This dorsal view of the animal shows its striking red and white color. pattern: the rostrum, frontal margin and all carapacial spines are bright red against the white dorsal surface of the anterior half of the carapace; the red color extends in an irregular band from the frontal margin posteriorly to the cervical groove, the central part of which is red. The posterior half of the carapace is completely red, except for a white depressed area, the postcervical groove, in front of the cardiac region. The eyestalks, antennules and antennae are reddish, with a whitish area on the dorsal surface of the eyestalks; the corneae are colorless. The chelipeds are white dorsally, with red bands laterally and pinkish fingers. The ambulatory legs appear white on extensor surfaces and red beneath, so that in lateral view the propodus is white above with a longitudinal red stripe below. The lateral articular lobe on the distal margin of the merus is red. A color slide taken by Jon C. Staiger of a specimen collected by the ISELIN shows the abdomen extended. The red color is more orange than in the above picture. The second through the fifth segments are white with red-orange spines, and the sixth segment and tailfan are completely red-orange. The material examined is preserved in alcohol and is devoid of color except for the golden color of thicker setae. This is the first report of the coloration of this species. Size.--♂, cl. 25.0-29.7 mm, ♀, cl. 24.7-32.3 mm, ovigerous ♀, cl. 28.2-32.2 mm The type specimen is somewhat smaller (total length of the carapace is approximately 22 mm). Sizes were not given for the ATLANTIS material (Chace, 1942: 77-79). Sexual dimorphism.--The only striking sexually dimorphic character observed in this species is the patch of thick, deep-golden (almost brown in preservation) setae on the lateral margins of the telson of males; this tuft, several rows wide, is more prominent in this species than in any of the others examined. Females lack marginal setae in this location. Habitat.--The bottom at the 3 stations where this information was recorded consisted variously of sponges, green grey mud, and heavy brown clay. Type.--The holotype is an ovigerous female, with cl. less than 18 mm. Paratypes are at the MCZ, but present deposition of the holotype was not determined. Geographic range.--Munidopsis spinosa is now known from scattered locations in the western Atlantic: in the north from the Straits of Florida and throughout the Caribbean, from Cuba and Jamaica south to the coast of Colombia and east to Dominica. The only occurrences reported since the type are those near the north and south coasts of Cuba by Chace (1942: 76-77). Bathymetric range.--Possible depth range for material in this collection is 587-1050 m; calculated range is 724-878 m, which falls within the range previously reported, 609-1006 m (333-550 fm). Parasites.--The branchial parasites indicated in the list of material examined are bopyrid isopods, probably belonging to the genus Pseudione, and possibly undescribed species. A branchial parasite occurred in one of Chace's specimens from the ATLANTIS collection, but there is no mention in the literature of its identity. The female specimen from P-1224 carried both a branchial parasite and a large abdominal parasite. The latter is a peltogastrid rhizocephalan, as yet unidentified. Associates.--At 4 of the 5 stations where M. spinosa was collected, other species of Munidopsis were also found: M. abbreviata, M. erinaceus and M. sigsbei were each captured at 2 of these stations with M. spinosa. Relationships.--Munidopsis spinosa is another member of the Galacantha species complex, which is discussed in the Relationships section of the account of M. rostrata (A. Milne Edwards). M. spinosa can be distinguished from the latter, its closest western Atlantic relative, by the presence of lateral spines on the rostrum of M. rostrata, and by the otherwise spinier nature of M. spinosa (many more spinulate tubercles on the carapace and more prominent median cardiac spines). In life, the colors of the 2 species are also strikingly different: M. spinosa is white with red spines and splotches, while M. rostrata is solidly red or red-orange. Chace (1942: 77) points out that M. diomedae (Faxon) and M. trachynotus (Anderson) from the eastern Pacific and Arabian Sea, respectively, are closely related to M. spinosa, but that, contrary to Stebbing (1908), M. trachynotus is not synonymous with and can be distinguished from M. spinosa by the presence of lateral spines on the rostrum. As Chace notes, these 3 species are usually found in water shallower than 2000 m, while M. rostrata is usually deeper and "this may have some bearing on the fact that they show specific morphological characters in different parts of the world, whereas M. rostrata has undergone practically no change in spreading over a similar range." Munidopsis diomedae has rugose, rather than spinulate, sculpturing on the posterior half of the carapace, and the median spine on the fourth abdominal tergite is reduced or lacking. These characters serve to separate it from M. spinosa. M. valdiviae (Doflein and Balss) from the eastern coast of Africa, has the rostrum armed laterally, the general armature of the carapace tuberculate, and no large spine behind the anterolateral spine. Munidopsis squamosa (A. Milne Edwards, 1880) Figures 55, 56 Orophorhynchus squamosus A. Milne Edwards, 1880: 58-59. Elasmonotus squamosus: A. Milne Edwards and Bouvier, 1894: 282 (key); 1897: 00-101, pl. VIII, figs. 4-6.--Young, 1900: 414 (key).--Bourdon, 1972: 820 (as host of Parapleuracryptella elasmonoti, n.sp.). Munidopsis squamosa: Benedict, 1902: 276 (key), 327 (list).--Chace, 1942: 73 (key).--Pequegnat and Pequegnat, 1970: 138 (key); 1971: 4 (key). Munidopsis squamosa: Doflein and Balss, 1913: 173 (list), 178 (table). Material examined.--Arrowsmith Bank (Yucatan Channel): G-898, 339-366 m, 1 ♂, 5.1 mm, UMML 32:5303.--S of Dominican Republic: P-1396, 390-395 m, 1 ♀, 4.2 mm, (USNM). Diagnosis.--Rostrum small, triangular, horizontal; inflated gastric region of carapace with pairs of tuberosities arranged symmetrically; frontal margin with 2 pairs of granulate projections lateral to rostrum between eyes, but no post-antennal spine; anterolateral angle and lateral margins granulate, but without sharp spines; posterior margin armed with granulate tuberosities; abdomen unarmed; eyes immovable, fused to carapace, mesial surface with large granulate projection; epipods on chelipeds and first 2 pairs of ambulatory legs. Description.--Carapace longer than broad (cw/cl = 0.85-0.90), heavily sculptured; gastric region greatly inflated, defined posteriorly by narrow distinct cervical groove, and laterally by smooth depression at bifurcation of groove and depression between gastric and hepatic regions; metagastric region practically non-existent centrally, consisting primaFigure 55. --Munidopsis squamosa (A. Milne Edwards, 1880), ♂, cl. 4.2 mm, P-1396, dorsal view. Figure 56. --Munidopsis squamosa (A. Milne Edwards, 1880), ♂, cl. 4.2 mm, P-1396; a, carapace and abdomen, lateral view, setae omitted; b, endopod of right third maxilliped; c, posterior abdominal tergites, uropods and telson. Scales in mm. rily of narrow mesial extensions of mesobranchial regions between cervical and postcervical grooves; latter groove extending across central half of carapace with smooth depression midway between midline and lateral margins, then curving forward and back to lateral margin. Center of gastric region with 4 pairs of squamose granulate tuberosities projecting forward, arranged in longitudinal row, anterior pair largest, spaced slightly wider, second pair smaller than others; approximately 5 similar large tuberosities arranged symmetrically on each side of gastric region and several smaller granulate tubercles; cardiac region with 2 pairs of tuberosities, anterior pair projecting, larger; 2 or 3 large tuberosities lateral to cardiac region and several more on each metabranchial region. Rostrum short, triangular, less than 1/5 carapace length, nearly horizontal, lateral margins minutely denticulate, rounded dorsal carina smooth distally, extending posteriorly as ridge armed with denticles at point even with tips of eyespines, armature increasing in size posteriorly becoming distinct granulate projections on anterior part of gastric swelling and between first pair of gastric tuberosities; surface on either side of midline between eyes slightly depressed, armed with small granulate tubercles. Frontal margin between eyes fused to biolobed granulate projection medial and slightly ventral to, but continuous with eye projection. Anterolateral angle and lateral margins granulate but not armed with spines. Posterior margin raised, with granulate tubercles on rim. Few short obscure setae scattered over surface of carapace. Forward edge of branchiostegite terminating in sharp triangular spine. Second, third and fourth abdominal tergites with rounded transverse carina; carina with transverse groove distinct across central half, groove less conspicuous on fourth segment; fifth and sixth tergites smoother, punctate; pleuron of second segment with granulate sculpturing; third pleuron also sculptured to some extent. Sternite between bases of chelipeds with anterior margin slightly projected, granulate; similar sculpturing in center of sternite; intersegmental grooves distinct. Eyestalks immovably fused to frontal margin of carapace; dorsomesial surface of cornea overgrown with large blunt granulate projection reaching approximately 1/2 length of rostrum; small granulate ventrolateral projection from frontal margin of carapace. Basal segment of antennular peduncle inflated laterally with dorsal margin raised to form a small spinulate crest projecting forward and slightly laterally to slender spines; spine beneath this broader, longer ventromesial projection triangular. Antipenultimate segment of peduncle when extended reaching tip of rostrum; last segment and flagellum reaching beyond rostrum. Basal segment of antennal peduncle with sharp conical lateral spine and ventromesial projection. Second segment movable with long blunt lateral projection and small mesial granulation. Third segment with long blunt dorsolateral projection and shorter ventrolateral tooth. Distal segment reduced, with small dorsolateral tooth. Antennal flagellum less than 1 1/2 times carapace length, not reaching beyond tip of cheliped. Carpus of endopod of third maxilliped with small conical tooth near distal end on extensor margin. Merus with 2 sharp teeth on flexor margin and 2 small sharp spines distally on flexor and extensor margins, lateral surface granulate; dorsal angle at distal margin of ischium sharp, ventral angle projected into short spine; mesial margin dentate. Epipods on chelipeds and first 2 pairs of ambulatory legs. Chelipeds 1 1/2 to 2 times length of carapace. Dactylus less than 1/2 length of manus. Fingers straight or slightly angled laterally, toothed opposing margins abutting dorsally along entire length; smooth distally, but dorsal surface granulate proximally. Palm slightly inflated, broader than width of finger but width less than 1/3 to 1/2 length of chela; dorsal surface squamose; 2 to 4 large granulate projections or tuberosities along slightly expanded dorsomesial margin; sculpturing obscure ventrally; setae arranged sparsely along lateral and mesial margins, more setae on fingers. Carpus approximately 1/3 length of chela; distal margin with 4 blunt granulate projections: 1 dorsomesial, 1 dorsolateral, 1 lateral and 1 ventrolateral; dorsal surface with approximately 6 large tuberosities; 1 large sharp curved spine on mesial margin; ventral surface obscurely tuberculate. Merus shorter than chela; 4 blunt curved projections near distal margin: lateral and ventromesial projections long, dorsal and mesial ones shorter; dorsal surface with 4 or 5 large projections in longitudinal row decreasing in size proximally, several smaller tubercles, and many granules; mesial margin with 2 large curved spines and smaller spine proximally or between latter; 2 large curved spines on ventromesial margin; ventral surface with less distinct tubercles: 3 to 5 more prominent tubercles on ventrolateral surface. Ischium with small blunt dorsal spine. Second, third and fourth pereiopods similar. Dactylus straight with sharp curved corneous tip; 8 to 10 corneous spinules projecting anteriorly from tubercles on flexor margin, otherwise dactylus unarmed. Propodus slightly longer than dactylus, segment expanded distally, rotating plane of flexure so dactylus flexes more medially; propodus slenderer in middle: distal ventral margin with 2 small movable spines emerging from pair of lobes; slightly compressed laterally with smooth longitudinal depression on lateral surface; above this on dorsal margin and below on ventrolateral surface an irregular row of tubercles and projections, more prominent proximally; another row of granules mesial to dorsal row distally, becoming prominent projections merging with dorsal row proximally; mesial surface smooth, with obscure tubercles. Carpus with 2 prominent blunt projections on dorsal margin: 1 distal and 1 proximal with 1 smaller blunt spine between; dorsolateral surface with low irregular row of granulate projections. Merus of second pereiopod longest, that of fourth shortest, all expanded distally with prominent dorsal and lateral projections separated by rounded articular knob; dorsal margin expanded, tuberculate behind distal projection, tubercles forming prominent crest on second pereiopod proximally, forming 2 or 3 tuberosities on third pereiopod, and 1 large projection on fourth pereiopod; lateral surface granulate, fourth pereiopod with additional large tuberosity; ventrolateral margin with irregular row of 5 or 6 tuberosities on second pereiopod, 4 or 5 on third pereiopod, and 3 or 4 on fourth pereiopod: ventral surface smoother, slightly indented; ventromesial margin with row of low granules; dorsomesial surface slightly indented, granulae, granules more prominent on third and fourth pereiopods. Ischium granulate but without spines. Merus of fifth pereiopods expanded; exposed surface with granules and protuberances. Uropod with posterolateral margin of protopod in 3 lobes, posterior lobe with denticles and small notch. Lateral margin of exopod and posterior margin of endopod with denticles at bases of marginal setae. Exposed surface of endopod with flattened granulate squamæ, 5 or 6 short movable calcified setae on posterior half. Telson smooth or obscurely punctate, consisting of 8 distinct plates. Color.--The specimens examined have been preserved in alcohol for some time and are devoid of any pigment. There are no records of the color of this species in the literature. Size.--♂, cl. 4.2 mm, and ♀, cl. 5.1 mm. The male and female collected by the BLAKE are approximately the same size as the male described here. Ovigerous females have not been reported thus far. Sexual dimorphism.--The only sexually dimorphic character apparent in the material examined is the fringe of thick setae on the lateral margins of the telson of the male; this dense fringe is typically absent in the female. Both specimens have the fingers of the cheliped abutting along the entire dorsal margins. Habitat.--The bottom type or characteristics were not reported for either of the 2 stations at which M. squamosa was collected. Types.--The holotype is a male, with cl. approximately 4 mm, MCZ 4756. The female paratype is also housed at the MCZ, No. 9784. Type locality.--Martinique, BLAKE Sta. 210, 350 m. Geographic range.--Munidopsis squamosa has been collected from only 4 locations scattered around the Caribbean Sea. In addition to the type locality and the new locations listed here, M. squamosa has been collected off St. Lucia (A. Milne Edwards and Bouvier, 1897:100). Bathymetric range.--The possible depth range for material in this collection is 339-395 m; calculated range is 366-390 m. The depths recorded previously were approximately 212-350 m, bringing the calculated range to 212-390 m. Parasites.--The material examined shows no external evidence of branchial or abdominal parasites. The illustration of the male holotype (A. Milne Edwards and Bouvier, 1897: pl. VIII, fig. 4) shows a swelling of the carapace indicating the presence of a bopyrid isopod. This parasite was described as Parapleurocryptella lasmonoti Bourdon, 1972. Associates.--Munidopsis platirostris was collected in the same sample with M. squamosa south of the Dominican Republic. Although no other galatheids were taken with M. squamosa in the sample from Arrowsmith Bank, it is interesting that M. platirostris was the only Munidopsis collected from Arrowsmith Bank by the GERDA. Relationships.--Munidopsis squamosa is very closely related to M. barbara (Boone) from the Gulf of Mexico and the Bahamas. Both have epipods on the first 3 pairs of pereiopods, complex, very similar ornamentation on the eyes and similar arrangement of the processes on the carapace. The nature of the sculpturing is different in the two, however: M. squamosa has large granulate tuberosities arranged over the sculptured dorsal surface, whereas in M. barbara these projections are spinous on a relatively smooth surface; also, M. squamosa lacks the sharp post-antennal spine present on the frontal margin of M. barbara. M. squamosa has the gastric and other regions of the carapace more inflated. In M. barbarae, the pereiopods lack the tuberosities found in M. squamosa. The specimen of M. barbarae examined is incomplete, the chelipeds and most pereiopods are missing so it has been difficult to compare these two adequately. It is possible that M. barbarae is only a subspecies of M. squamosa, but until more material of these apparently rare little species is available, both names will be retained. M. granulens, also from the western Atlantic (Arrowsmith Bank), is somewhat similar to M. squamosa, but the former has only 1 pair of gastric protuberances on the carapace, an overgrowth on the cornea rather than a mesial projection, evenly granulose carapace and sculptured abdomen, long granulose chelipeds and lacks epipods on the second pair of ambulatory legs. A. Milne Edwards and Bouvier (1897: 101-102) mentioned an affinity between Elasmonotus squamosus and Orophorhynchus marioni from the eastern Atlantic; the latter also has epipods on the first 3 pairs of pereiopods, a general quadrangular carapace with the eyes fused to the frontal margin, and the abdomen smooth. However, the rostrum and frontal margin of the carapace are quite different in M. marioni, the chelipeds are much shorter and spination on the pereiopods is different; there are many other characteristics as well which allow easy separation of the 2 species. A. Milne Edwards and Bouvier contended that the two species are very distant which necessitates their placement in different genera, but that they both have incontestable affinities with Munidopsis and in fact represent the most primitive forms of the two genera Elasmonotus and Orophorhynchus which have not yet achieved the definitive degree of differentiation of the two genera. It should be pointed out here that considerations such as these have led various workers (Benedict, 1902; Chace, 1942) to combine these genera with Munidopsis until a scheme can be devised for separating the species into more consistent generic or subgeneric groupings. Munidopsis subspinoculata Pequegnat and Pequegnat, 1971 Figure 57 Munidopsis spinoculata: Pequegnat and Pequegnat, 1970: 158 (part). Munidopsis subspinoculata Pequegnat and Pequegnat, 1971: 6 (key), 13-15, figs. 7a, 7b, 8. Material examined.--S of Jamaica: P-1225, 457-558 m, 1♂, 8.7 mm, UML 32:5302. Diagnosis.--Rostrum narrowly triangular, spine-like, horizontal, lateral margins subparallel at base, tapering distally; gastric region of carapace unarmed, with regular transverse striae across dorsal midline; frontal margin with post-antennal lobe, but no distinct spine; anterolateral spine small but distinct; posterior margin of carapace and abdominal segments unarmed; cornea with central spine 1/2 of less than 1/2 diameter of cornea; no epipods on pereiopods; sternum armed with 1 pair of slender spines between chelipeds. Description.--Carapace longer than broad (cw/cl = 0.80-0.85), transversely convex; gastric region with 5 well-separated transverse striae, each with setae reaching 1/2 distance to preceding stria; anterior striation interrupted behind rostrum, others with lateral interruptions; striae distinct behind cervical and postcervical grooves; lateral striations shorter, distinct, but discontinuous. Rostrum 2/5 to 1/2 carapace length, width at base 1/4 to 1/6 length of rostrum, horizontal; blunt longitudinal carina minutely dentate dorsally; lateral margins of rostrum subparallel at base, gradually tapering distally. Frontal margin of carapace between rostrum and antenna fused to eye; margin forming small Figure 57. --Munidopsis subspinoculata Pequegnat and Pequegnat, 1971, ♂, cl. 8.7 mm, P-1225: a, carapace and abdomen, lateral view, setae omitted; b, anterior sternites and coxae of chelipeds; c, posterior abdominal tergites, uropods and telson; d, basal segment of antennule, ventrolateral view; e, right third maxilliped, ventrolateral view; f, dorsal view. Scales in mm. post-antennal denticulate lobe (but bearing no large spine or tooth in PILLSBURY specimen); anterolateral angle with sharp tooth. Lateral margin with tooth just posterior to termination of anterior branch of cervical groove. Posterior margin raised, sculptured with obscure short transverse striae, but otherwise unarmed. Abdomen unarmed; second, third and fourth segments with 2 transverse carinae: anterior carina sharper, extending laterally almost to pleuron-al margins; posterior carina rounded, extending across tergite only. Fifth segment with swelling in same position and with similar shape as posterior carina on preceding segments, but with no anterior ridge; groove delimiting anterior margin of swelling obscure in center. Sixth segment with short setae in row extending from near center of tergite obliquely toward posterolateral margin, followed by shallow depression; similar but obscure rows of setae on anterior part of tergite. Sternum armed with 1 pair of small sharp spines between coxae of chelipeds. Eyes colorless; 1 small spine projecting anteriorly from point slightly lateral to center of cornea distally; length of eyespine less than 1/2 diameter of cornea; 1 minute spine on ventromesial surface of cornea projecting from distal margin of eyestalk. Dorsal surface of cornea with obscure band of calcification extending from base of eyestalk to distal spine, decorated with several short setae. Basal segment of antennular peduncle broader proximally with lateral swelling; 2 dorsolateral spines: small dorsal spine just above large distal spine; 1 or 2 denticles on distomesial margin. Basal segment of antenna with ventromesial spine and lateral denticulate tooth (no spine) distally. Distal margin of second segment denticulate dorsally, with small lateral tooth. Distal margin of third segment denticulate, but otherwise unarmed. Distal margin of fourth segment with dorsolateral prolongation terminating in 1 denticle; distomesial margin of segment denticulate. Flagellum more than twice total carapace length. Endopod of merus of third maxilliped with approximately 5 small teeth on ventromesial margin, decreasing in size distally; 1 minute tooth on distolateral margin. Ischium with blunt ventral carina terminating in 1 small tooth distally. No epipods on chelipeds or ambulatory legs. Chelipeds lightly sculptured, setae of various lengths scattered over surface of segments, longer on manus, restricted to transverse striae on proximal segments. Manus dorsoventrally compressed; dactylus less than 1/2 length of propodus. Propodus with single row of anteriorly-projecting teeth on distolateral margin; tips of fingers spooned, dentate, opposing margins abutting on dorsal surface, gaped ventrally; right manus with abutting margins straight, left manus with margins sinusoid; dactylus with projection toward fixed finger. Carpus approximately 2/5 length of manus; distal margin with mesial spine, denticulate dorsally; denticle on ventral projection at propodal articulation. Merus not extending beyond rostrum, subtriangular; dorsal margin rounded, with setae on transverse striae; distal margin with large tooth at ventrolateral angle and ventromesial angle; 1 or 2 denticles dorsally, smooth rounded lobe just above ventrolateral tooth. Ischium with distodorsal tooth; ventromesial prolongation with denticle on mesial margin. Second, third and fourth pereiopods similar. Second pereiopod reaching beyond distal margin of cheliped; third and fourth pereiopods reaching distal margin of propodus of preceding pereiopod. Tip of dactylus light brown, followed on flexor margin by series of 9 to 12 denticles, decreasing in size proximally; 1 slender cornaceous spinule projecting from distal edge of each denticle. Distal flexor margin of propodus with 2 movable spines separated by 2 small denticulate lobes; dorsal, lateral and mesial surfaces of propodus flattened or very slightly concave; angles between these surfaces distinct as ridges, dorsomesial ridge sharper; both ridges slightly scabrous; ventral surface rounded. Carpus less than 1/2 length of propodus; angle between dorsal and mesial surfaces acute, armed with small irregular tooth, almost obscure, decreasing in size proximally; distal margin of segment denticulate between 2 spines: 1 at end of each dorsal angle, mesial spine larger; ventrolateral lobe with denticulate distal margin. Merus with ridge on expanded flexor margin terminating distally in sharp triangular tooth; similar tooth below this beneath articular lobe; lateral surface dorsally oriented in fourth pereiopod, and to lesser degree in third pereiopod; these surfaces with striae and associated setae. Ischium unarmed. Fifth pereiopods with exposed lateral surface of merus lightly sculptured. Protopod of uropod with posterolateral margin in 3 lobes; posterior lobe with 2 short rows of setae on dorsal surface; margin posterior to this notched with denticles lateral to notch, and spine mesial to notch. Exopod and endopod with granular denticles on lateral and posterior margins; similar denticles or small articulated spinules on surface of exopod; spinules on endopod slightly larger. Telson consisting of 8 plates; anterolateral and lateral plates with several rows of setae near fissure between them. Posterior margin indented medially. Color.--The specimen examined is preserved in alcohol and is devoid of any color except for brown corneous tips on the dactylus of the ambulatory legs and certain thicker golden setae on the mouthparts, appendages and body surfaces. Size.--The male examined has the carapace 8.7 mm long. Size ranges reported previously are: $\sigma$, cl. 10-11 mm, and ovigerous $\varphi$, cl. 10 mm. Sexual dimorphism.--The male specimen examined shows moderate development of the "comb" of golden setae on the lateral margins of the telson. The chelipeds are not broadly gaped. Habitat.--Bottom type was not recorded in the station data for P-1225. Types.--The holotype is a male with cl. 11 mm, USNM 138233; the paratype is also a male, cl. 10 mm, USNM 138235. An ovigerous female with cl. 10 mm is the allotype, USNM 138234. Type locality.--Caribbean Sea off Colombia, ALAMINOS Sta. 70A 10-31, 732 m. Geographic range.--Munidopsis subspinoculata is known from widely separated locations in the western Atlantic. Apart from the new location south of Jamaica presented here, and the type locality, this species is reported in the literature as occurring in the southwest Gulf of Mexico (Pequeñat and Pequegnat, 1971: 15). Bathymetric range.--Possible depth range of M. subspinoculata based on all 4 records is 457-823 m; calculated range is 558-777 m. Possible range previously reported was 732-823 m; calculated range was 732-777 m. Thus the new record is the shallowest reported, and extends the bathymetric range almost 200 m. Parasites.--The specimen examined shows no external evidence of branchial or abdominal parasites. No mention was made of parasites in reports of the OREGON and ALAMINOS material. Associates.--Munidopsis alaminos and M. spinifer also were taken with N. subspinoculata at the single station where the latter species was collected. Relationships.--Munidopsis subspinoculata appears to be most closely related to M. spinoculata (A. Milne Edwards) from the western Atlantic, and to a lesser degree to M. ramhtaylorae Pequegnat and Pequegnat. M. subspinoculata shares, with both of these, all the characters used in the keys to species of Munidopsis by Benedict (1902), Chace (1942) and Pequegnat and Pequegnat (1970). See table 1, p. 344, for comparison of these related species. M. subspinoculata differs from M. spinoculata in having the carapace with continuous striations across the dorsal midline of the gastric region, the lateral margins of the rostrum subparallel proximally and slightly convex distally, the eyespine less than 1/2 the diameter of the cornea, the coxae of the chelipeds unarmed, only 2 spines on the sternum between the chelipeds, and the fifth abdominal tergite sculptured; M. spinoculata, by contrast, has the carapace with no continuous striations across the dorsal midline of the gastric region, the rostrum with straight lateral margins tapering directly from base to apex, the eyespine almost as long as the diameter of the cornea, the coxa of the cheliped with a sharp spine, 4 spines on the sternum between the chelipeds, and the fourth and fifth abdominal tergites smooth. Munidopsis transtridens Pequegnat and Pequegnat, 1971 Figures 58, 59 Munidopsis transtridens Pequegnat and Pequegnat, 1971: 7 (key), 15-18, fig. 10. Material examined.--Straits of Florida: G-859, 1162-1201 m, 1 ovigerous ♀, 11.5 mm, UNML 32:3304.--Off British Guiana: P-689, 1373-1446 m, 11 ♂, 10.2-13.8 mm, 11 ♀, 9.5-14.7 mm, 3 ovigerous ♀, 10.8-13.5 mm, UNML 32:5305. Diagnosis.--Tridentate rostrum; horizontal in most small specimens, slightly recurved in larger ones; gastric region of carapace with 1 pair of spinules; frontal margin of carapace with slender post-antennal spine; posterior margin of carapace and abdominal segments unarmed; no eyespines; no epipods on chelipeds or ambulatory legs; chelipeds usually more than 3 times carapace length in females, more than 2 1/2 times carapace length in males; smaller females and males with chelipeds shorter but much more slender (manus width 1/6 manus length); merus of cheliped with 3 or 4 mesial spines proximally. Description.--Carapace longer than broad (cw/cl = 0.75-0.80), transversely convex; dorsal surface finely tuberculate, short setae associated with tubercles; gastric region slightly inflated, armed anteriorly with 1 pair spinules. Cervical groove distinct as shallow smooth depression across central third of carapace; posterior branch similar, anterior branch defining lateral margins of gastric region less distinct; smooth area anterior to postcervical groove not depressed; cardiac region with beaded or minutely denticulate transverse ridge anteriorly; posterior Figure 58. --Munidopsis transtridens Pequegnat and Pequegnat, 1971, $\sigma$, cl. 12.2 mm, P-689, dorsal view. Figure 59. --Munidopsis transtridens Pequegnat and Pequegnat, 1971, ♂, cl. 12.2 mm, P-689: a, lateral view of carapace and abdomen (setae omitted); b, posterior abdominal segments, uropods and telson; c, right antennule and basal segments of antenna, ventrolateral view; d, right third maxilliped, ventrolateral view. \| \| \| \|---\|---\| \| a \| 10 mm \| \| b \| 5 mm \| \| c,d \| 5 mm \| boundary of cardiac region defined sharply by narrow groove, deepest medially, extending obliquely toward posterolateral margin from center and obliquely forward to lateral termination of posterior branch of cervical groove; cardiac and metabranchial regions with tubercles arranged in transverse rows, rugose laterally; marginal groove broader mesially, interrupted by several small medial tubercles. Rostrum broad at base, width approximately 1/3 carapace width, horizontal proximally with moderate distal curve upward; lateral margins nearly straight to slightly convex; length of rostrum almost 3/5 carapace length, terminating in 3 sharp teeth with medial tooth much longer, lateral margins minutely serrate; distinct longitudinal carina most distinct distally, extending to anterior gastric region. Frontal margin straight and transverse between base of rostrum and sharp post-antennal spine, sloping at 45° angle or slightly concave to anterolateral spine. Anterolateral spine followed on lateral margin by 2 evenly-spaced similar spines and 1 larger curved spine behind lateral termination of posterior branch of cervical groove; lateral margin convex between this and posterior margin. Posterior margin unarmed except for beaded or minutely denticulate raised rim; rim broader mesially, with irregular sculpturing of tubercles and rugae and slight medial indentation. First abdominal tergite smooth. Second segment with sharp transverse carina across tergite, broadening laterally and extending to middle of pleuron; less prominent carina behind this extending across tergite only. Third and fourth tergites with rounded anterior carina and less prominent transverse swelling posterior to this, posterior swelling quite obscure on fourth segment, location marked by setae; leading faces of transverse carinae decorated with several setae, longer laterally, particularly on third to fifth tergites. Fifth tergite with several long setae arranged in irregular transverse rows, but no carinae. Sixth tergite relatively smooth with scattered punctae and setae. Sternum with intersegmental ridges beaded and decorated with short, thick setae; plate concave anteriorly between chelipeds; distinct median longitudinal furrow between second to fourth pereiopods; plates behind ridges with irregular transverse rows of obscure tubercles and very short sparse setae. Eyes movable, unarmed; cornea elongate; eyestalk with setae dorsally near base of cornea, and slight lateral expansion. Slender sharp spine emerging from intersection of bases of eyestalk, antennule and antenna below frontal margin lateral to eye. Basal segment of antennular peduncle with lateral inflation, anterior edge of swelling with small tubercles and 2 large dorsolateral spines near distal margin: ventral spine longer, thicker; distal margin denticulate ventromesially and armed with small mesial tooth. Second and third segments short. Extended flagellum reaching just beyond apex of rostrum. Basal segment of antennal peduncle broad, with blunt triangular lateral tooth and elongate ventromesial projection. Second segment with sharp conical lateral spine. Distal margin of third segment serrate, with small dorsomesial projection or mesial spine. Distal margin of fourth segment with denticulate dorsolateral projection. Antennal flagellum slightly longer than carapace length, reaching just beyond carpus of cheliped. Ischium of endopod of third maxilliped armed distally with small tooth on ventral flexor and extensor margins. Armature of merus variable, usually consisting of 2 large sharp teeth on flexor margin, proximal tooth thickest, and small tooth near distal margin; extensor margin with small distal tooth and several small tubercles; lateral surface with several denticulate tubercles and associated setae. Carpus with several irregular tubercles on extensor margin, proximal one most prominent; lateral surface of carpus with obscure row of 3 or 4 short setae. Pereiopods setose, setae arranged in small groups emerging from evenly-spaced minutely denticulate tubercles. No epipods on pereiopods. Chelipeds 2 1/2 to slightly more than 3 times carapace length. Manus almost 1/2 cheliped length, unarmed; width of manus approximately 1/6 or less than 1/6 manus length in females and small males, 1/3 to 1/4 manus length in large males. Fingers 1/2 or slightly less than 1/2 length of manus; fixed finger of large males arched to form gape proximally; opposing margins toothed; dactylus of males with several teeth expanded into gape; fingers abutting along entire length in females, abutting only distally in males; tips spooned; dorsal surface smooth; mesial and lateral margins of manus with irregular longitudinal rows of denticulate tubercles. Carpus less than 1/2 length of manus; 3 small spines on distal margin: 1 lateral spine; dorsolateral spine followed by 1 or 2 smaller spines on dorsal surface; dorsomesial spine followed occasionally by 1 or 2 spines; mesial margin with large spine; spination on dorsal surface of carpus variable; ventromesial spine of distal margin on articular knob. Merus with large spines near distal margin at each of 4 angles; smaller spine on distal margin beneath dorsal spine or knob; dorsal and mesial spination variable: dorsal row of 6 to 8 spines; 1 to 3 larger spines in dorsomesial row, and 2 to 4 large spines in ventromesial row on proximal half, decreasing in size proximally. Ischium with sharp spine dorsally and ventromesially near distal termination; distolateral margin denticulate. Second, third and fourth pereiopods similar. Second pereiopod reaching just beyond distal margin of carpus of cheliped. Dactylus slightly longer than 1/2 length of propodus; only tip curved, corneous, followed on straight flexor margin by series of approximately 10 blunt triangular teeth, decreasing in size proximally, armed on leading edge with long corneous spinule. Propodus with 2 movable spinules on distal ventral margin, and one approximately 1/3 distance back on flexor surface; dorsal and lateral surface unarmed except for irregular longitudinal rows of denticulate tubercles and associated setae. Carpus with extensor margin expanded, armed distally with sharp spine, often followed on second and third pereiopods by row of 2 or 3 prominent spines and several smaller intermediate teeth, prominent spines becoming more obscure on third pereiopod, seldom present on fourth pereiopod; distal margin with smaller spine lateral to dorsal ones, followed on dorsolateral margin with longitudinal denticulate ridge. Distal margin of merus with slender dorsal and triangular ventrolateral spine; dorsal spine followed on flexor margin by row of 5 to 8 spines on second pereiopod, variably decreasing in number on third and fourth pereiopods; merus becoming proportionately shorter; lateral and ventral surfaces tuberculate and setose, but not spinous except occasionally on fourth pereiopod. Ischium with short dorsal spine on second and third pereiopods. Merus of fifth pereiopods expanded in distal half, especially near center of segment; lightly sculptured on exposed surface with several obscure teeth on ventral margin. Protopod of uropod with posterolateral margin scalloped; posterior lobe serrate on either side of marginal notch and with 2 or 3 tubercles on surface above this. Margins and exposed surfaces of endopod and exopod spinulate; spinules arranged in small groups on surfaces. Width of telson anteriorly same as length, narrower posteriorly; telson composed of 8 plates; lateral plates slightly concave, tuberculate, posterior margin with deep medial indentation. Color.--The specimens examined are preserved in alcohol and are completely devoid of color except for golden color of thicker setae, particularly on appendages and on the telson of males. The eyes are unpigmented but translucent. The tips of the dactyli of ambulatory legs are pale brown. Size.--♂, cl. 10.2-13.8 mm, ♀, cl. 9.5-13.7 mm, ovigerous ♀, cl. 10.8-13.5 mm. The female type specimen is smaller than these examined, with cl. 8 mm (Pequegnat and Pequegnat, 1971: 17). Sexual dimorphism.--The chela is much broader and gaped in the largest male (cl. 13.0 mm), and there is a "comb" of thick golden setae on the lateral margins of the telson. A male with cl. 12.2 mm has the fingers abutting without a proximal gape; however, a smaller male (cl. 10.6 mm) has a distinct gape. Males also have the pereiopods slightly more spinose than do the females, particularly on the mesial surface of the merus of the cheliped. The females have the manus much more slender, with the opposing margins of the fingers abutting along their entire length, and have very few fine marginal setae laterally on the telson. Habitat.--The bottom at G-859 in the southern Straits of Florida consisted of dead coral and pteropod shells; at P-689 it consisted of hard brown mud covered with siliceous sponges and branching madreporarians. Type.--The holotype is a female, cl. 8 mm, USNM 138236. Type locality.--Southeast Gulf of Mexico, OREGON Sta. 4566, 1280 m. Geographic range.--Munidopsis transtridens has been collected from only 2 locations in the southeast Gulf of Mexico (The location reported herein is southern Straits of Florida) and off British Guiana in the western Atlantic. Although it has been collected infrequently, it was abundant (25 specimens) at the PILLSBURY station off British Guiana. Bathymetric range.--Possible depth range for the material examined is 1162-1446 m; calculated range is 1201-1373 m. The previously reported depth falls within this range. Parasites.--There are no external evidences of branchial or abdominal parasites in any of the material examined. Several specimens from the PILLSBURY station have small foraminiferans and hydroids attached to various body surfaces. Associates.--Munidopsis simplex was also collected at both stations where M. transtridens was taken, but no conclusions are drawn from this due to the abundant distribution of the former species. Relationships.--Munidopsis transtridens is one of the species in the complex of closely related species including M. serricornis and M. tridens. There is some question whether M. transtridens is distinct from M. tridens, and even whether the latter is distinct from the variable and widespread M. serricornis (this problem will be dealt with in a subsequent report, since the GERDA and PILLSBURY collected no specimens which could be assigned to M. tridens). The original description of Munidopsis transtridens Pequegnat and Pequegnat, 1971, was based on a small female specimen. A number of differences between this specimen and M. tridens were listed, but the greater quantity of material in the sample from P-689 has shown that these differences are not consistent. The characters used to separate M. transtridens from M. tridens were (1) the convex lateral margins of the rostrum, (2) the less recurved rostrum, (3) the less pigmented eyes, (4) the more slender (less robust) and shorter chelipeds (2 times carapace length compared to 2.6 times carapace length in M. tridens), (5) the longer, more spinous merus of the cheliped (length equal to carapace length and with 3 to 4 internal spines compared to shorter than carapace length in M. tridens with only 1 mesial spine), (6) the serrate ventromesial ridge on the distal portion of the ischium of the cheliped (compared to an acute spine in this location), (7) 2 large spines and 2 or 3 denticles on the inner margin of the merus of the third maxilliped compared to 2 spines and a denticle or 2 fused spines and a denticle, and (8) the greater depth of 1280 m (compared to 380-475 m) of M. transtridens. A male specimen of M. tridens collected by the OREGON from Surinam in 366 m is available for comparison; it exhibits all the characters implied for M. tridens in the above listing except that the cheliped is less than 2 1/2 times the carapace length and bears a row of 2 large spines and a smaller spine proximally on the ventromesial angle of the merus. Females collected by the GERDA and PILLSBURY do not have all the characters attributed to either species: the rostral margins vary from nearly straight but not parallel to convex as shown in the figure of the type of M. transtridens (Pequegnat and Pequegnat, 1971: fig. 10), and from horizontal to slightly but distinctly recurved. The chelipeds are long and slender, ranging from 2 1/2 to 3 times carapace length with the width of the manus approximately 1/6 length. The merus of the cheliped is slightly longer than the carapace length and there are 3 or 4 large sharp spines in a row on the ventromesial angle proximally. The ischium has a ventromesial serrate ridge distally, but also has a sharp spine in that position. The merus of the third maxilliped has 2 large spines proximally on the ventromesial margin, but the distal armature varies from a much smaller spine to a denticle or a spinule and several denticles. The males from the PILLSBURY sample display a similar conglomeration of the characters previously assigned to one or the other species. The rostral margins are slightly convex on most specimens, but on some they are nearly straight and almost parallel. All of the larger specimens show remarkable sexual dimorphism, which is described in the appropriate section. The merus of the cheliped is broader and shorter proportional to the length of the whole appendage; it is approximately the same length as the carapace and usually has a row of 3, occasionally 2 or 4, large teeth on the ventromesial margin proximally. Two of the smaller males, with cl. 12.2 and 10.5 mm, have the chelipeds like those of the female specimens--long, slender and without the gaping fingers of the male--but the merus is shorter than the carapace length. The characters of the female described as M. transtridens fall within the range exhibited by the specimens from 1 PILLSBURY station. There is a possibility that the morphological differences between M. tridens and M. transtridens are due to depth, but until more material from shallower water is available, the material from deeper water will be assigned to M. transtridens. The most consistent morphological features separating the two species appear to be the longer, more spinous chelipeds of M. transtridens, which are more slender in the females and small males than those of M. tridens. Pequegnat and Pequegnat (1971: 17) point out a similarity between M. transtridens and M. mina Benedict from the Pacific, but they indicate that the latter differs in having straight lateral margins on the rostrum with the dorsal carina less prominent; the merus of the cheliped is shorter with fewer internal spines, and the anterior margin of the carpus of the cheliped has a ventro-external spine which is lacking in M. transtridens. It is difficult to determine more from the original description and illustration of M. mina, but there is a possibility that this species will prove to be indistinct from M. transtridens, or that both will be relegated to subspecific rank. Nunidopsis crinita Faxon from the eastern Pacific is also a close relative of M. transtridens, and shares the same gastric spination, although the illustration of the former species shows the spines slightly larger; in addition, M. crinita lacks prominent spines on the meri of the abulatory legs, and has the rostrum shorter than that of any of the western Atlantic species with tridentate rostra. M. transtridens is distinguished from other members of the Galathodes group in the western Atlantic (M. acuminata, M. latifrons and M. serricornis) by the presence of the gastric spines on the carapace. Munidopsis serricornis (Lovén, 1852) Figures 61-66 Galatheæ serricornis Lovén, 1852: 22-23. Galathea tridentata Esmark, 1857: 239.--Sars, M. 1868: 19.--Sars, G.O., 1872: 256, 283. Galathodes rosaceus A. Milne Edwards, 1881: 932; 1882: 40; 1883: pl. 15, figs. 1-1d. Galathodes tridentata: Goës, 1863:--Sars, 1883: 43, pl. 1, fig. 3; 1890: 162, pl. 4 (G. tridentatus).--A. Milne Edwards and Bouvier, 1894: 279 (key), fig. 32, 231, 233, 319, 320, 324, 325 (table), 326. --Norman, 1894: 155, 159.--Caullery, 1896: 390.--A. Milne Edwards and Bouvier, 1899: 83-85; 1900: 331-333, pl. 31, figs. 5-7.--Apellof, 1906. Munidopsis tridentata: Ortmann, 1892, 256.--Benedict, 1902: 276 (key), 328 (list).--Doflein and Balss, 1913: 175, 176 (lists), 177 (table).--Chace, 1942: 74 (key), 88-89.--Zariquiey Alvarez, 1968: 268 (key), 269, fig. 95a.--Pequegnat and Pequegnat, 1970: 139 (key), 158-159, figs. 5-1, 5-14, table 5-2; 1971: 5 (key).--Boschma, 1962a: 50-52; 1962b: 76 (as host of Cyphosaccus norvegicus).--Miayke and Baba, 1970: 95 (list).--Samuelsen, 1972: 91-96, figs. 1, 2 (larval stages). Munidopsis ?rosacea: Alcock and Anderson, 1899: 19. Munidopsis (Galathodes) ?tridentata: Alcock, 1901: 250 (key), 264-265. Munidopsis bahamensis Benedict, 1902: 276 (key), 278-279, 317 (list), fig. 22.--Doflein and Balss, 1913: 175 (list), 177 (table).--Chace, 1942: 74 (key), 89.--Pequegnat and Pequegnat, 1970: 139 (key); 1971: 5 (key). Munidopsis tenuirostris Benedict, 1902: 276 (key), 289, 328 (list), fig. 32.--Doflein and Balss, 1913: 176 (list), 178 (table).--Chace, 1942: 74 (key).--Pequegnat and Pequegnat, 1970: 139 (key); 1971: 5 (key). Munidopsis (Galathodes) tridentata: Doflein and Balss, 1913: 158.--Selbie, 1914: 81-84, pl. 12, figs. 1-5.--Bouvier, 1922: 48.--Laurie, 1926: 139-140.--Perez, 1927: 287 (sexual dimorphism). Munidopsis (Galathodes) serricornis: Balss, 1926: 29. Munidopsis serricornis: Christiansen, 1972: 46, fig. 57. Material examined.--GERDA and PILLSBURY collections. Straits of Florida: G-44, 570-695 m, 1 ♂, 13.3 mm, 1 ♀, 5.0 mm with branchial parasite, 2 ovigerous ♀, 9.4, 9.5 mm; G-103, 824 m, 3 ♂, 5.2-8.5 mm, 4 ♀, 6.2-9.6 mm, 7.5 mm with branchial parasite, 1 ovigerous ♀, 8.5 mm with branchial parasite; G-130, 1021 m, 1 ovigerous ♀, 10.0 mm; G-295, 833-842 m, 3 ♂, 6.2-9.8 mm; G-311, 787-805 m, 4 ♂, 7.5-10.0 mm, 2 ovigerous ♀, 7.2, 7.6 mm; G-354, 805-830 m, 3 ♂, 7.0-9.6 mm, 3 ovigerous ♀, 7.6-9.2 mm, 3 ♀, 4.9-9.0 mm.--Bahamas, NW Providence Channel, G-190, 733-897 m, 1 ♀, 10.0 mm.--Off British Guiana: P-689, 1373-1446 m, 1 ♂, 12.8 mm.--Caribbean Sea, S of Jamaica: P-1262, 805-1089 m, 3 ♂, 4.7-5.6 mm, 5.6 mm with branchial parasite, 2 ♀, 4.0, 6.1 mm, 2 ovigerous ♀, 8.5 mm with branchial parasite, 9.7 mm. ALBATROSS, ATLANTIS and TALISMAN Collections, material previously reported. North Coast of Cuba: ATLANTIS Sta. 2995, 677-1107 m, 2 ♂, 9.5 mm, other damaged, 2 ♀, 8.3 mm, 8.4 mm with branchial parasite, 1 ovigerous ♀, 10.5 mm; ATL.-3472, 933 m, 1 ♀, 6.6 mm; ATL.-3474, 897 m, 1 ♂, 5.5 mm; MCZ 11762-64 (reported by Chace, 1942: 89).--E of southeastern USA: ATL.-3780, 458-485 m, 1 ♂, 16.5 mm, 1 ♀, 14.0 mm with abdominal parasite; ATL.-3781, 485-531 m, 5♂, 5.0-9.5 mm, 1 ovigerous ♀, 9.5 mm; MCZ 11734-35 (reported by Chace, 1942: 89 as M. bahamensis).--ALBATROSS Sta. 2669, 458-530 m, 3♂, 12.1-18.1 mm (largest is holotype of M. bahamensis Benedict, 1902), 3♀ ovigerous ♀, 13.6-16.3 mm, USNM 20555; ALB.-2415, 805 m, 1♂, 11.0 mm (holotype of M. tenuirostris Benedict, 1902), 1♀ ovigerous ♀, 9.3 mm, USNM 20560.--Cff Cape Bojador, W Africa: TALISMAN Sta. 70, 698 m, 1♂, 8.5 mm, MCZ 6609 (reported by A. Milne Edwards and Bouvier, 1900: 331). See distribution plot 22. Diagnosis.--Tridentate rostrum, not sharply upturned; gastric region of carapace and abdominal segments without spines; frontal margin with sharp post-antennal spine; no eyespines; no epipods on chelipeds or ambulatory legs; sides of carapace roughly parallel. Description.--Carapace longer than broad (cw/cl = approximately 0.75-0.80), transversely convex, slightly convex longitudinally. Gastric region slightly inflated, unarmed. Small specimens with an irregular transverse row of granules or indistinct tubercles on each side of anterior gastric region. Cervical groove distinct centrally between meso- and metagastric regions; anterior branch shallow, forming depression around gastric region; posterior branch more distinct, continuous to lateral margins. Postcervical groove distinct as depression across central third of carapace between metagastric and cardiac regions. Posterior to this and on metabranchial regions, surface with widely-spaced interrupted rugae, conspicuous near lateral margins. Smooth area across carapace anterior to raised posterior margin; transverse striation across center of marginal rim. Dorsal surface moderately setose. Rostrum broad at base, lateral margins straight or slightly convex, parallel or slightly converging, Distribution plot 22.—Munidopsis serricornis (Lovén, 1852) collected by the GERDA and PILLSBURY. Figure 61. --Munidopsis serricornis (Lovén, 1852), variation in form of rostrum. a-e, G-311: a, ♂, cl. 9.6 mm; b, ♂, cl. 9.6 mm; c, ♂, cl. 8.5 mm; d, ♂, cl. 7.5 mm; e, ovigerous ♀, cl. 7.8 mm. f, g, ALBATROSS Sta. 2415 (type material of M. tenuirostris Benedict): f, ♂, cl. 11.0 mm; g, ovigerous ♀, cl. 9.3 mm. h, i, G-44: h, ovigerous ♀, cl. 9.6 mm; i, ♀, cl. 5.0 mm. j, k, G-103: j, ♀, cl. 9.6 mm, deformed, absence of post-antennal spines); k, cl. 8.2 mm (deformed tip of rostrum). Figure 62. --Munidopsis serricornis (Lovén, 1852). ♂, cl. 11.0 mm, ALBATROSS Sta. 2415 (holotype of M. tenuirostris Benedict): a, endopod of right third maxilliped, ventrolateral view; b, right antennular peduncle, ventrolateral view; c, dorsal view, setae omitted; d, posterior abdominal tergites, uropods and telson. ♂, cl. 8.5 mm, TALISMAN Sta. 70 (specimen from west coast of Africa identified by A. Milne Edwards): e, right chelifed; f, endopod of right third maxilliped, setae omitted. Scales in mm. Figure 63. --Munidopsis serricornis (Lovén, 1852), rostra and left chelipeds. ♂, cl. 16.5 mm, ATLANTIS Sta. 3780: a, e. ♀, cl. 14.0 mm, ATLANTIS Sta. 3780: b, f. ♂, cl. 13.3 mm, G-44: c, g. Ovigerous ♀, cl. 9.5 mm, G-44: d, h. Setae on chelipeds not shown; e and g are quite setose. Figure 64. --Munidopsis serricornis (Lovén, 1852). ♂, cl. 11.0 mm, ALBATROSS Sta. 2415 (holotype of M. tenuirostris Benedict): a-c, second to fourth pereiopods, lateral view. ♀, cl. 9.3 mm, ALBATROSS Sta. 2415: d-f, second to fourth pereiopods, lateral view. Right chelipeds: g, G-190, ♀, cl. 10.0 mm; h, P-1262, ♀, cl. 8.3 mm; i, G-354, ♂, cl. 9.6 mm. Endopods of right third maxillipeds: j, G-295, ♂, cl. 7.2 mm; k, G-130, ovigerous ♀, cl. 10.0 mm; l, P-1262, ovigerous ♀, cl. 9.7 mm. Figure 65. --Munidopsis serricornis (Lovén 1852), ♂, cl. 12.1 mm, ALBATROSS Sta. 2669 (from type series of Munidopsis bahamensis Benedict): a, right antennule, ventrolateral view; b, endopod of right third maxilliped, ventrolateral view; c, dorsal view, setae omitted, fourth pereiopod missing. Figure 66. --Munidopsis serricornis (Lovén 1852), ♀, cl. 14.7 mm, ALBATROSS Sta. 2669 (from type series of M. bahamensis Benedict), dorsal view, setae omitted, fourth pereiopods missing. terminating in 3 distinct teeth, central tooth longer; rostrum nearly horizontal, with slight upturn distally; rounded carina extending from gastric region to termination of central tooth; several setae on lateral margins thicker and longer than most. Frontal margin straight or slightly convex between base of rostrum and sharp conical post-antennal spine; margin sloping more between frontal and anterolateral spine. Anterolateral spine followed on lateral margin by 3 sharp spines, posterior spine broader or larger, located posterior to lateral termination of cervical groove. Abdominal segments unarmed; transverse ridge followed by shallow depression across second and third tergites; fourth tergite with ridge only; remaining segments relatively smooth. Sternum unarmed; intersegmental ridges and depressions distinct. Eyes small, frequently almost hidden beneath rostrum, movable, unarmed. Several setae projecting forward from base of cornea. Sharp conical spine emerging below frontal margin between eyestalk and bases of antenna and antennule. Basal segment of antennular peduncle with 2 long sharp spines on dorsal surface; distalmost spine thicker and sometimes longer; distal margin serrate ventromesially. Basal segment of antennal peduncle broad, with 2 terminal spines: 1 broad lateral tooth, 1 expanded ventromesial tooth. Second segment with sharp distolateral spine and very small ventromesial tooth. Parts of distal margin of third segment serrate with mesial denticle. Fourth segment with dorsolateral denticulate projection on distal margin, smaller lobe ventrolaterally; mesial margin slightly expanded, denticulate. Antennal flagellum approximately 1 1/2 times carapace length. Ischium of endopod of third maxilliped, triangular in cross section; mesial margin toothed; distal margin expanded into triangular tooth at each of 3 angles. Merus with small tooth dorsodistally; ventral margin usually with 2 large spines, proximal spine slightly broader; occasionally small rounded denticle distally on ventral margin. Low, forward-projecting tubercles, minutely dentate, with setae, scattered evenly over most surfaces of pereiopods. No epipods on chelipeds or ambulatory legs. Length-width ratio quite variable in cheliped; fingers shorter than manus; tips spooned, dentate; opposing margins of fingers ranging from widely gaped in large males to continuously abutting in females and small individuals; proximal expansion of mesial margin on dactylus of individuals with gape. Surface of chela unarmed, smooth except for sculpturing and low tubercles, particularly on slightly raised dorsomesial margin; usually slight longitudinal depression on manus posterior to articulation of dactylus, more conspicuous on broader chelae. Carpus slightly more than 1/3 length of manus; distal margin with large sharp mesial spine; elevation on either side of central depression terminating in small tooth; distal ventral margin serrate with small ventromesial tooth. Merus with large spine on distal margin at dorsal, mesial and ventromesial angles; lateral angle usually with rounded protuberance occasionally developed into tooth; usually 1 or 2 large spines posterior to mesial one, several sharp spines proximal to this on ventromesial angle, and several smaller spines along dorsal angle; spination variable. Second, third and fourth pereiopods similar. Ratio of pereioped and cheliped length variable, but dactylus of second pereiopod seldom exceeding distal margin of carpus of cheliped. Dactylus approximately 1/2 length of propodus; unarmed except for longitudinal row of corneous spinules on flexor margin following curved tip. Lateral surface of propodus sculptured, slight ridge dorsally. Carpus approximately same length as dactylus; extensor margin expanded into toothed ridge with large sharp distal spine; longitudinal hollow and ridge lateral to this. Merus with sharp distodorsal spine followed by 4 to 8 spines on second and third pereiopods; 2 or 3 spines on fourth pereiopod, decreasing in size proximally; large ventral spine near distal margin; lateral surface evenly sculptured, mesial surface almost smooth. Ischium with dorsal protuberance distally, and serrate distolateral margin. Merus of fifth pereiopods sculptured on lateral face and ventral margin. Protopod of uropod with posterolateral margin scalloped; posterior lobe with serrations, sometimes obscure on both sides of small central notch. Exposed surfaces of endopod and exopod with setae and small group of movable spines, larger on endopod; lateral margins with small movable spines on exopod, small teeth on endopod. Telson narrowed posteriorly, consisting of 8 distinct plates, posterior margin with medial indentation. Color.--Specimens preserved in alcohol are chalky white with pale corneous colored corneae. Eggs of a recently preserved specimen are orange. In the original description of the species, type material from Sweden is described as bright pink with white eyes. Bouvier, 1922, reported the animals to be cream white, basing himself on a water color sketch made by M. Borrel, the artist of the Monaco Expeditions, of a freshly captured specimen. No other published records of color in this species were found. in the literature. Size.--♂, cl. 4.7-13.3 mm, ♀, cl. 4.0-10.0 mm, and ovigerous ♀, cl. 7.2-10.0 mm. The material examined extends the range for males to 18.1 mm and for ovigerous females to 16.3 mm. Sexual dimorphism.--Chelipeds of large males usually have the fixed finger arched or the inner margin excavated, forming a gape; females usually have the fingers straight with no appreciable gape between opposing margins. Males larger than 6.0 mm carapace length have the characteristic fringe of thick setae on the lateral margins of the telson; females and smaller males lack this fringe. Habitat.--At locations where this species has been collected, the bottom has consisted variously of rock, coral or shell rubble, sand, mud or Globigerina ooze. Type.--Deposition of the type material is not known. Type locality.--"Väderöarna Bahusiae," Sweden, (among the Väjer Islands on the Bohuslän coast), about 50 fm. Geographic range.--Munidopsis serricornis has been reported from both sides of the North Atlantic Ocean, from the Gulf of Mexico, the Caribbean Sea, and from several locations in the northern Indian Ocean. In the literature it has been recorded from the following localities: eastern Atlantic: Norway (Norman, 1894: 155; Esmark, 1857: 239; Sars: 1868: 19; Boschma, 1962a: 50, 1962b: 76; W of Ireland (Selbie, 1914: 83-84); Bay of Biscay (Caullery, 1896: 390; A. Milne Edwards and Bouvier, 1900: 332); Azores (A. Milne Edwards and Bouvier, 1899: 85; 1900: 332; Bouvier, 1922: 48); NW and W of Spain (Caullery, 1896: 390; A. Milne Edwards and Bouvier, 1900: 331); Canary Islands (Bouvier, 1922: 48); NW and W of Africa (A. Milne Edwards and Bouvier, 1900: 331); Cape Verde Islands (A. Milne Edwards and Bouvier, 1900: 331).--Western Atlantic: N of Cuba (Chace, 1942: 89); E of southeastern USA as M. bahamensis and M. tenuirostris (Benedict, 1902: 278, 289; Chace, 1942: 89).--Gulf of Mexico (Pequegnat and Pequegnat, 1970: 159).--Indian Ocean: E of Africa (Doflein and Balss, 1913: 158); Bay of Bengal (Doflein and Balss, 1913: 158, Alcock, 1901: 265); W of Sumatra (Doflein and Balss, 1913: 158); Arabian Sea (Alcock, 1901: 265); Maldive Atoll (Alcock, 1901: 265); Archipelago of the Seychelles, Saya de Malha (Laurie, 1926: 139). Bathymetric range.--Possible depth range for material examined is 570-1446 m; calculated range is 695-1373. This species has been reported shallower (275 m, 200-10 m and 96 m) off Norway and in the Azores, and deeper (1480 m) in the Bay of Biscay. Parasites.--Two records were found in the literature of parasitism in this species by rhizocephalans: Tortugaster fistulatus Reinhard, 1948 reported from Munidopsis bahamensis by Reinhard (1958), the host of which had been reported by Chace (1942); and Cyphosaccus norvegicus Boschma, parasitic on M. tridentata (= M. serricornis) (Boschma, 1962). None of the material in our collection has abdominal parasites. The brachial parasites were all identified as bopyrid isopods of the genus Pseudione, possibly belonging to undescribed species. Associates.--Munidopsis serricornis was found at 7 stations; M. latifrons was found with it at 4 of these locations, giving these 2 species a relatively high index of affinity, 0.43. Relationships.--The 5 species of Munidopsis with tridentate rostra found in the western Atlantic appear to be very closely related judging by their similar morphology. M. serricornis can be distinguished from M. acuminata Benedict which has epipods on the chelipeds, shorter ambulatory legs with several distinct carpal spines, and 1 fairly blunt tooth on the merus of the third maxilliped near the distal end of the ventral margin. The gastric region of the carapace and the abdominal segments are unarmed in M. serricornis, while M. rridens (A. Milne Edwards) and M. transtridens Pequegnat and Pequegnat have 1 pair of gastric spines and M. latifrons (A. Milne Edwards) has a pair of median spines and a pleural spine on the second abdominal segment. The emphasis by Benedict (1902) on the acuminate nature of the chelipeds seems unwarranted since the chelipeds are quite variable in this species complex, and certain specimens of M. serricornis, M. transridens and M. latifrons display this feature. M. modesta Benedict, M. mina Benedict and M. crinita Faxon from the eastern Pacific, and to a lesser degree, M. trifida Henderson from the western Pacific, are similar to M. serricornis. The latter 3 species each have a pair of gastric spine, however, and M. modesta has the anterior carapacial margin sloping much more than M. serricornis. Discussion.--With the help of Dr. L. B. Holthuis, who had access to the original Latin description, it has been determined that Lovén, 1852, described this species under the name of Galathea serricornis based on specimens from Norway with white eyes. Since this is the only "blind" galatheid found in Norwegian waters, where it is fairly common, although Lovén's description of the serrate lateral margins of the rostrum does not really apply to M. serricornis, there is little doubt that he was dealing with the same species which has been called M. tridentata in all recent literature. Balss (1926) was apparently the first of subsequent workers to note this synonymy, but this was ignored by most other authors except recently, by Zarique Alvarez (1968) and Christiansen (1972). The only characters used in recent keys (Chace, 1942; Pequegnat and Pequegnat, 1970) to separate M. tridentata (= M. serricornis), M. bahamensis and M. tenuirostris are the shapes of the rostra and chelipeds. M. bahamensis was described by Benedict (1902) from a series of large animals (3 ♂, cl. 18.1-12.1 mm and 3 ovigerous ♀, cl. 16.3-13.6 mm) from 645 m off Florida, with robust chelipeds and broad rostra having almost parallel sides. In the same paper he described a male (cl. 11.0 mm) and an ovigerous female (cl. 9.3 mm) from 805 m off Georgia with narrower, more tapering rostra as M. tenuirostris. Benedict reserved M. tridentata for specimens with laterally convex rostra, while Chace distinguished that species from M. bahamensis by the "moderately slender chelipeds and ambulatory legs" cf M. tridentata. Samples in the RSMAS collection from 450-1217 m show a range of variation of these characters which include the extremes expressed by the holotypes of M. bahamensis and M. tenuirostris. In all cases, large individuals have broader rostra and more robust chelipeds than smaller animals in the same sample. The nature of the rostral margins varies, also, as in demonstrated in figures 61 and 63(c-d). Benedict (1902) separated tenuirostris from trideftata in his key on the basis of the presence of 2 spines on the inferior margin of the merus of the third maxilliped of M. tenuirostris and 3 spines in that of the latter 2 species; however, in his description of M. tenuirostris he states that there are "two slender spines and a short conical one" in that location. In this group of specimens there is some degree of variation in the armature of this appendage, as Chace (1942) pointed out several times. Since it is impossible to separate these animals into distinct taxa based on these characters, and since examination has revealed no other characters which can be used to define the species morphologically, it is deemed advisable to call all this material M. serricornis. It should be noted that all the larger specimens (except 1 ♂ from near British Guiana) have come from the Straits of Florida and points north, whereas samples with only small specimens (cl. 10.0 mm and less) have come from the Straits of Florida, Cuba, and south of Jamaica, with the exception of those from ATLANTIS Sta. 3781. Remarks.--Both the form of the cheliped and the nature of the rostrum show an interesting range of variation. These are depicted in figures 61-66. Samples from GERDA stations 44, 103, 295 and 311 contained specimens which exhibit a wide range of variation and several combinations of the extremes of rostrum and cheliped shape and size. The type material of Benedict's M. tenuirostris (figures 61:f,g; 62: a-d; and 64: a-c) has been illustrated for comparison with his M. bahamensis (figures 65, 66). It should be noted that the rostrum of the female paratype of M. tenuirostris (figure 61,g) is not particularly long or tapered, characters upon which Benedict based the new species. Figure 62, e and f show the third maxilliped and left cheliped of a specimen collected by the TALISMAN from West Africa and identified by A. Milne Edwards as M. tridentata. Unfortunately the rostrum was broken off presumably near the distal end in the single specimen. The margins are fairly straight however, and slightly converging. There were no outstanding characteristics which distinguish this individual from most of the western Atlantic specimens. 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ALCOCK 1891. Natural history notes from H. M. Indian Marine Survey Steamer "Investigator," L.-Commander R. F. Hoskyn, R. N., commanding. No. 21. Note on the results of the last season's deep-sea dredging. Ann. Mag. nat. Hist., ser. 6, 7: 186-202, figs. 1-4. YOKOYA, Y. 1933. On the distribution of decapod crustaceans inhabiting the continental shelf around Japan, chiefly based upon the materials collected by S. S. Soyo-maru, during the years 1923-1930. J. Coll. Agric., Tokyo Imp. Univ., 12 (1): 1-226, figs. 1-71. YOUNG, C. C. 1900. The stalk-eyed Crustacea of British Guiana, West Indies and Bermuda. i-xix, 1-514, textfigs., pls. 1-7. ZARIQUIEY ALVAREZ, R. 1968. Crustaceos decapodos Ibericos. Investigacion Pesquera, 32: i-xv, 1-510, figs. 1-164. The following list contains data for the stations of the expeditions of the GERDA and PILLSBURY mentioned in the dissertation. The station number, position, depth in meters, bottom, date and the species of Munidopsis taken are listed for every station at which Munidopsis were collected. The following abbreviations are used to indicate the bottom type or characteristics: alc., alcyonarians; biv., bivalve; bl., black; br., brown; bran., branching; brk., broken; cl., clay; congl., conglomerate; co., coral; covd., covered; dd., dead; fn., fine; frg., fragments; gn., green; gy., gray; hd., hard; lg., large; madrepo., madreporarian coral; m., mud; pter., pteropod; pum., pumice; r., rock; rky., rocky; sed., sediment; sh., shell; sil., siliceous; slp., slippery; silt., silt; sn., sand; sol., solitary; st., stone; stky., sticky; Thal., Thalassia; thk., thick; veg., vegetable; wh., white; yl., yellow. \| Sta. \| Position \| Depth (m) \| Bottom \| Date \| Species \| \|------\|---------------------------\|-----------\|--------------\|----------\|------------------\| \| 44 \| 25°36'N,79°45'W \| 570-695 \| \| 21 JUL 62\| serricornis \| \| 103 \| 25°17'N,79°40'W-25°22'N,79°41'W \| 824 \| hd.co. rubble\| 10 MAY 63\| serricornis \| \| 114 \| 24°02'N,83°02'W \| 869-759 \| \| 18 JUN 63\| cubensis longimanus \| \| 121 \| 23°52'N,82°05'W \| 1281 \| \| 19 JUN 63\| sigsbei, simplex \| \| 128 \| 23°49'N,81°37'W-23°50'N,81°30'W \| 1464-1391 \| \| 20 JUN 63\| simplex \| \| 129 \| 23°46'N,81°15'W \| 1281 \| \| 20 JUN 63\| sigsbei, simplex \| \| 130 \| 23°59'N,81°10'W-23°59'N,81°05'W \| 1021 \| \| 21 JUN 63\| serricornis armata, sigsbei \| \| 131 \| 24°11'N,80°57'W-24°16'N,80°48'W \| 787-733 \| \| 21 JUN 63\| spinosa \| \| 132 \| 24°23'N,80°48'W-24°29'N,80°50'W \| 275-302 \| \| 21 JUN 63\| armata \| \| 158 \| 26°27'N,79°21'W-26°36'N,79°24'W \| 540-531 \| \| 25 JUN 63\| abdominalis \| \| 160 \| 26°33'N,79°42'W-26°37'N,79°42'W \| 586 \| \| 26 JUN 63\| impolita \| \| 169 \| 27°01'N,79°21.5'W-27°04'N,70°21'W \| 567-522 sp.alc.co. \| 29 JUN 63\| spinifer \| \| 170 \| 27°06'N,79°32'W-27°11'N,79°30'W \| 677-659 sp.alc.co. \| 29 JUN 63\| latifrons \| \| 190 \| 25°57'N,78°07'W \| 733-897 \| dd.co. \| 4 JUL 63 \| serratifrons serricornis \| \| 191 \| 26°02'N,78°10'W-26°00'N,78°10'W \| 824-860 \| wh.cl. \| 4 JUL 63 \| serratifrons \| \| 193 \| 26°08'N,78°12'W-26°09'N,78°11.5'W \| 1190-1080 fn.wh.m. \| 4 JUL 63\| abbreviata \| \| Sta. \| Position \| Depth (m) \| Bottom \| Date \| Species \| \|------\|---------------------------\|-----------\|-----------------\|----------\|---------------\| \| 221 \| 24°21'N,80°35'W-24°23'N,80°30'W \| 604-586 \| pter. ooze \| 22 JAN 64 \| erinaceus \| \| 222 \| 24°23'N,80°28'W-24°29'N,80°18'W \| 824 \| pter. alc. \| 22 JAN 64 \| abbreviata \| \| 223 \| 24°18'N,80°29'W-24°21'N,80°23'W \| dd.grass \| 897-915 co.pter.\| 23 JAN 64 \| sigsbei \| \| 225 \| 24°24'N,80°22'W-24°28'N,80°16'W \| 805 \| \| 23 JAN 64 \| abbreviata \| \| 226 \| 24°28'N,80°16'W-24°51'N,79°52'W \| 802-805 \| pter. \| 23 JAN 64 \| abbreviata \| \| \| \| \| \| \| longimanus \| \| \| \| \| \| \| sigsbei \| \| 295 \| 25°13.5'N,79°27'W-25°36'N,79°23'W \| 842-833 \| \| 4-5 APR 64 \| latifrons \| \| \| \| \| \| \| serricornis \| \| 301 \| 26°28'N,79°26'W-26°38'N,79°21'W \| 648-622 \| sea urch. \| 5 APR 64 \| abdominalis \| \| 311 \| 25°41'N,79°31'W-25°47'N,79°34'W \| 805-787 \| co.frg. \| 24 MAR 64 \| latifrons \| \| \| \| \| \| \| serricornis \| \| 354 \| 25°39'N,79°32'W-25°42'N,79°30'W \| 805-830 \| dd.co.sp. \| 24 AUG 64 \| latifrons \| \| \| \| \| \| \| serricornis \| \| 365 \| 24°11'N,81°37'W-24°12'N,81°17'W \| 672 \| \| 15 SEP 64 \| longimanus \| \| 368 \| 24°03'N,81°10'W-24°08'N,80°59'W \| 961-1016 \| \| 15 SEP 64 \| longimanus \| \| \| \| \| \| \| sigsbei \| \| 370 \| 23°54'N,81°19'W-23°53'N,81°16'W \| 1281 \| pter. \| 16 SEP 64 \| simplex \| \| 372 \| 23°51'N,81°02'W-24°04'N,80°42'W \| 1107-1162 \| \| 16 SEP 64 \| sigsbei \| \| 374 \| 23°50'N,81°37'W-23°54'N,81°27'W \| 1208-1241 \| \| 17 SEP 64 \| sigsbei,simplex\| \| 375 \| 23°54'N,81°27'W-23°56'N,81°03'W \| 1153-1190 \| \| 17 SEP 64 \| sigsbei,simplex\| \| 386 \| 27°09'N,79°18'W \| 604 \| co.sp.alc. \| 19 SEP 64 \| spinifer \| \| Sta. \| Position \| Depth (m) \| Bottom \| Date \| Species \| \|------\|---------------------------\|-----------\|-----------------\|----------\|--------------------\| \| 443 \| 24°05'N,82°21'W-24°03'N,82°18'W \| 729-829 \| yl.gy.slt. rks. \| 29 NOV 64 \| abbreviata \| \| 446 \| 23°57'N,82°32'W-23°55'N,82°28'W \| pter.debris \| 988-1071sndy.m.rk. \| 30 NOV 64 \| spinoculata \| \| 448 \| 23°54'N,82°21'W-23°53'N,82°17'W \| co. Thal. \| 1135-1184 m.pter.sh. \| 1 DEC 64 \| sigsbei spinoculata \| \| 449 \| 23°55'N,82°05'W-23°55'N,81°58'W \| Thal.frg. \| 1373-1428 pter.ooze \| 1 DEC 64 \| sigsbei, simplex \| \| 460 \| 24°19'N,82°48'W-24°19'N,82°47'W \| 207-247 \| m.sh. \| 25 JAN 65 \| polita \| \| 493 \| 26°32'N,78°55'W-26°29'N,78°52'W \| 183-549 \| \| 3 FEB 65 \| platirostris \| \| 635 \| 26°02'N,79°19'W-26°08'N,79°22'W \| 458-480 \| \| 30 JUN 65 \| abdominalis spinifer\| \| 654 \| 27°16'N,79°45'W-27°20'N,79°50'W \| 324 \| \| 16 JUL 65 \| robusta \| \| 657 \| 27°08'N,79°49'W-27°14'N,79°49'W \| 216-201 \| \| 16 JUL 65 \| polita \| \| \| BAHAMA ISLANDS: \| \| \| \| \| \| 679 \| 25°56'N,78°09'W-25°56'N,78°05'W \| debris,soft \| 595-711m.cinders \| 20 JUL 65 \| bradleyi \| \| 690 \| 26°35'N,78°19'W \| 494-503 \| \| 21 JUL 65 \| spinifer \| \| \| SANTAREN CHANNEL: \| \| \| \| \| \| 815 \| 24°08'N,79°48'W \| 618 \| \| 22 JUN 67 \| erinaceus polita \| \| \| STRAITS OF FLORIDA: \| \| \| \| \| \| 830 \| 25°40'N,79°59'W-25°43'N,79°59'W \| dd.Thal. cinders \| 342 \| 7 JUL 67 \| erinaceus \| \| 859 \| 23°54'N,81°57'W-24°01'N,81°53'W \| dd.co. \| 1162-1201 pter.sh. \| 29 AUG 67 \| sigsbei, simplex transtridens \| \| 860 \| 24°05'N,81°46'W-24°06'N,81°43'W \| 755-724 \| \| 29 AUG 67 \| abbreviata sigsbei \| \| Sta. \| Position \| Depth (m) \| Bottom \| Date \| Species \| \|------\|---------------------------\|-----------\|---------\|----------\|------------------\| \| 870 \| 24°10'N, 81°07'W-24°17'N, 80°42'W \| 807-755 \| sp. \| 30 AUG 67 \| abbreviata \| \| \| \| \| \| \| erinaceus \| \| \| \| \| \| \| polita, spinosa \| \| 880 \| 21°04'N, 86°25'W \| 101-329 \| algae \| 9 SEP 67 \| platirostris \| \| 894 \| 21°10.5'N, 86°19'W-21°11.5'N, 86°19'W \| 174-207 \| \| 10 SEP 67 \| platirostris \| \| 898 \| 21°04'N, 86°19'W \| 339-366 \| \| 10 SEP 67 \| squamosa \| \| 917 \| 25°59'N, 78°12'W \| 659-706 m.rk. \| \| 26 SEP 67 \| erinaceus \| \| 923 \| 24°02'N, 77°34'W-24°30'N, 77°35'W \| 1555-1574 \| sp. \| 28 SEP 67 \| simplex \| \| 952 \| 21°02'N, 86°26'W \| 586-92 \| \| 28 JAN 68 \| platirostris \| \| 963 \| 23°41'N, 82°16'W-23°47'N, 83°10'W \| 1455-1442 \| pter. \| 1 FEB 68 \| sigsbei, simplex \| \| 964 \| 23°46'N, 81°51'W \| 1391-1415 \| pter.br.m.l \| FEB 68 \| simplex \| \| 965 \| 23°45'N, 81°49'W \| 1400-1395 \| pter.br.m. \| 1 FEB 68 \| sigsbei, simplex \| \| 970 \| 24°24'N, 82°08'W \| 512 \| \| 2 FEB 68 \| erinaceus \| \| \| \| \| \| \| polita, robusta \| \| 972 \| 24°24'N, 80°,52'W \| 231-221 \| rky. \| 3 FEB 68 \| platirostris \| \| 980 \| 24°28'N, 80°29'W \| 920 \| co. \| 5 MAR 68 \| sigsbei \| \| 1015 \| 23°34'N, 79°17'W-23°33'N, 79°15'W \| 525-516 \| co.alc. \| 15 JUN 68 \| abdominalis \| \| 1099 \| 24°12.5'N, 82°50.0'W \| 622 \| pter.gy.m. \| 28 APR 68 \| robusta \| \| 1111 \| 23°51.9'N, 80°42.7'W \| 1080-1089 \| pter.m. \| 30 APR 68 \| sigsbei \| \| Sta. \| Position \| Depth (m) \| Bottom \| Date \| Species \| \|------\|------------------\|-----------\|--------------\|----------\|-----------------\| \| 209 \| 26°59'N,79°16'W \| not recorded \| sp. 12 AUG 64 \| spinifer \| \| 364 \| 09°28.7'N,76°34.3'W-09°20.2'N,76°34.2'W \| 924-950 \| 13 JUL 66 \| armata, sigsbei \| \| 374 \| 09°57.0'N,76°10.6'W \| 434-373 \| 14 JUL 66 \| erinaceus riveroi \| \| 375 \| 09°59.0'N,76°02.0'W-09°59.0'N,75°59.7'W \| 134-129 \| thk.gn. br.m. \| 14 JUL 66 \| polita \| \| 381 \| 10°17.0'N,75°59.9'W-10°15.2'N,75°59.9'W \| 724-597 \| gn.gy.m. \| 14 JUL 66 \| abbreviata erinaceus spinoculata spinosa \| \| 388 \| 10°16'N,76°03'W-10°10.4'N,76°08.8'W \| 814-1050 \| heavy br.cl. \| 15 JUL 66 \| longimanus sigsbei, spinosa \| \| 391 \| 10°03.0'N,76°27.0'W-10°07.0'N,76°29.0'W \| 1222-1748 \| slp.br.m. brk.dd. biv.sh. \| 16 JUL 66 \| simplex \| \| 394 \| 09°28.6'N,76°26.3'W-09°27.4'N,76°29.0'W \| 416-634 \| 16 JUL 66 \| erinaceus ramahtaylorae riveroi \| \| 407 \| 09°00.2'N,77°25.3'W-09°02.0'N,77°28.8'W \| 1158-1225 \| gn.m. \| 18 JUL 66 \| sigsbei, simplex \| \| 413 \| 09°01.5'N,76°53'W-08°58.4'N,76°56.3'W \| 1267-952 \| cl.debris gy.m. \| 18 JUL 66 \| spinoculata \| \| 447 \| 09°07.4'N,81°11.8'W-09°04.0'N,81°13.8'W \| 657-673 \| 21 JUL 66 \| alaminos polita \| \| 448 \| 09°10.1'N,80°55.6'W-09°07.9'N,80°56.0'W \| 952-869 \| 21 JUL 66 \| sigsbei \| \| 455 \| 13°01'N,71°55'W \| 1446 \| 27 JUL 66 \| simplex \| \| 577 \| 19°52'N,85°29'W-19°45'N,85°31'W \| 4407-4420 \| 22 MAY 67 \| crassa \| \| Sta. \| Position \| Depth (m) \| Bottom \| Date \| Species \| \|------\|---------------------------\|-----------\|-----------------\|----------\|-----------------\| \| 584 \| 21°02'N, 86°24'W \| 353-347 \| sp. \| 23 MAY 67\| granulens \| \| 607 \| 18°30'N, 87°37'W \| 715-787 \| rubble pter.sh. \| 17-18 MAR 68\| alaminos impolita serratifrons \| \| 631 \| 18°21'N, 85°53'W-18°32.5'N, 85°55.5'W \| 4355-4393 \| sp. \| 22 MAR 68\| crassa \| \| 634 \| 23°33'N, 82°47'W-23°30.7'N, 82°32'W \| sol.cl.sp.\| 1638-1757 m.lg.rks. \| 25 MAR 68\| gilli \| \| 636 \| 23°54'N, 81°27'W \| 1003-1336 \| m.rubble \| 25 MAR 68\| armata, sigsbei \| \| 672 \| 07°37'N, 55°22'W-07°37'N, 55°27'W \| 1336-1221 \| \| 11 JUL 68\| sigsbei \| \| 673 \| 07°56.5'N, 54°39'W-08°08'N, 54°36'W \| 1042-1070 \| fn.yl.m. \| 11 JUL 68\| sigsbei \| \| 675 \| 08°26'N, 54°17'W-08°41'N, 54°19'W \| 1235-1272 \| \| 12 JUL 68\| abbreviata \| \| 682 \| 07°33.5'N, 56°25'W-07°38'N, 56°18'W \| 1318-1345 \| \| 14 JUL 68\| abbreviata \| \| 689 \| 08°14.0'N, 57°38'W \| 1373-1446 \| hrdb.r.m.cvd. \| 15 JUL 68\| armata, simplex \| \| \| \| \| by sil.sp. \| 15 JUL 68\| serricornis \| \| \| \| \| bran.madrepo. \| 15 JUL 68\| transtridens \| \| 740 \| 11°13'N, 66°15'W-11°28'N, 66°1u'W \| 827-924 \| \| 23 JUL 68\| erinacus \| \| 741 \| 11°47.8'N, 66°06.8'W-11°52.4'N, 66°14.0'W \| 1052-1067 \| \| 23 JUL 68\| abbreviata \| \| \| \| \| armata, sigsbei \| 23 JUL 68\| longimanus \| \| 747 \| 11°46'N, 67°05.7'W-11°54.7'N, 67°05' \| 1175-1098 \| \| 24 JUL 68\| sigsbei \| \| 748 \| 11°22.8'N, 67°10.0'W-11°36'N, 67°06'W \| 1867-1784 \| \| 25 JUL 68\| simplex \| \| Sta. \| Position \| Depth (m) \| Bottom \| Date \| Species \| \|------\|---------------------------\|-----------\|--------------\|--------\|------------------\| \| 753 \| 11°18.8'N,68°22.0'W-11°31.9'N,68°25'W \| 384-607 sh.co. \| 26 JUL 68 \| erinaceus \| \| 754 \| 11°36.9'N,68°42.0'W \| 684-1574 \| \| 26 JUL 68 \| erinaceus \| \| 755 \| 11°43.6'N,69°03'W-11°46.8'N,68°53.6'W \| 796-1006 \| \| 26 JUL 68 \| armata \| \| 770 \| 12°55.0'N,71°46.5'W-13°04'N,71°42'W \| 1318-1299 \| \| 28 JUL 68 \| sigsbei, simplex \| \| 776 \| 12°13.3'N,72°50.0'W-12°18'N,72°42.5'W \| 408-576 \| \| 29 JUL 68 \| erinaceus \| \| \| \| \| \| \| longimanus \| \| \| \| \| \| \| polita, riveroi \| \| \| \| \| \| \| ramahtraylorae \| \| 781 \| 11°30.1'N,73°26.5'W-11°34.5'N,73°20.0'W \| 567-531 \| \| 30 JUL 68 \| erinaceus \| \| \| \| \| \| \| polita, riveroi \| \| 782 \| 11°57.0'N,73°32.0'W-12°08'N,73°20'W \| 2269-2626 \| \| 30 JUL 68 \| rostrata \| \| 784 \| 11°26.5'N,74°10'W-11°26.7'N,73°57.9'W \| 567-715 \| \| 31 JUL 68 \| erinaceus \| \| \| \| \| \| \| polita \| \| 844 \| 11°30'N,60°14.5'W-11°44'N,60°11.2'W \| 1464-1848 \| \| 1 JUL 69 \| rostrata \| \| \| \| \| \| \| simplex \| \| 846 \| 11°37.8'N,60°37.4'W-11°38.8'N,60°37.5'W \| 659-1126 \| \| 2 JUL 69 \| sigsbei \| \| 847 \| 11°37.3'N,60°59.4'W-11°41'N,61°01.3'W \| 733-1281 \| \| 2 JUL 69 \| abbreviata \| \| \| \| \| \| \| longimanus \| \| \| \| \| \| \| sinsbei \| \| 850 \| 11°45.5'N,61°29.5'W-11°46.5'N,61°29.0'W \| 800-924 \| \| 3 JUL 69 \| abbreviata \| \| 861 \| 12°42'N,61°05.5'W-12°42.5'N,61°07.3'W \| 357-586 m.sol.co. \| 4 JUL 69 \| erinaceus \| \| 871 \| 13°14'N,61°30'W-13°19.2'N,61°28.6'W \| 2628-2681 fn.slt.sh. \| 5 JUL 69 \| similis \| \| Sta. \| Position \| Depth (m) \| Bottom \| Date \| Species \| \|------\|---------------------------\|-----------\|-----------------\|--------\|---------------\| \| 876 \| 13°13.9'N,61°04.7'W \| 231-258 \| pum.st.seds.6 \| JUL 69 \| platirostris \| \| \| \| \| \| \| \| \| 892 \| 14°17'N,60°54.2'W-14°19.7'\| congl.rks.sn.\| \| \| sigsbei \| \| \| N,60°44.5'W \| 1116-1354 \| barnacle sh. \| 7 JUL 69 \| simplex \| \| \| \| \| \| \| \| \| 904 \| 13°45.5'N,61°05.7'W \| 589-439 \| \| 9 JUL 69 \| erinaceus \| \| \| \| \| \| \| longimanus \| \| \| \| \| \| \| \| \| 919 \| 16°05.3'N,61°19.3'W-16°05.6'\| hrd.cl. \| 12 JUL 69 \| \| erinaceus \| \| \| N,61°19.0'W \| 683-733 \| \| \| \| \| \| \| \| \| \| \| \| 920 \| 16°05.8'N,61°18.7'W-16°06.5'\| 531-733 \| 12 JUL 69 \| \| alaminos \| \| \| N,61°22.1'W \| \| \| \| erinaceus \| \| \| \| \| \| \| \| \| 923 \| 16°05'N,61°24'W-16°06.2'\| bradleyi \| 14 JUL 69 \| \| erinaceus \| \| \| N,61°22.7'W \| 476-686 \| \| \| polita,riveroi\| \| \| \| \| \| \| \| \| 931 \| 15°31.2'N,61°12.3'W-15°32.0'\| 146-494 \| 15 JUL 69 \| \| platirostris \| \| \| N,61°13.1'W \| \| \| \| \| \| \| \| \| \| \| \| \| 944 \| 16°32.2'N,61°36.8'W-16°34.4'\| spinifer \| 17 JUL 69 \| \| \| \| \| N,61°37.2'W \| 360-421 \| \| \| \| \| \| \| \| \| \| \| \| 946 \| 16°43.5'N,61°57.0'W-16°45.1'\| abbreviata\| 17 JUL 69 \| \| \| \| \| N,61°56.5'W \| 733-833 \| \| \| \| \| \| \| \| \| \| \| \| 954 \| 16°55.0'N,62°43.0'W-16°58.6'\| sigsbei \| 18 JUL 69 \| \| \| \| \| N,62°46.5'W \| 686-1043 \| \| \| \| \| \| \| \| \| \| \| \| 988 \| 18°29.3'N,63°24.6'W-18°31.0'\| alaminos \| 23 JUL 69 \| \| \| \| \| N,63°24.1'W \| 686-724 \| \| \| \| \| \| \| \| \| \| \| \| 989 \| 18°30'N,63°23.7'W-18°34'\| erinaceus \| 23 JUL 69 \| \| \| \| \| N,63°21.9'W \| 664-706 \| \| \| \| \| \| \| \| \| \| \| \| 113d \| 20°51.7'N,74°22'W-20°54.5'\| bermudezi \| 12 JAN 70 \| \| \| \| \| S'N,74°18.6'W \| 2745-2751 \| sol.co. \| \| \| \| Sta. \| Position \| Depth (m) \| Bottom \| Date \| Species \| \|------\|---------------------------\|-----------\|-----------------\|----------\|---------------\| \| 1160 \| N OF DOMINICAN REPUBLIC: \| \| co.congl. \| 201-842 \| platirostris \| \| \| 20°01'N, 68°59'W \| \| rk.frg.alg. \| 17 JAN \| \| \| 1178 \| GONAVE BAY, HAITI: \| \| yl.cl.m. \| 1766-1903\| nirida \| \| \| 19°14'N, 73°14'W- \| \| veg.debris \| 30 JUN \| \| \| \| 19°23'N, 73°09'W \| \| \| 70 \| \| \| 1180 \| 18°55'N, 73°53'W- \| \| \| 1 JUL \| geveri \| \| \| 18°44.4'N, 73°55.0'W \| \| \| 70 \| livida \| \| 1181 \| 18°51'N, 74°30'W- \| \| \| 1 JUL \| rostrata \| \| \| 18°46.8'N, 74°35.9'W \| \| \| 70 \| \| \| 1187 \| W OF HAITI: \| 1034 \| \| 2 JUL \| armata, sigsbei\| \| 1224 \| S OF JAMAICA: \| \| \| 6 JUL \| armata \| \| \| 17°32.2'N, 77°49.2'W- \| \| \| \| brevimanus \| \| \| 17°32.3'N, 77°47.4'W \| \| \| \| longimanus \| \| \| 878-906 \| \| \| \| sigsbei, spinosa\| \| 1225 \| 17°42.5'N, 77°58.0'W- \| \| \| 6 JUL \| alaminos \| \| \| 17°47'N, 77°55.8'W \| \| \| \| spinifer \| \| \| 457-558 \| \| \| \| subspinoculara\| \| 1235 \| NW OF JAMAICA: \| \| \| 7-8 JUL \| sigsbei \| \| \| 17°54'N, 78°25.3'W- \| \| \| \| alaminos \| \| \| 17°54'N, 78°15'W \| \| \| \| erinaceus \| \| 1255 \| S OF JAMAICA: \| \| \| 14 JUL \| alaminos \| \| \| 17°18'N, 78°32'W- \| \| \| \| erinaceus \| \| 1256 \| 17°27'N, 78°10'W \| \| \| 14 JUL \| bradlevi \| \| \| 521-658 \| \| \| \| erinaceus \| \| 1261 \| 17°13'N, 77°50'W- \| \| \| 15 JUL \| alaminos \| \| \| 17°18'N, 77°45'W \| \| \| \| sigsbei \| \| 1262 \| 17°21.4'N, 77°34.8'W \| \| \| 15 JUL \| abbreviata \| \| \| 805-1089 \| \| \| \| latifrons \| \| \| \| \| \| \| serricornis \| \| 1266 \| S OF HISPANIOLA: \| \| \| 17 JUL \| similis \| \| \| 17°53'N, 71°59'W \| \| cl. \| 70 \| \| \| 1304 \| ST. CROIX BASIN, VIRGIN ISLANDS: \| \| \| 23 JUL \| nirida \| \| \| \| 17°44.5'N, 64°59'W \| \| \| 70 \| simplex \| \| Sta. \| Position \| Depth (m) \| Bottom \| Date \| Species \| \|------\|---------------------------\|-----------\|------------\|---------\|------------------\| \| 1309 \| 25°44.5'N,79°50.0'W \| 311 \| \| 5 DEC 70\| erinaceus \| \| 1355 \| 14°35'N,81°32'W \| 450-576 \| \| 31 JAN 71\| erinaceus \| \| \| \| \| \| \| ramahtaylorae \| \| 1376 \| 20°45.4'N,65°00.5'W-20°46.8'N,64°58.3'W \| soft br. ooze \| 3 JUL 71 \| bermudezi \| \| 1396 \| 18°04.2'N,68°44.3'W-18°03.8'N,68°42.5'W \| 390-395 \| \| 10 JUL 71 \| platirostris squamosa \| \| 1401 \| 17°51.0'N,65°04.2'W-18°00.6'N,64°56.1'W \| 4226-4133 \| \| 12 JUL 71 \| crassa \| \| 1426 \| 20°59.2'N,72°27.1'W \| 3965-4096 \| \| 20 JUL 71 \| crassa \| \| 1429 \| 21°19.2'N,73°45.5'W-21°21.9'N,73°44.2'W \| 2532-2514 \| \| 21 JUL 71 \| crassa \| \| 1438 \| 22°27.3'N,73°10.1'W \| 770-742 \| \| 23 JUL 71 \| serratifrons \| VITA Barbara Lucile Shuler was born in Tallahassee, Florida, on January 5, 1945. Her parents are Grover C. and Lucile Branch Shuler. She received her elementary education in Kate Sullivan School and Elizabeth Cobb Junior High School, Leon County Florida, and her secondary education in Leon County High School. In September, 1963, she entered Mary Baldwin College, Staunton, Virginia. During the summer of 1966, she attended a marine biology field program sponsored by Cornell University. She was graduated from Mary Baldwin with the Bachelor of Arts degree in biology in June, 1967. In September, 1967, she was admitted to the Institute of Marine Sciences, University of Miami for graduate study on a Maytag Fellowship. She was granted the degree of Master of Science in marine biology in June, 1970. Her master's thesis was entitled A review of the genus Cancellus (Crustacea, Diogenidae) with the description of a new species from the Caribbean Sea. She was awarded an NSF Traineeship in 1970, and held a University of Miami Fellowship during the years 1970-1972. While engaged in her doctoral studies, she taught marine biology at the University of Miami as a teaching assistant, and was instructor in a field marine biology course at Duke University Marine Laboratory, sponsored by Mary Baldwin College. She married Charles A. "Stormy" Mayo, III in April, 1972. Barbara Shuler Mayo was granted the degree of Doctor of Philosophy in May, 1974. Permanent address: 570 Commercial Street Provincetown, Massachusetts 02657
Irrigation management Eijkelkamp Agrisearch Equipment Surface Irrigation Research equipment for Surface Irrigation Contents In this brochure Eijkelkamp Agrisearch Equipment gives an overview of equipment to use when working in the field of irrigation. We have divided the brochure into 4 chapters: 1. Design 2. Water requirement 3. Water supply 4. Effects Each chapter illustrates a different stage of Irrigation Management. The aim of this brochure is not to give instructions on how to design or manage an irrigation system, but clarifies which equipment to use in what stage(s). Irrigation is defined as: 'Artificially supplying and systematically dividing of water for agriculture and horticulture in order to obtain higher or qualitatively better production.' Various types of irrigation techniques differ in how the water obtained from the source is distributed within the field. In general, the goal is to supply the entire field uniformly with water, so that each plant has the amount of water it needs, neither too much nor too little. Definition and Some commonly used irrigation methods are: Surface irrigation In surface irrigation systems water moves over and across the land by simple gravity flow in order to wet it and to infiltrate into the soil. It is often called flood irrigation when the irrigation results in flooding or near flooding of the cultivated land. Historically, this has been the most common method of irrigating agricultural land. Localized irrigation Localized irrigation is a system where water is distributed under low pressure through a piped network, in a pre-determined pattern, and applied as a small discharge to each plant or adjacent to it. Drip irrigation, spray or micro-sprinkler irrigation and bubbler irrigation belong to this category of irrigation methods. Sprinkler irrigation In sprinkler or overhead irrigation, water is piped to one or more central locations within the field and distributed by overhead high-pressure sprinklers or guns. A system utilizing sprinklers, sprays, or guns mounted overhead on permanently installed risers is often referred to as a solid-set irrigation system. Center pivot irrigation Center pivot irrigation is a form of sprinkler irrigation consisting of several segments of pipe (usually galvanized steel or aluminum) joined together and supported by trusses, mounted on wheeled towers with sprinklers positioned along its length. The system moves in a circular pattern and is fed with water from the pivot point at the center of the arc. These systems are common in parts of the United States where terrain is flat but also in Libya. They can be seen in Google Earth. Lateral move (side roll, wheel line) irrigation This is also a is a form of sprinkler irrigation in which a series of pipes, each with a wheel of about 1.5 m diameter permanently affixed to its midpoint and sprinklers along its length, are coupled together at one edge of a field. Water is supplied at one end using a large hose. After sufficient water has been applied, the hose is removed and the remaining assembly rotated either by hand or with a purpose-built mechanism, so that the sprinklers move 10 m across the field. The hose is reconnected and the process is repeated until the opposite edge of the field is reached. Center pivot irrigation Sprinkler irrigation 2 www.eijkelkamp.com www.eijkelkamp.com irrigation methods Sub irrigation Sub irrigation, also sometimes called seepage irrigation, has been used for many years in field crops in areas with high water tables. It is a method of artificially raising the water table to allow the soil to be moistened from below the plants' root zone. Often those systems are located on permanent grasslands in lowlands or river valleys and combined with drainage infrastructure. A system of pumping stations, canals, weirs and gates allows it to increase or decrease the water level in a network of ditches and thereby control the water table. Spate Irrigation Spate irrigation is a type of water management, that is unique to semi-arid environments. It is found in the Middle East, North Africa, West Asia, East Africa and parts of Latin America. Flood water from mountain catchments is diverted from river beds (wadi's) and spread over large areas. Spate systems are very risk-prone. The uncertainty comes both from the unpredictable nature of the floods and the frequent changes to the river beds from which the water is diverted. It is often the poorest segments of the rural population whose livelihood and food security depends on the spate flows. Substantial local wisdom has developed in organizing spate systems and managing both the flood water and the heavy sediment loads that go along with it. Manual irrigation using buckets or watering cans These systems have low requirements for infrastructure and technical equipment but need high labor inputs. Irrigation using watering cans is to be found for example in peri-urban agriculture around large cities in some African countries. Automatic, non-electric irrigation using buckets and ropes Besides the common manual watering by bucket, an automated, natural version of this also exist. Using plain polyester ropes combined with a prepared ground mixture can be used to water plants from a vessel filled with water. The ground mixture would need to be made depending on the plant itself, yet would mostly consist of black potting soil, vermiculite and perlite. This system is often used for tree establishment in dry climates. Irrigation using stones or screens to catch water from humid air In countries where at night, humid air sweeps the countryside, stones are used to catch water from the humid air by transpiration. This is for example practiced in the vineyards at Lanzarote. Screens are used to catch coastal mist. Dry terraces for irrigation and water distribution In subtropical countries as Mali and Senegal, a special type of terracing (without flood irrigation or intent to flatten farming ground) is used. Here, a 'stairs' is made trough the use of ground level differences which helps to decrease water evaporation and also distributes the water to all patches. 1.Design The first step of irrigation management after determining the type of irrigation you are going to use, is to design an irrigation system. The aim of the irrigation and the type of crop you are growing of course are important factors in this stage. When the type of irrigation is determined and the system is designed, you will need to survey the land and prepare it for irrigation. Soil profile 01.11.SO Auger set for heterogeneous soils Augerings and samplings in homogeneous soils (soils with a uniform soil profile), in almost all cases can be executed with one type of auger. For augerings in heterogeneous soils (soils with a layered soil profile), several different auger types will be applied. This led to the composition of an auger set for heterogeneous soils. With the standard set it is possible to execute manual augering to a depth of 5 metres, without great physical effort. The set can be used for augerings above the water table in all soils, and below the water table in cohesive soils. 08.04 Sand rulers A sand ruler is a disc made of transparent material with standard (specimen) samples. It is an excellent indicative aid in determining the particle size distribution. Of the sample to be tested a representative part is rubbed dry with the fingers in the palm of the hand. The sample is then placed in the hollow area in the centre of the ruler. The average grain size is now judged by comparing the average grain size of the sample with the specimen in the ruler. The sand ruler is available with different fractions. www.eijkelkamp.com www.eijkelkamp.com 08.11 Soil colour charts Determination of a subgroup in the soil classification system is based among other aspects on colour differences. The colour of the soil is determined by comparing the sample with standard soil colour charts (Munsell). Soil colour charts are available in a Japanese (12 colour charts) and American (8 colour charts) version. Soil texture 08.05 Granular composition test set The particle size distribution (also called grain size distribution or texture) is one of the most important characteristics of the soil. The particle size distribution has an effect on many properties of the soil, such as the ease of tillage, the capillary conductivity of a soil, the available moisture, the permeability of a soil, compaction, etc. Applying the granular composition test set allows you to determine the particle size distribution of soil samples in order to be able to classify the soils on the basis of international standards. 08.16 Pipette apparatus A simple method for the determination of the particle size is the pipette method. After carbonates, organic substances and possible iron oxide have been removed (because of their binding function) the pipette method is used to determine the fractions of particles smaller than 38 µm. The pipette apparatus is available as a table model and as a wall model. 08.30 Hydrometer kit, standard set To obtain an accurate determination of the particle size distribution of the smallest fractions it is possible to apply the hydrometer method. In this method the sample is cleaned from organic matter after which it is dried and weighed. Next it is suspended in water and sieved. The solution that passes through the sieve is transferred to a measuring cylinder with water. Hydrometer readings are taken after regular intervals. Sedimentation time and hydrometer readings are used to determine the grain sizes according to the Stoke's law. Soil structure 08.13 Wet sieving apparatus The aggregate stability of a soil is the resistance of soil structure against mechanical or physico-chemical destructive forces. Soil structure is one of the main factors controlling plant growth by its influence on root penetration, soil temperature and gas diffusion, water transport and seedling emergence. The wet sieving apparatus is used to determine the above mentioned aggregate stability. Hydraulic conductivity 09.04 Double ring infiltrometer (for use in the field) The double ring infiltrometer may be used for determining the rate of infiltration and capacity for irrigation and drainage projects, studying drainage, determining the intensity of artificial precipitation and the effect of treatment of the soil. The rate of infiltration is determined as the amount of water per surface area and time unit, which penetrates the soil. This rate can be calculated on the basis of measuring results and the Law of Darcy. 09.11 Ksat constant head permeameter (for use in bore holes) The Ksat constant head permeameter is an instrument that provides the means to collect data for determining in situ saturated hydraulic conductivity of the vadose (unsaturated) zone easily and conveniently. The measuring procedure is known as constant head well permeameter technique, shallow well pump-in method or borehole infiltration test. 09.09 Tension infiltrometer The tension infiltrometer measures the hydraulic properties of unsaturated soil. Water held under tension infiltrates into a dry soil through a highly permeable nylon membrane. The time dependent infiltration rate is used to calculate unsaturated hydraulic conductivities and related hydraulic properties. Infiltration rates are recorded manually. 09.02 Soil water permeameter (for laboratory use) The planning and execution of hydrological and soil technical projects (for instance drainage and irrigation) is almost always preceded by geo-hydrologic research. The water and air permeability of the soil to a large extend determines how efficient an irrigation or drainage system functions. Determining the saturated water permeability (horizontal as well as vertical) can be executed in the laboratory with a soil water permeameter. 07.53.SC/SE Sample ring kits (for laboratory use) These sample sets, from which one is suitable for very hard soils, can be used to take samples in sample rings in virtually all soils. The samples can be taken on the surface, in auger holes or in profile pits, above as well as under the groundwater level in cohesive soils. The closed ring holder in this set is fitted with a conical threaded connection which means that the ring holder may also be hammered into the soil with an impact absorbing hammer. 6 www.eijkelkamp.com www.eijkelkamp.com Soil's water holding capacity 08.01/02/03 Instruments for pF-determination The determination of the moisture characteristics (pF-curve) is essential when researching the quantity of water available in the soil for plants and trees. Depending on the desired measuring range underpressure (the so called sandboxes) or overpressure (membrane apparatus) is used. 08.25 Ceramic plates for pF-determination Determination of soil moisture characteristics can be done by many methods. One of them is the method of determination of pF-curves (pF up to 4.2) with ceramic plates. This is a relatively simple method and a reliable way of removing soil moisture, under controlled conditions, from soil samples without disturbing the soil structure. The method is usually applied on prepared samples. Groundwater level Groundwater monitoring pipes Monitoring well pipes are used to compose monitoring wells and piezometers. Monitoring well pipes are available in different materials and diameters. 11.03 Sounding device The sounding apparatus, with acoustic and light signal, is used to determine liquid levels in boreholes, monitoring well pipes, etc. When the probe, which is connected to a measuring tape with centimetre graduation, touches a conductive liquid, a clear acoustic and light signal is produced. If the cable is then lifted a little, the signal will stop. Determination of this point allows the user to read the depth directly form the measuring tape. 11.11 Diver The Diver from Schlumberger Water Services is the smallest instrument in the world for automatic measurement and continuous registration of groundwater levels and groundwater temperatures. The Diver fits in the palm of your hand, is remarkably light and can be used in virtually any monitoring well. Especially suitable for use during irrigation projects (in salinated water) is the CTD-Diver that can also measure conductivity and has a ceramic housing. How to place a groundwater monitoring pipe With a synthetic (ABS) casing tube a hole is bored into the soil (by hand or mechanically) until the desired depth is reached. Then the monitoring pipe is lowered into the bore hole. Around the filter part of the monitoring pipe usually a filter gauze is applied and filter sand is poured in to prevent clogging. If during the boring process impermeable clay layers are drilled through, on top of the filter sand bentonite will be placed to replace the pierced clay layer. The casing tube will be pulled up while filling the bore hole. The hole is being filled with soil and if necessary a lockable monitoring well cover is assembled. Surface water level 11.20 Staff gauge The "classical" staff gauge is used to read the water level in water courses. 11.41.55 e+ WATER L The e+ WATER L (level) sensor is an intelligent and accurate sensor for the measurement and registration of the levels and temperatures of surface water. The level measurement values are automatically (internally) compensated for variations in air pressure and water density variations due to temperature fluctuations. The sensor is frost resistant and can be applied in all seasons without any problems. 2.Water requirement The amount of water that is required depends on different factors. An important factor for instance is the type of crop you are growing. Water requirement can be calculated using FAO's AquaCrop model: The FAO Field-Crop Model to Predict Yield Response to Water. (http://www.fao.org/) Climate 16.99 Automatic agro-meteostation Eijkelkamp designed a standard 8-channel meteostation for measuring, recording and processing of the standard parameters: wind speed and wind direction, global radiation, air temperature, soil temperature, air humidity and precipitation. The station is constructed around a foldable mast which can be taken apart, allowing for mobile applications of the station. Rough indications of water requirements of crops (in cubic metres per hectare per year of cropping season) Source: Vos, Jeroen & Gerbrandy, Gerben (2006). Irrigation and Water management; Part 1: Introduction to irrigated agriculture. Wageningen University. 16.89 Evaporation pan The class-A evaporation pan is used to determine the evaporation rate of open water. The evaporation pan is supplied complete with highly qualified evaporation micrometer and stilling well (wave dampening cylinder), water level and wooden support for evaporation pan. For a more exact use of the evaporation pan it is recommended to use an additional wind path meter. Also available is a level sensor and accompanying software for measuring the water level in an evaporation pan. 07.84.SC Sample ring (250 cm 3 ) for measuring soil evaporation These rings are suitable to use as micro-lysimeter. This method allows the estimation of the soil evaporation parameter. Soil moisture and moisture tension 14.04 Tensiometer set (soil suction) The right quantity of water in the soil is of primary importance for an optimum plant growth and yield of crop. Measuring the soil moisture content (in percentages) as well as the determination of the soil suction in the soil therefore is one of the most important aspects of complete agricultural physical soil research. The simplest and most commonly used method to determine the soil suction directly in the field uses the tensiometer. 14.27 Soil moisture measuring system Watermark Soil moisture sensors that measure the moisture tension in the soil are read out with the soil moisture meter Watermark. The measuring principle is similar to that of the gypsum block system. The special sensors however do not dissolve in the soil and have a more consistent distribution of pores so that more accurate measurements are possible. www.eijkelkamp.com www.eijkelkamp.com 14.26 Theta probe soil moisture measuring system (FDR) The Thetaprobe measures the soil moisture volume percentage by measuring the changes in the dielectric constant. The changes are converted into a millivolt signal proportional to the soil moisture content. The sensor consists of a sturdy, watertight synthetic housing which contains the electronics. The housing is fitted with 4 stainless steel measuring probes at one end that can simply be pushed into the soil (or other material). Measuring cane be done with reading device or datalogger. 14.62 Trime soil moisture meter (TDR) The moisture content determines different characteristics of various materials (energy balance, condition, composition). The moisture present in the soil particular determines the transport and storage of solid and dissolved nutrients and pollutants. A very accurate method that can be easily applied to determine the moisture content is the Time Domain Reflectometry (TDR). The TDR-method allows for accurate measuring results that are immediately available (non-destructive). The Trime system is a specially designed TDRtechnique for measuring the moisture content in various materials. 11.41.11.SA e+ SOIL MCT The e+ SOIL MCT sensor/logger measures soil Moisture, Conductivity and Temperature and is available in various lengths to enable measurements from the surface to a depth of 1 metre. Plant stress 19.20 Field plantwater status console Plant physiological research comprises a study of all kinds of processes taking place in growing plants or their environment. The field plantwater status console can be used for plant observations in the field. It is an analogue system to determine the water potential in plants. Project Andhra Pradesh Water Management: a partnership in development study India is the world's major irrigating country with the major share of the water resources being used for irrigation. The demand for water from the non-agricultural sectors is growing rapidly, causing an increased pressure on available water resources. The national and state governments of India currently face huge challenges in water management: interstate water disputes on reservoir releases of major rivers, inequity in canal water distribution in irrigation commands, over-exploitation of groundwater resources in rain-fed agriculture and shortages in drinking water supply for mega cities. Agricultural production in the southern State of Andhra Pradesh is mainly concentrated in the densely populated catchments of the Krishna and Godavari rivers. Alterra, Wageningen UR and the State Agricultural University in Hyderabad are partners in an FAO-funded joint applied research study in farmers' fields located in eight different pilot areas throughout Andhra Pradesh in three different canal irrigation commands and one tank irrigation command. The objective of this study is to generate and disseminate knowledge as well as to build capacity on improved agricultural water productivity of large-scale irrigation systems. To this end, monitoring of crop water budgets is an essential tool to quantify to what extent the packages on improved on-farm crop and water management (tested and verified in the pilot areas) can contribute to a higher water use efficiency. Written by dr. ir. J. (Hans) Boonstra – Wageningen University, the Netherlands 3.Water supply To check whether you are supplying the right amount of water and to determine the water quality, utilization of the following equipment is recommended. Quantity - Current velocity 13.12 Current meter with synthetic propeller (for use in primary canals) For the determination of the current velocity in water ways, measuring discharges from drainage systems and/or the registration of water movement in open irrigation channels, various kinds of measuring equipment have been developed. The current meter with synthetic propeller is used for the accurate determination of the current velocity in water ways, channels, rivers and the sea. The meter can also be applied in polluted water currents. 13.17 RBC Flume (for use in secondary canals) RBC flumes are used to measure the quantity of water that, for instance, flows through an irrigation channel. By comparison to known flumes, such as the WSC- and the Parshall flume, the RBC flume is the most accurate. It has been specially designed for use in smaller water ways or earthen channels (irrigation channels, in- outlets, furrow, ditches, etc.). Quantity - Precipitation 11.41.21 e+ RAIN sensor (synthetic) The e+ RAIN sensor/logger measures the intensity of the rain over certain periods as well as totalled amounts (integrator function). Next to the e+ RAIN with a synthetic rain gauge, we also offer an e+ RAIN sensor/logger with a metal rain gauge (11.41.22). 16.77 Standard rain gauge Rain gauges are used to determine the precipitation at a certain point which is representative for a certain area. Our standard rain gauge (in accordance with DIN 58666C) consists of a collecting funnel with a 1 litre collecting jar and measuring vessel of 0-10 mm with a 0.1 mm division. The collecting area amounts 200 cm 2 . Quality 18.21.SA pH/mV/EC/T meter (for analysis in the field) This is one of the multimeters in the Eijkelkamp product range. It measures acidity, redox, conductivity and temperature. All Eijkelkamp multimeters are CE-approved and specially designed for the purpose of analytic measurements under field conditions or in a demanding laboratory environment. All meters are supplied as complete sets, including electrodes. 18.41 Reflectometer RQ-flex Using the portable reflectometer RQ-flex various anions and cations in water, substrates or in watery extracts of soil, compost, plant tissues, etc. are measured. The measuring system consists of various analysis strips for different parameters and the reflectometer itself. www.eijkelkamp.com www.eijkelkamp.com 4.Irrigation effects In irrigation areas, one is often confronted with salinization problems. In order to acquire the necessary understanding regarding these issues, it is very important to check the salinity of soil and water regularly. Salinization - Soil 14.01 EC-probe for salinity measurements The EC-probe, in which EC stands for Electrical Conductivity, enables its user to determine the salinity of a soil electrically. The EC-probe consists of a stainless steel bar, provided with a detachable handle. The bar is provided with a 10 cm graduation. Inside the actual probe, at the bottom of the bar, there are four electrodes separated by a sealing ring and an insulation ring. The outer electrodes are current electrodes, the inner are measuring electrodes. The probe's cone holds a temperature sensor. Salinization - Water (samples) 18.21.SA pH/mV/EC/T meter (for analysis in the field) This is one of the multimeters in the Eijkelkamp product range. It measures acidity, redox, conductivity and temperature. All Eijkelkamp multimeters are CE-approved and specially designed for the purpose of analytic measurements under field conditions or in a demanding laboratory environment. All meters are supplied as complete sets, including electrodes. Salinization - Water sampling 20.05.10 Telescopically extendable rod with beaker This piece of equipment is used for taking water samples. A 600 ml beaker is attached to the end of the rod. The rod itself is made of aluminium and is telescopically extendable until 2.5 metres. Project Agriculture Reconstruction and Development project for Iraq The USAID financed "Agriculture Reconstruction and Development project for Iraq - ARDI" was implemented from early 2004 till autumn 2006 by the Washington-based Development Associates Inc. company. Part of the work program of ARDI included the identification and implementation of 4 representative pilot drainage catchment areas of 100 – 500 ha in the saltaffected irrigated lands of Mesopotamia to test different intensities of surface and subsurface drainage systems in test plots and monitor their impact on the salinity status of the soil and the yields of the irrigated crops grown by farmers under common husbandry practices. Implementation of the open and covered drainage works, as well as ancillary irrigation and drainage water management constructions started in 2005, as did the construction of a field office and a field laboratory at each of the 4 pilot areas. Eijkelkamp delivered most of the equipment for a total value of about US 100,000 necessary for measuring irrigation and drainage water flows and for monitoring and tracking changes in soil and (ground)water conditions in the test plots and pilot drainage catchment areas, as well as the instruments for soil and water sample research in the field laboratories. Written by Ir. I.A. Risseeuw – Independent international consultant land and water development. Address: Duinkerkenlaan 17, 5056 TB Berkel-Enschot (Netherlands). Tel.: +31 (0)13-5331125. Email: email@example.com, firstname.lastname@example.org. Reply Form Personal details Company/Institute Contact Address Code and City Country Telephone Telefax E-mail : …………………………………………………………………….... : Mr./Mrs. …………………………………………………………… : ……………………………………………………………………… : ……………………………………………………………………… : ……………………………………………………………………… : ……………………………………………………………………… : ……………………………………………………………………… : ……………………………………………………………………… email@example.com Iwww.eijkelkamp.com
Turkiye Klinikleri Journal of Internal Medicine ORIGINAL RESEARCH DOI: 10.5336/jcog.2021-82080 Comparison of Maternal-Fetal Outcome Following Operative Delivery: Omnicup Versus Malmstrom Metal Cup: Clinical Research Gökhan ÜNVER a , Resul KARAKUŞ a , Sultan Seren KARAKUŞ a , Zafer BÜTÜN a , Enis ÖZKAYA a aDepartment of Obstetrics and Gynecology, Health Sciences University Zeynep Kamil Women and Children's Diseases Training and Research Hospital, İstanbul, TURKEY ABS TRACT Objective: To compare the success, clinical outcomes, maternal and neonatal complication rates following Kiwi Omnicup or the Malmstrom metal cup in vacuum assisted delivery. Material and Methods: One hundred eighty eight vaginal deliveries which were achieved by the use of Kiwi Omnicup or the Malmstrom metal cup in Zeynep Kamil Women's Health Training and Research Hospital between January 2008 to March 2015 were screened from prospectively collected database. All cases were singleton, viable pregnancies with cephalic presentation. Groups were compared in terms of some maternal and fetal complications and morbidities including cephal hematoma, caput succadanum, hemorrhagic ischemic encephalopathy, molding, acidosis, hypothonia, shoulder distocia, meconium passage, maternal vaginal lacerations, blood hematoma, rib fructure, cervical laceration, 3 rd and 4 th degree lacerations and the uterine atonia. Results: Fetal complications were significantly different between groups. The rate of cephal hematoma was significantly higher in Malmstrom metal cup whereas the rate of fetal acidosis was significantly higher in group with Kiwi Omnicup (p<0.05). Also the rate of unsuccessful cases was significantly higher in Malmstrom metal cup group. There were 2 cases of fetal death in Kiwi Omnicup group, however no case of fetal death in other group. Conclusion: In our study, we have shown that there are some specific fetal complications for each tool and the rate of unsuccessful cases was significantly higher in Malmstrom metal cup group. We concluded that selection of vacuum extraction tool should be based on the knowledge of maternal fetal conditions, specific complications and the success rates of the tools. Keywords: Operative vajinal delivery; vacuum; Malmstrom metal cup; Kiwi Omnicup Operative vaginal delivery refers to the application of forceps or a vacuum device to assist the mother in performing a vaginal delivery of a fetus. In the United States, the incidence of operative vaginal birth is estimated to be 5%, although there are large geographical differences in operative vaginal delivery rates throughout the country. 1-4 In the Northeast, instrumental vaginal delivery rates (5%) and the highest rates (20%-25%) are in the South. 2 Although overall operative vaginal delivery rates have declined, the number of vacuum-assisted deliveries is increasing and is now about 4 times the forceps-assisted vaginal delivery rate. 2 Vacuum systems vary according to the vacuum mechanism (traditional vs. hand type), cup material and hardness (metal, plastic or silicone), cup shape (cork or bell) and whether they are disposable or reusable. These characteristics are thought to have an impact on the profile of efficacy and adverse outcomes as reflected in various studies. 5-11 There is significant evidence that instrumental deliveries increase perineal pain during labor, early postpartum pain, perineal lacerations, hematomas, blood loss and anemia, urinary retention, and urinary and fecal incontinence and several other maternal morbidities on the other hand vacuum-assisted vaginal deliveries can cause significant fetal morbidity, including scalp lacerations, cephalohematomas, subgaleal hematomas, intracranial hemorrhage, facial Correspondence: Enis ÖZKAYA Department of Obstetrics and Gynecology, Health Sciences University Zeynep Kamil Women and Children's Diseases Training and Research Hospital,İstanbul, TURKEY E-mail: firstname.lastname@example.org Peer review under responsibility of Journal of Clinical Obstetrics & Gynecology. Re ce i ved: 08 Feb 2021Received in revised form: 02 May 2021Ac cep ted: 04 May 2021 Available online: 2619-9467 / Copyright © 2021 by Türkiye Klinikleri. This is an open access article under the CC BY-NC-ND license(http://creativecommons.org/licenses/by-nc-nd/4.0/). 05 May 2021 nerve palsies, hyperbilirubinemia, and retinal hemorrhage. 10 The aim of this study was to compare the success, clinical outcomes, maternal and neonatal complication rates following Kiwi Omnicup or the Malmstrom metal cup in vacuum assisted delivery. MATERIAL AND METHODS One hundred eighty eight vaginal deliveries which were achieved by the use of Kiwi Omnicup (Figure 1, n=62) or the Malmstrom metal cup (Figure 2, n=126) in Zeynep Kamil Women's Health Training and Research Hospital between January 2008 to March 2015 were screened from prospectively collected database. Study protocol was approved by institutional clinical researches ethics committee of University of Health Sciences Zeynep Kamil Women and Children's Health Training Hospital (2015/10) and informed consent was obtained from each participant. The study was conducted in accordance with the Declaration of Helsinki ethical principles and good clinical practices and was approved at each site by an independent local ethics committee and informed consent was obtained from each participant. All cases were singleton, viable pregnancies with cephalic presentation. Groups were compared in terms of some maternal and fetal complications and morbidities including cephal hematoma, caput succadanum, hemorrhagic ischemic encephalopathy, molding, acidosis, hypothonia, shoulder distocia, meconium passage, maternal vaginal lacerations, blood transfusion, hematoma, rib fructure, cervical laceration, 3 rd and 4 th degree lacerations and uterine atonia. Operative delivery by the vacuum extraction was indicated in cases of fetal distress, where the second stage of labor was prolonged, requiring rapid delivery. The patients were placed in the lithotomy position on the delivery table who had full cervical opening. The amniotic sac was opened. There was no suspicion of cephalopelvic pelvic disproportion in the examination of the fetus. Following confirmation of the fetal head engagement, adequate anesthesia was provided and episiotomy was performed. Maternal bladder was emptied. The procedures were carried out by experienced physicians with the help of an ex- pert instructor and assistant and the conditions for emergency cesarean section were kept ready. In cases with face or breech presentation, cephalopelvic disproportion, congenital fetal head anomalies, gestational age <34 weeks, estimated fetal weight less than 2,000 g or more than 4,000 g, vacuum extraction procedure was not used. Omnicup vacuum (Kiwi) with elastic body or Malmstrom metal cup were used for fetal head extraction. In both instruments; pressures of approximately 0.8 kg/cm 2 (600 mmHg) were applied for fetal head extraction. The center of the cups were applied on the sagittal suture and 3 cm in front of the posterior fontanelle. The mother's soft tissue did not remain between the cup and the fetal head. Both cups were manually controlled all around after the vacuum was formed. Likewise, it was checked that the maternal tissues were not squeezed between the cup and fetal head before traction was applied. When using metal cups, vacuum was applied until the negative pressure of 0.8 kg/cm 2 was reached by increasing the suction power in a controlled manner of 0.2 kg/cm 2 every 2 minutes. Likewise, when Kiwi Omnicup was used, negative pressure of 0.8 kg/cm 2 was reached in 1 minute. Traction was intermittent and performed simultaneously with the mother's pushing effort. Age, body mass index [calculated by dividing body weight (kg), height in square meters] gestational age (weeks), fetal biparietal diameter, fetal abdominal circumference and estimated fetal weight values, labor induction, total induction duration, newborn sex, birth weight, APGAR score, necessity of neonatal intensive care admission, neonatal morbidity, maternal prenatal and postnatal complete blood count values, presence of maternal complications were noted. Urethral and bladder injuries, cervical, vaginal, perianal lacerations and vaginal hematomas were evaluated as maternal complications after vacuum application. Fetal complications include caput succadenum (between skin and epicranial aponeurrosis, edema that can exceed sutures, which can be sutured outside the periosteum), cephal hematoma (subperiostal hemorrhage not exceeding sutures), subgaleal hematoma, intracranial hemorrhage, subconjunctival and retinal hemorrhage. APGAR scores were evaluated by pediatricians twice at the first and fifth minutes. In APGAR scoring, neonatal muscle tension, heart rate, response to painful stimuli, skin color and respiratory rate were scored between 0 and 2. Accordingly, scores 8-10 were determined to be normal. Neonates with 4-6 score were directed to the neonatal intensive care unit with respiratory support and supportive treatment was applied. While neonates with a score of 0-3 received newborn intensive care support after urgent intervention and resuscitation. STATISTICAL ANALYSIS When evaluating the findings obtained in the study, IBM SPSS Statistics 15 for statistical analysis (SPSS IBM, Turkey) programs were used. Descriptive statistical methods (mean, standard deviation, frequency) were used for the evaluation of the study data. Student t-test was used for comparison of quantitative data between 2 groups and Mann-Whitney U test was used for comparison of non-normally distributed parameters between 2 groups. The chi-square test was used to compare the qualitative data. Significance was evaluated at p<0.05. RESULTS The number of vaginal deliveries during the 5-years period (2008-2013) was 31,497 and the incidence of operative deliveries using vacuum was 0.4% (n=126). The incidence of operative delivery was 0.8% (n=62) in 7,564 normal spontaneous vaginal deliveries after the supply of Kiwi Omnicup vacuum (2013-2015), a soft-cup device, over a 3-year period. Comparison of some demographic and clinical characteristics of study groups was summarized in Table 1. A significant difference was observed between the 2 groups in terms of mean estimated fetal weight (p<0.05, Figure 3), on the other hand no difference was determined in terms of age, gravidity, parity, APGAR 1. minute, APGAR 5. minute, birth weight (kg), body mass index, hematocrit level before delivery, hematocrit level after delivery (p>0.05). In 59 (95.1%) cases of Kiwi Omnicup group, no medical chronic disease was reported whereas 3 (4%) patients had hypothyroidism. There was no chronic disease in 106 (84%) patients who underwent vacuum extraction with metal cup, and preeclampsia was defined in 12 (9.5%) patients in this group. Induction was applied to 48.3% (n=30) of patients who had Kiwi Omnicup and 46% (n=58) of patients who had vacuum extraction by metal cup. Induction rates were similar between the 2 groups (p>0.05). Among cases who underwent metal vacuum extraction, 2 (1.58%) patients had previous cesarean section, the rates of some other systemic disorders were; chronic hypertention 0.79% (n=1), cardiac disorder 0.79% (n=1), previous multiple cesarean section 0.79% (n=1), twin pregnancy 0.79% (n=1) and familial Mediterranean fever 0.79% (n=1). Neonatal complications were not observed in 70.96% (n=44) of the babies who were extracted by Omnicup. Frequency of some neonatal complications were as follows; cephal hematoma in 2.38% (n=3), caput succadenum 2.38% (n=3) of the cases, and 8.73% (n=11) showed acidosis, and no inSD: Standard deviation. fant had molding, shoulder dystocia and meconium passage. Neonatal complications were not observed in 80.15% (n=101) of infants who underwent vacuum extraction with metal cup, while the rates of complications were cephal hematoma in 11.90% (n=15), caput succadenum in 5.55% (n=7), and molding in 0.79%, (n=1), shoulder dytocia in 0.79% (n=1), meconium passage in 0.79% (n=1) of the cases. No infant had acidosis in this group. Fetal complications were significantly different between the 2 groups, the cephalic hematoma was significantly higher in the metal-cup vacuum group, while the acidosis rate was higher in the Kiwi Omnicup group (Table 2). There was no maternal complication in 42% (n=53) of pregnant women in omnicup group, while blood transfu- sion in 3.96% (n=5), levator hematoma in 1.58% (n=2), and 1.58% (n=2) of cases showed cervical laceration. Rib fracture, 3 rd and 4 th degree lacerations, deep vaginal laceration were not observed. While 81.74% (n=103) of the patients who underwent vacuum with metal cups had no maternal complications, blood transfusion requirement was observed in 3.96% (n=5), deep vaginal laceration in 1.58% (n=2), levator hematoma in 0.79% (n=1), 3 rd degree laceration in 3.96% (n=5), 4 th degree laceration in 2.38% (n=3), rib fracture in 0.79% (n=1), cervical laceration in 4.76% (n=6) of the cases were observed. Maternal complication rates were similar in both groups (p>0.05). DISCUSSION Vaginal delivery by applying a vacuum device is a decreasing practice. Salamalekis et al. showed that the average annual vaginal birth vacuum decreased from 4.24% to 1.09%, from 1976 to 1995. 12 Fear of malpractice, lack of self-confidence and education may be one of the important reasons for this decrease. The incidence of operative delivery in 7,564 normal spontaneous vaginal births by vacuum extraction was 0.8% (n=62) in our series. On the other hand following introduction of omnicup vacuum device, the incidence of operative deliveries increased in 2013. Due to its elasticity and ease of use, it is thought that the learning and applications are easier than the p<0.001; There was a significant difference between the 2 groups in terms of neonatal complications rates. metal cup vacuum and that it is subjectively less traumatic and that the omnicup (Kiwi) is used twice as often as the metal cup vacuum. We aimed to present the differences at an objective level by comparing the use of Kiwi Omnicup vacuum and metal cup vacuum in terms of fetal and maternal outcome. It has been reported in the literature that, soft cup instruments have less scalp trauma but higher failure rates than hard metal vacuum cups. 5,13 In the metaanalysis of nine randomized controlled trials comparing soft and hard vacuum extractor cups; average failure rates were 16% for soft cups and 9% for hard cups. The separation rates were 22% for soft cups and 10% for metal cups. 13,14 In our study, the rate of patients requiring cesarean delivery after unsuccessful application was 8% (n=5) in patients who had Kiwi Omnicup vacuum extraction. No failure was observed following metal cup vacuum application. As a result, failure of Kiwi Omnicup vacuum was significantly higher than that of steel cup vacuum (p=0.003). In a study, although soft cups cause scalp injury to a lesser extent, it was observed that subgaleal hemorrhage rates did not decrease compared to metal cups. 13 In our study, fetal complications were significantly different between the 2 groups. Cephal hematoma was significantly higher in the metalbladed vacuum group (11.90%) and was approximately 5 times less in the soft-bladed group (2.38%). In another study in which 85 patients with Kiwi Omnicup and 79 patients with Malmstrom cups were examined, no difference was observed in terms of maternal morbidity (p=0.66, p>0.05). In the same study, acidosis was detected in 3 infants in both softbladed vacuum and metal-bladed vacuum groups. 15 In our study, the rate of acidosis was significantly higher in the soft bladed vacuum group. This may be related to the high rate of failure of the soft-bladed vacuum and the prolongation of the fetus during bradycardic period. In the same study, intrapartum and neonatal deaths were not observed in both groups. In our study, fetal deaths were observed in 2 babies who had Kiwi Omnicup vacuum, and no fetal death was observed in any of the babies with metal cup vacuum. Angioli et al. reported that 3 rd and 4 th degree perianal lacerations were more frequent in cases using vacuum tools (10%-2% respectively) than spontaneous vagnal births. 16 In our study, no third and fourth degree laceration was observed in Kiwi Omnicup treated patients, while the third and fourth degree laceration was observed in 8 patients who underwent vacuum with metal cup (6.3%). Although there was no statistically significant difference, less 3 rd and 4 th degree laceration was observed in patients who received Kiwi Omnicup vacuum compared to patients with metal cup vacuum. The need for blood transfusion due to maternal hemorrhage was observed in 8% (n=5) of patients who had Kiwi Omnicup vacuum and 3.9% (n=5) of patients with metal cup vacuum, but no statistically significant difference was observed. A study was carried out at a tertiary medical center with approximately 7,000 deliveries per year. It was found that the handheld system has more malfunctions than the traditional system. The rate of postpartum hemorrhage was higher in the conventional group. Both systems had similar 3 rd /4 th grade perineal tears, shoulder dystocia, and adverse neonatal outcomes. The authors showed greater failure with Kiwi compared to Mityvac in general and at any fetal position/station, with no significant difference in adverse outcome profile. 17 In a previous study, levator muscle avulsion rates (LAM) were evaluated between deliveries with Malmstrom's vacuum and Kiwi vacuum. Among 199 primiparous women, all patients underwent vaginal delivery by vacuum extraction (Malmstrom's or Kiwi). Avulsion was defined as abnormal LAM placement in the lower groin branch in multichannel mode as described in three central sections by transperineal 3/4D echography 6 months after birth. LAM was found in 33.1% of cases using Malmstrom vacuum and 29.4% of cases using Kiwi vacuum (the difference was not statistically significant). The study showed that the vacuum of Malmstrom was not associated with a higher risk of LAM compared with the Omnicup of Kiwi. 18 Maternal or neonatal outcomes and failure rates did not differ between the 2 groups, but procedure time and fundal pressure maneuver were more frequent in the Malmstrom group. The authors of this study suggested that Kiwi Omnicup and Malmstrom metal cup vacuum aspirators were safe and functionally effective for vacuum assisted delivery. 19 Vacuum application has been decreasing day by day and its practical training has not been taught routinely. Fear of malpractice, lack of self-confidence, and lack of education are seen as one of the important reasons for this decrease. When applied under appropriate conditions, although it causes various perinatal complications, it continues to be an effective application and the rate of serious fetal maternal complications is very low. Practical training should be provided in appropriate cases as the vacuum tool, which is easy to implement and obtain, may be required under mandatory conditions. Ensure that the necessary fetal and maternal indications are available. CONCLUSION In conclusion, there are some specific fetal complications for each tool and the rate of unsuccessful cases was significantly higher in group with Malmstrom metal cup. We concluded that selection of vacuum extraction tool should be based on the knowledge of maternal fetal conditions, specific complications and the success rates of the tools. Source of Finance During this study, no financial or spiritual support was received neither from any pharmaceutical company that has a direct connection with the research subject, nor from a company that provides or produces medical instruments and materials which may negatively affect the evaluation process of this study. Conflict of Interest No conflicts of interest between the authors and / or family members of the scientific and medical committee members or members of the potential conflicts of interest, counseling, expertise, working conditions, share holding and similar situations in any firm. Authorship Contributions Idea/Concept: Resul Karakuş; Design: Resul Karakuş; Control/Supervision: Enis Özkaya; Data Collection and/or Processing: Resul Karakuş, Sultan Seren Karakuş, Gökhan Ünver, Zafer Bütün; Analysis and/or Interpretation: Enis Özkaya; Literature Review: Enis Özkaya; Writing the Article: Enis Özkaya; Critical Review: Enis Özkaya; Materials: Gökhan Ünver. 1. Martin JA, Hamilton BE, Sutton PD, Ventura SJ, Menacker F, Kirmeyer S, et al; Centers for Disease Control and Prevention National Center for Health Statistics National Vital Statistics System. Births: final data for 2005. Natl Vital Stat Rep. 2007;56(6):1-103. [Pubmed] 2. Clark SL, Belfort MA, Hankins GD, Meyers JA, Houser FM. Variation in the rates of operative delivery in the United States. Am J Obstet Gynecol. 2007;196(6):526.e1-5. [Crossref] [Pubmed] 3. Kozak LJ, Weeks JD. U.S. trends in obstetric procedures, 1990-2000. Birth. 2002;29(3): 157-61. [Crossref] [Pubmed] 4. Operative Vaginal Birth: ACOG Practice Bulletin, Number 219. Obstet Gynecol. 2020; 135(4):e149-e159. [Crossref] [Pubmed] 5. Bofill JA, Rust OA, Schorr SJ, Brown RC, Martin RW, Martin JN Jr, et al. A randomized prospective trial of the obstetric forceps versus the M-cup vacuum extractor. Am J Obstet Gynecol. 1996;175(5):1325-30. [Crossref] [Pubmed] 6. Groom KM, Jones BA, Miller N, PatersonBrown S. A prospective randomised controlled trial of the Kiwi Omnicup versus conventional ventouse cups for vacuum-assisted vaginal delivery. BJOG. 2006;113(2):183-9. [Crossref] [Pubmed] 7. Equy V, David-Tchouda S, Dreyfus M, Rieth- REFERENCES muller D, Vendittelli F, Cabaud V, et al. Clinical impact of the disposable ventouse iCup® versus a metallic vacuum cup: a multicenter randomized controlled trial. BMC Pregnancy Childbirth. 2015;15:332. [Crossref] [Pubmed] [PMC] 8. Vacca A. A randomised controlled trial of a new handheld vacuum extraction device. BJOG. 2006;113(4):492; author reply 494-5. [Crossref] [Pubmed] 9. Dell DL, Sightler SE, Plauché WC. Soft cup vacuum extraction: a comparison of outlet delivery. Obstet Gynecol. 1985;66(5):624-8. [Pubmed] 10. Ali UA, Norwitz ER. Vacuum-assisted vaginal delivery. Rev Obstet Gynecol. 2009;2(1):5-17. [Pubmed] [PMC] 11. O'Mahony F, Hofmeyr GJ, Menon V. Choice of instruments for assisted vaginal delivery. Cochrane Database Syst Rev. 2010;(11): CD005455. [Crossref] [Pubmed] 12. Salamalekis E, Vitoratos N, Loghis C. Vacuum extraction for operative vaginal delivery. Int J Gynaecol Obstet. 1998;63(2):185-7. [Crossref] [Pubmed] 13. Johanson R, Menon V. Soft versus rigid vacuum extractor cups for assisted vaginal delivery. Cochrane Database Syst Rev. 2000(2):CD000446. Update in: Cochrane Database Syst Rev. 2010;(11):CD000446. [Crossref] [Pubmed] 71 14. Bird GC. The importance of flexion in vacuum extractor delivery. Br J Obstet Gynaecol. 1976;83(3):194-200. [Crossref] [Pubmed] 15. Ismail NA, Saharan WS, Zaleha MA, Jaafar R, Muhammad JA, Razi ZR. Kiwi Omnicup versus Malmstrom metal cup in vacuum assisted delivery: a randomized comparative trial. J Obstet Gynaecol Res. 2008;34(3):350-3. [Crossref] [Pubmed] 16. Angioli R, Gómez-Marín O, Cantuaria G, O'sullivan MJ. Severe perineal lacerations during vaginal delivery: the University of Miami experience. Am J Obstet Gynecol. 2000; 182(5):1083-5. [Crossref] [Pubmed] 17. Weissbach T, Hag-Yahia N, Ovadia M, Tzadikevitch Geffen K, Weitzner O, Biron-Shental T. Kiwi OmniCup Handheld vs. Mityvac M-Style Conventional Vacuum System: a retrospective observational study. J Matern Fetal Neonatal Med. 2017:1-8. [Crossref] [Pubmed] 18. González-Diaz E, García-Mejido JA, MartínMartínez A, Fernández-Fernández C, Ortega I, Medina M, et al. Are there differences in the damage to the pelvic floor between malmstrom's and kiwi omnicup vacuums? A multicenter study. Neurourol Urodyn. 2020;39(1): 190-6. [Crossref] [Pubmed] 19. Turkmen S. Maternal and neonatal outcomes in vacuum-assisted delivery with the Kiwi OmniCup and Malmström metal cup. J Obstet Gynaecol Res. 2015;41(2):207-13. [Crossref] [Pubmed]
Role of Cardiotocography and Amniotic Fluid Index Together in Predicting Perinatal Outcome in Low-risk Pregnancies Ulfat Shah 1 , Sameer Ahmad Lone 2 1Post Graduate Scholar, Department of Obstetrics and Gynaecology, Government Medical College, Srinagar, Jammu and Kashmir, India, 2Senior Resident, Department of Obstetrics and Gynaecology, Government Medical College, Srinagar, Jammu and Kashmir, India Abstract Introduction: The universal aim of maternity care provision is birth of a healthy baby to a healthy mother. Various invasive and non-invasive antepartum surveillance tests have been devised to access the fetal well-being. In developing countries like India, where workload is heavy with shortage of technical manpower and resource settings are poor, we need techniques which are adequate, simple, cost effective, easy to use, and less time consuming for better postpartum outcome. Materials and Methods: This study was conducted over a period of 1½ years in 251 primigravidae with low-risk pregnancies at or near term who were observed with admission cardiotocography (CTG) and amniotic fluid index (AFI) and was followed during the course of labor to access mode of delivery, Apgar score at 0, 1, and 5 min of birth, and need for neonatal intensive care unit (NICU) admission. Results: When both AFI and CTG together were correlated with mode of delivery, it was seen that in patients with cat 1 CTG irrespective of AFI, most of the patients were delivered by NVD and in cat 3 CTG patients irrespective of AFI, most of them were delivered by lower segment cesarean section (LSCS). In patients with cat 2 CTG, significant number of those was delivered by LSCS who had low AFI. When AFI and CTG together were studied for Apgar score at "1-min" of birth and NICU admission, it was seen that irrespective of AFI, low Apgar, and NICU admission was mostly seen in cat 3 CTG patients, but there was no neonatal mortality in our study.Data were entered into a Microsoft Excel Spreadsheet, relationship between categorical variables was analyzed using a Chi-square test and data were analyzed using STATA version 15. Conclusion: Therefore, admission CTG along with AFI can effectively detect fetal distress if already present at admission and thereby avoid unnecessary delay in decision to deliver timely and improve fetal outcome. These simple, cost effective, non-invasive, and less time-consuming tests can identify those patients who need continuous fetal monitoring in low resource settings and fetal outcome can be improved. Key words: Amniotic fluid index, Apgar, Cardiotocography, Neonatal intensive care unit INTRODUCTION Birth of a healthy baby to a healthy mother is the universal aim of maternity care provision. More care is being taken during labor to prevent an outcome such birth asphyxia and avoid its consequences. However, despite best efforts occurrence of birth asphyxia (2/1000 births in developed countries and up to 10 times higher in developing countries) continues to happen in obstetric practice. [1] According to a WHO estimate in 2014, about 4 million neonatal deaths occur yearly due to birth asphyxia, representing 35% of deaths of children under 5 years of age. [2] To prevent damage due to fetal asphyxia, several antepartum surveillance tests have been devised. Access this article online www.ijss-sn.com Cardiotocography (CTG) ([NST]) is the most widely used primary non-invasive test for fetal well-being. The amniotic fluid index (AFI) as measured by the four-quadrant ultrasonic technique was added to antepartum testing to better identify fetuses at higher risk of poor perinatal outcome. The modified biophysical profile (MBPP) suggested by Devi Month of Submission : 04-2020 Month of Peer Review : 05-2020 Month of Acceptance : 05-2020 Month of Publishing : 06-2020 Corresponding Author: Dr. Ulfat Shah, Lane 1, House No. 70, Sector 3, MIG Colony Bemina Srinagar, Jammu and Kashmir - 190 018, India. and Swarnalatha combines NST as a short-term marker of fetal status and the AFI as a marker of long-term placental function. It is easier to perform and less time consuming than complete biophysical profile. [3] Thus, various antepartum surveillance techniques have been developed for prompt detection and management of obstetric complications. However, in developing countries like India, where workload is heavy with shortage of technical workforce and resource settings are poor, we need techniques which are adequate, simple, cost effective, easy to use, and less time consuming for better postpartum outcome. [1] Aims and Objectives * To identify whether admission CTG and assessment of AFI together have a role in identifying the perinatal outcome The objectives of the study were as follows: * To identify whether admission CTG and AFI assessment together can predict fetal morbidity and mortality. MATERIALS AND METHODS This prospective observational study was conducted in the Postgraduate Department of Gynecology and Obstetrics of GMC, Srinagar, associated Lalladed Hospital over a period of 1½ years. During this period, 50,410 patients were admitted in our hospital, 19,805 patients under went lower segment cesarean section (LSCS) and 14,488 patients were delivered by NVD. Two hundred and fifty-one women with low-risk pregnancies (primigravidae) at or near term (37 weeks–40 weeks) were observed with admission CTG and AFI; these women were admitted either in early labor or induction of labor which was done and these women were followed during the course of labor and were assessed for mode of delivery and perinatal outcome. Inclusion Criteria 1. Term or near term patients (37 weeks–40 weeks) This included the following patients. 2. Singleton pregnancy 4. Primigravidae 3. Non-anomalous baby 5. Intact membranes 6. Women in early labor or where induction of labor was done. Exclusion Criteria 1. Multiple pregnancy The following patients were excluded from the study: 2. Pre-term (<37 weeks) 4. Premature rupture of membranes 3. Recurrent missed abortions 5. Congenital anomalies 25 6. Previous bad obstetric history 8. Previous LSCS 7. Maternal age above 40 or <19 9. Intra uterine death 10. Non-cephalic presentation/malpresentation. Parameters that were studied are 2. CTG changes (according to FIGO criteria for CTG interpretation) 1. Age of the patients and gestational age at the time of admission 3. AFI (By 4-quad technique) 5. Mode of delivery (normal vaginal delivery, cesarean section) 4. Presence of meconium, cord around neck at the time of delivery 6. Apgar score at 0, 1, and 5 min 7. Need for admission in neonatal intensive care unit (NICU). CTG CTG is electronic fetal monitoring which records fetal heart rate (FHR) and uterine activity on a graph. CTG includes four parameters: FHR (normal 110–160 bpm) Baseline variability (normal 5–25bpm) * Minimal – ≤5 bpm * Absent – undetectable * Moderate – 6–25 bpm * Marked – >25 bpm. Acceleration (normal, 2 or more accelerations that peak at 15 bpm above baseline within 20 min of beginning of test). Deceleration (none); decelerations are periodic, transient decreases in FHR, usually associated with uterine contractions. They can be subdivided into four main types by their shape and timing in relation to uterine contractions. There are four types of decelerations as defined by the National Institute of Child Health and Human Development nomenclature, all of which are visually assessed. * Late deceleration * Early deceleration * Variable deceleration * Prolonged deceleration. CTG Interpretation The cardiotocogram was interpreted as per FIGO guidelines. AFI Measurement Technique AFI< 5 cm In 1987, Platt et al. discovered a four-quadrant method of assessing AFI. Using that technique, an AFI of 5 cm or less is defined as oligohydramnios. [4] Normal AFI values range from 5 cm to 25 cm. The AFI was interpreted in three categories (ranges). AFI 5–15 cm AFI >15 cm. AFI estimation with CTG at admission, these two parameters altogether can be used as valuable screening test to detect fetal distress as early as possible and prevent fetal morbidity and mortality. RESULTS 1. Majority of our patients (64.14%) in our study were in the age group of 25–30 years 3. Most of the patients 168 (66.93%) had adequate liquor (AFI 5–15 cm), 56 (22.31%) had oligohydramnios (AFI <5 cm), and 27 (10.76%) had AFI >15 cm. 2. Out of total 251 patients, 94 (37.45%) had cat 1 CTG, 78 (38.08%) had cat 2 CTG, and 79 (31.47%) had cat 3 CTG 4. When both AFI and CTG together were correlated with mode of delivery, it was seen that in patients with cat 1 CTG irrespective of AFI, most of the patients were delivered by NVD and in cat 3 CTG patients irrespective of AFI, most of them were delivered by LSCS. In patients with cat 2 CTG, significant number of those was delivered by LSCS who had low AFI. The results show that when both CTG and AFI together are correlated with mode of delivery, cat 1 CTG patients in all AFI groups were delivered by NVD, whereas cat 3 CTG patients irrespective of AFI were delivered by LSCS. In cat 2 CTG patients, delivery by LSCS is seen significantly more in those with low AFI (<5 cm) than in those with AFI >5 cm. 1. When AFI and CTG together were studied for Apgar score at "1-min" of birth and NICU admission, it was seen that irrespective of AFI, low Apgar, and NICU admission was mostly seen in cat 3 CTG patients, but there was no neonatal mortality in our study. At "1-min" of birth, all newborns of cat 1 CTG group had a good Apgar score irrespective of the AFI whereas in cat 3 CTG group, low Apgar was seen in significant number of newborns in all AFI groups and in cat 2 CTG patients, low Apgar was seen in only one newborn belonging to low AFI group. At "5-min" of birth, only six newborns had an Apgar score <6 and all of them belonged to cat 3 CTG patients with one of them in low AFI group and 5 in AFI 5–15 cm group, but no neonate in cat 1 or cat 2 CTG patients had a low Apgar at "5-min" of birth. When AFI and CTG both together are compared with NICU admission, in Cat 1 group, no neonate was admitted in NICU at the time of birth irrespective of the AFI, whereas significant number of newborns in cat 3 CTG group required NICU admission in all of the AFI ranges. In cat 2 CTG patients, only one newborn belonging to low AFI group required NICU admission at the time of birth. DISCUSSION In our study [Table 1 of results], we also evaluated the role of CTG and AFI together in predicting the perinatal outcome and for determining the mode of delivery. The results of our study showed that patients with cat 3 CTG and low AFI <5 cm, all required LSCS, whereas patients with cat 1 CTG and AFI >5 cm are at lowest risk and can be induced to deliver vaginally. In our study, we also evaluated the role of admission CTG and AFI together in predicting the perinatal outcome by studying Apgar score at 0, 1, and 5 min [Tables 2-4 of results]. The results showed that in patients with cat 1 CTG and adequate liquor, all the newborns had an excellent Apgar score at the time of birth, whereas in patients with category 3 CTG irrespective of AFI, Apgar score <6 was seen in 16% of the newborns. In the group of patients with cat 3 CTG irrespective of AFI, a significant number of the newborns required NICU Table 1: Comparison of AFI and CTG with mode of delivery When AFI and CTG together are compared with Apgar score at "0-min" of birth, newborns of cat 1 CTG group show good Apgar score in all AFI ranges, whereas cat 3 CTG patients irrespective of AFI show low Apgar score in significant number of newborns. In cat 2 CTG patients, low Apgar is seen mostly in those newborns who belong to low AFI group. Pearson Chi-square=148.99; P<0.001. CTG: Cardiotocography, AFI: Amniotic fluid index, LSCS: Lower segment cesarean section Table 2: Comparison of AFI and CTG with Apgar-0 Pearson Chi-square =50.87, P<0.001. CTG: Cardiotocography, AFI: Amniotic fluid index Table 3: Comparison of CTG and AFI With Apgar-1 Pearson Chi-square=29.46; P<0.001.CTG: Cardiotocography, AFI: Amniotic fluid index Table 4: Comparison of CTG and AFI with Apgar-5 Pearson Chi-square=17.86, P=0.022. CTG: Cardiotocography, AFI: Amniotic fluid index Table 5: Comparison of CTG and AFI with NICU admission admission at birth [Table 5] of our results. Similar results were also observed in the study conducted by Eden et al. [5] in 1988, in which high-risk pregnancies were screened using a MBPP consisting of NST and ultrasound evaluation of amniotic fluid volume. Decreased amniotic fluid volume and spontaneous FHR decelerations were considered abnormal findings during antenatal testing and served as indications for delivery regardless of FHR reactivity. Despite interventions, decreased amniotic fluid volume and spontaneous decelerations were associated with an increased incidence of meconium staining, decelerations during labor, cesarean section for fetal distress, and small for gestational age infants. Similar results were also seen in the study by Anand et al. [1] in 2016 who concluded that AFI, NST, and color of liquor can effectively detect fetal distress already present at admission, thereby avoiding unnecessary delay and decrease in detection to delivery time and improve fetal outcome. Similar results were also observed in the study conducted by Sowmya et al. [6] in 2017, in which 70 patients with high-risk pregnancy were evaluated with the MBPP consisting of NST recording for 20 min, followed by ultrasound assessment of amniotic fluid volume, using four-quadrant technique. They concluded that when the MBPP is normal, it gives reassurance that the fetal status is good with good perinatal outcome. At the same time, when MBPP is abnormal, it indicates that the fetus may be compromised, thus MBPP can be used as primary antepartum fetal surveillance test to predict perinatal outcome and provide timely intervention in high-risk pregnancies. CONCLUSIONS From our study, the following conclusions were drawn; * Cat 2 CTG is associated with more cesarean deliveries, especially in those patients who have low AFI * In patients with cat 2 CTG and low AFI and those with cat 3 CTG, continuous fetal monitoring should be done till delivery, especially in a hospital like ours with heavy workload. Pediatrician should be kept available for the immediate and proper resuscitation and triaging of babies Pearson Chi-square=27.83; P<0.001. CTG: Cardiotocography, AFI: Amniotic fluid index, NICU: Neonatal intensive care unit 27 * Pathological (cat 3) CTG at admission irrespective of the AFI is associated with more cesarean deliveries for fetal distress, meconium stained liquor intraoperatively and with poor perinatal outcome * Cat 1 CTG is associated with good perinatal outcome and most of the patients can be induced to deliver vaginally almost with any value of AFI * Therefore, admission CTG along with AFI can effectively detect fetal distress if already present at admission and thereby avoid unnecessary delay in decision to deliver timely and improve fetal outcome. These simple, cost effective, non-invasive, and less time-consuming tests can identify those patients who need continuous fetal monitoring in low-resource settings and fetal outcome can be improved. REFERENCES 2014;40:94. 4. Platt LD, Walla CA, Paul RH, Trujillo ME, Loesser CV, Jacobs ND, et al. A prospective trial of the fetal biophysical profile versus the nonstress test in the management of high-risk pregnancies. Am J Obstet Gynecol 1985;153:624-33. 1. Anand RS, Singh P, Sangal R, Srivastava R, Sharma NR, Tiwari HC. Amniotic fluid index, non-stress test and color of liquor: As a predictor of perinatal outcome. Int J Reprod Contracept Obstet Gynecol 2016;5:3512-7. 3. Vintzileos AM, Campbell WA, Ingardia CJ, Nochimson DJ. The fetal biophysical profile and its predictive value. Obstet Gynaecol 1983;62:217-8. 5. Eden RD, Seifert LS, Kodack LD, Trofatter KF, Killam AP, Gall SA. A modified biophysical profile for antenatal fetal surveillance. Obstet Gynecol 1988;71:365-9. 2. Aslam HM, Saleem S. Risk factors of birth asphyxia. Ital J Pediatr 6. Sowmya KP, Mudanu SR, Padmasri R, Lalitha S. Modified biophysical profile in antepartum fetal surveillance of high risk pregnancies. Int J Reprod Contracept Obstet Gynecol 2017;6:1854-8. How to cite this article: Shah U, Lone SA. Role of Cardiotocography and Amniotic Fluid Index Together in Predicting Perinatal Outcome in Low-risk Pregnancies. Int J Sci Stud 2020;8(3):24-28. Source of Support: Nil, Conflicts of Interest: None declared.
Key figures * In the first six months of the year, Å Energi's reported operating profit under IFRS was NOK 6,286 million (H1 2022: NOK -1,187 million). Net income under IFRS came to NOK 1,291 million (controlling interest's share), compared with NOK -478 million in the first half of last year. The Group had NOK 19,410 (12,019) million in operating revenues. * In the first six months of the year, Å Energi made an underlying 1 operating profit of NOK 4,202 (3,339) million. Underlying net income was NOK 1,111 million (controlling interest's share), down from NOK 1,176 million in the first half of last year. * The tax expense on the underlying profit was NOK 2,967 (2,044) million. In addition, the Group paid NOK 246 million for the special duty on high-priced electricity. This means that 74% of the Group's pre-tax profit was returned to society through income tax, resource rent tax and the special duty. If taxes and duties had been the same as in 2022, the Group's net income in the first half of 2023 would have been around NOK 640 million higher. Highlights * Fennefoss power station in Evje was officially opened by Terje Aasland, the Minister of Petroleum and Energy, on Saturday 19 August. The power station will have the capacity to generate 59 GWh of clean, renewable energy each year, equivalent to the annual consumption of around 3,000 households. * In June, Scope Rating upgraded Å Energi's rating to A-/positive outlook from BBB+/positive outlook. The reasons given by Scope for the upgrade were improved profitability and stability, as well as the prospects of electricity prices remaining high. * At the AGM on 23 May, Maria Moræus Hanssen was elected the new Chair of Å Energi's Board of Directors. She has extensive senior management experience and currently holds several directorships. This was the first ordinary AGM since the merger of Agder Energi and Glitre Energi in November 2022. Quarter 2 * Having fallen significantly so far this year, the average spot price (in the NO2 area) was 107 øre/kWh (162 øre/kWh), down 34% from last year's record high levels. Agder Energi's hedging strategy is designed to make dividend payments more stable and predictable over the long term. In the first half of the year, our hedging activities resulted in achieved electricity prices that were significantly lower than spot prices. In addition, our obligation to supply compensation and concession power at regulated prices had a negative impact on achieved prices. * The Group generated 5,606 GWh (3,441 GWh) of hydroelectric power in the first half of the year, an increase of 63%. This increase was due to the electricity generated by what was formerly Glitre Energi being included in the figures for 2023, as well as production being exceptionally low in the second quarter of last year. * In May, the University of Agder, the Skeie group and Å Energi signed a partnership agreement to establish Norway's first university course specifically focusing on offshore wind power. The plan is for the course to start in the autumn of 2024, and the hope is it will help Agder become a leading centre for offshore wind. * In June, Morrow Batteries (33.8% ownership interest) opened Norway's biggest battery research centre at the University of Agder campus in Grimstad. This is an important milestone on the road to developing sustainable batteries. Around 80 researchers, 70 of whom are from Morrow Batteries, will work at the Morrow Research Centre. In order to continue developing the company in Arendal, Å Energi and four other big shareholders provided a convertible loan to the company in May. Å Energi contributed NOK 350 million towards the NOK 567 million facility. * The Norwegian Hospital Procurement Trust has renewed its contract with Entelios covering electricity supply and management for Norway's health trusts. Between them, the health trusts use almost 1 TWh per year, and in spite of high energy prices their contract for active energy management and hedging has reduced their electricity costs by several hundred million Norwegian kroner over recent years. * In June, around 250 people attended the Å Energi conference, which was held at the Kilden Performing Arts Centre in Kristiansand. The theme was "More of Everything: Conflicts, Compromises and Renewable Energy Opportunities from Now to 2030". 1 The underlying IFRS figures take the Group's IFRS profit and adjust it for the items that are described in greater detail in Note 6. \| From income statement Operating revenues NOK millions \| \| 4,827 \| \| \|---\|---\|---\|---\| \| \| 7,387 \| \| 19,410 \| \| EBITDA NOK millions \| 2,103 \| -2,612 \| 6,830 \| \| Operating profit NOK millions \| 1,801 \| -2,788 \| 6,286 \| \| Profit before tax NOK millions \| 1,793 \| -2,847 \| 6,154 \| \| Net income (controlling interest's share) NOK millions \| 446 \| -1,491 \| 1,291 \| \| Underlying performance 1) Underlying operating revenues NOK millions \| \| 8,453 \| \| \| \| 7,162 \| \| 17,275 \| \| Underlying EBITDA NOK millions \| 1,877 \| 1,014 \| 4,694 \| \| Underlying operating profit NOK millions \| 1,604 \| 839 \| 4,202 \| \| Profit before tax NOK millions \| 1,526 \| 776 \| 4,081 \| \| Underlying net income (controlling interest's share) NOK millions \| 401 \| 170 \| 1,111 \| \| Cash flow Cash flow from operating activities NOK millions \| \| 3,771 \| \| \| \| 1,925 \| \| 1,891 \| \| Purchase of property, plant, equipment and intangible assets NOK millions \| 376 \| 229 \| 717 \| \| Capital Capital employed 2) NOK millions \| \| \| \| \| \| \| \| 30,402 \| \| Return on capital employed 3) % \| \| \| 6.8 \| \| Equity ratio % \| \| \| 33.3 \| 1) Alternative performance measures are described in Note 6. 2) At the end of the reporting period. 3) Based on profit/loss and capital employed for the past four quarters. Profit/loss is defined as underlying net income plus the interest expense after tax. Underlying operating profit by quarter Market prices in price zone NO2 Quarter 2 Cumulative underlying operating profit Reservoir storage levels in price zone NO2 Segments Å Energi is organised as a corporate group, with Å Energi AS as the parent company. The segments are presented in line with how the management team makes, reviews and evaluates its decisions. As of this report, the segments reported have been changed to Hydroelectric Power, Network, Nordic Electricity Retailing and Other Activities. The merger between Glitre Energi and Agder Energi was completed for accounting purposes on 1 December 2022, and Glitre Energi's business is being reported as an integrated part of the segments as of 2023. Comparative figures have not been restated. The financial figures for the segments are reported on an underlying IFRS basis, since that is what is used in internal reporting to the management and Board. A more detailed description of the segments is given below. Hydroelectric Power This segment is responsible for developing, operating, maintaining and refurbishing the Group's hydroelectric power stations, and it is one Norway's biggest producers of electricity, generating 11.3 TWh in a typical year. The segment owns, either directly or through joint arrangements, 72 hydroelectric power stations. Most of its power stations are in Agder and the former county of Buskerud, but it also owns power stations in the counties of Rogaland and Vestfold og Telemark. Since the merger of Agder Energi and Glitre Energi, the Hydroelectric Power segment has generated electricity in both the NO2 and NO1 price areas, with its expected annual electricity generation being 8.7 TWh in NO2 and 2.6 TWh in NO1. The segment's operating revenues come from the sale of the power that it generates in the spot market, electricity contracts with industrial customers and Nordic power generators, the sale of concession power and financial trading. The Hydroelectric Power segment had NOK 5,377 (4,182) million of operating revenues in the first six months of the year, while its operating profit was NOK 3,408 (3,260) million. The NOK 148 million increase in operating profit was due to significantly higher electricity generation, as a result of both the merger with Glitre Energi and generation in the second quarter of last year being exceptionally low. The increase in volume was largely offset by lower electricity prices and a NOK 246 million impact from the new duty on high-priced electricity introduced in September 2022. Electricity prices continued to fall during the second quarter. This was due to continuously improving gas storage levels in Europe leading to falling electricity prices, as well as an improvement in reservoir levels in Southern Norway, to above normal in the NO1 and NO5 price areas, and to around normal in the NO2 area. Since the end of May, electricity prices in the NO1 and NO5 areas have been lower than in the NO2 area. That is mainly due to Quarter 2 high reservoir levels in the NO1 and NO5 areas, combined with limited transmission capacity south to the NO2 area. In the NO2 area, international interconnectors have made it possible to reduce the risk of water spill in the autumn. Forward prices on Nasdaq indicate that electricity prices will rise in the autumn, with slightly higher prices expected for NO2 than for NO1 and NO5. The average spot price (in the NO2 area) in the first half of the year was 107 øre/kWh (162 øre/kWh), down 34%. In the second quarter, the average spot price was 96 øre/kWh (175 øre/kWh), down 45%. Whereas the average spot prices in the NO2 and NO1 areas were identical in the first quarter, in the second quarter the price in the NO1 area was 18 øre/kWh lower. The volume-weighted spot price for the electricity generated by the Hydroelectric Power segment was 113 øre/kWh in the first half of the year. The segment's achieved electricity prices were lower than spot prices. As well as our duty to supply compensation power and concession power at regulated prices, this reflected that we have hedged at levels significantly below spot prices. This hedging includes long-term electricity contracts with industrial customers. 5,606 GWh (3,441 GWh) of hydroelectric power was generated in the first half of the year, an increase of 63%. In the second quarter, 2,547 GWh (1,097 GWh) of hydroelectric power was generated, an increase of 132%. This big increase was due to both the merger with Glitre Energi and generation in the second quarter of last year being exceptionally low. Hydrological resour ces (water and snow) were good during the second quarter, and above normal. At the end of June, the average reservoir levels for all of the electric utilities in the NO2 and NO1 price areas were 66% (46%) and 80% (65%) respectively. That is, respectively, 20 and 15 percentage points higher than at the same time last year. In the case of the NO2 area, reservoir levels are two percentage points higher than the average for the past ten years, whereas for the NO1 area they are three percentage points higher. In the first half of the year, the segment made a pre-tax profit of NOK 3,374 (3,210) million. As well as paying ordinary income tax, the Hydroelectric Power segment pays resource rent tax. Its total tax expense was NOK 2,823 (2,034) million. The main reason for the higher tax expense was a NOK 670 million increase in resource rent tax payable, around half of which was due to a higher tax rate. The effective tax rate was 84% (63%). As well as the higher resource rent tax rate, this increase reflected the introduction of the duty on high-priced electricity, as well as negative contributions from hedges that are not included in the calculation basis for resource rent tax. Net income in the first six months of the year fell by NOK 625 million to NOK 551 (1,176) million. NOK 240 (210) million was invested in property, plant and equipment, with the biggest individual projects being the new Fennefoss power station near Evje and the new turbine at Høgefoss power station. In addition, several refurbishment and government-imposed projects are being implemented. Network The Network segment comprises Glitre Nett and Asker Nett, in which the Group holds a 51% ownership interest. Glitre Nett is responsible for the development, operation and maintenance of the regional and local distribution systems in Agder, Buskerud and Hadeland. It had NOK 1,362 (764) million of operating revenues in the first half of the year, which was a NOK 598 million increase, mainly due to the merger with Glitre Energi in December 2022. It made an operating profit of NOK 261 million, up from NOK -26 million in the first half of last year. The low profit in the first half of last year was due to very high costs for distribution losses, which were not reflected in the network tariffs charged to customers. In the fourth quarter of last year, a scheme to transfer congestion revenues from Statnett was introduced precisely in order to compensate distribution system operators for their rising costs and to avoid the need to increase network tariffs. The scheme made it possible for Glitre Nett to lower its network tariffs from 1 January this year. The cost of resolving faults in the grid and KILE was roughly as expected. KILE is a reduction applied to the company's revenue cap in the event of power outages. The segment invested NOK 358 (225) million in the first half of the year. This was around 25% lower than planned, which was mainly due to projects being delayed or postponed. Nordic Electricity Retailing This segment, which comprises the Group's electricity sales to end users in the Nordic region, consists of Entelios Nordic, Å Strøm and Vibb. Nordic Electricity Retailing's turnover was NOK 10,716 (11,361) million in the first six months of the year. The segment's operating profit was NOK 701 (204) million. Entelios Nordic is responsible for the majority of the turnover, and in the first half of the year its operating revenues came to NOK 8,780 (9,900) million. The gross volume of electricity supplied to consumers and producers was 12.2 TWh (11.0 TWh) and it made an operating profit of NOK 715 (168) million. The high operating profit was mainly due to a strong contribution from energy trading and management activities. Over an extended period, Entelios has helped public and private sector customers to save billions of kroner in electricity costs by enabling them to hedge their electricity prices. Entelios is one of the leading energy retailers in the Nordic region. In Norway, the company is the leading supplier of electricity to the commercial market. Entelios Nordic also has significant turnover in Sweden, Finland and Denmark. Entelios is the part of the Group with greatest exposure to customers. High electricity prices increase this exposure, due to both an increase in trade receivables and a higher probability of customers experiencing payment difficulties. Entelios' management team closely Quarter 2 monitors this exposure, and realised losses on trade receivables are in line with previous periods. Å Strøm and Vibb, with their distinct profiles and business models, constitute Å Energi's product offering in the domestic electricity market. Å Strøm, which is one of Norway's leading electricity retailers to domestic customers, was created by the merger of LOS and Glitre Energi Strøm. Å Strøm is Norway's fourth largest electricity company, and it has customers throughout Norway, with the bulk of them being in Agder, Buskerud and Hadeland. Vibb is a digital electricity supplier to domestic customers all over Norway. The company has signed an agreement to take over Talkmore's electricity customers, and the transfer will be completed in September. Other Activities This segment comprises the parent company Å Energi, which is responsible for management, various shared functions and financing. In addition, it includes Å Energi Fornybar Forvaltning, which is responsible for managing and maximising the return on the electricity generated by Hydroelectric Power. Other Activities also includes parts of the New Industries business area, which is responsible for the Group's venture capital activities, business development and new ventures. In addition, it covers district heating, local heating, biofuels and flexibility services, as well as a few other small companies. The segment also manages our ownership interests in Viken Fiber and Nettpartner. Å Energi Varme develops, builds and supplies district heating and cooling services for homes and commercial buildings, mainly in Kristiansand, Arendal and Grimstad. The company's turnover was NOK 116 (68) million in the first six months of the year, while its operating profit was NOK 35 (10) million. The company continued with a compensation scheme based on the model of the government's electricity subsidy for all of its domestic customers, and in the first half of the year it also compensated its business customers. The volume of billable energy supplied was 78 GWh (76 GWh). The increase was due to a slightly colder winter and lower energy prices. Hedges entered into in the past made a negative contribution. Investment in the period amounted to NOK 13 (4) million. Cash flows and capital adequacy Cash flow from operating activities came to NOK 1,891 million in the first six months of the year, compared with NOK 7,822 million in the first half of last year. One important reason for the change was the timing difference between the cash flows from Entelios Nordic's contracts with its customers and its exchange-traded hedging instruments. Over the duration of the contracts, the exchanged-traded instruments and the customer contracts will have roughly the same cash flows, but this will vary greatly between periods. This effect also largely explains the unusually strong cash flow in the first half of last year. In addition, the Group paid NOK 3,652 million in tax in the first six months of the year. A reduction in the Group's working capital had a positive impact on cash flow. This reflects the fact that customer receivables are typically high at the turn of the year and then fall over the first half as a result of lower prices and electricity consumption. Investment in property, plant and equipment and intangible assets amounted to NOK 717 (408) million. The Hydroelectric Power and Network segments were responsible for 84% of the investments in property, plant and equipment. Net financial items came to NOK -132 (-10) million. Of the NOK 210 (139) million financial expense, NOK 169 (101) million was interest payable on the debt portfolio. The increase in interest on the debt portfolio was the result of both higher market interest rates and higher interest-bearing liabilities on account of the merger with Glitre Energi. The Group's share of loss of associates amounted to NOK -24 (-1) million, which includes a NOK 43 million gain on Å Energi's investment in Viken Fiber. The overall loss was due to several of the Group's other associates making a loss. There was an unrealised loss of NOK -3 million (gain of NOK 101 million) on interest rate contracts and shareholdings. Of this, NOK 78 (154) million related to interest rate contracts. The remaining NOK -81 (-52) million was a revaluation loss on our investment in Otovo. The Group's gross interest-bearing liabilities at the end of June amounted to NOK 10.1 (8.3) billion. It had NOK 8.0 (0.2) billion of net interest-bearing liabilities. The average interest rate on the Group's debt portfolio was 3.3% (2.4%). The Group's liquidity buffer at the end of June comprised NOK 4.5 (2.5) billion of unused credit facilities and NOK 2.1 (8.1) billion of bank deposits and short-term interest-bearing securities. Most of the surplus liquidity was the result of realising futures contracts traded on NASDAQ. Operations and working environment At the close of the first half of the year, the Group had 1,430 (989) full-time and temporary employees, representing 1,393 Quarter 2 (962) full-time equivalents. The merger with Glitre Energi has resulted in an increase of around 300 employees. In addition, there has been an increase in the number of new hires, includ ing at the parent company and the Group's venture capital business, partly as a result of the acquisition of Data Equipment. Å Energi's sickness absence rate stabilised around the 3% target during the quarter and the trend is positive. The sickness absence rate for the past 12 months has been 3.7% (3.8%). So far this year, 7 (8) occupational accidents have been recorded involving our own employees and contractors, leading to 76 (52) days off work. The accident figures are equivalent to a total injury frequency (number of injuries, whether or not they resulted in lost time, per million work hours over the past 12 months) of 3.4 (4.9) for our own employees and contractors. Outlook Over the course of the winter, fears of energy shortages abated, both in Norway and on the continent. In 2023 this has resulted in a sharp fall in electricity prices from their high levels, and forward prices on Nasdaq indicate that electricity prices in 2023 and the coming years will be significantly lower than in 2022. At the end of June, hydrological resources (water and snow) were better than normal. The combination of the merger with Glitre Energi and plentiful hydrological resources means that we expect to generate significantly more electricity in 2023 than in 2022, with energy sales remaining strong. However, the new duty on high-priced electricity will apply to the whole year in 2023, which will have a negative impact on our financial results. The merged group is fully operational and ready to seize any market opportunities that arise in conjunction with the green energy transition. The Group will also continue to exploit the synergies that have been created by combining the two regional electric utilities that together constitute Å Energi. DECLARATION BY THE BOARD OF DIRECTORS AND CEO We confirm that, to the best of our knowledge, the interim financial statements for the period 1 January to 30 June 2023 have been prepared in accordance with IAS 34 Interim Financial Reporting. We also confirm that the information contained in the interim report provides a true and fair view of the Group's assets, liabilities, financial position and overall results. Kristiansand, 22 August 2023 Maria Moræus Hanssen Chair Income statement \| Energy sales \| \| 8,044 \| \| \|---\|---\|---\|---\| \| \| 6,755 \| \| 15,443 \| \| Transmission revenues \| 521 \| 305 \| 1,208 \| \| Other operating revenues \| 445 \| 138 \| 697 \| \| Gains and losses on electricity and currency contracts \| -334 \| -3,661 \| 2,062 \| \| Total operating revenues \| 7,387 \| 4,827 \| 19,410 \| \| Energy purchases \| \| -6,853 \| \| \| \| -4,103 \| \| -10,264 \| \| Transmission expenses \| -28 \| 22 \| -57 \| \| Other raw materials and consumables used \| -171 \| -29 \| -222 \| \| Employee benefits \| -399 \| -260 \| -759 \| \| Depreciation and impairment losses \| -302 \| -175 \| -543 \| \| Property taxes and licence fees \| -82 \| -61 \| -164 \| \| Duty on high-priced electricity \| -73 \| 0 \| -246 \| \| Other operating expenses \| -428 \| -259 \| -869 \| \| Total operating expenses \| -5,587 \| -7,614 \| -13,124 \| \| Operating profit \| \| -2,788 \| \| \| \| 1,801 \| \| 6,286 \| \| Share of profit of associates and joint ventures \| \| 4 \| \| \| \| -21 \| \| -24 \| \| Financial income \| 28 \| 17 \| 105 \| \| Unrealised gains and losses on interest rate contracts and shares \| 74 \| -16 \| -3 \| \| Financial expenses \| -89 \| -63 \| -210 \| \| Net financial income/expenses \| -8 \| -59 \| -132 \| \| Profit before tax \| \| -2,847 \| \| \| \| 1,793 \| \| 6,154 \| \| Income tax \| \| 615 \| \| \| \| -386 \| \| -1,418 \| \| Resource rent tax \| -964 \| 734 \| -3,443 \| \| Tax expense \| -1,350 \| 1,349 \| -4,861 \| \| Net income \| \| -1,497 \| \| \| \| 443 \| \| 1,293 \| \| Of which attributable to non-controlling interests \| \| -7 \| \| \| \| -2 \| \| 2 \| Comprehensive income \| Net income \| \| -1,497 \| \| \|---\|---\|---\|---\| \| \| 443 \| \| 1,293 \| \| Other comprehensive income \| \| \| \| \| Cash flow hedges \| 0 \| 31 \| 0 \| \| Translation differences \| 4 \| 13 \| 30 \| \| Tax impact \| 0 \| -7 \| 0 \| \| Total items that may be reclassified to income statement \| 4 \| 38 \| 30 \| \| Remeasurements of pensions \| \| -39 \| \| \| \| 249 \| \| 286 \| \| Tax impact \| -78 \| 11 \| -89 \| \| Total items that will not be reclassifei d to income statement \| 171 \| -27 \| 197 \| \| Total other comprehensive income \| \| 10 \| \| \| \| 175 \| \| 228 \| \| Comprehensive income \| \| -1,487 \| \| \| \| 618 \| \| 1,521 \| \| Of which attributable to non-controlling interests \| \| -6 \| \| \| \| -2 \| \| 6 \| \| Of which attributable to controlling interest \| 620 \| -1,480 \| 1,515 \| Statement of Financial Position \| Deferred tax assets \| \| \|---\|---\| \| \| 0 \| \| Intangible assets \| 6,449 \| \| Property, plant and equipment \| 33,342 \| \| Investments in associates and joint ventures \| 4,882 \| \| Derivatives \| 5,278 \| \| Other non-current financial assets \| 1,593 \| \| Total non-current assets \| 51,544 \| \| Inventories \| \| \| \| 137 \| \| Receivables \| 3,904 \| \| Derivatives \| 3,259 \| \| Cash and cash equivalents \| 2,082 \| \| Total current assets \| 9,382 \| \| TOTAL ASSETS \| \| \| \| 60,926 \| \| Paid-in capital \| \| \| \| 14,870 \| \| Retained earnings \| 4,471 \| \| Non-controlling interests \| 957 \| \| Total equity \| 20,298 \| \| Deferred tax \| \| \| \| 6,472 \| \| Provisions \| 1,691 \| \| Derivatives \| 7,788 \| \| Interest-bearing non-current liabilities \| 6,794 \| \| Total non-current liabilities \| 22,745 \| \| Interest-bearing current liabilities \| \| \| \| 3,300 \| \| Tax payable \| 5,044 \| \| Derivatives \| 6,114 \| \| Other non-interest-bearing current liabilities \| 3,426 \| \| Total current liabilities \| 17,883 \| \| TOTAL EQUITY AND LIABILITIES \| \| \| \| 60,926 \| Statement of cash flows \| Cash flow from operating activities Profit before tax \| \| -2,847 \| \| \|---\|---\|---\|---\| \| \| 1,793 \| \| 6,154 \| \| Depreciation and impairment losses \| 302 \| 175 \| 543 \| \| Non-cash gains and losses \| -662 \| 6,828 \| -4,957 \| \| Share of profit of associates and joint ventures \| 21 \| -4 \| 24 \| \| Tax paid \| -1,828 \| -70 \| -3,652 \| \| Change in net working capital, etc. \| 2,299 \| -312 \| 3,779 \| \| Net cash provided by operating activities \| 1,925 \| 3,771 \| 1,891 \| \| Investing activities Purchase of property, plant, equipment and intangible assets \| \| -229 \| \| \| \| -376 \| \| -717 \| \| Purchase of businesses/financial assets \| -259 \| -223 \| -278 \| \| Net change in loans \| -341 \| 442 \| -341 \| \| Dividends from associates \| 79 \| 0 \| 79 \| \| Sale of property, plant, equipment and intangible assets \| 0 \| 1 \| 8 \| \| Sale of businesses/financial assets \| 0 \| 0 \| 0 \| \| New cash and cash equivalents from merger \| 0 \| 0 \| 0 \| \| Net cash used in investing activities \| -898 \| -10 \| -1,250 \| \| Financing activities Repayment of long-term borrowings \| \| -26 \| \| \| \| -967 \| \| -1,042 \| \| Transactions with non-controlling interests \| -9 \| -14 \| -9 \| \| Dividends paid \| -1,938 \| -755 \| -1,938 \| \| Net cash used in financing activities \| -2,914 \| -795 \| -2,989 \| \| Net change in cash and cash equivalents \| \| 2,966 \| \| \| \| -1,887 \| \| -2,348 \| \| Cash and cash equivalents at start of period \| \| 4,533 \| \| \| \| 3,969 \| \| 4,430 \| \| Cash and cash equivalents at end of period \| 2,082 \| 7,499 \| 2,082 \| Statement of changes in equity Segments Operating revenues \| Hydroelectric Power \| \| 1,265 \| \| \|---\|---\|---\|---\| \| \| 2,074 \| \| 5,377 \| \| Network \| 587 \| 308 \| 1,362 \| \| Nordic Electricity Retailing \| 4,309 \| 6,744 \| 10,716 \| \| Other activities and group adjustments \| 623 \| 339 \| 1,044 \| \| Eliminations \| -430 \| -203 \| -1,226 \| \| Total \| 7,162 \| 8,453 \| 17,275 \| \| Adjustments to IFRS, see Note 1 \| 226 \| -3,626 \| 2,136 \| \| IFRS revenues \| 7,387 \| 4,827 \| 19,410 \| Operating profit Q2 \| Hydroelectric Power \| \| 814 \| \| \|---\|---\|---\|---\| \| \| 1,255 \| \| 3,408 \| \| Network \| 86 \| -32 \| 261 \| \| Nordic Electricity Retailing \| 351 \| 104 \| 701 \| \| Other activities and group adjustments \| -89 \| -47 \| -168 \| \| Eliminations \| 0 \| 0 \| 0 \| \| Total \| 1,604 \| 839 \| 4,202 \| \| Adjustments to IFRS, see Note 1 \| 196 \| -3,626 \| 2,085 \| \| IFRS operating profit \| 1,801 \| -2,788 \| 6,286 \| H1 Full-year Net income Q2 H1 Full-year \| Hydroelectric Power \| \| 181 \| \| \|---\|---\|---\|---\| \| \| 149 \| \| 551 \| \| Network \| 67 \| -44 \| 198 \| \| Other activities and group adjustments \| 279 \| 69 \| 548 \| \| Eliminations \| -96 \| -43 \| -183 \| \| Total \| 399 \| 163 \| 1,114 \| \| Adjustments to IFRS, see Note 1 \| 44 \| -1,661 \| 179 \| \| IFRS net income \| 443 \| -1,497 \| 1,293 \| Notes to the interim financial statements The figures in this interim report have not been audited. Note 1 Accounting principles Å Energi's consolidated financial statements have been prepared in accordance with International Financial Reporting Standards (IFRS) as adopted by the EU. The same accounting principles and calculation methods have been applied as for the annual financial statements for 2022. Accounting principles of the segments The underlying performance of the segments is reported in accordance with internal reporting to the management team. Underlying performance is based on IFRS figures and adjusted as described in Note 6. The table below shows the impact of the differences between the accounting principles used for segment reporting and IFRS. \| Electricity and currency contracts \| 226 \| -3,626 \| 2,136 \| \|---\|---\|---\|---\| \| Adjustments to revenues \| 226 \| -3,626 \| 2,136 \| \| Depreciation of acquisitions \| -29 \| 0 \| -51 \| \| Adjustments to operating profit \| 196 \| -3,626 \| 2,085 \| \| Depreciation of acquisitions, associates \| -4 \| 0 \| -8 \| \| Unrealised gains and losses on interest rate swaps \| 83 \| 29 \| 78 \| \| Unrealised gains and losses on shareholdings \| -9 \| -46 \| -81 \| \| Material gains on disposals/reclassifications \| 0 \| 20 \| 0 \| \| Tax impact of negative resource rent carryforwards \| -28 \| -16 \| -67 \| \| Effects on deferred tax of changes to tax rates \| 0 \| 0 \| 0 \| \| Tax impact of other corrections \| -195 \| 1,978 \| -1,827 \| \| Adjustment to net income \| 44 \| -1,661 \| 179 \| Note 2 Segments The operating segments presented are the same as the ones used in reporting to the Group management team. Segment reporting is used by Å Energi's management to assess the performance of the various business areas, and to allocate resources to them. See page 14 for tables showing their financial performance. As of this report, the segments reported have been changed to Hydroelectric Power, Network, Nordic Electricity Retailing and Other Activities. Note 3 Breakdown of unrealised gains and losses The table below gives details of how unrealised gains and losses affect the financial results reported by the Group: Å Energi uses cash-settled contracts to secure a guaranteed price of some of its future electricity generation. Prices are fixed for a number of years in advance. The aim is to ensure stability in the company's revenues and its ability to pay dividends. Forward (system) prices for electricity fell in the first half of the year. For the remainder of 2023, prices fell by an average of 36%, and for 2024-2027 they fell by 13-30%. This decline has increased the value of the Group's hedges. Meanwhile, the Norwegian krone weakened 11% against the euro in the first half of the year. That reduced the value of the contracts used to hedge against currency risk. Overall, there was a NOK 2,136 million pre-tax valuation gain on electricity and currency contracts. In the first half of the year, the value of our interest rate swaps rose by NOK 78 million, while the value of our investment in Otovo fell by NOK 81 million. The net revaluation gain resulted in a tax expense of NOK 1,853 million. Income tax is calculated on all of the revaluation gain and losses, except those relating to shares. Resource rent tax is only calculated on revaluations of contracts that are covered by the rules on resource rent tax. H1 net income under IFRS includes a NOK 279 million gain after tax on financial contracts. Note 4 Tax expense 01.01. - 30.06. 2023 01.01. - 30.06. 2022 The resource rent tax expense amounted to NOK 3,443 (-462) million. This comprises NOK 1,928 (1,258) million of resource rent tax payable, and a NOK 1,515 (-1,720) million change in deferred resource rent tax. The increase in resource rent tax payable is due to the tax rate having been raised from 37% to 45% and hydroelectric power generated having a higher spot value. The expense for changes in deferred tax almost entirely relates to an increase in the value of contracts measured at fair value subject to resource rent tax (see Note 3). Note 5 Change in interest-bearing liabilities The table below gives details of changes in the Group's interest-bearing liabilities so far this year: \| Interest-bearing liabilities at 1 Jan. \| 10,912 \| \|---\|---\| \| Repayment of long-term borrowings (cash item) \| -1,042 \| \| Exchange rate ful ctuations (non-cash item) \| 177 \| \| New lease liabilities (non-cash item) \| 47 \| \| Interest-bearing liabilities at 30 June \| 10,094 \| Interest-bearing liabilities includes NOK 401 (159) million of lease liabilities. Note 6 Alternative performance measures (APM) Å Energi's consolidated financial statements have been prepared in accordance with International Financial Reporting Standards (IFRS). Alternative performance measures are used to provide relevant supplementary information to the IFRS financial statements by adjusting for impacts that are not considered relevant to the underlying profit for the period. Using alternative performance measures that better reflect the underlying value added by the Group will make it easier to compare results and cash flows over time. The alternative performance measures are defined, calculated and used consistently and transparently over time. The alternative performance measures are used for internal management and governance purposes, and the municipal majority shareholders in Å Energi have decided that the dividend policy should be based on the previous year's underlying profit under IFRS. Å Energi uses the following alternative performance measures: - Underlying operating revenues: Operating revenues +/- the adjustments described below - Underlying EBITDA: EBITDA +/- the adjustments described below - EBITDA: Operating profit before depreciation and impairment losses - Underlying operating profit: Operating profit +/- the adjustments described below - Underlying net income: Net income +/- the adjustments described below The following adjustments are made to calculate the Group's underlying operating revenues, EBITDA, operating profit and net income: 1. +/- Unrealised gains and losses on electricity and currency contracts, interest rate contracts and shareholdings at fair value and currency loans. Å Energi has a significant volume of contracts that are measured at fair value under IFRS. These are mainly financial contracts whose aim is to hedge the value of future electricity generation. Future electricity generation is only recognised when it occurs. Fluctuations in the value of the financial contracts are excluded from the underlying results and are only included when they are settled. This ensures consistency in the timing of when the hedging instruments and hedged items are included in the underlying results. It also reduces fluctuations in the results and gives a more accurate idea of how Å Energi has performed in the reporting period. Changes in the fair value of compensation power agreements and other contracts measured at fair value are also excluded from the underlying results. However, changes in the market value of the Group's trading portfolios are included in the underlying results. The underlying operating revenues, EBITDA and operating profit are adjusted for the pre-tax effect of unrealised gains and losses on electricity and currency contracts and of currency loans. Underlying net income is adjusted for the post-tax effect of unrealised gains and losses on electricity and currency contracts and of currency loans. In addition, it includes the post-tax effect of unrealised gains and losses on interest rate swaps and shareholdings. 2. +/- Material impairments and material gains and losses on the disposal of businesses or ownership interests in businesses An adjustment is made for material impairments and material gains and losses on the disposal of businesses or ownership interests in businesses, since these are not considered to be part of the underlying performance in the reporting period. An item is considered material if its impact on net income is NOK 25 million or more within a single financial year. Even if several items individually have a smaller impact than NOK 25 million, they are considered material if their total impact is greater than NOK 50 million in a financial year. When several items are analysed together, impairments and material gains/losses are considered separately. Any reversal of past impairments is treated in the same way as impairments. In conjunction with disposals, gains and losses are presented as other operating revenues and other operating expenses respectively. Gains and losses on the disposal of ownership interests in businesses that are not controlled by Å Energi are presented under financial items. Underlying operating revenues, EBITDA and operating profit include the pre-tax effect of gains and losses on disposals. Underlying net income includes the post-tax effect of gains and losses on disposals of businesses or ownership interests in businesses that are not controlled by Å Energi 3. +/- Depreciation and impairment losses and reversal of impairment losses relating to the acquisition adjustment from the merger with Glitre Energi When Glitre Energi and Agder Energi merged, Glitre's assets and liabilities were measured at fair value. Any acquisition adjustment relating to depreciable assets is depreciated over the remaining useful life of the assets. Measurement at fair value results in a significantly higher depreciation expense than if the two businesses had remained separate. However, the two groups had relatively similarly business operations and the owners remain the same. We do not consider the higher depreciation expense to be the result of a decline in underlying value creation. The underlying operating profit and net income include the pre-tax effect of depreciation and impairments and the reversal of impairments relating to the acquisition adjustment. The underlying net income includes the post-tax effect of depreciation and impairments and the reversal of impairments relating to the acquisition adjustment from the merger with Glitre Energi. 4. +/- Effect of changes to tax rates Changes in tax rates alter the carrying amount of deferred tax liabilities and assets. The recognition of changes to deferred tax liabilities as a result of changes in tax rates is not considered part of the underlying performance. An adjustment is therefore made for material effects on profit arising from changes in tax rates. Effects are considered material if they exceed NOK 25 million for the Group. This adjustment is reflected in the underlying net income. 5. +/- Changes in deferred tax assets arising from negative resource rent carryforwards at power stations The accounting rules require future tax savings from negative resource rent carryforwards to be included on the balance sheet as an asset. Å Energi has implemented this requirement by including the estimated value of tax savings over the coming ten years on its balance sheet. This calculation is highly sensitive to changes in parameters like electricity prices in euros and the EUR/ NOK exchange rate. The carrying amount of this accounting estimate is almost entirely governed by external factors such as electricity prices and the EUR/NOK exchange rate, so changes in the estimate recognised in the income statement tell us nothing about the underlying performance during the reporting period. This adjustment is reflected in the underlying net income. \| IFRS operating revenues \| 19,410 \| \|---\|---\| \| Unrealised gains and losses, electricity and currency \| -2,136 \| \| Underlying operating revenues \| 17,275 \| \| IFRS operating profit \| \| \| \| 6,286 \| \| Depreciation and impairment losses \| 543 \| \| IFRS EBITDA \| 6,830 \| \| Unrealised gains and losses, electricity and currency \| \| \| \| -2,136 \| \| Underlying EBITDA \| 4,694 \| \| IFRS operating profit \| \| \| \| 6,286 \| \| Unrealised gains and losses, electricity and currency \| -2,136 \| \| Amortization of acquisition adjustment \| 51 \| \| Underlying operating profit \| 4,202 \| \| IFRS net income (controlling interest’s share) \| \| \| \| 1,291 \| \| Changes in unrealised gains and losses after tax (see Note 3) \| -279 \| \| Material gains on the disposal of businesses or ownership interests in businesses \| 0 \| \| Depreciation of acquisitions \| 33 \| \| Changes in deferred tax assets from neg. resource rent carryforwards \| 67 \| \| Effects on deferred tax of changes to tax rates \| 0 \| \| Underlying net income (controlling interest's share) \| 1,111 \|
HOW Journal Volume 26, Number 2, pages 123-143. https://doi.org/10.19183/how.26.2.512 Designing Language Assessments in Context: Theoretical, Technical, and Institutional Considerations Designing Language Assessments in Context: Theoretical, Technical, and Institutional Considerations El diseño de evaluaciones de lengua en contexto: consideraciones teóricas, técnicas e institucionales Giraldo, Frank 1 Abstract The purpose of this article of reflection is to raise awareness of how poor design of language assessments may have detrimental effects, if crucial qualities and technicalities of test design are not met. The article first discusses these central qualities for useful language assessments. Then, guidelines for creating listening assessments, as an example, are presented to illustrate the level of complexity in test design and to offer a point of reference to evaluate a sample assessment. Finally, the article presents a discussion on how institutional school policies in Colombia can influence language assessment. The article concludes by highlighting how language assessments should respond to theoretical, technical, and contextual guidelines for them to be useful. Keywords: language testing, language assessment literacy, qualities in language testing, test design. Resumen El objetivo de este artículo de reflexión es el de crear consciencia sobre cómo un deficiente diseño de las evaluaciones de lengua puede tener efectos adversos si ciertas cualidades y consideraciones técni cas no se cumplen. En primer lugar, el artículo hace una revisión de estas cualidades centrales para las evaluaciones. Seguidamente, presenta, a manera de ilustración, lineamientos para el diseño de pruebas de comprensión de escucha; el propósito es dilucidar el nivel de complejidad requerido en el diseño de 1 Frank Giraldo is a language teacher educator in the Modern Languages program and Master of Arts in English Didactics at Universidad de Caldas, Colombia. His interests include language assessment, language assessment literacy, curriculum development, and teachers' professional development. email@example.com https://orcid.org/0000-0001-5221-8245 Received: March 7th, 2019. Accepted: June 10th, 2019 This article is licensed under a Creative Commons Attribution-Non-Commercial-No-Derivatives 4.0 Inter national License. License Deed can be consulted at https://creativecommons.org/licenses/by-nc-nd/4.0/ estas pruebas y, además, usar estos lineamientos como punto de referencia para analizar un instrumento de evaluación. Finalmente, el artículo discute cómo las políticas institucionales de establecimientos ed ucativos en Colombia pueden influenciar la evaluación de lenguas. Como conclusión, se resalta la idea de que las evaluaciones de lengua, para ser útiles, deberían responder a lineamientos teóricos, técnicos y contextuales. Palabras clave: cualidades de las evaluaciones de lengua, diseño de exámenes, evaluación de lenguas, literacidad en la evaluación de lenguas. Introduction Language assessment is a purposeful and impactful activity. In general, assessment responds to either institutional or social purposes; for example, in a language classroom, teachers use language assessment to gauge how much students learned during a course (i.e. achievement as an institutional purpose). Socially, large-scale language assessment is used to make decisions about people's language ability and decisions that impact their lives, e.g. being accepted at a university where English is spoken. Thus, language assessment is not an abstract process but needs some purpose and context to function. To meet different purposes, language assessments are used to elicit information about people's communicative language ability so that accurate and valid interpretations are made based on scores (Bachman, 1990). All assessments should have a high quality, which underscores the need for sound design (Alderson, Clapham, & Wall, 1995; Fulcher, 2010). In the field of language education in general, language teachers are expected to be skillful in designing high quality assessments for the language skills they assess (Clapham, 2000; Fulcher, 2012; Giraldo, 2018; Inbar-Lourie, 2013). The design task is especially central in this field; if it is poor, information gathered from language assessments may disorient language teaching and learning. In language assessment, scholars such as Alderson, Clapham, and Wall (1995), Brown (2011), Carr (2011), and Hughes (2002) have provided comprehensive information for the task of designing language assessments. Design considerations include clearly defined constructs (skills to be assessed), a rigorous design phase, piloting, and decisions about students' language ability. Within these considerations, it is notable that the creation of language assessments should not be taken carelessly because it requires attention to a considerable number of theoretical and technical details. Unfortunately, scholars generally present the design task in isolation (i.e. design of an assessment devoid of context) and do not consider –or allude to– the institutional milieu for assessment. Consequently, the purpose of this paper is to contribute to the reflection in the field of language education on how the task of designing language assessments needs deeper theoretical and technical considerations in order to respond to institutional demands in context; if the opposite (i.e. poor design) happens, language assessments may bring about malpractice and negative consequences in language teaching and learning. The reflection intended in this article is for classroom-based assessment. Thus, I, as a language teacher, consider the readers as colleagues who may examine critically the ideas in this manuscript. The information and discussion in this paper may also be relevant to those engaged in cultivating teachers' Language Assessment Literacy (LAL), e.g. teacher educators. I construct the reflection in the following parts. First, I overview fundamental theoretical considerations for language assessments and place emphasis on the specifics of the technical dimension i.e. constructing an assessment. Second, I stress the institutional forces that can shape language assessments. Finally, these components (theory, technicalities, and context) form the foundations for assessment analysis in the last part of the paper, in which I intend to show how the relatively poor design of an assessment may violate theoretical, technical, and institutional qualities, leading it to invalid decisions about students' language ability. Qualities of Language Assessments In this section, I present six fundamental qualities for language assessments. Knowing about them, although in general terms, helps to understand the assessment analysis in the last section of the paper. I draw on the work by Bachman and Palmer (2010) to represent a widely-accepted framework for language assessment usefulness. Since most qualities below have sparked considerable discussions in the field of language assessment, for comprehensive coverage of the research and conceptual minutiae, readers might resort to Fulcher and Davidson (2012) or Kunnan (2013). Construct validity. This is perhaps the most crucial quality of language assessments. If an assessment is not valid, it is basically useless (Fulcher, 2010). Before 1989, validity was considered as the capacity of an instrument to assess what it was supposed to assess and nothing else (Brown & Abeywickrama, 2010; Lado, 1961). After 1989, Messick's (1989) view of validity replaced this old perspective and is now highly embraced: The interpretations that are made of scores in assessment should be clear and substantially justified; if this is the case, then there is relative present validity in score interpretations. For interpretations to be valid, naturally, assessments need to activate students' language ability as the main construct (Bachman & Palmer, 2010). Reliability. Strictly in measurement terms, reliability is calculated statistically. A reliable assessment measures language skills consistently and yields clear results in scores (or interpretations) that accurately describe students' language abilities. The level of consistency is suggested when the assessment has been used two times under similar circumstances with the same students. However, as Hughes (2002) explains, it is not practical for teachers to implement an assessment twice. For illustration, suppose two teachers are checking students' final essays, so every essay receives two scores. If the scores are widely different, then there is little or no consistency in scoring, i.e. the scores are unreliable. If scores are unreliable, this will negatively impact the validity of interpretations: The two teachers are interpreting and/ or assessing written productions differently. Authenticity. Authenticity refers to the degree of correspondence between an assessment (its items, texts, and tasks) and the way language is used in real-life scenarios and purposes; these scenarios are also called TLU (Target Language Use) domains (Bachman & Palmer, 2010). Assessments should help language teachers to evaluate how students can use the language in non-testing situations, which is why authenticity is a central quality of language assessments (Bachman & Palmer, 2010). Interactiveness. Language assessments should help students activate their language skills (i.e. the constructs of interest) and strategies for dealing with the assessment itself. If an assessment only stimulates a student's knowledge of math (or any other subject) then this assessment scores low on interactiveness. Likewise, the assessment should activate the relevant topical knowledge to perform, for example, in a speaking or writing task. Practicality. Suitable and available human and material resources should contribute to the design, administration, and scoring procedure for a language assessment. If resources are scarce, assessment practicality decreases. Since human, physical, and time resources are needed (Bachman & Palmer, 2010), they should be used in a way that helps to streamline the assessment development process, ergo making it practical. Using a long writing assessment in a 40-student group may not be practical for scoring, as it will take too much time for one teacher to assess and interpret students' constructs; this can be especially impractical if the teacher needs to balance other teaching responsibilities, namely planning future lessons. Washback. It is generally considered as the impact that assessments have on teaching and learning. It can be positive or negative (Alderson & Wall, 1993). Washback has been discussed as part of impact, or the influence of assessments on people and society. After Messick (1989), the field has conceptualized impact as consequential validity. Taken together, the overall consensus seems to be that language assessments should lead to beneficial consequences for the stakeholders involved (Bachman & Damböck, 2018; Shohamy, 2001). In language classrooms, results of language assessments should help improve students' language ability. Shohamy (2001) remarks one should not use them as elements of power, e.g. to discipline students for their misbehavior in class. Ethics and fairness. Even though these two principles are not part of the framework in Bachman and Palmer (2010) or of technical discussions for assessment design, they have had much heated debate in language assessment. As such, ethics and fairness are not qualities of assessment (reliability and authenticity are) but philosophical pillars that drive professional practice. Thus, ethics refers to professional conduct to protect the assessment process from malpractice; this conduct involves stakeholders in assessment, namely test-takers and professional testers (International Language Testing Association, 2000) but arguably includes language teachers and students (Arias, Maturana, & Restrepo, 2012). Fairness, on the other hand, refers to the idea that all students should have the same opportunity to show their language skills. No student should have an advantage over others (ILTA, 2000); similarly, irrelevant variables (e.g. a student's race) should not be used to assess students differently, for better or for worse. Thus, an unfair use of an assessment can be unethical. In terms of the qualities of construct validity, reliability, authenticity, interactiveness, practicality, and washback, Bachman and Palmer (2010) and others (for example, Fulcher, 2010) argue that they are relative rather than absolute. An assessment is relatively practical rather that completely practical or totally impractical. The qualities are evaluated by, first of all, having an assessment's purpose in mind. Additionally, as commented earlier, these qualities have received considerable attention and led to differing views on their state of affairs. When it comes to design, however, guidelines for constructing assessments are agreed; this is the next topic I review in this paper. Technical Considerations for Designing Language Assessments These considerations refer to the nuts and bolts for writing useful items, tasks, and rubrics to be used in language assessments. As explained earlier, when authors refer to design technicalities, the focus is usually on assessments themselves rather than the theoretical and institutional universe to which the assessments respond. In language assessment textbooks specifically designed for language teachers, authors walk readers through the genesis, qualities, development, and evaluation of assessments in general (for example, McNamara, 2000). Conversely, authors dedicate extensive sections of their books to explaining the intricacies of writing assessments. Table 1 below synthesizes the considerations that generally apply to all assessments, as seen in Alderson, Clapham, and Wall (1995), Buck (2001), Hughes (2002); Brown and Abeywickrama (2010), Brown (2011), and Carr (2011). The table is presented as a checklist for those interested in using it for classroom-based language assessment. The considerations in Table 1 represent sound practice in assessment for language teaching and learning. They imply professionalization of the field and, when implemented properly, they reflect high levels of LAL, as scholars have discussed (Fulcher, 2012; Taylor, 2013; Malone, 2017). At a granular level, Brown (2011) and Carr (2011), for example, have provided specifics for constructing assessments. Tables 2 and 3 below contain a synthesis of guidelines for constructing listening assessments. I must state that I chose this skill arbitrarily Table 1. Fundamental Considerations for Designing Language Assessments. — — There is a document that details how the assessment should be designed, e.g. what constructs it will elicit, what discourse it will assess, how items and tasks should be written, etc. This document is called Test Specifications. — — — The purpose(s) for using the assessment is clear to teacher, and when appropriate, students. are clear and underlie the entire assessment. — The constructs, or specific skills, the assessment is targeting — — The stated constructs are based on a theory of language use, e.g. communicative competence (Council of Europe, 2001) or communicative language ability (Bachman & Palmer, 2010). — learning objectives in a language course. — Alternatively, the constructs are based on clear language — — The assessment seeks to tap into language constructs rather than other irrelevant constructs. The assessment follows design guidelines (see next section) — — The assessment is useful to collect information about the stated language constructs, and therefore, to serve the purpose for which it is to be used. — — The assessment items and tasks reflect language use and interaction in the real world. — — for professionally constructed assessments. — — Items and tasks in the assessment are generally clear for teachers to use and students to take. These stakeholders should be familiar with the formats to be used. — — Methods for scoring assessment performance (answer keys and rubrics) are crystal clear to aim for high reliability. — — Whenever and wherever possible, the assessment has been piloted to see how it functions in practice, and improved based on the results of this process. — —The interpretations derived from assessment data help teachers — — Decisions based on assessment data are pertinent to the assessment purpose, e.g. provide further support after a progress assessment that yielded poor results. and students meet the purpose of interest. — — The assessment (process) and data from it are to be used ethically and fairly. as it is the construct underlying the sample assessment in the last part of the paper, Analysis of a Language Assessment. The listening assessment I examine is meant as an example of how a poorly designed assessment can be problematic. Tables 2 and 3 below gather ideas from the authors in Table 1 (except for Fulcher, 2010, whose ideas I included in these new tables). I present the tables as checklists for teachers to design or evaluate their assessments. In Table 2, readers can find crucial generalities for designing listening assessments. Notice that most of these guidelines can also apply to the design of reading assessments. Table 3 explains the specifics for creating sound multiple-choice and true-false items to elicit listening skills specifically. However, as is the case with Table 2, applicable guidelines below can be used for designing reading assessments. Table 2. General Guidelines for Designing Listening Assessments. — — The assessment is based on test specifications. — — Therefore, the items are clearly relevant for the construct it aims to assess. — — There is a clear construct definition for the assessment. — —The items (multiple-choice questions with options or true-false — — The instructions for students are clear. Using the students' L1, when possible, is a good idea. Including an example of the expected response is useful, too. statements) help to achieve the purpose of the assessment. — — The items follow item specifications laid out for this assessment. — — If possible, all items should be included on one page. Students should not have to turn pages when doing the test; this can be particularly problematic in listening tests. — — The items are written at the level of students' proficiency. — — The texts used for the assessment are produced in natural English (i.e. authentic) and do not contain language errors. — — Sound quality in the tracks must be high. — — The texts are useful for writing the items: An assessment assessing authors' opinions needs to be based on a text with sufficient opinions. — — The number of items in the test should be spread out according to text length. If a recording lasts two minutes for a 5-item test, then it is not a good idea to have two or three questions in the last 30 seconds. Roughly, there should be a question every 20 seconds. — — All items and tasks must avoid language that can be racist, discriminatory, or in general insulting for students. Table 3. Guidelines for Designing Multiple-Choice and True-False Items in Listening Assessments. Multiple-Choice Questions — — Questions or statements should not have unknown vocabulary for students. — — Questions or statements in the stem (what comes before the options) should be written clearly. If the stem is not clear for a fellow teacher or a student, then it probably is not clear for the students with whom it will be used. — — All options need to be plausible, i.e., they can be answered only by listening. If a student can guess the answer without listening, then the item is not assessing this construct. example, the way question 4 is written has information to answer question 3. — — One item should not give away the answer to another item. In some cases, for — — All items need to be independent from one another. Each item is assessing one bit of the construct(s), so if there is overlap between one item and the other, one of them should be discarded. — — The correct answers (the key) in the test are not following a pattern, such as a-c-c-d, a-c-c-d. — — Avoid negatives in stems (not, will not) as they make the item difficult to interpret. — — All items need to have only one unambiguously correct answer. One way to do this follows. If absolutely necessary, then highlight them with bold, underline, or CAPITALS. — — Do not repeat words in options. I have seen many items written this way: What is the boy wearing? b. A hoodie, blue jeans, and blue sneakers. a. A hat, a white t-shirt, blue jeans, and black sneakers. c. A wig, blue jeans, and black sneakers. Supposedly, b is the key. However, a and c are also possible because they both have the words blue jeans and black sneakers. They are partially true, so students can argue the answers are right, when in reality this item does not have one clearly right answer. — — Options should be semantically related. If a question has three options with, say farm animals, and one is a wild animal, then this last option needs to be changed. — — Stems should be short. In listening tests, long stems can be problematic as they introduce reading comprehension, a construct that is not relevant in this scenario. — — Options should have a similar length. Students tend to choose the longer answer. In many cases, this answer is actually the right answer, so the students do not show the construct but simply guess. — — Avoid needless redundancy or repetition. Example: Why is the kid mad at his mom? e. Because he was sleeping. d. Because she did not give him more time to play. f. Because... — — Avoid options such as All of the above or None of the above as students may go for such option, which is usually correct, without really listening. These options tend to assess two or more constructs at the same time, which makes interpretation challenging. True-False — — Sometimes, a character in the text uses an absolute or ambiguous word, in which case it is a good idea to write "According to ___" — — Do not include absolutes or ambiguous terms such as never, always, or sometimes. They tend to make statements false and therefore can be guessed correctly. — — Avoid felicitous items when they are true. Some examples are "Lina likes listening to music." or "The family had a lot of fun during the trip." These items tend to be true, given their positive nature, so students can choose them without listening. — —Each statement should assess one idea and not two or more. The following statement is asking about two things: Mary left early, but she brought the package with her. If Mary did not bring the package but did leave early, one part is true and one part is false. This item would need to be rewritten. Remember: The answer should be one and only one. — — Just like multiple-choice questions, true-false statements should not be long and complex. Tables 1, 2, and 3 synthesize the most important technicalities for listening assessments as they bring together ideas that conform to conscientious design. Additionally, they can help language teachers to critically evaluate and reflect upon how they design language assessments. Although the above guidelines are used to analyze a sample listening assessment in this paper, broad connections can be drawn to the other language skills, namely reading, speaking, and writing. Such relationships include the following: * Language assessments serve purposes, so they must be clear for all parties involved; examples are diagnostic, progress, and achievement assessments. * Any language assessment needs to have a clear description of the constructs (spe cific skills) to be assessed. * Language assessments should be based on test specifications; this is a document that explains what the instrument measures and what its purpose is; how items (for listening and reading) and tasks (for speaking and writing) can be constructed, in cluding the number of sections, for example, among other considerations. * The method used (i.e. the assessment itself) should elicit the construct in the test specifications and be useful to achieve the stated purpose. For further evaluation and reflection, language teachers may consider their assessment life-worlds (Scarino, 2013), i.e. the institutions where they do assessment. I discuss this matter in the next paragraphs. Institutional Considerations for Designing Language Assessments The previous section displays the key issues to design or evaluate language assessments as a task that requires detailed attention. Now I refer to what may be uncharted territory in the design of language assessments. Specifically, I discuss the institutional policies that can shape language assessments, particularly in the Colombian context. The overall message is that contextual and institutional considerations should be well-thought-out for designing useful assessments. In Colombia, Decreto 1290 by the Ministry of National Education (2009) enacts the concepts, characteristics, procedures, and policies that guide assessment at educational institutions. Colombian elementary and high schools should implement this decree. Consequently, the decree is written for all school teachers in Colombia and also, naturally, it applies to language teachers, so it may be construed as a powerful force that has the potential to influence language assessment. For example, the decree establishes the use of self-assessment instruments, a practice that is highly encouraged in language assessment (Oscarson, 2013). This means that alternative assessment, in which students are responsible for their own learning, is suggested in the decree and the field of language assessment. Additionally, the decree alludes to ethical uses of assessment, so it is exclusively concerned with documenting and improving student learning. That is to say, assessment should be used to see how much students are learning about a subject, whether it is biology or French; it should not be used to scare students or control them. National standardized examinations in Colombia (such as Pruebas Saber 11 1 ) represent another influential national and institutional policy that impacts language assessment. Language teachers in Colombia may replicate test items and tasks from this examination so that they prepare students to take it, although this is not necessarily a successful practice (Barletta & May, 2006). This same situation is evident in other contexts where language teachers' assessments reflect the constructs of national tests (for example, see Sultana, 2019). Additionally, specific details about how assessment should be done are described in the PEI (Proyecto Educativo Institucional – Institutional Educational Project) and the Manual de Convivencia (roughly translated as Manual for Coexistence) of each Colombian school. Both documents have origin in the Colombian general law of education No. 115. Because these two documents regulate schools as a whole, they can as well influence language teachers' work. Although the documents are indeed necessary in schools, oftentimes their prescriptions conflict with language teachers' perceptions, a situation which can lead to tensions in language assessment (Barletta & May, 2006; Hill, 2017; Inbar-Lourie, 2012; Scarino, 2013). More specifically, assessments may be influenced by the language learning philosophy of each school. If a school considers communicative competence as the main goal for language education, and this is clearly stated in the school curriculum, then assessments should likewise elicit communicative competences. However, as studies in Colombia and elsewhere have shown (Arias & Maturana, 2005; Cheng, Rogers, & Hu, 2004; Díaz, Alarcón, & Ortiz, 2012; Frodden, Restrepo, & Maturana, 2004; López & Bernal, 2009), there tends to be a discrepancy between beliefs and practices: Language teachers believe communicative language assessment is important but frequently their practices show emphasis on linguistic constructs through traditional assessments. In a related manner, the language curriculum, and specifically syllabi, built from each school's PEI can directly influence language assessment. 2 Scholars in language assessment 1 Pruebas Saber 11 is an exam taken by Colombian students in 11th grade, the last grade in high school. The test assesses the curriculum at large, and this includes English. The English language section assesses gram mar, vocabulary, pragmatic awareness, reading, and writing. 2 As far as I am aware, there are no studies that connect language assessment in Colombia to PEIs. However, I can stand corrected, if shown otherwise. (for example, Bachman & Damböck, 2018; Brown & Hudson, 2002) argue that instruments have content validity provided that they elicit the specific language skills and knowledge that are part of a course or syllabus. Hence, syllabi serve as a point of reference to develop assessments and interpret the data that emerge from them. Another aspect that influences language assessments is each school's modality. For example, in Colombian schools, in tenth and eleventh grades, students usually receive additional instruction in a particular subject, e.g. commerce, mechanics, interculturality, and tourism, among others. Given these modalities, language assessments may revolve around these general topics to document and drive language learning. Even though I have not seen any published studies describing this practice in Colombia, my personal interaction with high school teachers has confirmed that they connect language assessments to the school's modality, hoping to make this assessment more relevant and authentic for students. Last but not least, language teachers consider students for designing language assessments. Learner characteristics that may shape assessment include their proficiency level, learning styles, age, needs, and even interests. Since classroom language assessment is mainly concerned with improving language learning (Bachman & Damböck, 2018; Fulcher, 2010), it becomes paramount then to devise high-quality language assessments for students as stakeholders who are directly impacted by them. To summarize, language assessments can be influenced by three major components: theoretical ideas that apply to language assessments, technical issues that represent professional design, and contextual and institutional policies in which language assessment occurs. Figure 1 depicts the relationship between language assessments and the forces that can shape and support them. Figure 1. Forces that Can Influence and Support Language Assessments. Taken together, the aforementioned force a position of language assessment as a central endeavor for teachers and students. Given the importance that the process of doing assessment represents, the design of assessments is one of its pillars. Analysis of a Sample Language Assessment The purpose of the analysis presented in this section is to have readers, especially language teachers, reflect on the design of a listening assessment in light of the discussion held in the preceding sections. For context, Table 4 includes information of an example scenario for this sample listening assessment. Table 4. Example Context for Analyzing a Language Assessment: General Characteristics. 3 The listening assessment is targeting this construct: Identify specific information on how ecotourism projects have impacted the areas where they operate and the people who live in and visit them. There are ten items –five multiple-choice and five true-false–meant to elicit this construct. Further, the assessment was to be applied in the middle of a language course, hence the purpose of checking progress. I recommend that readers copy and paste or print out the Appendix (i.e. the assessment) so that they can reflect on it as they read the analysis that follows. The analysis starts with theoretical aspects, then uses technical considerations, and finalizes with institutional policies. 3 The Suggested Curriculum contains the proposed methodological and curricular approach for elementary and high school in Colombia. It was designed by the Ministry of National Education. Theoretical level. The listening assessment is about collecting information on how students identify specific information on the impact of ecotourism projects. Items 1 (organizations speakers talk about), 3 (location of Los Flamencos), 9 (changes in the sanctuary), and 10 (Henry's team) are about collecting information on other specific information, not the one expected in the construct. One way to circumvent the problem of assessing irrelevant constructs is to rewrite the construct specification for this assessment. Additionally, items 2 (what Nativos Activos do) and 3 (location of Los Flamencos) have more than one possible answer: Options a and c in item 2 overlap, which also happens with options c and d in item 3. This has an effect on the reliability of this assessment because the right answer is not consistent. In other words, the correct answer should be only one, and not two as it happens with these two items. Option c in question 4 (why Minra loves working with Nativos Activos) is the longest answer and it happens to be the key (i.e. the correct answer). This means a student can guess and get the item right for the wrong reasons (i.e. without actually listening); students tend to choose the longest answer when everything else fails (Brown, 2011; Carr, 2011). Guessing can also happen with item 10 (Henry's team), which seems obviously false in the context expressed in the recording. Multiple-choice and true-false items lack authenticity as these are not operations we do in real life: We do not listen to natural conversations with options from which to choose. However, the topic in the recording (touristic places in Colombia) and the places talked about are real; also, in real life, students may be interested in listening to someone explaining the impact of ecotourism projects, especially at a school with the modality explained in Table 4. This assessment is relatively interactive as it engages listening skills and test-taking strategies (e.g. guessing); the latter can obscure interpretations about the target construct. If students knew about the places being discussed in the recording, then the assessment would be eliciting world knowledge rather than listening skills. On the other hand, items 5 (benefit Minra does not mention) and 6 (structural improvements) seem to be directly engaging the operations necessary for students to show the construct. As for practicality, the item types in this assessment can be scored easily, but their design requires a high level of detail and expertise, as Tables 2 and 3 suggest. The washback effect of this assessment may have been limited, since students got a score but did not receive information on what exactly to improve. This is particularly problematic as this assessment was meant to provide feedback on progress; in short, it was more summative than formative, as initially considered in Table 4. Finally, since this assessment has poorly designed items, there may be wrong conclusions about students. Some may have gotten items wrong because of design, so the scores do not lead to clear interpretations. This then causes a problem of fairness because the score does not accurately represent students' listening construct of interest. If the teacher realizes that there are problems with the assessment, after administering and checking it, he/she should not use scores or interpretations from it; if she/he does, then this is an unethical practice. Technical level. This listening assessment has the following technical strengths: * It can be argued that the construct is clear; this is a strength because it should help language teachers to design items that target this construct and not others. * The recording for this assessment includes several instances of effects on area and people; thus, the strength is that the text is useful for the construct of interest. * The items are spread throughout the recording and not piled up in a short period of time. This is good, as it can help students focus on relevant information while listening, and not have them worried about having to understand a great deal of information in a short period of time. * The items do not contain any biases towards students, i.e. language used in the items is neutral. The strength, therefore, is that the assessment is not insulting and should not have any negative impact on students' affect. * In general, the items are short, so influence of reading comprehension is low. This is positive because listening is the construct about which the assessment is eliciting information. In contrast, the following are some aspects that render this assessment problematic: * Items 1, 3, 9, and 10 are not construct-relevant. Specifically, the problems are that they are not collecting information about the intended listening skill; they may be assessing listening but not the specific construct for this assessment. * Item 1 can be answered with information from items 2, 4, 5, and 9, so the problem is that this diminishes the reliability of interpretation: Did students get items right because they have the skill or because they guessed? * The problems with items 2 and 3 are that they have more than one correct answer because options overlap. Again, this creates a violation of reliability. If a teacher assigns a distractor as wrong yet it is right, there will not be score consistency. Ad ditionally, since a right answer is considered wrong, then the assigned interpretation –that the student does not have the skill– is not valid. * Item 7 is both true and false. The first part is true and the second part (have educated visitors) is false, so this is a problem because the item should be either true or false, not both. Also, this item is noticeably longer than the others, which may introduce reading comprehension in this listening assessment; this is a problem because the construct of interest is listening. * Item 9 is neither true nor false. There is no information in the recording for stu dents to judge this item. Changes may be needed but the speaker does not mention anything about this concern, so it cannot be said that the statement is false. This may be problematic because the item is not assessing the construct for this assess ment. * Item 10 can be guessed without listening, so the problem is that a correct answer for this item does not imply existence of the construct, i.e. it is not reliable. Henry works in a project where they have visitors, so it is very unlikely that his team does not like to educate them. Institutional level. Lastly, this assessment partially aligns with Colombian policies for assessment. It partly assesses listening, which is a skill or content in the English as a foreign language class in Colombia and elsewhere. Further, the assessment uses item types (truefalse, multiple choice) students can take in the Pruebas Saber 11, but this examination does not include listening as a construct. The assessment is aligned with the school's language learning philosophy as it is meant to assess listening, a communicative skill. Also, the assessment is based on standards from local policies for language learning in Colombia and is clearly aligned with the school's modality. Specifically, the standard for the assessment comes from El Reto (Ministerio de Educación Nacional de Colombia, 2006), a document that states the specific communicative competence students are expected to develop in Colombian high schools. Since the purpose of the assessment, as stated in Table 4, was to provide feedback on strengths and aspects to improve upon, then the decisions the language teacher made should be more aligned with this overall purpose. Instead of assigning numbers, the feedback from this assessment can be based on what students felt while taking it, including problems they had and the process by which they got items right. However, as there are design problems with this assessment, then its potential to meet the stated purpose is rather limited. If the instrument were used for self-assessment purposes, and thus aligned with principles in the Decreto No. 1290, other problems could emerge. If students guessed answers correctly, then they would not really be reflecting on their listening skill. Furthermore, since several items are inappropriately designed, students might get confused between what they got right/wrong and what the transcript states. In conclusion, although some aspects of this assessment are aligned with theoretical, technical, and institutional considerations, there are serious design problems. Because these problems exist, the usefulness of the assessment to gauge listening comprehension and to meet the stated purpose is highly questionable. Failure to meet expected design guidelines can, therefore, lead to inaccurate interpretations of students' language ability. Likewise, if general considerations (see Table 1, for example) are not met in general language assessment design, then their value and usefulness may be limited. Limitations There are three limitations that warrant discussion in this paper. To start, language assessment in context may be conditioned by other factors not included in this paper. For example, I do not consider theoretical issues such as summative and formative assessment; technical aspects such as how to write distractors; and institutional considerations such as classroom routines. Thus, the reflection and analysis of the sample assessment may be limited in their scope, especially because the assessment of other language skills is not considered. Second, the analyses are based only on my perception as a language assessment enthusiast. Other stakeholders may have different views towards the items presented in this instrument and, therefore, provide a different picture of what it represents and how useful it can be. Scholars have suggested that more people should be involved in analyzing tests and their quality for a better picture of their validity (for example, Alderson, Clapham, & Wall, 1995). Lastly, the analysis was based on one assessment for one language skill. Given space constraints, I could not include assessments for other skills, which may have communicated with a wider readership. For instance, there are specific design considerations for speaking, reading, and writing assessments, namely a clear construct definition, written items and tasks, and items or tasks aligned with institutional policies for language learning. Thus, further practitioner reflections on language assessment design should be welcomed. Conclusions and Recommendations Scholars have written extensively about the design of language assessments for classroom contexts. Their work directly targets the needs that language teachers may have when tasked to develop assessments. What seems to be a gap in the literature is that sample assessments are not analyzed against the theory, design instructions, and context where they happen most: the classroom. To contribute to filling this gap, in this paper I first overviewed common theoretical considerations in language assessment at large (e.g. validity and reliability). Then, as a way of illustration, I provided a detailed description of technicalities for the design of listening assessments and included institutional, school-based features that impact language assessment. I used this example to highlight the craft of design and I hope language teachers realize that this level of detail is present in designing assessments for other skills, e.g. speaking. In the last section, I analyzed one assessment for the target skill by combining theoretical, technical, and institutional dimensions. In doing so, my purpose was to raise awareness of the implications of creating assessments and how, in this process, various expectations converge. The more aligned with these considerations, the more useful assessments can be for the contexts in which they are used. A related recommendation for practitioners is to use Tables 1, 2, and 3 in this paper as checklists to evaluate the assessments they create. Although the tables are not comprehensive, they offer the best practices in design, as I have synthesized from various authors in language testing. Specifically, teachers can discuss the guidelines as they illuminate their practice and arrive at personal reflections for improvement; teachers working in teams can exchange their assessments and analyze each other's design to see how they align or not with guidelines. If teachers reflect on the assessments they design and use and consider theoretical, technical, and institutional facets, they will be in a better position to potentiate students' language learning so as to arrive at reliable, valid interpretations of language ability. References Alderson, C., & Wall, D. (1993). Does washback exist? Applied Linguistics, 14(2), 115–129. Alderson, C., Clapham, C., & Wall, D. (1995). Language test construction and evaluation. Cambridge, UK: Cambridge University Press. Arias, C., & Maturana, L. (2005). Evaluación en lenguas extranjeras: discursos y prácticas. Íkala, Revista de Lenguaje y Cultura, 10(1) 63-91. Arias, C., Maturana, L., & Restrepo, M. (2012). Evaluación de los aprendizajes en lenguas extran jeras: hacia prácticas justas y democráticas. Lenguaje, 40(1), 99-126. Bachman, L. F. (1990). Fundamental considerations in language testing. Oxford, UK: Oxford University Press. Bachman, L. F., & Palmer, A. (2010). Language assessment in practice: Developing language assessments and justifying their use in the real world. Oxford, UK: Oxford University Press. Bachman, L. F., & Damböck, B. (2018). Language assessment for classroom teachers. Oxford, UK: Ox ford University Press. Barletta, N., & May, O. (2006). Washback of the ICFES Exam: A case study of two schools in the Departamento del Atlántico. Íkala, Revista de Lenguaje y Cultura, 11(17), 235-261. Brown, H. D., & Abeywickrama, P. (2010). Language assessment: Principles and classroom practice. New York, USA: Pearson Longman. Brown, J. D. (2011). Testing in language programs: A comprehensive guide to English language assessment. New York, USA: McGraw Hill. Brown, J. D., & Hudson, T. (2002). Criterion-referenced language testing. Cambridge, UK: Cambridge University Press. Buck, G. (2001). Assessing listening. Cambridge, UK: Cambridge University Press. Carr, N. T. (2011). Designing and analyzing language tests. Oxford, UK: Oxford University Press. Cheng, L., Rogers, T., & Hu, H. (2004). ESL/EFL instructors' classroom assessment practices: Purposes, methods, and procedures. Language Testing, 21(3) 360-389. Clapham, C. (2000). Assessment and testing. Annual Review of Applied Linguistics, 20, 147–161. Council of Europe (2001). Common European framework of reference for languages: Learning, teaching, and assessment. Cambridge, UK: Cambridge University Press. Díaz, C., Alarcón, P., & Ortiz, M. (2012). El profesor de inglés: sus creencias sobre la evaluación de la lengua inglesa en los niveles primario, secundario y terciario. Íkala, Revista de Lenguaje y Cultura, 17(1), 15-26. Frodden, M., Restrepo, M., & Maturana, L. (2004). Analysis of assessment instruments used in foreign language teaching. Íkala, Revista de Lenguaje y Cultura, 9(1), 171-201. Fulcher, G. (2010). Practical language testing. London, UK: Hodder Education. Fulcher, G. (2012). Assessment literacy for the language classroom. Language Assessment Quarterly, 9(2), 113-132. Fulcher, G., & Davidson, F. (2012). The Routledge handbook of language testing. New York, USA: Routledge. Giraldo, F. (2018). Language assessment literacy: Implications for language teachers. Profile: Issues in Teachers' Professional Development, 20(1), 179-195. Hill, K. (2017). Understanding classroom-based assessment practices: a precondition for teacher assessment literacy. Papers in Language Testing and Assessment, 6(1), 1-17. International Language Testing Association (2000). Code of ethics for ILTA. Retrieved from https:// www.iltaonline.com/page/CodeofEthics Inbar-Lourie, O. (2012). Language assessment literacy. In C. Chapelle (Ed.), The encyclopedia of applied linguistics (pp. 1-9). Oxford, UK: John Wiley & Sons. Inbar-Lourie, O. (2013, November). Language assessment literacy: What are the ingredients? Pa per presented at the 4th CBLA SIG Symposium Programme, University of Cyprus. Hughes, A. (2002). Testing for language teachers: Second edition. Cambridge: Cambridge University Press. Kunnan, A. J. (2013). The companion to language assessment. Chichester, UK: Wiley Blackwell. Lado, R. (1961). Language testing. London, UK: Longman. López, A., & Bernal, R. (2009). Language testing in Colombia: A call for more teacher education and teacher training in language assessment. Profile: Issues in Teachers' Professional Development, 11(2), 55-70. Malone, M. (2017). Training in language assessment. In E. Shohamy, S. May, & I. Or (Eds.), Lan guage testing and assessment, encyclopedia of language and education (pp. 225-240). Cham, Switzerland: Springer. McNamara, T. (2000). Language testing. Oxford, UK: Oxford University Press. Messick, S. (1989). Validity. In R. Linn (Ed.), Educational measurement (3rd ed.), (pp. 13-103). New York, US: Macmillan. Ministerio de Educación Nacional de Colombia (2006). Estándares básicos de competencias en lenguas extranjeras: Inglés. Formar en lenguas extranjeras: ¡El reto! Lo que necesitamos saber y saber hacer. Bogotá, Colombia: Imprenta Nacional. Ministerio de Educación Nacional de Colombia (2009). Fundamentaciones y orientaciones para la imple mentación del Decreto 1290 de 2009. Bogotá, Colombia. Ministerio de Educación Nacional de Colombia (2014). English, please! 2. Bogotá, Colombia: Im prenta Nacional. Ministerio de Educación Nacional de Colombia (2016). Pedagogical principles and guidelines suggested English curriculum. Bogotá, Colombia: Team Toon Studio. Oscarson, M. (2013). Self-assessment in the classroom. In A. Kunnan (Ed.), The companion to lan guage assessment (pp. 1-18). Chichester, UK: Wiley Blackwell. Scarino, A. (2013). Language assessment literacy as self-awareness: Understanding the role of interpretation in assessment and in teacher learning. Language Testing, 30(3), 309-327. Shohamy, E. (2001). The power of tests. Harlow, UK: Pearson Education. Sultana, N. (2019). Language assessment literacy: An uncharted area for the English language teachers in Bangladesh. Language Testing in Asia, 9(1), 2-14. Taylor, L. (2013). Communicating the theory, practice and principles of language testing to test stakeholders: Some reflections. Language Testing, 30(3), 403-412. Appendix. Sample Listening Assessment for Analysis Background: This assessment is based on an audio in English, please! 2 (grade 10 th ), an English language learning series developed by the Ministry of Education in Colombia (2016) for grades ninth, tenth, and eleventh. Activities for this audio are in the student's book, pages 167-168. The transcript can be found on page 165 of the teacher's guide. The present assessment was based on this Colombian standard for learning English: Identifico personas, situaciones, lugares y el tema en conversaciones sencillas. (I can identify people, situations, places and the topic of a simple conversation.) From this standard, the following listening construct was the target for the assessment: Identify specific information on how ecotourism projects have impacted the areas where they operate and the people who live in the areas or visit them. There are five multiple choice items and five true-false items for analysis purposes in this paper. 1. What kind of organizations are the speakers talking about? a. Ecotourism c. Animal b. Economy d. Education 2. What do Nativos Activos do? a. Manage San Bernardo Natural Park. c. Protect the Caribbean Sea. b. Help local communities in Bolivar. d. Work for local communities 3. Where is Los Flamencos located? a. Isla Grande c. Rioacha b. Baru d. La Guajira 4. Why does Minra love working with Nativos Activos? a. It's the most important thing in her life. b. The people are very participative. d. The project brings joy to the community. c. Decisions for the park depend on the whole group. 5. Which of these benefits does Minra NOT mention? a. Education for the group c. Services for visitors b. Transportation d. Money for the locals 6. Minra says that they have made structural improvements. T__ F__ 7. They have worked with the community on a compost program and have educated visitors to create compost. T__ F__ 8. Henry says that restaurant services are not included in this project. T__ F__ 9. In the Sanctuary where Henry works, they need to make more changes. T__ F__ 10. Henry's team does not like to educate visitors. T__ F__ After the assessment: Students received a score that was meant to represent their progress in listening.
So, what is an So, what is an Individual Voluntary Arrangement? Individual Voluntary Arrangement? The information in this leaflet was prepared in May 2017. As with everything, information can get out of date. We therefore recommend that you check your specific circumstances with a Licensed Insolvency Practitioner before you do anything based on this leaflet. Carmichael & Co is the trading style of Carmichaels Insolvenc Carmichael & Co is the trading style of Carmichaels Insolvenc Carmichael & Co is the trading style of Carmichaels Insolvenc Carmichael & Co is the trading style of Carmichaels Insolvency Limited y Limited y Limited y Limited Registered in England and Wales, Company number 4547436 Registered in England and Wales, Company number 4547436 Registered in England and Wales, Company number 4547436 Registered in England and Wales, Company number 4547436 Marc Landsman is licensed to act as an Insolvency Practitioner in the UK by the Institute of Chartered Accountants in England Marc Landsman is licensed to act as an Insolvency Practitioner in the UK by the Institute of Chartered Accountants in England Marc Landsman is licensed to act as an Insolvency Practitioner in the UK by the Institute of Chartered Accountants in England Marc Landsman is licensed to act as an Insolvency Practitioner in the UK by the Institute of Chartered Accountants in England and Wales and Wales A member of the ICAEW Practice Assurance Scheme A member of the ICAEW Practice Assurance Scheme A member of the ICAEW Practice Assurance Scheme A member of the ICAEW Practice Assurance Scheme and Wales and Wales and Wales When we wrote this leaflet we realised that most people only ask a few of the questions at the beginning, but often ask a lot of the others at a later stage, sometimes too late. Some adverts make out that offering an Individual Voluntary Arrangement or otherwise dealing with your debts is easy. We don't, as we don't think it is. We will work with you, but you have to do some of the work yourself. The questions and answers are in no particular order. Whilst this means that it is harder for you to read them now, we can be confident that you have seen the answers to most of the questions and not just the ones you have thought about. You will therefore be in a better position to think about whether an Individual Voluntary Arrangement is right for you, not just an option that sounds easier than bankruptcy. We would hope that you would speak to us, but appreciate that the paragraphs above may have scared you off. If so, we suggest that you look either in a phone book or on the internet for a Licensed Insolvency Practitioner. Only Licensed Insolvency Practitioners have had to take the formal exams, gain the experience and are regulated to give you insolvency advice. There are other people who will also give good advice, but there are also some rogues out there! Even if you don't want to talk to us, you have made the effort to get this leaflet so we feel a little bit responsible to you and want to make sure you get the best advice you can. Of course, if you like our attitude or can at least see why we take it, please call us! Is an Individual Voluntary Arrangement right for me? Maybe, maybe not. Read on to decide! I'm considering an Individual Voluntary Arrangement, but my creditors are taking me to court. Can this be stopped? Probably, but you have to tell us as quickly as possible. Depending on the type of court action the creditor may not be willing to withdraw, but often they will if they will still be unsecured creditors. Can I enter into an Individual Voluntary Arrangement if I have already received a Statutory Demand or County Court Judgment? Yes. This will not affect it, though if there is a charging order against the property this could make as big difference. Generally, an Individual Voluntary Arrangement is more likely to be accepted if it is offered early rather than late. This is because the creditors have not had to spend as much money chasing you, and usually there are less interest and penalties on the debts. Because of this, the same monthly repayment will lead to a higher dividend. Can I arrange an Individual Voluntary Arrangement directly with my creditors? No. You can arrange an informal repayment plan with them, and if you only have 1 or 2 creditors this may be the best way forward. An Individual Voluntary Arrangement is a formal offer from a debtor to creditors, dealing with quite large amounts of money, and including provisions for what will happen if things go wrong. As you can appreciate, the creditors will want someone independent that they know they can trust to enforce the terms. For this reason, only Licensed Insolvency Practitioners, who have experience and special insurance in place are allowed to act in Individual Voluntary Arrangements. Will the Individual Voluntary Arrangement stop my unsecured creditors from chasing me? The legal answer is yes. Unfortunately, some creditors do not always tell every department that an Individual Voluntary Arrangement is being offered or has been accepted, so mistakes can happen because of human error. We recommend that you tell anyone that phones you to call us, or forward their letters to us. Does this mean I can stop paying my mortgage or hire purchase? If you want them to repossess, stop paying them! A mortgage or hire purchase agreement (or similar), however, is secured on your home or whatever you borrowed the money to buy. If you do not keep up the payments they can take it back (sometimes they need to go to court to do this). My partner/spouse and I have joint debts. Can they be considered together in the same Individual Voluntary Arrangement? Your Individual Voluntary Arrangements will be almost identical, but as the name says, they are Individual Voluntary Arrangements. If a spouses or partners are offering almost identical Individual Voluntary Arrangements, there is a cost saving as they are run together. Can I stay in business? Yes. This is a common reason for proposing an Individual Voluntary Arrangement. You will probably find that trade suppliers want to be paid either in advance or on delivery, and you will not be allowed an overdraft facility. Will I have to close my bank account? If it is in credit and you have no related creditors, no. If it is overdrawn, the bank will usually do this automatically anyway. We recommend that you open a new account before you offer an Individual Voluntary Arrangement with a totally different bank to make sure that they do not apply your salary to your overdraft so that you have no money to pay for essentials. Whilst this can be corrected, it takes time and you will be without money whilst it happens. If you open a new account, please make sure that the banks are not linked (ie Royal Bank of Scotland/NatWest or Bank of Scotland/Halifax). How will an Individual Voluntary Arrangement affect my credit rating? If it wasn't already ruined, it will be by the Individual Voluntary Arrangement. To be fair, though, the same would happen if you went bankrupt or dealt with your debts in a debt management plan or similar. Does the Insolvency Practitioner represent the Creditors (who are owed money) or the Debtor who owes the money? Legally, he starts out representing the debtor, then switches to representing the creditors. In real life, this would lead to all sorts of problems, so the fairest way is to be independent throughout making sure that the debtor knows what will be expected from him or her, and that the creditors know that their interest are being looked after. Who is an Individual Voluntary Arrangement 'aimed at'? Anyone who is insolvent, owes more than about £15,000 and can afford to make payments of £300 or so a month and wants to repay as much as they can to their creditors. They are usually best for people who are self employed or have assets or jobs they would lose in bankruptcy. Bankrupts cannot be in certain professions or jobs, generally ones where they have to handle money or could be open to bribes or blackmail. Who isn't an Individual Voluntary Arrangement 'aimed at'? Anyone who has a job that wouldn't be affected by bankruptcy, doesn't own their own home, or doesn't have much surplus income. An Individual Voluntary Arrangement is not for someone who decides to incur debts of 4 times what they can afford since they have seen adverts to 'write off 75% of your debts'. Why do you set a minimum level on debts and repayments? Even though most of the costs are paid by the creditors, an Individual Voluntary Arrangement is not a cheap solution. It typically costs £1,500 £4,000 to set up, and £1,000 - £2,000 per year to run depending on what we have to do. If your debts and available income are below the levels mentioned your contributions will mainly be used to pay our costs, which we do not think is fair. The creditors are also likely to reject the offer for this reason. Must I tell my Partner or Spouse? If you are offering part of the equity in your house or have debts jointly with them, you will have to. Otherwise, you do not need to. You may want to think, though, about what they will say or do if they find out from someone else or open a letter addressed to you. If you are under financial stress, you will often not 'be yourself', and they may realise there is a problem even if they do not know what it is. Would you prefer their support or for them to wonder why you are being more careful than normal with money and acting suspiciously? We always recommend that you tell your partner or spouse! Why would a creditor agree to write off money I owe? If you cannot afford to repay your debts, the creditors will want to get as much as possible back from you. This is why some of them write to people in serious arrears offering them 'one-off special' deals to get something back. If you have got to the stage of offering an Individual Voluntary Arrangement the most likely alternative will be bankruptcy, where they will get less. They are therefore open to suggestions to maximise their recovery. We will only allow an Individual Voluntary Arrangement to be offered if this is better for the creditors than bankruptcy. Will they really write off 75%/85% of my debts? No! Creditors know how much it costs them to keep a bad debt running, what tax relief they could get, and what effect bad debts have on their public profile both to their shareholders and other debtors, as well as a lot of other things we do not even know about. This will often give them a minimum dividend, which for a lot of creditors used to be 25p/£. Some creditors still accept this, others are looking for anything up to at least 85p/£. Some always reject Individual Voluntary Arrangements because they think they encourage others to go into them when they are not appropriate. Some have no minimum dividend at all. The real picture is that if you offer less than 25p/£ it will probably be rejected (though if your debts are in the millions, a far lower dividend may be accepted since the potential losses are so much higher). The amount you need to offer, however, is always the most you can sensibly afford. Whilst the creditors can always ask for more, often they would prefer to reject as they do not take you seriously if you do not make a sensible offer. If, on the other hand, you offer more than you can afford to meet a minimum dividend, you are setting the Individual Voluntary Arrangement up to fail. If the creditors believe that you can pay in full, they will expect this, albeit that the Individual Voluntary Arrangement will give you time to do this. Will interest on the unsecured debts stop? Generally yes, but if you are able to pay in full creditors may expect you to pay interest. Can I get an Individual Voluntary Arrangement if I am bankrupt? Yes, but you should act quickly. Usually the largest cost in a bankruptcy is the Trustee's fees. If you have assets, the Official Receiver will normally try to appoint a Trustee quickly. His or her fees must be paid as an expense of the Individual Voluntary Arrangement, and this brings down the dividend. You can also only propose an Individual Voluntary Arrangement from bankruptcy before you receive your discharge, which is usually after 1 year. Do I have to meet the Insolvency Practitioner? We can do everything over the phone, but we still recommend that you meet with either him or a member of his staff. If we meet face to face we can normally tell if you understand everything we are saying and have told us everything, which we can't do on the telephone. This is why we suggest a meeting. A lot of people are also more relaxed talking over a mug of coffee than on the phone. What are the Disadvantages of an Individual Voluntary Arrangement? An Individual Voluntary Arrangement is a second chance. If you do not keep to the agreement you make, you could end up in bankruptcy. But you would only offer it if you are sure you can keep it up! If you get a windfall (ie a lottery win or inheritance), this will probably all go towards paying your debts. But you did originally agree to repay them in full when you took out the loan. If your earnings go up, so will the amount you pay your creditors. Your creditors are agreeing to write off part of the debt because you cannot afford to repay it. If you can afford higher repayments, it is only fair that you make them. If you own your own home, your creditors will probably want part of your share of the equity. When you bought your house you probably saw it also as an investment, paying a mortgage so that you had something when you wanted to move rather than rent where you had nothing. It is only fair that the creditors benefit from your investment when you could have been paying them and renting somewhere smaller or in a different area. Your credit rating will be ruined for 6 years It's probably not too good at the moment, and is only relevant if you want to get credit. Most debtors do not want to get their fingers burned again for quite some time. When the Individual Voluntary Arrangement finishes you will have an amount available every month to save or spend on little luxuries, so hopefully you will not need a loan! You can't get credit whilst you are in an Individual Voluntary Arrangement Whilst you are in an Individual Voluntary Arrangement you will not be able to afford to pay off new loans. What debts can be included in an Individual Voluntary Arrangement? Almost all of your unsecured debts, including tax. The main exclusions are arrears of maintenance to your ex-wife or husband, student loans and fines. You cannot include Hire Purchase or any secured debts such as mortgages. If you are self employed, the Individual Voluntary Arrangement will include all your personal and business debts. If you are in partnership, your partner will remain liable for the partnership debts. Will my landlord find out about my Individual Voluntary Arrangement? Not from us unless you owe them money. All personal insolvencies are listed on the Insolvency Service website, so if they regularly check they will find out. If you want to move, your new landlord may ask the question. Do I have to pay fees? If you are able to afford to, yes you will! In most cases, the only amount you will have to pay is either 1 or 2 months' contributions (ie the amount we think you can afford to repay every month). These will count towards your total payments if the Individual Voluntary Arrangement is accepted, and are the only amount you will have to pay if it is rejected. You will only pay this when we have told you to stop paying your creditors. The main reason we ask for this is because people have promised us that they can afford repayments, and then did not make them when their Individual Voluntary Arrangement was accepted. Not only did we spend a long time working to prepare the proposal, but when we sent the next proposals to the same creditors they were suspicious that the same would happen again. We also have to make payments before an Individual Voluntary Arrangement is considered (for instance an insurance premium and the costs of sending the proposal to creditors), and this goes towards these costs. Can my arrangement be successfully finished early? The Individual Voluntary Arrangements we write have a way to do this. If you know that you may be able to do this, though, tell us as soon as possible. If you know this before proposing an Individual Voluntary Arrangement, you should definitely tell us as this may change the advice we give you or how we write the proposal. How much will I have to pay into the Individual Voluntary Arrangement? As much as you can afford Can I keep using my credit cards or take out a new loan during an Individual Voluntary Arrangement? No! Part of the agreement in an Individual Voluntary Arrangement is that you don't take any more credit and live within your means. Sometimes debtors 'forget' to tell us about a credit card, but we have to warn that if we are told by a credit card company we may have to fail the Individual Voluntary Arrangement. Given that a lot of the cards are run by different companies from the name on the card, and companies are merging, this is not a risk that we think is worth taking! If I have positive equity in my property, how does this affect my Individual Voluntary Arrangement application? You will probably need to pay part of this into the Individual Voluntary Arrangement. Usually this will be done at the end of the Individual Voluntary Arrangement, with you looking for a secured loan or remortgage to bring in the funds. You will not need to pay the costs of the secured loan and the Individual Voluntary Arrangement at the same time. What if my circumstances change and I can afford to make increased payments during the Individual Voluntary Arrangement? Your creditors will expect you to increase your payments. The increase will normally be half of the extra amount you earn, but will be for the Supervisor and you to discuss. What if my circumstances change and I can't afford agreed payments? An Individual Voluntary Arrangement can be varied to allow you to make lower payments, but the obvious question is whether an Individual Voluntary Arrangement is still appropriate for you or whether you would be better off in bankruptcy. This is a matter that we would discuss with you. What if I fail to keep up the agreement? Normally we would have to fail the Individual Voluntary Arrangement, often leading to your bankruptcy. This is why we want to be sure that an Individual Voluntary Arrangement is really correct for you before you offer one or it starts. Can I do an Individual Voluntary Arrangement without affecting my home? If you own your home, the creditors will normally want part of the equity at the end. The exceptions are if you are offering equity at the beginning, though this is quite rare, or there is only a small amount. Can I cancel the Individual Voluntary Arrangement once it is set up? Once your Individual Voluntary Arrangement is accepted it is a legally binding contract. If you want to cancel it, you will either have to successfully finish it early, or cause it to fail. This latter option will normally lead to bankruptcy. Who pays the fees for setting up the Individual Voluntary Arrangement if it is rejected? You will have paid something towards the fees, but this firm will not charge the rest, and will make a loss. Who pays the fees for setting up the Individual Voluntary Arrangement if it is withdrawn? You can withdraw a proposal at any time, and we may recommend that you do so in certain rare instances. If you decide to withdraw the offer and we have not recommended you to, we may ask you to pay the costs to date. What about all the free versions I see advertised in the newspapers? Some firms give you free advice then introduce you to someone else who will often pay them a commission. Others are run by charities, but the funding is often from the banks and credit card companies. Some are run by the government, and often send people to see a Licensed Insolvency Practitioner (who then charges) to help them. Free advice can sometimes be expensive in the long run. Will I be able to hold public office or be a company director? Yes, in most cases. There are certain exceptions, usually in the constitution of the organisation. For example, even though you can usually be a company director even if you are in an Individual Voluntary Arrangement, some companies have a clause specifically saying that you cannot. Why is the meeting held? Creditors have to vote on the proposal, and have the chance to ask any questions they want to help them make up their mind. Do all my creditors have to accept the Individual Voluntary Arrangement? No. An Individual Voluntary Arrangement is accepted on behalf of all the creditors if at least 75% by value who bother to vote agree it. This means that 1 creditor owed £7,500 can outvote 100 creditors owed £2,500 between them, or that 1 creditor voting for £1 can bind £100,000 of other creditors who didn't bother to vote. How can the voting go? Creditors can vote in 3 different ways Accept If a creditor likes your offer, they can accept it as it stands Reject If a creditor is not willing to accept your offer, they can reject it. This is usually if the offer is below the minimum they will accept, if you have a bad history with them (for instance HM Revenue & Customs will usually reject if you haven't submitted a lot of tax or VAT returns), or in the case of individual creditors if they just don't like you (an example, though not in an Individual Voluntary Arrangement, was when someone was very awkward at a meeting of creditors for a company liquidation, we found out later that the director had had an affair with the creditor's wife!). If you know of any of these last group, you should tell us as soon as possible. Request modifications Creditors will often say that they will accept an Individual Voluntary Arrangement if certain changes are made. Usually they will be to increase the dividend, though sometimes they are technical ones requiring us to do something, and sometimes just odd! On one occasion, a restaurateur had to open bookings for seasonal dinners early for his creditors since it was a respected restaurant which filled up early. If you accept the modifications, they will accept the Individual Voluntary Arrangement, otherwise they will reject it. How many creditors need to attend the creditors meeting? Do I have to attend? Only 1 creditor or their representative needs to attend for the meeting (which usually takes place over the phone or internet) to take place. In the vast majority of cases, creditors ask the Chairman of the meeting to vote on their behalf (though they tell them how to vote). Since this is someone from Carmichael & Co, in reality the meeting is therefore usually held at that person's desk by just counting the votes. Any questions are usually asked and answered in advance. If no-one else is attending, you will not need to. If there are proposed modifications, you will have to consider them in advance. You should be near a phone anyway in case there are new modifications. The meeting can be adjourned for up to 2 weeks if needed. Do I have to accept any modifications? No, but if you reject them they will be taken as votes against the Individual Voluntary Arrangement. We will look at all the modifications in terms of whether they are 'fair' and whether you need their vote for the Individual Voluntary Arrangement to be accepted. If a creditor is owed 1% of the voting debt and asks for major changes, you need not accept them as it will not cause the Individual Voluntary Arrangement to be rejected, if they are owed 26% you will have to think carefully about them. If the modifications are too strong we would advise you to reject them anyway as you could not keep to the Individual Voluntary Arrangement. For example, one creditor always asks for a 50p/£ minimum dividend. If the original offer is 49.99p/£, there is probably not much harm in accepting it, but if it is 30p/£ it could mean that the Individual Voluntary Arrangement cannot possibly succeed. Can one individual creditor refuse to accept an Individual Voluntary Arrangement? They can vote to reject it, and they may be able to block it. If, however, enough other creditors accept it, they are bound by it. What if I have forgotten a creditor? We ask you to check that you have included all your creditors. If you have missed a small one and it does not affect the dividend much we can normally include them automatically. If it would change the dividend by a lot, it may cause that Individual Voluntary Arrangement to fail. Either way, that creditor has 28 days in which to apply to the Court to overturn the Individual Voluntary Arrangement. It is a lot easier if you include all your creditors at the beginning. How are debts with joint liability treated in the Individual Voluntary Arrangement if only one of the debtors is offering a proposal? The creditor can claim in the Individual Voluntary Arrangement, but will usually also look for the joint debtor to pay in full. The joint debtor may be able to make a claim to get some of their money back. If you have any joint debts you should tell us early on since the joint debtor may need to do something too. What happens at the end of the agreement? When you successfully finish your Individual Voluntary Arrangement all the outstanding debts covered by the Individual Voluntary Arrangement will be written off. We will provide you with a certificate to show that it is finished, and you can show this if you have a problem getting credit. For the first year or so after the Individual Voluntary Arrangement finishes, though, you will still have problems whilst everything works through the system. What if I have other questions? The questions above are just the common ones we are asked. If you have any others, please phone us. Our web site at www.carmichaelsinsolvency.co.uk also has a lot of information, or try the Insolvency Service (which is an executive agency, sponsored by the Department for Business, Energy & Industrial Strategy in the government) one at www.gov.uk/government/organisations/insolvency-service. Why choose Carmichael & Co rather than another firm? Marc Landsman, the Licensed Insolvency Practitioner at Carmichael & Co is licensed by the Institute of Chartered Accountants in England and Wales. He and his team are therefore required to provide the best advice they can. So is every other insolvency firm which is run by an Insolvency practitioner. Not all firms offering debt advice are run by an Insolvency Practitioner. Carmichael & Co also provides an 0330 number (so it is probably included in your 'free' calls, or is charged at the local charge rate) which connects to either Marc or a senior member of the team outside of usual office hours, rather than a call centre. Are you nice people? If people are nice to us, of course we are! We won't, however, raise your hopes or pretend that your affairs are better than they are. If we think bankruptcy is best for you, we will tell you. If you have got this far, you can see that we tell it as it is rather than putting a sugar coating on everything. Who can I speak to if I wish to complain? We would hope that you would not need to! If you have a complaint against any of us, the first suggestion would be to call Marc. If he cannot sort out the problem, you can write to the centralised 'Complaints Gateway' at The Insolvency Service, IP Complaints, 3rd Floor, 1 City Walk, Leeds LS11 9DA. What do you do apart from Individual Voluntary Arrangements? We deal with all types of insolvency (including dealing with companies), but only insolvency. We believe that you can only offer a good service if you keep up to date with everything that is happening in that field. DX 14346 MANCHESTER DX 14346 MANCHESTER DX 14346 MANCHESTER DX 14346 MANCHESTER www.carmichaelsinsolvency.co.uk www.carmichaelsinsolvency.co.uk www.carmichaelsinsolvency.co.uk www.carmichaelsinsolvency.co.uk www.carmichaelsinsolvency.tel www.carmichaelsinsolvency.tel www.carmichaelsinsolvency.tel www.carmichaelsinsolvency.tel firstname.lastname@example.org email@example.com firstname.lastname@example.org email@example.com
Data Sheet Transducer for measuring Temperature (Equivalent resistance) Application The transmitter RISH Ducer PT 602 ( Fig. 1 and 2 ) Converts the input variable-a signal from a resistance thermometer Pt 100- to a temperature linear output signal. The analogue output signal is either an impressed current or superimposed voltage which is processed by other devices for purposes of displaying, recording and / or regulating a constant. Versions are available for two, three or four - wire connection. DIP switches are provided for the coarse setting of the measuring range and the fine adjustment is accomplished using the potentiometers. Red LED's signal an open or short-circuit feeler. In both cases, the output signal adopts its maximum value. In the case of an current output, provision is made for switching between 0... 20 mA and 4... 20 mA. The transmitter fulfil all the important requirements and regulations concerning electromagnetic compatibility EMS & safety ( IEC 1010 resp. EN 61 010). It was developed & is manufactured & tested in strict accordance with the quality assurance standard & ISO 9001 Features / Benefits Measuring ranges configurable with DIP switch and potentiometer . • Non - Standard user - specific ranges available . • Red LED's indicator : an open or short - circuit. • Electric isolation between input & output 2.3 kV and power supply & all other circuits 3.7 kV - Fulfils EN 61 010. • * Universal (DC / AC) power supply. Provision for either snapping the transmitter onto top-hat rails or securing it with screws to a wall or panel. • Housing only 17.5 mm wide (size S17) / low space requirement • Technical data Measuring input resp. measuring inputs Max. initial value 0 Two - wire connection 400 C 0: Resistance thermometer Type Pt 100 (DIN IEC 751) Measuring current < 1 mA Input resistance Ri > 4 M Lead resistance Temperature range Min. span 50°C Max. span 700°C Two - wire connection 25 per lead ( total 50 Three - / four - wire connection 25 per Lead Two - wire connection 0 150 ... 800 C Three - / four - wire connection 0 170 ... 800 C - - Example 1 : Range -150°C to 800°C Lower side possible range is -150°C to 550°C (Span=700°C) Higher side possible range is 100°C to 800°C (Span=700°C) Example 2 : Range 0°C to 45°C or -20°C to 10°C These ranges are not possible because Min required is span 50°C whereas available span is less than 50°C Three-/four - wire connection 500 C Max. ratio between offset and span Measuring range settings Potentiometer setting range Additional error (additive) Influence of lead resistance Selector switch for 0...20 / 4...20 mA < 10 (TA and T in °C) E T A T E — T A — Coarse setting with DIP switches Dependent on temperature range, typical values : Fine adjustment with potentiometer "Zero" and "Span" — — Span, approx. ±60% of full scale — 0 Offset, approx. ±100 C ( 12 - turn helical potentiometer ) Measuring output resp. measuring outputs DC current Burden voltage 10 V Open-circuit voltage < 20 V External resistance R ext max. 500 Residual ripple < 1.5% p.p., DC...10 kHz DC voltage 0...10 V Short-circuit current 40 mA Load capacity R min. >2 k ext Residual ripple < 1.5% p.p., DC...10 kHz Response time 500 ms 0 / 4 ... 20 mA switchable by plug - in jumper Open-circuit sensor circuit and short-circuit supervision Fault signaling mode Frontplate signals Red LED for signaling fault Output signal at 0 / 4...20 mA, output approx. 25 mA at 0...10V, output approx. 12.5 V — — Pick-up level — At open - circuit approximately 1 to 400 k At short - circuit approximately 0...30 — Accuracy data (acc. to DIN/IEC 770) Basic accuracy Max. error + 0.5% including linearity and repeatability errors for a standard range 0 0 ... 100 C and for reference conditions. < 0.35 % for linearised characteristic. — Two - wire connection : Compensated by potentiometer Three - wire connection : 0.15 K of measuring range per 10 Lead resistance 0.375 K total Four - wire connection : 0.1 K of measuring range per 10 Lead resistance 0.375 K total 0.1% ± — — Reference conditions Ambient temperature 23 °C,+2 K Power supply Output burden Current: 0.5 . R max. ext Voltage: 2 . R min. ext 24 VDC 10% and 230 VAC ±10% An external supply fuse must be provided for DC supply voltages supply > 125 V. Influencing factors Temperature Burden Long-term drift Switch-on drift < 0.2 % per 10 K ± < 0.1 % for current output < 0.2 % for voltage output, if R > 2. R min. ext ± ext < 0.3 % / 12 months ± < 0.5 % ± Power supply H : AC/DC power pack (DC and 45...400 Hz) Table 3: Rated voltages and permissible variations \| Nominal voltages U N \| Permissible variation \| \|---\|---\| \| 24... 60 V DC / AC \| DC -15... + 33% A C ± 15% \| \| 85...230 V 1 DC / AC \| \| Power consumption 1 Channel version 1.2 W respectively 2.3 VA 2 channel version 1.8 W respectively 3.4 VA Environmental Conditions Commissioning temperature —10 to + 55°C Operating temperature —25 to + 55 °C Storage temperature —40 to + 70 °C Annual mean relative humidity 75% Standard Compatibility Operating voltages Electromagnetic Protection (acc. to IEC 529 resp. EN 60 529) Electrical standards Pollution degree The standard DIN EN 50 081-2 & DIN EN 50 082-2 are observed Housing IP 40 Terminals IP 20 Acc. to IEC 1010 resp. EN 60 010 < 300 V between all insulated circuit 2 Electrical insulation All circuits ( measuring inputs / supply) are electrically insulated measuring outputs / power Permissible vibrations 2 g acc. to EN 60 068-2-6 Shock Weight 50 g 3 shocks each in 6 directions acc. to EN 60 068 - 2 - 27 1 channel approximately 180 g 2 channel approximately 200 g Installation Category acc. to IEC 664 III for power supply II for measuring input and measuring output Double insulation: — Power supply versus all circuits — Measuring input versus measuring output Test voltage: Power supply versus: all 3.7 kV, 50 Hz, 1 min. Measuring inputs versus: measuring outputs 2.3 kV, 50 Hz, 1 min. — Measuring input 1 versus: measuring input 2 2.3 kV, 50 Hz, 1 min. Measuring output 1 versus: measuring output 2 2.3 kV, 50 Hz, 1 min. — — — Installation Data Mechanical design Material of housing Housing S17 Refer to Section "Dimensional drawings" for dimensions Lexan 940 ( Polycarbonate ) Flammability class V-0 acc. to UL 94, self - extinguishing, non - dripping, free of halogen Mounting For snapping onto top - hat rail ( 35X15 mm or 35X7.5 mm ) acc. to EN 50 022 or directly onto a wall or panel using the pull - out screw hole brackets Mounting position Any Terminals DIN / VDE 0609 Screw terminals with wire guards for light PVC wiring and 2 max. 2 X 0.75 mm or 1 X 2.5 mm 2 Electrical connections Front ON Green LED's for indicating device standing by 1 ON Red LED's for indicating operation of open - circuit or short - circuit A1 = Measuring Output 1 A2 = Measuring Output 2 H = Power supply RISHABH PT 602 2 ON Table 4 : Connection of the measuring input leads E1 and E2 J J J J J J J J J \| \| Measuring inputs \| Connection mode* \| Wiring diagram Terminal arrangement \| \|---\|---\|---\|---\| \| Version with 1 input \| Measuring input E1 \| Two-wire connection \| Rw1 3 Jumper 8 RTD 4 Rw2 \| \| \| \| Three-wire connection \| 8 3 RTD 4 \| \| \| \| Four-wire connection \| 8 3 RTD 4 9 \| \| Version with 2 inputs \| Measuring input E1 \| Two-wire connection \| Rw1 3 Jumper 8 RTD 4 Rw2 \| \| \| \| Three-wire connection \| 8 3 RTD 4 \| \| \| \| Four-wire connection \| 8 3 RTD 4 9 \| \| \| Measuring input E2 \| Two-wire connection \| Rw1 1 Jumper 6 RTD 2 Rw2 \| \| \| \| Three-wire connection \| 6 1 RTD 2 \| \| \| \| Four-wire connection \| 6 1 RTD 2 7 \| * RISH Ducer PT 602 units with type designations 602-1XX 1 and 6021XX 2 can operate with either two or three-wire connections, but units with the type designation 602-1XX 3 only operate with a four-wire connection. Dimensional Drawings (All dimensions are in mm) Standard Versions 0 Inputs (s) set to a range of 0...100 C and output (s) to a range of 4... 20 mA. Configured for three - wire connection. DIP switches enable the temperature range to be configured 0 0 between a minimum of - 170 C to a maximum of + 800 C; potentiometer for fine calibration of " Zero " and " Span ". Table 1: Standard version with 1 input 1 output \| 0...100 °C configurable \| 0/4...20 mA R 500 ext. \| 24... 60 V \| \|---\|---\|---\| \| \| \| 85...230 V \| Table 2: Standard version with 2 input 2 output Standard accessories 1 Operating Instructions 2 Pull out clamp S17 (for opening the housing) 3 Front label Table 5 : Ordering Information (See also Table 1 and 2 : "Standard Version" ) Possible special Version, e.g. increased climatic rating on inquiry. www.rishabh.co.in RISHABH INSTRUMENTS PVT.LTD. F-31, MIDC, Satpur, Nashik-422 007,India. Tel.: +91 253 2202160, 2202202 Fax : +91 253 2351064 E-mail : India :- email@example.com International :- firstname.lastname@example.org Version : 1 / 04 / XVI / 0112 / B
RAILWAY PROJECT EVALUATION WITH DYNAMIC PRIORITIES –SERBIA CASE STUDY Dragana Macura University of Belgrade Faculty of Transport and Traffic Engineering Vojvode Stepe 305, Belgrade, Serbia email@example.com Milica Selmic University of Belgrade Faculty of Transport and Traffic Engineering Vojvode Stepe 305, Belgrade, Serbia firstname.lastname@example.org 1 ABSTRACT Strategic decisions, such as transport investments, depend on a number of factors of different relevance that are often changeable over time. Evaluation of transport projects is a complex and difficult task, but also crucial for a company's success in the market. We assume that certain relations of the system elements are functions of time, and thus we apply a dynamic approach – dynamic priorities in multi-criteria decision making. The topic of this paper is time dependent multi-criteria decision making in a transport projects evaluation. The model is tested on real data from the Serbian railway network. Keywords: transport projects, railway project evaluation, dynamic priorities 1. Introduction Project evaluation is a very delicate, complex and difficult management task, with an aim to select and rank the considered projects. Evaluation of transport projects (including railway projects) has often been an essential step in the transport company's success. Decision making in investment planning is a very complicated process because of many relevant factors, such as: stakeholders (owners, regulators, market, politicians, etc.), system boundaries, transparency, and heterogeneous criteria (Jowitt, 2013). Cost Benefit Analysis (CBA) is a well-known method in project evaluation. This traditional approach is the most used method in the transport sector. In the rail sector, CBA is applied 60% of the time for project evaluations. Multi-Criteria Approach (MCA) 1 Acknowledgements This research is partially supported by the Ministry of Science of Serbia, Grant number 36022. is applied in 14% of cases, and other methods are applied 26% of the time. In road projects, CBA is used in 56% of cases, and MCA is used in 20%. In internal waterway projects, the proportion of the methods used is 32% for CBA and 6% for MCA, and in sea transport projects evaluation the situation is very similar 2 . There are numerous approaches and methods in the evaluation of transport projects, such as CBA (Berechman and Paaswell, 2005, Van Wee 2007), MAUT - Multi Attribute Utility Theory (Tsamboulas, 2007), GP - Goal Programming (Ahern and Anandarajah, 2007), AHP - Analytic Hierarchy Process (Lee, 1998; Yedla and Shrestha, 2003; Ferrari, 2003; Gercek et al., 2004; Tudela et al.,2006; Caliskan, 2006), and ANP - Analytic Network Process (Shang et al., 2004; Piantanakulchai, 2005; Wey and Wu, 2007; Chang et al., 2009; Longo et al., 2009; Macura et al., 2011). Shiftan et al. (2002) give a review of different methods and approaches to transport project evaluation with an emphasis on the specific features of CBA, and quantitative and qualitative multi-criteria analysis in this field. The majority of the mentioned references from the last decade critically analyzed the application of CBA in the evaluation of transport projects, and suggested applying the multi-criteria methods to solving the problems being considered. The process of good decision making depends on conditions in the future which normally vary over time; thus, good decision making requires evaluation of likelihood and preference of conditions during different time periods. This is the primary reason for the use of the dynamic approach in the decision making process. There are situations in which changes occur in the structure of a problem, new criteria can be added, or old criteria replaced. Sometimes judgments on the criteria change, but the criteria remain the same. There are also cases where judgments on the criteria remain the same; however, judgments on the alternatives change over time. All these combinations are possible in practice (Saaty 2007a). Basic assumptions of the applied mathematical computation for this method are defined in Saaty's book (2007a). The aim of this paper is to develop a model of an evaluation of railway projects as a support system to decision makers. The model has two parts, a static part and a dynamic part. The authors used the Analytic Hierarchy Process (AHP) approach for the static part of the model, and the Dynamic Hierarchy Process (DHP) approach to dynamic priorities in the dynamic part of the model. The model that was developed was tested on railway infrastructure projects in the Serbian railway network. In this model, the main decision maker was PE Serbian Railways. This paper is organized as follows: it begins with the Introduction, then the next section is dedicated to the relevant literature review; next the basic assumptions of the applied approaches, AHP and DHP, are presented. The second part of this Section shows the dynamic model of the railway project evaluation, with all system elements and their 2 http://heatco.ier.uni-stuttgart.de/hd1final.pdf mutual relations included. Next, results and a discussion are presented followed by some concluding remarks. 2. Literature review The literature reviewed falls into three categories: applications of dynamic relations and the AHP approach; applications of the dynamic network process; and hybrid staticdynamic AHP models. This is the first application of dynamic priorities, as well as a dynamic hierarchy process, to this particular transport issue. Boateng et al. (2012) analyzed risks in megaprojects, and focused on the dynamic relations in the model after having defined all the relevant risks. Researchers and project managers used this model in order to understand various social, economic and environmental systems within a holistic view. Tsamboulas et al. (2007) suggested a new multi-criteria analysis approach with the following characteristics: unification of the criteria and differentiation of the project performance over time, as a dynamic variable, and a new approach to transformation of the physical scales to artificial ones. The application of the proposed approach is demonstrated using transportation infrastructure investments. The dynamic hierarchy process was used in Gonzáleza et al. (2003) to help the product development team make effective decisions in satisfying customers' requirements with limited resources, in the case of school furniture design. A dynamic, cross-functional team organization was applied. A simple form of quality function deployment was used to identify the desirable product design, safety, and service features. Numerous papers in the relevant literature deal with the dynamic network process. Dynamic models try to reflect changes in real or simulated time, taking into account that the network model components are constantly evolving. These models use concepts of state variables, flows, and feedback processes. The network economy was discussed in Fiala (2006), referring to the global relationship between economic elements characterized by massive connectivity. The central act of the new era was to connect everything in deep web networks at a number of levels of mutually interdependent relations, where resources and activities were shared, markets enlarged and costs and risks reduced. For such a network, the ANP was used, as well as its extension, the Dynamic Network Process, which can deal with time dependent priorities in a networked economy. Fiala (2007) also applied the ANP approach to designing auctions, which requires a multidisciplinary effort consisting of contributions by economics, operation research, informatics, and other disciplines. The multiple evaluation criteria can be used. There is dependence between sellers, buyers, criteria and bundles of items. A variety of feedback processes create a complex system of items. The preferences of bundles of items can be evaluated by the ANP approach. In this paper, the Dynamic Network Process dealt with time dependent priorities in combinatorial auctions. Market segmentation, as a critical point of business, was analyzed in Nasrabadi et al. (2013). This paper aimed to model a strategy-aligned fuzzy approach to market segment evaluation and selection. A modular decision making support system was developed to select an optimum segment with its appropriate strategies. The dynamic network process was applied to prioritize segment-strategies according to five competitive force factors. This model was supported by a case study on strategic priority difference within a shortand long-term consideration. Feglar and Levy (2003) applied dynamic ANP in order to improve decision making support in information and communication technology. They focused their attention on the classification of various ICT based innovations. There are several papers in the relevant literature that mention the hybrid static dynamic AHP model. Wang et al. (2008) used hybrid AHP and the fuzzy mathematics method to deal with dynamic and static, and fixed and non-fixed quantified influence factors. According to the weight matrix and the matrix of the membership degrees, the fuzzy synthetic judge model was established, and the synthetic superior degree of the mining methods based on the influence factors was obtained by the numeration of the fuzzy mathematics methods. In order to make decision-making more objective and accurate, based on the distinction between experts' static weights and experts' dynamic weights, Liu et al. (2007) researched a method to decide experts' dynamic weights in interactive decision-making and establish a definition of consensus degree. Based on the research of consistency and compatibility, the paper developed a framework of group decision-making for AHP based on experts' dynamic weights. Fang and Yang (2011) presented the defect of the traditional static AHP nets, and suggested the dynamic AHP net including correlative definitions and illustrations. Based on the net definitions, the dynamic AHP net formulas and evaluation node priority algorithm were proposed. A simulation verification example was given and the numeric evaluation result was analyzed. The result was compared with that calculated by the traditional AHP. The result showed that the proposed dynamic AHP net could resolve the uncertainty problem caused by simulation verification. Benítez et al. (2012) points out the weakness of static input mode in the AHP approach. They identify this weakness as the need for users to provide all the preference data at the same time, and have the criteria defined from the start. To overcome this weakness, they proposed a framework that allows users to provide partial and/or incomplete preference data at multiple times, i.e. they included the dynamic input mode assumption. An algorithm was developed to determine the new priority vector from the users' new input. 3. Model for railway project evaluation (static and dynamic approaches) The model of railway project evaluation makes a rank list of the projects considered and priorities between them in an investment process. In this paper, the authors suggested improvement of the developed model presented for the first time in Macura et al. (2011). The model proposed in this paper extends the Macura model by including consideration of relevant external projects' influences and defining their dynamic priorities. The model has a static and dynamic part. The static part focuses on project evaluation based on the criteria which are constant through time, and the dynamic part presents project evaluation related to relevant external, time-changeable projects. 3.1 Applied approaches The Analytical Hierarchy Process, developed by Thomas Saaty, is one of the most popular approaches to multi-criteria decision making (Saaty, 2007a). It is used in analyses of decision-making to solve complex problems, the elements of which are objectives, criteria, sub-criteria and alternatives. AHP is a very useful approach because http://dx.doi.org/10.13033/ijahp.v7i1.292 of its ability to identify and analyze inconsistency of decision makers in the process of decompression and evaluation of the elements of the hierarchy. AHP mitigates this problem to some extent by measuring the level of inconsistency and gathers information from decision-makers. This is a static approach, which uses the fundamental Saaty scale to define priorities. By expanding the AHP approach, it is possible to cope with time dependent priorities. This new approach is called Dynamic Hierarchy Process (DHP) (Saaty 2007b). Time-dependent decision-making, i.e. dynamic decision-making, is something that is often necessary. However, these alternatives may evolve over time, together with our preference for them, such as, stock market shares, the value of which constantly changes over time. Dynamic decision making is reality, not a theoretical concept which can be ignored. It is necessary for technical design problems, in which effects of several project factors change over time and a compromise between them must be made, to allow the system to react differently and continuously during its work time. A typical appearance of the matrix in a dynamic form: , in a discrete situation, when ( ) A t is consistent, we have ( ) ( ) / ( ) ij i j a t w t w t All relevant equations are developed in Saaty (2007b). 3.2 Elements of the model for railway project evaluation The developed model has a network structure with four clusters (Figure 1). Each cluster has a certain number of elements which are explained in detail later in this section. The sections being considered (Rail Corridor 10 in Serbia) are presented in Table 1. . Table1 Considered alternatives All the projects, the alternatives of the model, are already a part of the "Strategy for the development of railway, road, water, air and intermodal transport in the Republic of Serbia from 2008 to 2015" 3 . The purpose of the model in this paper is to rank rail investment projects, considering financial and operating aspects (Macura et al., 2011). Table 2 shows the considered criteria. Table2 Considered criteria \| \| Type of Criteria Measure criteria \| \|---\|---\| \| X 1 X 2 X 3 X 4 X 5 \| Cost-benefit ratio / Travel time lost [train Criteria of speed restriction hours/km] Criteria of rail infrastructure The percent of rail line capacity utilization capacity utilization [%] Criteria of inconsistency with [%] AGC & AGTC Criteria of traffic volume [train/day] \| Cost-benefit ratio criterion, X1, represents the ratio between the benefit and the cost of a project. The benefit of a project is considered as a product of the average number of trains on the considered section, the expected increase of transport volume and average revenue per train. The assumption of increase in transport volume is based on the project "General Master Plan for Transport in Serbia". The numerator of the Cost/Benefit ratio is actually the investment cost. Criterion of speed restriction, X2, gives priority to sections where the most time is lost due to reduced speed. Total loss of travel time for all trains on a part of line with 3 www.mi.gov.rs temporary speed restrictions, which are the result of a poor state of substructure and superstructure, is calculated as follows: where lv t - is the total lost travel time on a part of rail line with temporary speed restriction, which is the result of poor state of substructure and superstructure [train hours]; i s - is the total length of the i -th temporary speed restriction on a particular rail section [km]; i - is the number of temporary speed restrictions on a particular section; pri v - is the allowed speed according to the designed characteristics of a rail section with the i -th temporary speed restriction [km/h]; lvi v - is the speed of the i -th temporary speed restriction [km/h]; vi N - is the total annual number of trains on a line section during the temporary speed restriction [trains]. X3, criterion of rail infrastructure capacity utilization, represents the total number of trains that can operate on a rail section during a specified time period. It depends on the number of tracks, technical parameters of a rail line (plan, profile and characteristics of superstructure), existing equipment of a rail line, the characteristics of rolling stock and the actual system of traffic control on the line. Rail capacity utilization is the relationship of the relevant number of trains on a rail section and the line capacity. Relevant number of trains can be defined as the average daily number of trains increased by the coefficient of irregularity. Various approaches can be used for rail capacity calculation. The problem is that different approaches give significantly different values of capacity. In European terms the relevant method is recommended by a rail fiche No. 406 R of the International Railway Union (UIC), which is used in Macura et al. (2011). The rail section with less spare capacity will have a priority in this model. The general formula for calculation of rail line capacity utilization is: where - is rail capacity utilization [%]; v N - is the relevant number of trains on a rail section [trains/day]; n - is rail line capacity [trains/day]. Inconsistency with International Agreements, X4, is relevant due to the fact that Serbia is a signatory to two key European agreements (AGC and AGTC) and one regional agreement (SEECP) related to the parameters of railway infrastructure harmonization of the European network. According to the AGC and AGTC agreements, the relevant values for the considered Corridor 10 are given in Table 3. The rail sections with the worst parameters will have priority in this model. The next criterion of traffic volume, X5, represents the train traffic intensity on a rail section. Based on this criterion, a rail section with larger traffic volume will have priority. This criterion is calculated by the following equation: where: v N - is the total average daily number of trains on a particular section [trains/day]; p N - is the average daily number of passenger trains [train/day]; t N - is the average daily number of freight trains [train/day]. The average numbers of freight and passenger trains are given in Table 3. Based on the above explanation, all the defined criteria for the considered sections are calculated (Macura et al., 2011). The values are given in Table 3. By using these data, the pair-wise comparison matrices were developed. The alternative with which a higher effect can be achieved is better ranked. The matrix of a criteria comparison was made by transport expert's recommendations. Table 3 Calculated values of the considered criteria for all alternatives The relevant external projects (Macura et al. 2012a, 2012b) can be international or domestic, infrastructure, ecological or social projects, etc. These projects are of great importance in transport project evaluation, since the transport networks are very dependent on their surroundings (including, not only the transport system in the considered country, but also in neighboring countries). It is possible to define the different relevance of these projects on the ranking of the projects. However, choosing the relevant external projects should be done by company management or by the experts. External projects can have different influences depending on their importance in the network. The influence of an external project can be observed in terms of flow of goods (increased intensity of flow). This impact can be direct or indirect, by directly or indirectly increasing/decreasing the intensity of flow on the considered rail line. Suggested relevant external projects in the model are: - X – Vidin-Calafat Bridge - this project can take flow of goods and passengers from Corridor 10, and make better service quality on Corridor 4. - Y – Rehabilitation of Corridor 4 – with this project, the competitive corridor, Corridor 4, becomes stronger in comparison to Corridor 10, with the aim of keeping the same freight transport volume on Corridor 10, the service quality should be improved. - Z – Privatization of Port "Bar" - for the considered rail network in Serbia, one of the relevant external projects is the forthcoming privatization and improvement of the Port of Bar. Realization of this project would increase the volume of freight transport from Montenegro, through Serbia, to Hungary. The authors suggested using the dynamic approach to define the priorities of relevant external projects, with respect to the effects on the alternatives. The following is an explanation of this proposal. One relevant external project has already been realized, Vidin-Calafat Bridge, project X (opened on June 14 th , 2013). The end of the second project, the rehabilitation of Corridor 4, is planned for 2020. Project Z, privatization of Port "Bar", will be realized in the near future, but its effects will become visible in the next few years. We assume that the relevant time horizon for consideration is from 2014 to 2020. In this period, the projects may change over time and all mentioned external projects will have been finished. 4. Results and discussion The first part of the model, the static one, was developed using the Super Decisions software. Table 4 presents the alternatives' weights relative to the criteria. All the calculations were performed using the well-known equations from the AHP approach (Bojkovic et al., 2011). Table 4 Alternatives' weights relative to criteria The authors assumed that relative priorities of relevant external projects were timedependent values. Table 5 shows pair-wise comparison matrices for relevant external projects. Table 5 Pair-wise matrices for relevant external projects Based on the data from the previous table, the functions of priorities are defined in Table 6. Table 6 Dynamic priorities of relevant external projects \| \| X Y Z \| \|---\|---\| \| X Y Z \| 1 2.8570.643t 5.333 0.067t 1 4.1670.5t 1 \| According to the data from the table 6: Where: R2 – The R squared values, indicates how well data points fit in a statistical model t – Time horizon: 2014 (t=1), 2017 (t=2) and 2020 (t=3) Thereafter, using the following equations, the weights for relevant external projects can be obtained (Saaty, 2007b). All the computations have been done in Matlab. Where: w X e t, Y e t w, Z e t w - weights of the relevant external projects, for , , X Y Z, 1,3 t The following graphs (Figures 2a, b, c) show the changes of the relevant external projects weights, X e t w , Y e t w and Z e t w , over time horizons. This time dependence of the weights was the main reason for using the dynamic approach, i.e. dynamic priorities, in this model. The considered time horizon from 2014 to 2020 is on the x axes. The y axes show the weight of relevant external projects; there are three graphs for each relevant external project, respectively. The weights of the alternatives relative to criteria, j c w , are a constant value (Table 4), but the weights of the alternatives relative to external projects, m e t w , are time dependent. We assume that the criteria have the weight of 0.7, and the relevant external projects of 0.3 for the whole model. Final weights of the alternatives in the model should be calculated by the following equation (Table 7): Table 7 Alternatives weights relative to external projects and final results of the whole model through time horizons \| \| 2014 2017 2020 \| \|---\|---\| \| A1 A2 A3 A4 A5 A6 A7 A8 \| w w w w w w e m1 A i1 e m2 A i2 e m3 A i3 0.164 0.168 0.169 0.168 0.200 0.178 0.145 0.144 0.144 0.144 0.133 0.141 0.145 0.117 0.144 0.117 0.133 0.113 0.145 0.092 0.144 0.092 0.133 0.089 0.145 0.118 0.144 0.118 0.133 0.115 0.145 0.107 0.144 0.107 0.133 0.104 0.055 0.052 0.056 0.052 0.067 0.055 0.055 0.202 0.056 0.202 0.067 0.206 \| The final rank of the alternatives is presented in the Figure 3. The evaluation of the process over time can be observed. The authors analyzed the relevant time period for the considered issue (2014-2020). Two different time windows are defined due to the following: - The first relevant change should be realized about 2017 - the end of the external project "Privatization of Port Bar". - The second relevant change will occur in 2020 - the end of the external project "Rehabilitation of Corridor 4". In this case study, the relative importance of the alternatives is not changeable over time. However, during time, some alternatives become more (A1, A7 and A8) or less (A2, A3, A4, A5 and A6) dominant. Figure 3. Final alternatives weights through time horizons Sensitivity analysis The assumption included in Equation 14, that the criteria weight is wc=0.7, and for the relevant external projects weight is wrep=0.3, can be modified in order to present a sensitivity analysis. The final results show that the relative project's rank is the same through the whole time horizon for the first case (wc=0.7, wrep=0.3). The project's rank is very similar in the second case (wc=0.5, wrep=0.5), the only difference is that the first and the second ranked alternatives, as well as the sixth and the seventh, change places. In the third case (wc=0.3, wrep=0.7), changes are the most evident, especially in the period after 2017. The following figure shows that the projects A8, A4 and A6 are time sensitive, so the project A8 changes even four positions, from the first, second, over the third to the seventh ranked project. The projects A4 and A6 in some cases are in the fifth, sixth or seventh ranked position. Figure 4. Final alternatives rank through time horizons with different criteria and relevant external projects weights 5. Conclusions The evaluation of transport projects is a multi-criteria decision making process. This process is of great importance to a company's success, because very often it defines the company's share of the market. The model of decision making as a support system should have a flexible structure, suitable for potential modifications. Decision makers sometimes need a model which takes into account changes of the system elements, or changes in the system surroundings. This model describes results with all possible modifications and gives suggestions for all of them. The developed model involves changes in the system surroundings, with consideration of the relevant external projects; in addition, it includes changes of the element's priorities over time horizons, giving the final alternatives weights through time horizons. The analyzed case study is Rail Corridor 10 in Serbia. The relative importance of the alternatives in this model is not significantly changeable over time. However, during time, some alternatives become more or less dominant. With respect to future studies, we recommend analyzing relevant stakeholders and their influence on a decision making process. 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RELATIONSHIPS BETWEEN ENVIRONMENTAL CONSUMPTION VALUES AND ATTITUDE FACTORS FOR GREEN HOTEL PRACTICES Bilsen BİLGİLİ 1 Emrah ÖZKUL ORCID: 0000-0002-8454-8318 2 ORCID: 0000-0002-7938-6916 ABSTRACT Along with the deteriorating environmental conditions, available resources of the world are decreasing. Environmentally friendly consumption behavior is becoming more widespread by increasing the interest in environmentally friendly products and services that are produced to meet the needs of consumers who have a higher level of awareness and consciousness towards nature and who show value-based consumption behavior. One of the environmentally friendly products in the field of Tourism, which is one of the pioneers of the service industry, is green hotel applications. In this study, the relationships between the levels of tourists related to consumption value factors and their attitudes towards green hotel practices were examined. According to the results of the study, it has been determined that environmentalist consumption values have an effect on attitude factors towards green hotel practices (p <001). The relationships between Innovation value, "Emotional Value and Situation Value and Basic green indicators, Sacrifice (The tourist) and formal green indicators from the attitude factors have come to the fore. In this regard, it was determined that the emphasis on consumption values is an important marketing tool for green hotel practices to be adopted by tourists and develop a positive attitude. KEYWORDS: Consumption value, Environmentalism, Green behaviour, Green consumption, Green hotel L83, M31, Q56 JEL CODES: 1 2 Doç. Dr., Kocaeli Üniversitesi Turizm Fakültesi, email@example.com Cilt / Volume: 12 Sayı / Number: 1 ISSN : 2147-0618 ÇEVRECİ TÜKETİM DEĞERLERİ İLE YEŞİL OTEL UYGULAMALARINA YÖNELİK TUTUM FAKTÖRLERİ ARASINDAKİ İLİŞKİLER ÖZ Giderek bozulmakta olan çevre koşulları ile birlikte dünyanın kullanılabilir kaynakları da azalmaktadır. Doğaya yönelik farkındalık ve bilinç düzeyi artan değer temelli tüketim davranışı gösteren tüketicilerin ihtiyaçlarını karşılamak üzere üretilen çevre dostu ürün ve hizmetlere yönelik ilgileri artarak, çevreci tüketim davranışı yaygınlaşmaktadır. Hizmet endüstrisinin öncülerinden olan Turizm alanındaki çevre dostu ürünlerden biri de yeşil otel uygulamalarıdır. Bu araştırmada, turistlerin tüketim değer faktörlerine ilişkin düzeyleri ile yeşil otel uygulamalarına yönelik tutumları arasındaki ilişkiler incelenmiştir. Araştırma sonuçlarına göre, çevreci tüketim değerlerinin yeşil otel uygulamalarına yönelik tutum faktörleri üzerinde etkili olduğu belirlenmiştir (p<001). Çevreci tüketim değerlerinden "Yenilik Değeri", "Duygusal Değer" ve "Durumsal Değer"in, yeşil otel uygulamalarına yönelik tutum faktörlerinden "Basic Green Indicators", "Sacriface (The Tourist)" ve "Formal Green Indicators" faktörleri arasındaki ilişkilerin öne çıktığı belirlenmiştir. Buradan hareketle, yeşil otel uygulamalarının turistler tarafından benimsenmesi ve olumlu tutum geliştirmeleri için, tüketim değerleri vurgusunun önemli bir pazarlama aracı olduğu belirlenmiştir. ANAHTAR KELİMELER: Tüketim Değerleri, Çevrecilik, Yeşil Davranış, Yeşil Tüketim, Yeşil Otel. L83, M31, Q56 JEL KODLARI: 1. Introduction The rapid development experienced in today's markets makes it difficult to create competitive advantage in the market. Businesses are turning to abstract benefits such as "creating value" and "brand" instead of physical differences to provide competitive advantage in similar products. The value-based marketing process that emerges with these developments consists of four stages (Doyle, 2003, p. 140). The first step is to fully understand customer needs, activities and decision processes. Thus, important information can be provided about what customers value most. The second step is to create a superior value than competitors' offer, which meets the needs of customers and provides the advantage of being different. The third step is to establish long-term relationships with customers and turn to successful business relationships with which they purchase again. In this way, a certain level of loyalty is provided, satisfaction-based trust develops, and trust in the source of supply can be created. Yıl/ Year: 2023 Finally, an attempt is made to offer the customer a superior value. This means more than just focusing on the customer because it is a stage that requires superior knowledge, skills, systems and marketing assets. Managers should invest in qualified resources to produce quality goods and services before performing their marketing activities. One of the important environmental-value-oriented marketing issues of consumers, described in the first stage of value-based marketing, is the concept of environmentally friendly consumption within the framework of an environmental / green marketing approach. Within the framework of the concept of "ecological marketing" that first appeared in the 1970s with the marketing and environmental studies of the American Marketing Association (AMA), environmental / green marketing approach was expressed as "examining the positive and negative aspects of marketing activities on pollution, energy depletion and non-energy resource depletion" (Henion and Kinnear, 1976, p. 1). Kotler and Keller used the concept of green marketing in the 1990s (Kotler and Keller, 2012, p. 82). This concept means focusing on products and services that do not harm the environment while creating the marketing profit by using environmental awareness in the marketing activities of businesses (Kinoti, 2011, p. 264; Dibb et al., 2005, p. 850). On the other hand, it is the profitable and sustainable management of marketing processes responsible for the needs of customers and society (Peattie, 2001, p. 129). Environmental attitudes can be handled within the framework of three basic thoughts: anthropocentric thinking, ecocentric thinking and antipathetic attitudes (Gagnon Thompson and Barton, 1994; Kayaer, 2013; Yalmancı, 2015). The anthropocentric approach suggests that plants, animals, and inanimate objects are for humans and have no value. It is an approach that gives unlimited consumption right to people (Gerçek, 2016) and does not see the relationship between human and nature (Saka and Sürmeli, 2013; Şahin et al., 2017). Ecocentric thinking, on the other hand, is an approach that defends that people, animals, plants and all inanimate objects in nature have equal rights (Ağbuğu, 2016). The concept of antipathetic attitudes, on the other hand, expresses the attitudes of individuals who are indifferent to the environment, find the activities for the environment exaggerated and / or unnecessary, who are not individually affected by environmental problems and who believe that these problems concern future generations (Aymankuy et al., 2016). Along with the emerging approaches to environmental problems in today's markets, there have been differences in both the needs and behaviors of consumers and the marketing strategies of businesses. Therefore, the need to examine the factors affecting consumer Sayı/ Number: 1 Yıl / Year: 2023 ISSN : 2147-0618 behavior in terms of environmentally friendly products has emerged. Determining the prominent factors in influencing the consumption behaviors of products and services developed within the framework of environmental awareness can be a guide for marketers to develop strategies for a sustainable world. Although there are many factors that affect the consumer purchasing decision process, the compatibility between the purchased product and the characteristics of the individual are the main determinants of the process. According to the models that explain the purchasing behavior of consumers, it can be said that the first thing consumers pay attention to in a product is the features of that product (Lancaster, 1966). Consumers decide according to the harmony they have established between their own characteristics and product features in the purchasing decision process. The characteristics of consumers are related to many factors such as demographic, personal, social, cultural, belief, value and psychographic variables. One of these features is consumption values (Koç, 2007). In this study, it was aimed to determine the relationships between environmentalist consumption values of tourists and attitude factors towards green hotel practices. For this purpose, exploratory, confirmatory factor analysis and canonical correlation analysis were applied to the data obtained from the surveys conducted on 400 tourists, and the value dimensions were determined to be effective on the factors for green hotel practices. It was observed that these effects are also different in terms of consumption values. Based on the results of the research, various suggestions were made to hotel management managers to develop green strategies. 2. Theoretical Background The concept of value is defined as "explicit or implicit phenomena that distinguish individuals or groups, affecting the choice made between the forms, tools or results of an existing behavior" (Kluckhohn, 1951, p. 395). Stating that values have an important place in understanding and evaluating consumer behavior; it is expressed as "basic principles that affect consumer preferences and act as a guide in people's behaviors" (Gutman, 1982, p. 60). Values are also considered as persistent beliefs that consider certain behaviors and goals more preferable than others, individually or socially. Accordingly, it was stated that the values are related to the goals that people want to achieve (Odabaşı and Barış, 2004, p. 212). Values have features such as belief, motivating effect, principle guiding behavior, determining the importance of an asset and revealing the characteristics of special situations (Schwartz, 1990; Schwartz, 1992; Bilsky and Schwartz, 1994). Cilt/ Volume: 12 Yıl/ Year: 2023 In today's competitive environment, it is very important for businesses to understand consumer behaviors and create market segments accordingly. When the value studies in the field of marketing are analyzed in recent years, one of the prominent ones dealing with the value in terms of the characteristics of individuals is "consumption values". Consumption values are shaped depending on the benefit consumers hope to obtain from the products they prefer. One of the most current models explaining the selection process of consumers is the consumption values model introduced by Sheth et al. (1991a) (Pope, 1998, p. 125). Sheth et al. (1991a) developed the consumption values model based on the Howard-Sheth model that explains consumer behavior (Gaskill, 2004, p. 35). According to this theory, the values that consumers have affect the purchasing behavior of consumers. In this model, consumption values are evaluated within the framework of five consumption values including functional, social, emotional, situational and innovation values. Functional Value is considered as a value that has a primary effect on consumers' preferences. It is expressed as the perceived benefit derived from the utilitarian or physical performance of the product or service (Sheth, 1991a, p. 32). It usually includes the benefit of the product's performance, reliability, durability, and price (Xiao and Kim, 2009, p. 612; Lin and Huang, 2012, p. 14). Economic benefit theory is the basis of the choices made taking into consideration the functional value. Social Value is the benefit to be gained by being a member of a specific social group or groups. This social benefit can be positively or negatively related to demographic, socioeconomic and cultural (ethnic) groups (Sheth et al., 1991a, p. 38). Studies on social value in the marketing field include social class, symbolic value, reference groups, conspicuous consumption, opinion leadership and spreading innovation. Emotional Value can emerge positively in consumption preferences such as "commitment, nostalgia, and excitement" and negatively such as "fear, guilt, anger" (Sheth et al., 1991a). It is a benefit emerging according to the emotional state obtained and perceived from a product. This value is related to the responses of consumers to the product (Xiao and Kim, 2009, p. 612). Situational Value can be expressed as benefit emerging and perceived related to a particular situation faced by the person making the choice. This alternative benefit arises in an unexpected situation with a physical or social feature that supports functional or social value. Benefit created by situational value stems from external factors. The factors that change the behavior of consumers and affect the purchasing decisions arise from a situation due to the Cilt/ Volume: 12 Yıl/ Year: 2023 external environment. The consumer's perception of situational value is often unknown before a situation that changes behavior can occur. In some cases, on special occasions such as feasts and celebrations, consumers can be aware of the situational benefit of the product they will purchase (Sheth et al., 1991a, p. 69). Innovation Value can be defined as the benefit that responds to the wishes and needs of the product, the desire to know, the curiosity and the innovation. While developing innovation value, Sheth et al. (1991) benefited from various social science disciplines such as personality, psychology, sociology, communication and economics. The innovation value includes topics such as Maslow's need for self-transcendence in the hierarchy, Katona's intellectual needs in the needs model, and Hanna's need for personal development. In a study comparing the environmental sensitivities of the consumers with the consumption values, it was observed that there was a relationship between the environmentally friendly consumers purchasing environmentally friendly products and consumption values (Lin and Huang, 2012). In another study, it was determined that functional, social and creativity values, which are among consumption values, have an impact on environmental anxiety (Suki and Suki, 2015). There are many studies showing that there is a relationship between consumption values and demographic characteristics and personal values in environmentalist consumption behaviors (Candan and Yıldırım, 2013; Yıldırım and Candan, 2015; Aydın, 2016). In the light of this information, the hypothesis of the research "H1: Environmental consumption values have an impact on attitude factors towards green hotel practices" has been developed. On the other hand, with the increasing awareness of environmental consumption, businesses that place importance on environmentally sensitive social awareness and carry out environmental activities within the framework of social responsibility are perceived as prestigious by consumers (Erbaşlar, 2012, p. 95). From this point of view, businesses turned to green marketing activities, which is a niche strategy in differentiation in competition by turning to the production of environmentally friendly green products for environmentally conscious consumers. Green practices, which have become widespread in all industries, have emerged with unique practices in the tourism industry, which is one of the pioneers of the service sector. One of the important businesses in the tourism industry is hotels that offer accommodation. Many green practices are carried out in a wide range for saving and efficient resource use. Enz and Siguaw (1999, p. 77) found in their study that green hotel practices save money and that even some income can be earned from some practices. In a previous research, Yıl/ Year: 2023 the relationships between the attitudes of green hotel employees towards carrying out green hotel practices and their environmental characteristics and environmental behaviors were investigated. More specifically, the study's results found that employees' intention to implement green practices arising from work environment has a moderation effect on the relationships between three employee-related factors (environmental awareness, environmental concern, and environmental knowledge) and ecological behaviors (Okumus et al., 2019). Hotels have an important share in environmental pollution caused by the tourism industry. Green practices in hotels will contribute to reducing this environmental negativity. It will also have a positive economic impact on the sustainable performance of hotels. (Asadi et al., 2020). 3. Materials and Methods The aim of the study was to determine whether the environmentalist consumption values of tourists have an impact on attitude factors towards green hotel practices. It is aimed to identify the prominent ones in the effects of each value dimension on attitude factors. In line with the results to be obtained from the research, guiding suggestions were tried to be presented to hotel management managers and researchers working in this field. In the research, the survey method was chosen as a data collection tool. The mainstream of the research consists of environmental organization members and environmental volunteers. The sample frame of the research consists of tourists who purchase hotel services on the digital platform of these organizations, which are members of the internet groups. The sample of the study were determined as 384 people at 0.05 significance level of %95 confidence limit (Hair, 1998). Taking into consideration the possible deficiencies and errors, a survey was conducted on 500 people. 400 of these questionnaires were determined in accordance with the analysis and included in the study. The first part of the questionnaire included questions about demographic characteristics of the participants, purchasing behaviors for consuming hotel services and determining environmental consumer behavior levels. It has been suggested that the meaning and motivation of the consumption of many products and services may depend on consumption values (Long and Schiffmann, 2000, p. 214-215). For this reason, Sheth et al. (1991) consumption values theory has been used in many studies to explain consumption preferences (Park and Rabolt, 2009, p. 719). In the survey of this study, the consumption values scale of Sheth et al., (1991) consisting of 5 dimensions, 36 expressions, which are functional, social, emotional, situational and innovative, were used in determining environmental consumption values. The practices mentioned in the literature Yıl/ Year: 2023 / Number: 1 regarding the green hotel practices and the practices in 5 different hotels were classified by the researchers. A set of 25 expressions was prepared to determine the attitudes of the tourists towards these practices. Expressions for measuring environmentalist consumer values and attitudes towards green hotel practices were prepared with a 5-point Likert scale. The intelligibility of the survey questions was tested with a preliminary survey on 20 respondents. The questionnaire was given its final form. In accordance with the purpose and variables of the research, the following research model was created. H In line with the research model, firstly, exploratory factor analysis was conducted on attitude variables towards green hotel practices. Confirmatory factor analysis was administered to the environmental consumption value scale. Later, canonical correlation analysis was conducted to determine the relationship between environmentalist consumption value factors and attitude factors towards green hotel practices. 4. Results And Discussion The surveys of 400 people included in the study were analyzed, the frequency analysis of the questions regarding the demographic characteristics and purchasing behavior of the participants was examined and the results are presented in the tables below. 3.1. Membership Status of the Participants to Environmental Organizations Membership status of the participants in environmental organizations is shown in Table 1. Table.1 Membership Status of Participants in Environmental Organizations \| Membership status to environmental \| Frequency \| Percentage \| \|---\|---\|---\| \| TEMA \| 300 \| 75 \| \| VOLUNTEER \| 92 \| 23 \| \| GREENPEACE \| 19 \| 4.8 \| \| DOĞÇEV \| 11 \| 2.8 \| \| DOĞADER \| 5 \| 1.3 \| \| OTHER \| 6 \| 1.5 \| \| TÜRÇEK \| 2 \| 0.5 \| Cilt / Volume: 12 Yıl / Year: 2023 ISSN : 2147-0618 The majority of the participants have membership in TEMA (75%). It was observed that 35 of the participants were members of more than one environmental organization. 3.1. Demographic Features of Participants The distribution of environmentally friendly consumers participating in the research according to their demographic characteristics is shown in Table 2. Table.2 Distribution of Participants' Demographic Features \| \| Frequency \| Percentage (%) \| \| Frequency \| \|---\|---\|---\|---\|---\| \| Age \| \| \| \| \| \| 18-27 \| 271 \| 67.8 \| Female \| 206 \| \| 28-37 \| 72 \| 18.0 \| Male \| 194 \| \| 38-47 \| 44 \| 11.0 \| Total \| 400 \| \| 48-57 \| 10 \| 2.5 \| \| \| \| 58- and over \| 3 \| 0.7 \| \| \| \| Total \| 400 \| 100 \| \| \| \| Education Level \| \| \| \| \| \| Primary \| 18 \| 4.5 \| 2000 TL and below \| 73 \| \| Secondary \| 88 \| 22.0 \| 2001-4000 TL \| 202 \| \| Undergraduate \| 280 \| 70.0 \| 4001-6000 TL \| 87 \| \| Postgraduate \| 14 \| 3.5 \| 6001 TL + \| 38 \| \| Total \| 400 \| 100 \| Total \| 400 \| As can be seen from the table, 48.5% of the research sample consists of men and 51.5% consists of women. 67.8% of them are in the 18-27 age groups, 70% are undergraduates, 50.5% are in the 2001-4000 TL income group. 3.2. Purchasing Behavior of Participants towards Environmentally Friendly Products The distribution of environmentally friendly consumers participating in the study according to their level of attention to whether the products they have purchased are environmentally friendly is shown in Table 3. Table.3 Distribution of Participants' Attention Levels for Purchasing Environmentally Friendly Products \| I always pay attention \| 43 \| \|---\|---\| \| I often pay attention \| 73 \| \| I sometimes pay attention \| 138 \| \| I rarely pay attention \| 70 \| \| I never pay attention \| 76 \| \| Total \| 400 \| The distribution of attention levels was examined in order to determine how much the participants pay attention to whether the product is environmentally friendly. Accordingly, it was determined that 81% of the participants showed environmentally friendly product purchasing behavior and 19% did not. Therefore, it can be said that the vast majority of the participants have moderate attention level towards purchasing environmentally friendly Yıl/ Year: 2023 products. This shows that although the participants are members of environmental organizations or volunteers, their sensitivity towards purchasing environmentally friendly products may be moderate. The behavior of the participants to purchase services from hotels is shown in the Table 4. Table.4 Frequency of Service Purchase from Hotels and Preference For Hotel Type \| Frequency of Service Purchase from Hotels \| \| \| \| \| \|---\|---\|---\|---\|---\| \| Frequency \| Number \| Percentage \| Hotel Type \| Mean \| \| Once a week \| 4 \| 1.0 \| 5- Star \| 1.0704 \| \| Once a month \| 17 \| 4.3 \| Pension \| 1.1111 \| \| Once in three months \| 23 \| 5.7 \| Boutique \| 1.1310 \| \| Once in six months \| 58 \| 14.5 \| 4- Star \| 1.1905 \| \| Once a year \| 175 \| 43.8 \| 3- star \| 1.3704 \| \| Less than a year \| 123 \| 30.7 \| \| \| 43.8% of the participants receive hotel service once a year, 30.7% less than 1 year, and 14.5% every 6 months. Regarding the order of importance in hotel preferences, it is seen that they prefer 5-star hotels in the first place and 3-star hotels in the last place. 3.3. Validity and Reliability Analysis of Attitude Scale for Green Hotel Practices In order to determine the attitude factors of the participants towards green hotel practices, exploratory factor analysis was applied to 25 variables directed for the participants' evaluations. Reliability analysis was performed for these variables, and 95.4% Cronbach's alpha value was found after the proposed variables were eliminated. This is a very high value for the reliability of a research. KMO Barlett's test is performed to determine the significance of factor analysis, which allows summarizing the ones with high correlation value among many variables under certain factors (Hair, 1998, p. 99). Barlett's test was used to determine the relationships between variables and 7120.86 value was found, it was determined that this value shows significance at the level of p <0.01. As it can be seen from the Table 5, the sample adequacy (0.948) is high. Table.5 KMO and Barlett'sTest As a result of the analysis, 4 factors were obtained. Attitude factors of the participants towards green hotel practices are grouped under 4 main headings and each factor is named to represent the variables that make up it. These factors are shown in Table 6. Table.6 Attitude Factors for Green Hotel Practices \| Factor 1: Basic Green Indicators Cronbach’s Alfa=76.0 \| \| \| 11.842 \| \|---\|---\|---\|---\| \| V21- I would like the use of public transportation vehicles, bicycles, battery powered vehicles that save fuel energy in the areas and transportation of hotels \| 3.9975 \| 0.835 \| \| \| V23- I would like to have sun loungers or rest areas in order to benefit from the green areas and to be in touch with the nature \| 4.0677 \| 0.832 \| \| Cilt / Volume: 12 Yıl / Year: 2023 Sayı/ Number: 1 ISSN : 2147-0618 \| V20- I would like to see informative notes in hotels stating that waste oils in the kitchen are sent for recycling \| 3.9398 \| 0.823 \| \| \| \|---\|---\|---\|---\|---\| \| V22- I would like hotels to have protected areas for endangered plants or animals and informative notes about them \| 4.0200 \| 0.805 \| \| \| \| V18- I would like hotels to have sensor taps for water saving \| 4.0628 \| 0.783 \| \| \| \| V25- I would like to see informative notes stating that chemical cleaning products containing carcinogens are not used in hotels and alternative products are used. \| 4.0875 \| 0.776 \| \| \| \| V19- I would like hotels to have informative signs or explanatory notes for environmental activities for saving purposes (such as warning note not to clean my room today) \| 4.0000 \| 0.771 \| \| \| \| V17- I would like hotels to collect and separate garbage in separate containers for the recycling of waste \| 4.0351 \| 0.768 \| \| \| \| V16- I would like hotels to have eco roofs and grow vegetables there and cook them. \| 3.8825 \| 0.673 \| \| \| \| V14- I would like hotels to use wastewater and rainwater for different purposes such as lawn irrigation \| 3.7950 \| 0.671 \| \| \| \| V13- I would like to use electronic information systems such as e-mail, SMS, e-invoice to prevent paper waste in hotels. \| 3.8375 \| 0.629 \| \| \| \| V24- I would like hotels to have advisory notes to prevent wastage caused by washing towels and bed linens unnecessarily every day \| 3.7475 \| 0.598 \| \| \| \| V15- I would like hotels to have ceiling fans as an alternative to electric air conditioners to save energy \| 3.6725 \| 0.584 \| \| \| \| Factor 2: Formal Green Indicators Cronbach’s Alfa=77.3 \| \| \| 2.591 \| 10.364 \| \| V1- I pay attention to whether the hotel providing me with service has green certificate \| 3.3593 \| 0.828 \| \| \| \| V2- I pay attention to whether the hotel service has the status of ecological hotel \| 3.3650 \| 0.823 \| \| \| \| V3- I pay attention to whether the hotel service has blue flag certificate \| 3.4962 \| 0.809 \| \| \| \| V4- I pay attention to whether the hotel service has green star environmental certificate \| 3.4300 \| 0.797 \| \| \| \| Factor 3: Sacrifice (The Hotel) Cronbach’s Alfa=72.0 \| \| \| 1.339 \| 5.355 \| \| V7- I would like the hotel to have systems for using solar energy \| 3.7525 \| 0.779 \| \| \| \| V8- I would like the hotel to have systems to prevent heat loss \| 3.8145 \| 0.777 \| \| \| \| V9-I would like the use of sensors for saving in the lighting of the general areas of the hotel providing me service \| 3.7925 \| 0.729 \| \| \| \| V6- I would like the use of energy saving light bulbs in the hotel providing me service \| 3.6800 \| 0.719 \| \| \| \| V10- I would like practices such as the use of fabric napkins to prevent paper waste in hotels. \| 3.6541 \| 0.551 \| \| \| \| Factor 4: Sacrifice (The Tourist) Cronbach’s Alfa=79.3 \| \| \| 1.216 \| 4.862 \| \| V12- I would like hotels to have unpackaged multi-use soaps for saving \| 3.2650 \| 0.806 \| \| \| \| V11- I would like hotels to use of oversized multi-use shampoos to prevent wastage \| 3.6425 \| 0.619 \| \| \| \| TOTAL Cronbach’s Alfa= 81.5 \| \| \| \| 67.948 \| Yıl/ Year: 2023 According to the results of the factor analysis on the green practices in the hotels, these practices were gathered under 4 factors. The total variance explained is as high as 67.948%. The first factor, which the total variance explained is the highest as 47.367%, includes variables with "basic green indicators". The second factor, which includes variables related to formal green indicators, is in the second place with a 10.364% variance explained. The third factor is the "Sacrifice (the hotel)" factor with 5.355% variance explanation rate that includes variables related to the voluntary investments and sacrifices of the hotels. The last factor is the factor "Sacrifice (the tourist)", which has a variance explanation rate of 4.862%, and 2 variables that express the sacrifice of the participants. Confirmatory factor analysis was conducted to test the validity of the exploratory factor analysis performed to determine the attitude factors for green hotel practices. Variables that showed negative variance, exceed standard coefficients (very close to 1.0) or gave very large standard errors were checked (Hair et al., 1998, p. 610) and 4 unsuitable variables were eliminated. Factors are validated and analysis results are shown in Table 7. Table.7 Reliability and Validity Levels of Attitude Factors for Green Hotel Practices \| Variables \| \| Standard \| R2 \| \| Standard \| t-value \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| Value \| \| \| Error \| \| \| Factor 1: Basic Green Indicators Cronbach’s Alfa=76.0 Construct Reliability=0,94 Explanatory Variance=0,89 \| \| \| \| \| \| \| \| V21 \| 0.87 \| \| 0.75 \| 0.34 \| \| 21.60 \| \| V23 \| 0.80 \| \| 0.65 \| 0.41 \| \| 19.24 \| \| V20 \| 0.84 \| \| 0.71 \| 0.41 \| \| 20.71 \| \| V22 \| 0.83 \| \| 0.69 \| 0.37 \| \| 20.30 \| \| V18 \| 0.82 \| \| 0.67 \| 0.41 \| \| 19.70 \| \| V25 \| Eliminated \| \| \| \| \| \| \| V19 \| 0.83 \| \| 0.68 \| 0.43 \| \| 20.02 \| \| V17 \| 0.79 \| \| 0.62 \| 0.50 \| \| 18.64 \| \| V16 \| 0.71 \| \| 0.50 \| 0.67 \| \| 16.06 \| \| V14 \| Eliminated \| \| \| \| \| \| \| V13 \| 0.69 \| \| 0.47 \| 0.74 \| \| 15.46 \| \| V24 \| 0.65 \| \| 0.43 \| 0.91 \| \| 14.46 \| \| V15 \| Eliminated \| \| \| \| \| \| \| Factor 2: Formal Green Indicators Cronbach’s Alpha=77.3 Construct Reliability=0,93 Explanatory Variance=0,79 \| \| \| \| \| \| \| \| V1 \| 0.86 \| \| 0.74 \| 0.36 \| \| 20.90 \| \| V2 \| 0.86 \| \| 0.74 \| 0.34 \| \| 20.82 \| \| V3 \| 0.80 \| \| 0.64 \| 0.48 \| \| 18.82 \| \| V4 \| 0.82 \| \| 0.68 \| 0.40 \| \| 19.55 \| \| Factor 3: Sacrifice (The Hotel) Cronbach’s Alpha =72.0 Construct Reliability=0,86 Explanatory Variance=0,78 \| \| \| \| \| \| \| Cilt/ Volume: 12 \| V8 \| 0.83 \| 0.70 \| 0.42 \| 19.75 \| \|---\|---\|---\|---\|---\| \| V9 \| 0.87 \| 0.75 \| 0.30 \| 20.88 \| \| V6 \| 0.74 \| 0.54 \| 0.62 \| 16.51 \| \| V10 \| 0.66 \| 0.43 \| 0.83 \| 14.16 \| \| Factor 4: Sacrifice (The Tourist) Cronbach’s Alpha =79.3 Construct Reliability=0,68 Explanatory Variance=0,63 \| \| \| \| \| \| V12 \| 0.56 \| 0.31 \| 1.36 \| 10.49 \| \| V11 \| 0.86 \| 0.74 \| 0.43 \| 15.10 \| As it can be seen from the table, after modification, fit index values were realized at an acceptable level. Therefore, it is possible to say that attitudes towards common green hotel practices are perceived by tourists under 4 basic factors. 3.4. Validity and Reliability Analyses of Environmental Consumption Values Scale To determine the environmental consumption values of tourists, Sheth et al. (1991)'s fivedimensional consumption values scale was used. Confirmatory factor analysis was performed to determine the validity of the scale and the results are shown in Table 8. Table.8 Reliability and Validity Test of Environmental Consumption Values Scale \| Variables \| \| Standard \| R2 \| \| Standard \| t-Value \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| Value \| \| \| Error \| \| \| Functional Value: Cronbach’s Alpha = 86.9 Construct Reliability=0,88 Explanatory Variance=0,86 \| \| \| \| \| \| \| \| Environmentally friendly products have a certain standard quality. \| 0.54 \| \| 0.29 \| 0.87 \| \| 11.06 \| \| When choosing a product, it is important to me which materials it is (plastic, glass, copper, etc.) made of. \| Eliminated \| \| \| \| \| \| \| I always prefer packaged products that can be recycled. \| Eliminated \| \| \| \| \| \| \| Environmentally friendly products are manufactured in high technology. \| 0.62 \| \| 0.38 \| 0.84 \| \| 13.12 \| \| Environmentally friendly products are more reliable than conventional products. \| 0.71 \| \| 0.51 \| 0.66 \| \| 15.90 \| \| I always get what I pay for environmentally friendly products. \| 0.82 \| \| 0.68 \| 0.47 \| \| 19.46 \| \| Environmentally friendly products have a quality equivalent to their prices. \| 0.79 \| \| 0.62 \| 0.51 \| \| 18.22 \| \| I do not doubt the performance of environmentally friendly products. \| 0.80 \| \| 0.64 \| 0.51 \| \| 18.65 \| \| Environmentally friendly products are more economical than conventional products. \| Eliminated \| \| \| \| \| \| / Year: 2023 Cilt / Volume: 12 Yıl I do not purchase an \| Environmentally friendly products are more efficient than conventional ones. \| 0.68 \| 0.46 \| 0.71 \| 14.81 \| AFTER MODIFICATION Chi-Square=548.26 Sd=242 Chi-Square/Sd= 2.26 RMSA = 0.056 GFI = 0.90 CFI = 0.98 AGFI = 0.87 RMSR = 0.047 \| \|---\|---\|---\|---\|---\|---\| \| Social Value: Cronbach’s Alpha =88.8 Construct Reliability=0,83 Explanatory Variance=0,79 \| \| \| \| \| \| \| When I purchase environmentally friendly products, I feel that I am accepted by the community. \| 0.75 \| 0.57 \| 0.71 \| 16.79 \| \| \| Purchasing environmentally friendly products has a good effect on my image in the society. \| 0.87 \| 0.76 \| 0.38 \| 20.85 \| \| \| I can influence other people by purchasing environmentally friendly products. \| 0.80 \| 0.64 \| 0.61 \| 18.29 \| \| \| I think purchasing environmentally friendly products provides a social status. \| Eliminated \| \| \| \| \| \| By purchasing an environmentally friendly product, I think I am a good example to my immediate circle (family and friend) \| Eliminated \| \| \| \| \| \| My immediate circle has an influence on my decision whether to purchase a product. \| 0.53 \| 0.28 \| 0.87 \| 10.73 \| \| \| I stop purchasing a product that my immediate circle does not welcome. \| Eliminated \| \| \| \| \| \| As people around me purchase environmentally friendly products, I prefer them. \| Eliminated \| \| \| \| \| \| Emotional Value: Cronbach’s Alpha =85.8 Construct Reliability=0,84 Explanatory Variance=0,80 \| \| \| \| \| \| \| When I purchase an environmentally friendly product, I feel that I am doing something good. \| 0.74 \| 0.54 \| 0.58 \| 16.39 \| \| \| When I purchase an environmentally friendly product, I feel that I am doing the right thing. \| Eliminated \| \| \| \| \| \| I think I am a better person when I purchase environmentally friendly products. \| 0.81 \| 0.65 \| 0.48 \| 18.63 \| \| \| I feel bad when I purchase an environmentally hazardous product. \| 0.71 \| 0.50 \| 0.76 \| 15.48 \| \| \| I feel happy when I purchase a product that does the least harm to the environment. \| 0.75 \| 0.56 \| 0.62 \| 16.63 \| \| \| I think I protect the nature by purchasing environmentally friendly products. \| Eliminated \| \| \| \| \| \| Situatinoal Value: Cronbach’s Alpha =85.3 \| \| \| \| \| \| Cilt/ Volume: 12 ISSN : 2147-0618 \| Construct Reliability=0,81 Explanatory Variance=0,80 \| \| \| \| \|---\|---\|---\|---\| \| I am purchasing environmentally friendly products due to the increase in bad environmental conditions such as recent global warming, weather and sea pollution. \| 0.72 \| 0.52 \| 0.66 \| \| I prefer environmentally friendly products to conventional ones in sales promotion, etc. \| \| \| \| \| If there are stands of environmentally friendly products in the stores I shop, I purchase environmentally friendly products. \| 0.75 \| 0.56 \| 0.59 \| \| When I see or hear news about firms doing environmentally harmful actions, I stop purchasing the products of those firms. \| 0.69 \| 0.48 \| 0.68 \| \| I change the product I have purchased if my immediate circle gives negative reaction. \| \| \| \| \| When I find out that the ingredients of a product are harmful to the environment, I stop purchasing that product. \| 0.74 \| 0.55 \| 0.61 \| \| Innovation value: Cronbach’s Alpha =85.6 Construct Reliability=0,80 Explanatory Variance=0,83 \| \| \| \| \| When I purchase a new product, I investigate about it. \| 0.67 \| 0.45 \| 0.80 \| \| Environmentally friendly products are more innovative than conventional ones. \| 0.75 \| 0.56 \| 0.52 \| \| I think environmentally friendly products are creative. \| 0.76 \| 0.58 \| 0.55 \| \| Environmentally friendly products bring new solutions to environmental pollution. \| 0.81 \| 0.66 \| 0.42 \| As it can be seen from the table, the consumption values scale has been tested for environmentally friendly product consumption and verified with 5 dimensions in the original scale. In line with the modification recommendations made; 4 variables from functional value and social value dimension, 2 variables from emotional and situational value dimensions were eliminated. After modification, fit index values were at an acceptable level. 3.5. Relationships between Environmental Consumption Values and Attitude Factors for Green Hotel Practices It is aimed to determine the relationships between environmentalist consumption values and attitude factors for green hotel practices, the impact of environmentalist consumption values on attitude factors for green hotel practices. Multivariate statistical techniques are used in the analysis of a large number of dependent/independent variables without making a distinction Cilt / Volume: 12 Yıl/ Year: 2023 between dependent and independent variables (Shin, 1996). One of the important multivariate statistical techniques is canonical correlation analysis (Sharma, 1996). Canonical correlation analysis is an extension of regression analysis. Canonical correlation analysis is a special form of regression analysis. If two sets of variables are in the form of dependent and independent variable sets, the aim in canonical correlation will be to examine whether and to what extent the independent variable set affects the dependent variable set (Dillon and Goldstein, 1984). Multiple regression analysis investigates the effect of many independent variables on a dependent variable. However, canonical correlation analysis investigates the effect of many independent variables on many dependent variables (Özçomak and Demirci, 2010). Since both scales are multi-dimensional, canonical correlation analysis was administered to measure the interaction of all dimensions together. The results of the analysis are interpreted by showing in the Table 9. Table.9 Functions between Environmental Consumption Values and Attitude Factors for Green Hotel Practices \| Canonical Function \| Canonical Correlation Coefficient (Rc) \| Canonical Root \| Wilk’sLambda \| Chi- Square \| Degree of Freedom \| \|---\|---\|---\|---\|---\|---\| \| 1 \| 0.739 \| 0.546 \| 0.426 \| 322.91 \| 20 \| \| 2 \| 0.24 \| 0.057 \| 0.936 \| 24.914 \| 12 \| \| 3 \| 0.078 \| 0.006 \| 0.994 \| 2.418 \| 6 \| \| 4 \| 0.016 \| 0.001 \| 1 \| 0.94 \| 2 \| The canonical correlation coefficient for data sets of consumption values dimensions and factors for green hotel practices is significant and has two functions. For function 1, "significance level p <0.01; for the second function, p <0.05 level was observed. In other words, it is understood that environmental consumption values have an impact on attitude factors towards green hotel practices. Therefore, the hypothesis of the research "H1: Environmental consumption values have an impact on attitude factors towards green hotel practices" was accepted. In a study conducted by Verma and Chandra (2018), it was determined that the customers and employees who have environmental consciousness and who show environmental behavior have positive attitudes towards green hotel practices. This result overlaps with the finding obtained from this research. Table.10 Correlation Matrix between Independent and Dependent Variable Data Sets \| \| Basic Green Indicators \| Formal Green Indicators \| Sacrifice (The Hotel) \| Sacrifice (The Tourist) \| \|---\|---\|---\|---\|---\| \| Functional Value \| 0.4707 \| 0.5327 \| 0.5307 \| 0.4256 \| \| Social Value \| 0.3482 \| 0.4535 \| 0.3956 \| 0.3523 \| \| Emotional Value \| 0.5526 \| 0.5359 \| 0.5477 \| 0.3893 \| \| Situational Value \| 0.5164 \| 0.5369 \| 0.521 \| 0.3938 \| \| Innovation Value \| 0.582 \| 0.5394 \| 0.537 \| 0.3834 \| Correlation values between consumption value data sets (independent variable) and data sets (dependent) of attitude factors for green hotel practices are shown in Table 10. Accordingly, it is seen that the strongest relationships are between "Innovation value" (0.58) and "emotional value" (0.55) and "basic green indicators". In other words, it is understood that as the level of "innovation value" and "emotional value" increases among the environmentalist consumption Yıl / Year: 2023 Sayı/ Number: 1 ISSN : 2147-0618 values of the participants, the attitudes towards the "basic green indicators" factor for green practices in hotels increase. When other relationships are analyzed, it has been observed that there is a relationship between "Innovation value" (0.53), "Emotional value" (0.53) and "Functional value" (0.53) and "Formal green indicators" and these values positively affects the attitudes towards "formal green indicators". In other words, it is seen that tourists who value innovation, emotional, and functional value find "formal evidence" in green practices in hotels important and give meaning to these indicators. There is a positive relationship between the "functional value (0.53), emotional value (0.54) and innovation value (0.53)" and the attitude factor towards green practices that the hotels make with sacrifice. Finally, it is observed that there was a relationship between "functional value (0.42) and attitudes towards green practices that require tourist sacrifice, but it is found to be low compared to other relationships. In other words, it is seen that the tourists who attach importance to functional value have low attitudes towards tourist sacrifice. It is understood that tourists who care about functional value and comfort are not willing to participate in practices that require sacrifice from green hotel practices. Table.11 Canonical and Cross Loadings of Environmental Consumption Value \| Consumption Values \| Canonical Loadings \| \| \| \|---\|---\|---\|---\| \| \| Function 1 \| Function 2 \| Function 1 \| \| Functional Value \| 0.829 \| 0.374 \| 0.612 \| \| Social Value \| 0.654 \| 0.503 \| 0.483 \| \| Emotional Value \| 0.879 \| 0.095 \| 0.649 \| \| Situational Value \| 0.850 \| 0.074 \| 0.628 \| \| Innovation Value \| 0.893 \| 0.244 \| 0.660 \| As it is seen in Table 9, in the canonical loadings of the first function, "innovation value" (0.893) is in the first place, "emotional value" (0.879) in the second place, "situation value" (0.850) in the third place, "functional value" (0.829) is in the fourth and "social value" (0.654) is in the fifth place. According to the results, it was determined that the most important factor in environmentally friendly consumption value of the participants is the "innovation value". When looking at the cross relationships between variables set, the value with the highest coefficient is also in the dimension of "Innovation value" (0.660). This is followed by the "Emotional value" (0.649) dimension in the second place. Table.12 Canonical and Cross Loadings of Attitude Factors for Green Hotel Practices \| Green Hotel Practices \| Canonical Loadings \| \| Cross Loadings \| \| \|---\|---\|---\|---\|---\| \| \| Function 1 \| Function 2 \| Function 1 \| Function 2 \| \| Basic Green Indicators \| 0.838 \| 0.474 \| 0.619 \| 0.114 \| \| Formal Green Indicators \| 0.837 \| 0.317 \| 0.618 \| 0.076 \| \| Sacrifice (The Hotel) \| 0.838 \| 0.071 \| 0.619 \| 0.017 \| \| Sacrifice (The Tourist) \| 0.621 \| 0.456 \| 0.458 \| 0.110 \| The values that have the highest coefficient in the first function in the canonical loadings of attitude factors for green hotel practices are "Basic green indicators" and "hotel sacrifice" (0.838); "formal green indicators" (0.837) is in the second place; and in third place, "tourist sacrifice" (0.621) can be seen. "Basic green indicators" and "hotel sacrifice" (0.619) have been found in the first function in cross relations. Yıl/ Year: 2023 Table.13 Relationship between the First Set of Dependent Canonical Variable and the First Set of Independent Canonical Variable \| Innovation Value \| 0.893 \| Basic Green Indicators \| \|---\|---\|---\| \| Emotional Value \| 0.879 \| Sacrifice (The Tourist) \| \| Situational Value \| 0.85 \| Formal Green Indicators \| \| Functional Value \| 0.829 \| Sacrifice (The Hotel) \| Simple correlation coefficients between original variables and canonical variable sets are used in the interpretation of canonical variable sets (Yaşin, 2007, p. 139). In factor loadings, values over 0.40 are taken into consideration. When the first canonical function is examined, it is seen that all dimensions of environmentalist consumption values have an effect on all of the attitude factors towards green hotel practices. It is understood that as the level of innovation value, emotional value, situational value, functional value and social value among the environmental consumption values, the attitude factors towards green hotel practices are positively affected. In other words, "innovation value", one of intellectual needs within Maslow's hierarchy of needs, is the most important factor that positively affects the attitudes towards green hotel practices. The reason why "Emotional Value" stands out is thought to be due to environmental conscious within the framework of responsibility awareness. "Situational Value", on the other hand, is a consumption value that develops in special cases and it is estimated that green practices will be prominent in terms of being special case-based. The "Basic Green Indicators" factor includes well-known basic green practices variables. It is thought the reason why it stands out is due to the basic practices it contains. The factor of "Sacrifice (The Tourist)" includes issues that require tourist sacrifice and participation. It is thought to stand out because of the sensitivity of the tourists to this issue about themselves. It is estimated that green practices in the "sacrifice (The Tourist)" factor stand out because of the issues that tourists should be directly involved and sacrifice. This indicates that concrete evidence is important in green practices. In a study on green and non-green universities, it was determined that green university students have a more positive attitude towards environmental sustainability (Dagiliüte et al., 2018). The proliferation of green practices may also increase consumer participation. Table.14 Relationship between the second Set of Dependent Canonical Variable and the second Set of Independent Canonical Variable \| Social Value \| 0.503 \| Basic Green Indicators \| \|---\|---\|---\| \| Functional Value \| 0.374 \| Sacrifice (The Tourist) \| \| Innovation Value \| 0.244 \| Formal Green Indicators \| \| Emotional Value \| 0.095 \| Sacrifice (The Hotel) \| \| Situational Value \| 0.074 \| \| When the second canonical function is analyzed, it is seen that "Social Value", one of the environmental consumption values factors, has a positive effect on "Basic Green indicators" and "Sacrifice (The Tourist)", which are the attitude factors for green hotel practices. Wang et al. (2018) found in their study that the green hotel image strongly influences tourist satisfaction and trust in green practices. In addition, it was seen that as tourist satisfaction with green practices increased, trust in green practices increased positively. It is determined that Cilt/ Volume: 12 Yıl/ Year: 2023 the tourists intend to convey their positive attitude towards these hotels to other people around them. Wang et al. (2018)'s research supports the results of this research. The content of the social value factor in this research is related to the image of the individual in society. The result of the environmentally friendly social value factor having positive effect on basic green hotel practices and volunteering (sacrifice) in participation in these practices can be explained by the mentioned research results. According to the research results of Verma and Chandra (2018), moral reflectiveness and conscientiousness affect the intention to visit green hotels. Moral reflectiveness strongly predicts young consumers' green hotel visit intention than conscientiousness. This finding coincides with the result in this study that the effect of emotional value on green hotel practices factors is lower than other value factors. Table.15 Redundancy Analysis of Dependent and Independent Data Sets \| Data Set 1 –function 1 \| 0.681 \| Data Set 2– function 1 \| 0.623 \| \|---\|---\|---\|---\| \| Data Set 1 –function 1 \| 0.093 \| Data Set 2– function 2 \| 0.135 \| \| Data Set 1 –function 1 \| 0.075 \| Data Set 2– function 3 \| 0.098 \| \| Data Set 1 - function 1 \| 0.08 \| Data Set 2 –function 4 \| 0.145 \| Table 15 shows the explanation rate of data sets of environmental consumption values and attitude factors for green hotel practices. The explanation rate of the first set is 68% for the first function; it is 09% for the second function. The explanation rate of the second set is 62% for the first function and 13.5% for the second function. Accordingly, it can be said that the first function is stronger in terms of explaining the data sets. 4. CONCLUSION - Environmental consumption values were realized in five dimensions as "functional", "social", "emotional", "situational" and "innovation" as in the scale of Sheth et al. (1991). Consumers with increasing awareness are increasingly turning to value-oriented consumption behavior. One of the important concepts in the phenomenon of value is Consumption values. Consumption values are one of the important factors that affect purchasing behavior. With the spread of environmentally sensitive movements, businesses have started to produce environmentally friendly products and services to meet the needs and sensibilities of consumers with high sense of responsibility. One of these is green hotel practices in the tourism industry. In this study, the effect of environmental consumption values on attitude factors towards green hotel practices was investigated. The following issues have come to the fore. - Attitude factors for green hotel practices were gathered in four factors: "Basic Green Indicators", "Formal Green Indicators", "Sacrifice (The Hotel)" and "Sacrifice (The Tourist)". - It will be useful to carry out locating strategies and promotional activities especially for innovation values, emotional values and situational values in order to increase the attention of tourists in green hotel practices, to adopt them and to develop positive attitudes towards these practices. - It was determined that environmentalist consumption values had a significant effect on attitude factors towards green hotel practices. It was stated that the prominent dimensions of consumption values were "innovation value", "emotional value" and "situational value". The main factors standing out from the attitude factors for green hotel practices were "Basic Green Indicators", "Sacrifice (The Tourist)", "Formal Green Indicators" factors. - Researchers, studying green practices and consumption values in the future, are recommended to focus on studies for practices in different industries, and research into identifying differences according to the demographic characteristics of individuals. - As a result of the analyses in the research, it was concluded that the initially established research model variables are as follows. H Highlights -Environmental consumption values are effective on attitude factors towards green hotel practices. -Innovation, emotional and situational value factors are remarkable in the relationship. -Attitudes towards green hotel practices are classified under 4 factors. - Basic and formal green indicators and Sacrifice (The tourist) of attitude factors are remarkable. References Ağbuğa, F., 2016. 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10 th International Research/Expert Conference STUDIES REGARDING THE KINEMATIC AND DYNAMIC ANALYSIS OF PARALLEL MINI-MANIPULATORS Professor Tiberiu-Pavel ITUL, Ph.D. Professor Doina Liana PISLA, Ph.D. Professor Adrian PISLA, Ph.D. Eng. Calin VAIDA, Ph.D. Student Technical University of Cluj-Napoca C. Daicoviciu 15, RO-400020 Cluj-Napoca ROMANIA ABSTRACT One of the most important approaches in the scientific research concerning the increase of the positioning accuracy is the use of parallel structures. Parallel kinematic structures have a series of advantages that makes them adequate for the mini-robots construction: actuator positioning on the seating, miniaturization, stiffness, positioning precision and repeatability, actuators separation from the workspace. The problems concerning the kinematics and the dynamics of parallel robots are, as a rule, more complicated than those of serial ones. The dynamic modeling of parallel robots presents an inherent complexity due to their closed-loop structure and kinematic chains [3]. The paper presents the algorithms for the kinematic and dynamic analysis of two 6 DOF parallel mini-manipulators: 3PPRS and 3-PPSR (so called guided in three points mechanisms). The obtained simulation results have shown that the developed models have a compact structure and could be used for the real-time control of the parallel mini-manipulators. Keywords: Parallel robot, mini-robot, kinematics, dynamics, graphical simulation. 1. INTRODUCTION Nowadays, it can be noticed in the world that product miniaturization is the main research topic in new product development for a large variety of application fields. One of the most important interests in the world scientific research concerning the increase of accuracy in positioning is the use of parallel structures. Parallel mini- and micro-robots are the direct result of the parallel robots knowledge, being a miniaturization of a structure or a succession of one or more conventional elements, which has as purpose the obtaining of the same function as from classical parallel robots. Modeling and simulation are the first steps – initial stages of designing and construction of parallel min and micro-robots, using specialized software in 3D modeling (e.g. SolidWorks, SolidEdge, Unigraphics, CATIA, Inventor) and in simulation (e.g. LabView, Matlab, Adams). Figure 2. The CAD model of the 3-PPRS mini-manipulator Figure 4. The CAD model of the 3-PPSR mini-manipulator The studied 3-PPRS and 3-PPSR parallel mini-manipulators belong to the spatial closed-kinematic chains guided in three points mechanisms, so-called A type parallel mechanisms, respectively B type parallel mechanisms [7]. The kinematic schemes of these parallel mechanisms are represented in the figures 1 and 3, and their CAD models in the figures 2 and 4. The six prismatic joints are actuated while the rest of them are passive. Both structures are characterized by the following parameters: Rradius of fixed base, r-radius of the working platform (WP), l-length of the guiding rods CiAi, - the placement angles of the kinematic chains. 1) - (i 120 i δ 'iδ 0 = = 2. KINEMATIC MODELING OF THE PARALLEL MINI-MANIPULATORS The kinematic models of these two types of parallel manipulators are obtained using the input-output equations [5]. The input-output equations represent the mobile circle equations on which the spherical joints centers are moving with respect to the fixed base in the 3-PPRS mechanisms case and in the 3PPSR mechanisms, respectively with respect to the WP but expressed on the fixed base frame: where: i P is the position vector of the A i guiding point with respect to the O centre of the fixed base; i C P is the position vector of the Ci centre of the rotational joint with respect to the O center of the fixed base; i N is the unit vector of the Ci rotational joint axis. 2.1. Geometric model For the 3-PPRS manipulator, to the equations (1) are added the equations of the fixed planes, in which the points Ci are imposed to remain: and the Ci points coordinates are computed with respect to the known Ai points coordinates. In this case, the actuated coordinates are obtained easily: For the 3-PPSR manipulator, to the equations (1) are added the equations of the fixed planes, in which the points Ai are imposed to remain: and the Ai points coordinates are computed with respect to the known Ci points coordinates from the second-degree algebraic equation. The actuated coordinates are obtained from the relations: 2.2. Kinematic model To find the kinematic model (KM), the I-O equations are derived with respect to time yielding to: where: ( 6 5 4 3 2 1 q , q , q , q , q , q q & & & & & & & ) - for 3-PPRS and ( ) 6 3 5 2 4 1 q , q , q , q , q , q q & & & & & & & - for 3-PPSR is the driving velocity vector, ( X Y X , , , Z , Y, X X ω ω ω & & & & ) is the end-effector velocity vector, [ ] is the inverse Jacobi matrix, [ ] is the direct Jacobi matrix. A B For the 3-PPRS manipulator [A] is a diagonal matrix and [B] contains 9 constant elements, 3 of them are zero, while for 3-PPSR manipulator [A] is a block diagonal matrix and [B] has all elements variable. While the inverse kinematic model ( [ ] [ ]X B A q 1 & & − = ) has an analytical solution, the direct kinematic model ( [ ] [ ]q A B X 1 & & − = ) can only be numerically solved, that means it requires the discrete definition of the matrix [B] for the mobile platform pose parameters and then its numerical inversion. 3. DYNAMIC MODELING OF PARALLEL MINI-MANIPULATORS The dynamic modeling of parallel robots presents an inherent complexity due to their closed-loop structure and kinematic constraints. Many of the mechanics classical methods cannot be successfully applied for parallel robots. In order to study the dynamic model (DM) using the Lagrange formulation ([2, 4]) several simplifying hypothesis were adopted: all joint are frictionless; the inertia of guiding arms CiAi is neglected; the manipulated object is reduced to a material point and located in the centroid of the WP. Since a robot has 6 degrees of freedom, one is naturally inclined to select 6 generalized coordinates, for example qi, (i=1,2,3,4,5,6) and then evaluate a set of 6 equations of the second type for these coordinates. However, due to the complexity of the geometric model, the evaluation of Lagrange derivatives with six coordinates only, is found to be extremely tedious. A much better approach is to choose 12 generalized coordinates: qi, qi+3, (i=1,2,3), X,Y,Z, α, β, γ. In both cases of the parallel mini-manipulators, the Lagrange equations with multipliers take the following form: The Lagrange function, accordingly to the hypothesis made, is: where: M – mass of the traveling (working platform); m – mass of the manipulated object; Ix, Iy, Iz – moments of inertia of WP about the axes of the oxyz frame; mi, mi+3 – mass of "i" and "i+3" link; h, d – constant dimensional parameters; g – gravitational acceleration; - scalar components of the velocity of the point "o" (WP center of mass) in the global coordinate system OXYZ ; Z , Y , X & & & z y x , , ω ω ω scalar component in oxyz frame of angular velocity of WP; k λ - Lagrange multipliers; Qj – generalized external force; - the coefficients of the generalized velocities from the equation kj A [ ] [ ] 1 − J 0 X q = − & & , [ ] [ ] [ ] [ ] ∗ [ ] [ ] 0 I 1 3 3 3 3 − × × ⎤ ⎡ 0 R 3 3× ⎥⎦ ⎢⎣ [ ] matrix, A B J = is the system Jacobi matrix, is the rotation R [ z y x, , , Z , Y , X X ω ω ω & & & & = ∗ ] ,τ= +1 for the upper WP,τ=-1for the down WP. Since the formula for the Lagrange function is not complicated, the evaluation of its derivatives with respect to the generalized coordinates and velocities is relatively simple. Eliminating the six multipliers from the Lagrange equations, one can derive only six equations for the dynamic model. Thus for the 3-PPRS mini-manipulator, these differential equations are: 4. SIMULATION PROGRAM A complex simulation program was developed in order to study the geometric, kinematic and dynamic characteristics of parallel robots [6]. For the graphical modeling of the parallel structures it was used Solid Edge™, one of the most advanced software for computer aided design, available on the market. This program was selected especially for its outstanding performances in terms of stability and user-friendly interface, and even more for its total compatibility with Visual Basic. The geometric parameters of the parallel structure can be modified within the 3D modeling software (Solid Edge Assembly) influencing the simulation environment. The assembly relations between parts, between subassemblies or between parts and subassemblies can be also modified. These facilities of the simulation software enable the possibility to develop a complex study about the kinematics and dynamics in order to optimize the parallel structure. 5. CONCLUSION The paper presents the algorithms for the kinematic and dynamic analysis of two 6 DOF parallel minimanipulators: 3-PPRS and 3-PPSR. The obtained simulation results have shown that the developed models have a compact structure and could be used for the real-time control of the parallel minimanipulators. In the 3-PPRS mini-manipulator case, the kinematical model is simpler. 6. ACKNOWLEDGEMENTS This research was partially financed from the Grant A/2006, awarded by the Romanian National Council for the University Scientific Research. 7. REFERENCES [1] Honneger, M., Codourey, A., Burdet, E.. Adaptive control of the Hexaglide, a six d.o.f. parallel manipulator. In Proceedings of the IEEE Int. Conf. On Robotics and Automation, Albuquerque, 543-548, 1997. [2] Itul, T., Pisla, D., Pisla, A.,On the Solution of Inverse Dynamics for 6-DOF Robot with Triangular Platform, Proc.of EUCOMES 2006, Obergurgl, Austria, ISBN 3-901249-85-0. [3] Merlet, J.-P., Parallel robots, Kluwer Academic Publisher, 2000. [4] Miller, K., Clavel. R., The Lagrange-Based Model of DELTA-4 Robot Dynamics. Robotersysteme, 8:4954, 1992. [5] Pisla, D.L., Itul, T.,Pisla,A, Comparative study of different parallel manipulators regarding the kinematic model, Proc.of the 6th International MteM Conference, Cluj-Napoca, 2003, 357-360. [6] Pisla, D., Pisla, A., Effiziente dynamische Rechnersimulation für Parallelroboter, in ZAMM, vol. 81, Suppl 5, pp. 277-278, 2001. [7] N. Plitea. Kinematische Synthese von verzweigten räumlichen Getrieben mit Sechspunktführung der Industrieroboter mit sechs Freiheitsgraden vom Typ I. Proc.of the 5 th IFToMM International Symposium on Linkages and CAD Methods, Bucharest, Romania, II-1: 1989, 483-494.
VPAC Report on Faculty Perspective of Technology Transfer & Commercialization at CSU January 7, 2015 Overview: Entrepreneurship and innovation, including technology transfer (TT), are critical pieces of the overall mission of CSU and the Office of the Vice President for Research (OVPR) that includes capitalizing on opportunities to address global challenges. As such, the OVPR seeks to team with CSURF and CSU Ventures to build a culture of innovation through a partnership that promotes and encourages faculty and students to explore the patenting, licensing, and commercialization of their ideas and discoveries. To that end, the OVPR has enlisted the assistance of the VPR's faculty advisory committee (VPAC) to examine the current climate for technology transfer at CSU from a faculty perspective. The information in this report from VPAC to the VPR arises from extensive communication with Ventures, review of best practices at other institutions, individual conversations and correspondence with faculty as well as an electronic survey sent to faculty and other senior researchers at CSU. The report contains three primary components: (1) a summary of the findings of a brief faculty survey conducted in November 2014 by VPAC/OVPR; (2) VPAC's recommendations for metrics to be used by OVPR and Ventures to track progress in the realm of technology transfer at CSU; and (3) recommendations from VPAC regarding potential steps forward to enhance and develop technology transfer and to build a strong culture of innovation and commercialization at CSU. Part I: Summary of VPAC Tech Transfer Faculty Survey (November 2014) A survey was deployed to a PI user list maintained by the OVPR, which contains emails for ~650 faculty and senior researchers as well as a few administrators. The survey (attached to this report) was live for ~1 week and no reminder emails were sent out during the week the survey was active. - The survey attracted broad representation in respondents: o Total of 178 responses were received (~27% return rate) with 161 completed surveys o All ranks of faculty, as well as senior researchers on campus were represented, with the largest cohort being Full Professors (48% of respondents). Of the entire cohort, 83% were faculty (either current, emeritus, or retired). o All 8 colleges were represented, with College of Natural Sciences, College of Veterinary Medicine and Biomedical Sciences, and Warner College of Natural Resources representing the top 3 and the Colleges of Engineering and Agricultural Sciences tied for fourth with respect to number of respondents. - Technology transfer was overwhelmingly viewed by respondents as an important, fundamental priority of the University, with 87% of respondents ranking it as "important" to "very important". - Respondents had some experience with invention disclosure (38%), and many reported having interacted with Ventures (53%), although ~6% were not sure on the latter question (e.g. knew about CSURF, but not Ventures). - Of those who had interacted with Ventures, most had done so within the last 12 months (58%). In general, interactions with Ventures crossed all TT activities, with the most frequently cited activity being filing of invention disclosures (53%) and patent filings (34%), but only 10% of respondents had worked with Ventures on market analysis. Many reported other interactions, including, most frequently, consultations with Ventures staff, most often regarding possible invention disclosures. - When asked to respond on their interactions with CSU Ventures, faculty had the following observations [numbers in parenthesis provide % of respondents selecting "agree" or "strongly agree" on a 4 response scale (i.e. the other two responses were "disagree" or "strongly disagree"); this does not include respondents who selected N/A for a particular question]: o The technology transfer process through Ventures was seen as fairly positive, with Ventures scoring high marks for being helpful in navigating protection of IP (75%) and useful in the patent process (78%); the Ventures staff are considered easy to interact with (84%) and are friendly and customer-service oriented (89%). o However, Ventures staff were generally perceived as not having the appropriate or specific background and experience needed to help with marketing of inventions (46%) or to help with guiding inventions to the market (61%), with faculty also being split on whether it was easy to patent an invention (60%). o The overwhelming majority of faculty feel the technology transfer process at the university should be focused on meeting the needs of CSU faculty in the tech transfer realm (97%), whereas a much smaller fraction feel that we should be focused on returnon-investment (ROI) (50%). Recognizing that it is important to maintain faculty and university integrity, some faculty reported feeling that Ventures staff may be placing too much emphasis on faculty conflict of interest (33%). o Although the majority of faculty felt they understood invention disclosure and patent application processes (70%), many agreed that they would like to better understand these processes, but perhaps were not sure where to find appropriate resources (44%). o Respondents also felt that the university should invest more capital in the protection of the intellectual property of faculty (69%), for example by increasing Ventures' annual patent budget. o Half of the respondents said they felt that the Ventures student ambassadors program was a good investment, but it should be noted that only 40 respondents chose to answer this question, suggesting a broad unfamiliarity with this relatively young Ventures program. - From the open-ended question requesting feedback, comments, or any additional information, more insight was gained. Notably, 48 respondents provided comments, and although a few of these were simply "nothing to add" types of comments, many were much more wide-ranging in their content. Below are a few of the take home messages and faculty perceptions derived from these comments o Ventures is under staffed and/or under budgeted to perform appropriate technology transfer activities across the wide spectrum of research being performed at CSU o There are major gaps with respect to the knowledge base of technology transfer personnel and the infrastructure at CSU does not adequately support technology transfer and commercialization activities. o Not enough emphasis is placed on being service and education-oriented toward faculty inventors – additional training, educational programs, and assistance throughout the many stages of technology transfer is lacking. Overall, there is a sense from the comments that faculty are frustrated with their experiences and attempts at patenting and/or marketing their discoveries. That being said, there is also a sense that faculty would welcome true mentoring and education of every stage of the process. o There seems to be a great deal of murkiness among faculty with respect to Ventures functions, processes, who to contact about what and virtually every other aspect of working through technology transfer activities. o There is some consternation and frustration among faculty about time, effort, and financial resources being spent on activities that are not necessarily "counted" in the tenure and promotion process. Part 2: Metrics for Tracking Success in the Technology Transfer Regime Through extensive conversations with Ventures, it is clear that Ventures had done a good job of using quantitative metrics to track the success of TT at CSU. Nevertheless, we recommend some adjustments to these and that new performance metrics be instituted to track the quality of support for technology transfer and innovation. In general, the VPAC members felt strongly that customer satisfaction and quality (and depth) of service to the faculty should be the top goal for the technology transfer operation at CSU. They also felt that ROI performance and efficiency should be a secondary priority goal. The overriding principle here is that the faculty would prefer to see that the mission/metrics of our technology transfer operations be focused on the raw metrics, but also demonstrate the impact of the scholarship associated with technology transfer. In particular, the VPAC are interested in seeing metrics that are not necessarily fiscal in nature being used to track technology transfer. For example, sometimes the intellectual property developed by faculty has a meaningful impact on society, without a huge financial return on the investment. Some of these also represent reputational enhancements to the University. Thus, the list below attempts to reflect financial metrics as well as other non-fiscal numerical and qualitative data. In terms of timeframes for reporting, VPAC recommends that metrics be reported where possible both with annual figures and with a 5-year running average as TT is a long-term process, that often does not come to fruition in one year or even a couple of years. Metrics to track & trend: 1. Overall faculty satisfaction rating (10 point scale, based on aggregate score from annual survey to be developed jointly between CSU faculty and Ventures staff). This should tap into various aspects of the IP/TT process. Fiscal metrics: 2. Metrics normalized against CSU research expenditures: a. # of inventions disclosed b. # of licenses and/or options granted c. # of start-up companies d. Aggregate licensing revenue 3. Metrics normalized against CSU Venture annual budget: a. # of inventions disclosed b. # of licenses and/or options granted c. # of start-up companies d. Aggregate licensing revenue 4. Metrics normalized against CSU Ventures patent expenditures: a. # of inventions disclosed b. # of licenses and/or options granted c. # of start-up companies d. Aggregate licensing revenue 5. Economic development metrics related to CSU start-ups: a. Total SBIR/STTR/grant & contract revenue (aggregate) b. New jobs created c. Total private equity & debt raised (aggregate) 6. Creation of a composite scoring that normalizes against multiple factors such as both research expenditures and patent budget a. Could provide an aggregate, multivariate score for overall tech transfer "health" at CSU 1. Interactions with faculty and students a. # faculty consultations by Ventures staff b. # student consultations by Ventures staff c. # presentations/group interactions by Ventures staff (e.g. attended faculty meeting in Dept. X to discuss TT/IP issues) d. Interactions/activities by Ventures Student Ambassadors with either students or faculty 2. Stories/outreach/impact of TT/IP generated by faculty a. Reputational enhancement Part 3: Preliminary Recommendations: General: A culture of entrepreneurship and innovation in a university setting is not likely to reside in a single entity. At CSU, it can be found in multiple colleges (e.g. the College of Business' Institute for Entrepreneurship) as well as within the Office of the Vice President for Research and at CSU Ventures. VPAC believes it is not the responsibility of a single entity, but rather shared stewardship that will allow the discovery and innovation ship to sail farthest. Furthermore, as the university is a key steward of education and knowledge, we must be careful to not lose the public trust in one of our primary missions, namely to generate new knowledge, in the pursuit of potential monetary returns via TT that may disappear if findings (or products) do not materialize. We must, therefore, seek an appropriate balance between these two important institutional missions. Below are some recommendations developed by VPAC based on the faculty feedback we received via the survey as well as through multiple conversations with faculty and others involved in the technology transfer process at CSU and elsewhere. 1. Additional emphasis should be placed on education and training of both faculty and trainees (graduate students and postdoctoral associates). Many researchers do not have a clear idea of what it takes to get an idea through the IP/TT process or when/why one might chose to do this. For example, faculty and students within the College of Liberal Arts have expressed interest in learning more about possibilities for startups with which they could relate (whether from CSU or other academic institutions) to provide ideas of what might be possible in the IP/TT world. In some instances, faculty overvalue their ideas relative to the cost of commercialization which can create expectations that are difficult to meet. In addition, many faculty are likely to be naïve about the legal ramifications of signing invention disclosures as well as the subsequent steps in the process. Having regularly scheduled trainings as well as deliberate reaching out to specific groups of faculty on campus would enhance the overall technology transfer "IQ" of the campus. 2. In general, many of the activities associated with the technology transfer process are intertwined between the Office of Sponsored Programs (OSP), Ventures, and OVPR. Often it is difficult for faculty to navigate these offices in an effective and efficient manner. Better integration of these offices, especially around the TT process, would significantly enhance the climate for entrepreneurship on campus. 3. One of the key themes that has arisen from VPAC's discussions with faculty is that there is an overwhelming sense that the TT process at CSU should be faculty focused with a service mentality wherein the faculty (and other inventors) are the customers. It is generally recognized that not all IP generated at the university represents an opportunity for significant return on investment; however, creating a culture of entrepreneurship requires that the mechanisms by which inventors explore the opportunities offered by their discoveries be open, transparent, and inventor-centered, rather than an attitude of gatekeeping at each stage of the process. Accountability and internal processes to receive and address feedback and concerns from clients should be developed and faculty should be made aware of these processes. Ideally, there would be a faculty liaison/advocate to manage these concerns (see recommendation 5). These internal processes and outcomes should be reported as part of the annual metrics and faculty satisfaction survey mechanism proposed in Section 2 of this report. 4. One mechanism that was recognized as being key to creating a culture of entrepreneurism that is faculty centered revolves around streamlining of business processes within the technology transfer operation. Specifically, it is recommended that templates for all technology transfer and commercialization processes be streamlined and that more transparent processes and procedures be created and communicated broadly to the campus community. In particular, the template for licensing to a CSU startup is complex, focused on maximizing revenue and does not appear supportive of CSU startups. Note that other academic institutions have addressed this with good results (see for example. UNC's model: http://www.xconomy.com/national/2010/09/21/a-onesize-fits-all-license-agreement-the-holy-grail-of-tech-transfer/). Negotiation processes can appear to be adversarial in nature rather than a partnership building enterprise. As noted elsewhere, this approach does not support the creation of a culture of innovation and entrepreneurship. 5. The faculty recognize there are some natural friction points that are inevitable when decisions need to be made about whether to financially support specific inventions. Given the limited resources available to push forward inventions from a financial standpoint as well as the need to support and mentor faculty through the process, Ventures personnel should have clearly defined and articulated roles responsibilities. Creating a structure within Ventures that provides (1) primary points-of-contact for faculty that largely serve in a mentorship/liaison and faculty (inventor) advocate role, but who are also involved in legal discussions and (2) mechanisms for separate personnel (and not just attorneys) to manage legal negotiations for licensing or startups. (3) Explore options for advisors outside CSU that could help inform faculty when and why CSU is not going to financially support an invention (see recommendation 10 below). 6. Technology transfer is not a "one-size fits all" enterprise. In many instances, it is not always clear what the end result is or should be (e.g. should a startup company be formed or a not-forprofit entity?). In a university setting, creativity and flexibility should be highly valued and cultivated, suggesting money does not have to be the only form of compensation in a commercialization trade (i.e. reagents, lab equipment, etc. could also be considered). Thus, each technology (and/or potential startup) should be approached with an open model. Licensing agreements should be reasonably negotiable with the overall aim being to develop an agreement that moves the technology forward and provides the most-long term value for the university and the inventor(s) and/or the greatest impact. The environment for licensing technology should include support for faculty who wish to commercialize their IP via a startup. Again, the approach here should be one of partnership with respect to the inventor(s), the IP created, and the encouragement of formation of startup companies. It is further recommended that some of the longstanding legal interpretations of rules/processes regarding revenue generation and licensing processes should be revisited to increase flexibility in the system. Additionally, to protect department resources and faculty workloads, department chairs/heads should be explicitly involved in the processes around formation of startup companies. 7. A key element to the IP/TT process includes appropriate marketing of an invention. This was identified by faculty as a potentially large gap in the process at CSU. Clearly, it would be impossible for an operation the size of Ventures to have precisely the expertise needed to properly evaluate the market potential of all disclosed technologies. Nevertheless, additional resources should be focused on providing Ventures with support to do just this. As part of this effort, faculty need to be mentored in how to effectively evaluate market potential as well. The TT process would be greatly facilitated by having both Ventures staff and faculty who understand the importance of product-market fit along with instruction/information provided in the context of the university technology transfer process. Regular workshops on IP, customer discovery, etc. specifically focused on marketing of discoveries should be held by Ventures staff, perhaps in partnership with members of the College of Business. 8. Another piece of the IP/TT process is the process of founding and running startup companies, not just in licensing technologies to existing companies. Formation of a separate team focused on this aspect of technology transfer would be useful. Alternatively it could be outsourced to an industry advisory board (not unlike boards currently used by a number of departments on campus). The current Ventures board could serve in this capacity if it has the requisite knowledge base in startups and small business development. 9. Although many faculty believe the Ventures Student Ambassadors program is highly valuable, there is also some concern that perhaps the students are not being utilized to their full advantage and/or are being relied on too heavily for outreach. Further development of this program should be encouraged, but Ventures staff should be directly involved in their activities to ensure that students are not being placed in difficult situations. Involving faculty with interests in the IP/TT process in the student ambassadors program could also help optimize this program to provide maximum benefit for both the students and the technology transfer community at CSU. 10. An effective partnership requires clear communication and inclusive opportunities to provide feedback. Moreover, developing stronger ties between OVPR and Ventures to truly enhance invention and discovery at CSU and advance the strategic research mission of the university will require many voices at the Table. To that end, it is recommended that Ventures evaluate and expand its advisory entities. Specifically, VPAC has three recommendations in this regard. (1) The current makeup of the Ventures advisory board should be evaluated and potentially changed/expanded to accommodate diverse members of the business community where "diverse" recognizes the many different types of businesses as well as demographic diversity. (2) Working with OVPR, a joint faculty-Ventures advisory committee should be established that bridges between CSU researchers and Ventures. It is envisioned that this committee could provide feedback on processes, the Student Ambassadors program, annual technology transfer metrics evaluation, and overall climate for entrepreneurship at CSU. (3) A patent committee be established with a dedicated patent officer and faculty membership as well as representation from Ventures and potentially the business community. Ideally, this patent committee could operate in a variety of ways including providing (a) a confidential process by which faculty could present ideas and get feedback on their potential viability before a formal disclosure and/or as part of the disclosure process; (b) input/feedback to Ventures with respect to invention disclosures filed with the office; (c) suggestions and potential direction with respect to marketing of inventions; and (d) assistance with faculty training and education efforts in areas such as first-hand accounts of formation of startup companies, licensing technologies to existing businesses, bringing a product to market, etc. 1. What is your current rank? 2. Which of the following do you consider your home college? 3. In your opinion, how important is technology transfer as a fundamental priority [i.e. recurring use of time and money to support this activity] of the university? 4. Have you ever filed an invention disclosure (with CSU or another institution)? 6 Assistant Professor n m l k j Associate Professor n m l k j Professor n m l k j Other (please specify) n m l k j Not at all important n m l k j Slightly important n m l k j Important n m l k j Fairly important n m l k j Very important n m l k j Yes n m l k j No n m l k j 5. If you answered yes to the previous question, why did you file? (Check all that apply.) 6. In thinking about the benefits of having the university involved in technology transfer activities, how would you rank the relative benefit of each of these potential outcomes? 7. Have you had any interactions with CSU Ventures? 1 (of low or no benefit) 2 3 4 5 (enormously beneficial) Increased institutional reputation nmlkj nmlkj nmlkj nmlkj nmlkj Increased individual PI (inventor) reputation nmlkj nmlkj nmlkj nmlkj nmlkj Financial income for the instituion nmlkj nmlkj nmlkj nmlkj nmlkj Financial income for the inventor(s) nmlkj nmlkj nmlkj nmlkj nmlkj Protection of intellectual property generated by university employees nmlkj nmlkj nmlkj nmlkj nmlkj Job creation nmlkj nmlkj nmlkj nmlkj nmlkj Placing inventions in the marketplace for people to utilze (societal benefit) nmlkj nmlkj nmlkj nmlkj nmlkj Training of students nmlkj nmlkj nmlkj nmlkj nmlkj Interested in starting a company g f e d c Protection of intellectual property g f e d c Interested in generating revenue g f e d c Educating students g f e d c N/A g f e d c Other (please specify) g f e d c Other (please specify) 5 5 6 6 Yes n m l k j No n m l k j Not sure n m l k j 8. If you answered yes to the previous question, when was the last time you interacted with Ventures? 9. With which of the following activities have you had interactions with Ventures? (Check all that apply.) Within the last 6 months n m l k j Within the last year n m l k j Within the last 2 years n m l k j Within the last 5 years n m l k j More than 5 years ago n m l k j N/A n m l k j Invention disclosures g f e d c Patent filings g f e d c Company startup g f e d c Licensing agreements g f e d c Market analysis g f e d c Other (please specify) g f e d c 10. Based on your collective interactions with CSU Ventures (Ventures), evaluate the following statements \| Ventures is very helpful to faculty in navigating the protection of intellectual property. \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| \|---\|---\|---\|---\|---\|---\| \| Ventures offers faculty useful help with the process of patent filings. \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| \| It is easy to interact with the Ventures Staff. \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| \| Ventures has staff that have the appropriate background to help guide my inventions to the market. \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| \| Ventures has staff with appropriate background and experience to help me market my invention to potential licensees. \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| \| It is easy for me to work through Ventures to patent my invention(s). \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| \| The university should invest more capital in the protection of the intellectual property of the faculty (e.g. increase funding for filing of patent applications). \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| \| Ventures staff are friendly and customerservice oriented. \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| \| The Ventures student ambassadors program is a good investment on the part of Ventures. \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| \| I understand the invention disclosure and patent application processes. \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| \| I would like to better understand the invention disclosure and patent application process, but don't know where I can find these resources. \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| \| I think Ventures should be focused on the financial return on the investment \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| nmlkj \| from technology transfer. 11. Do you have any other comments, questions, or feedback for the VPR's Faculty Advisory Committee (VPAC) regarding technology transfer activities (broadly defined) and the role Ventures plays in these activities? I think Ventures should be focused on meeting the needs of CSU faculty when it comes to protection of intellectual property, development of technology and translation to the market. nmlkj nmlkj nmlkj nmlkj nmlkj Ventures is too concerned about faculty conflict of interest (COI) nmlkj nmlkj nmlkj nmlkj nmlkj 5 5 6 6
Clinicoepidemiological Study of Traumatic Chest Injuries in a Tertiary Care Center, Varsha Shukla 1 , Mukund Pandey 1 , Sharad Kumar Sahu 2 , Ashish Singh 1 , Aishwarya Khare 2 Mayank Jeswani 2 , Juhi Bisen 2 , C P Lahariya 2 1Senior Resident, Department of General Surgery, Shyam Shah Medical College, Rewa, Madhya Pradesh, India, 2RSO, Department of General Surgery, Shyam Shah Medical College, Rewa, Madhya Pradesh, India Abstract Introduction: Chest trauma is one of the most serious injuries of the chest and also a common cause of significant disability and mortality. Chest trauma is the leading cause of death from physical trauma after head and spinal cord injury. Thoracic injuries are primary or a contributing cause of about one-fourth of all trauma-related deaths. Traumatic chest injuries are on the rise mainly due to increased frequency of road traffic accidents (RTAs) and rise in community disharmony. Chest injuries are one of the common causes of major mortality and morbidity. The management of traumatic chest injuries depends on the severity of injury, patient accessibility to nearby hospital, and availability of resources at tertiary care center. Materials and Methods: It is a prospective study of a total of 134 patients presenting to the emergency department with chest injuries of varying severity in Sanjay Gandhi Memorial Hospital from 1 June 2018, to 31 May 2019 had been carried out. Data collected regarding common injury modes, age and gender distribution, pre-hospitalization practices, clinical presentations, associated injuries, severity of injuries, and management options from the hospital record section and these data were analyzed with descriptive statistics. Results: Chest trauma is most common in males in their thirties with mean age of presentation 33.47 years. The most common mode of injury was RTA 69.4%, followed by fall from height 14.9% and assault 11.1%. Pain in chest (53%) was the most common symptom of blunt trauma chest in the patients of our study sample followed by dyspnea (31%) and asymptomatic (9%). Clinical sign was tenderness over chest. About 61.2% of patients found with collection in pleural cavity, in which hemothorax (23.9%) was the most common collection followed by pneumothorax (22.4%) and hemopneumothorax (15.7%). Conclusions: Chest injury is seen commonly in RTA patients. Most of the patients of chest injury had soft tissue trauma over chest in the form of abrasions and majority of these patients can be managed by symptomatic care and simple life-saving intervention, i.e. intercostal drainage. With increased RTAs, it is needed to have public awareness regarding road safety measures and educating them about the first aid measures for trauma patients. Key words: Chest injury, Tertiary care, Trauma INTRODUCTION Blunt trauma is physical trauma by a non-penetrating impact through a blunt object or surface to a body part. Blunt trauma is the primary trauma, from which develops more specific types such as contusions, abrasions, lacerations, and/or fractures. Traumatic injury is the leading cause of death under the age of 45 worldwide. Approximately Access this article online www.ijss-sn.com 5.8 million people die each year as a result of injuries. This accounts for 10% of the world's deaths, more than the number of fatalities from malaria, tuberculosis, and HIV/AIDS combined. In India, every 1.9 min, traumarelated death occurs. Approximately 1 million people die and 20 million are hospitalized every year due to injuries. [1] Chest trauma is one of the most serious injuries of the chest and also a common cause of significant disability and mortality. Chest trauma is the leading cause of death from physical trauma after head and spinal cord injury. Thoracic injuries are primary or a contributing cause of about onefourth of all trauma-related deaths. The mortality rate in these cases is about 10%. Thoracic injuries account approximately 20–25% of deaths due to trauma. 16,000 deaths occur per year in India alone as a result of chest Month of Submission : 12-2019 Month of Peer Review : 01-2020 Month of Acceptance : 02-2020 Month of Publishing : 02-2020 Corresponding Author: Mukund Pandey, Department of General Surgery, Shyam Shah Medical College, Rewa, Madhya Pradesh, India. trauma. Blunt trauma chest contributes to major accidental injuries in India due to increased incidence of road traffic accidents (RTAs) (6% of global vehicular accidents) due to increased road traffic, availability of new high-speed vehicles and less awareness regarding traffic rules. A very few studies had been conducted to analyze its magnitude and management in the Indian scenario. [2] This study is carried out to determine the epidemiology and mechanism of chest trauma along with analyzing the management scheme and to note the prognosis and improvement of the management of chest injuries. Chest radiograph is obtained for every blunt trauma chest patient after stabilization of the patient. The diagnosis is generally obvious with standard chest radiography but more subtle sign requires careful analysis with computed tomography (CT)-chest. High-resolution CT (HRCT) is the most important imaging method in this field. Its advantages occur especially due to high speed and high geometric resolution in any plane. Due to its advantages, HRCT has become the first choice method in high-energy trauma. Diagnostic imaging with HRCT plays a key role in the management of high-energy chest trauma. HRCT is the most important imaging method in this kind of injury, as detailed information can be acquired in a short time. MATERIALS AND METHODS A study of cases of chest trauma admitted in Sanjay Gandhi Memorial Hospital from 1 June 2018, to 31 May 2019 had been carried out. The study was pertaining to blunt chest trauma. Information was obtained directly from the patient whenever possible and from other witness of accident if available. Number of Patients 134. Inclusion Criteria * All patients with blunt trauma chest were included in the study. Exclusion Criteria * Penetrating chest injury The following criteria were excluded from the study. * Patients who absconded or left against medical advice. Methodology The study was conducted over the patients admitted from casualty, outpatient department and those who transferred from other wards. After eliciting the proper history and mode of trauma, vitals were regarded and initial airway, breathing, circulation, and deformities were assessed 13 without any delay. After stabilizing vitals, the patients who were diagnosed as blunt trauma chest were assessed properly and sent for lab investigations and X-ray done. Those who were in need of inter costal drain (ICD) such as tension pneumothorax, hemothorax, and flail chest were undergone for procedure after proper written consent. The patients were then shifted to ward and sent for CT chest. The reports of X-ray chest and CT chest were analyzed and recorded in pro forma. Those patients who were diagnosed with associated injuries such as head injury, blunt trauma abdomen, and long bone fracture were also included for the study, but after stabilizing from these associated injuries if needed CT chest was done but X-ray chest was done to them as a bedside investigation. Those patients who undergone for ICD insertion were followed up properly by doing repeat X-ray immediately after ICD insertion and on the 3 rd day or as when needed and after removal of ICD once patient condition improved. The patients were advised for vigorous chest physiotherapy and their improvement was recorded properly. All these data were recorded meticulously in pro forma and master chart after that systematic tabulation, observation, and analysis done. Summary and conclusion were drawn after discussion with review of literature. OBSERVATIONS AND RESULTS All trauma patients with blunt trauma chest fulfilling the inclusion criteria, irrespective of age, sex, and mode of trauma were included in the study. On admission, patients were briefly interrogated, clinically examined, and resuscitation started according to priority, i.e., patency of airway, breathing, and circulation were restored. Bleeding surface wounds (chest or any other body part) were stitched in time and fracture site if any splinted. After clinical stabilization of the patients, his/her particulars, i.e., name, age, sex, occupation, residence, etc., were noted. Detailed history regarding the circumstances and mode of sustaining injury was obtained. Thorough clinical examination was conducted to evaluate the nature and severity of injury. All efforts were made to diagnose other associated injuries. The patients were investigated and treated according to the pre-decided protocol of the study. The data were collected and recorded on predesigned pro forma by principal investigator. The following observations were made and analyzed using necessary statistical tools. It is evident from Table 1 that majority of the patients 31.3% of the blunt trauma chest belonged to 21–30 years of age group. A total of 22.4% of patients belonged to 31–40 years of the age group which was also the second most common age group presented with chest injury. Minimum age was 2 years while maximum was 90 years. The mean age was 33.47 years, with standard deviation 16.24. It is evident from Table 2 that RTA (69.4%) was the most common cause of blunt trauma chest in the patients of our study sample followed by fall from height (14.9%) and assault (11.1%). It is evident from Table 3 that pain in chest (53%) was the most common symptom of blunt trauma chest in the patients of our study sample followed by dyspnea (31%) and asymptomatic (9%). It is evident from Table 4 that head injury (18.6%) was the most common associated injury with blunt trauma chest in Table 1: Age and sex-wise incidence of the patient Table 2: Distribution of patients according to mode of trauma Table 3: Distribution of patients according to mode of presentation the patients of our study sample, followed by spinal injury, blunt trauma abdomen, long bone fracture, and other injuries. It is evident from Table 5 that tenderness (84.3%) was the most common clinical finding of blunt trauma chest in the patients of our study sample followed by bruise (79.8%) and bony crepitus (73.9%). It is evident from Graph 1 that ribs fracture was the most common pattern of thoracic injuries in blunt trauma chest patients of our study sample, followed by clavicle fracture, hemothorax, and pneumothorax. It is evident from Table 6 that a total of 61.2% of patients found with collection in pleural cavity, in which hemothorax (23.9%) was the most common collection followed by pneumothorax (22.4%) and hemopneumothorax (15.7%). It is evident from Table 7 that of 134 blunt trauma chest patients, X-ray chest film shows 2 or <2 ribs fracture Table 4: Incidence and sex-wise distribution of associated injuries with blunt trauma chest in the study sample Table 5: Distribution of patients according to clinical finding Table 6: Type of collection in pleural cavity present in 61 patients, in which 56 patients recovered and 5 patients expired; hence, mortality is 8.2%, and more than two ribs fracture present in 32 patients, in which 27 patients recovered and five expired and so mortality is 15.6%. It shows no. of ribs fracture directly proportional to mortality. It is evident from Table 8 that of 134 blunt trauma chest patients, 14 patients present with flail chest in which 3 are expired, so mortality in flail chest was 21.4% in the present study which was very high compare to other patients which is 9.7%. It is evident from Table 9 that of 134 patients, intercostal drain placement done for 64 patients, of 64 patients, 23 right sided and 26 left sided and 15 bilateral drain placement done, exploratory laparotomy done for 11 patients, Table 7: Ribs fracture present in X-ray associated with death Table 8: Flail chest incidence and mortality Table 9: Surgical management of blunt trauma chest with associated injuries 15 craniotomy done for 4 patients, and rest 55 patients of the study sample not required any surgical intervention and managed conservatively. It is evident from Table 10 that mortality high when chest trauma associated with other injuries as compared to isolated chest trauma. It is evident from Table 11 that maximum number of patients (33.6%) had hospitalization for 11–15 days followed by 6–10 days. Average duration of hospitalization was 8.23 days in our study with standard deviation of 4.31 days. DISCUSSION Chest injury is one of the leading causes of mortality and morbidity. This prospective study of 1-year duration included 134 patients with traumatic chest injuries, which included only the admitted cases. In the study, chest injuries were predominantly seen in male sex as they are more involved in public activity and vehicle driving. Chest injury was seen to be more in the 3 rd decade of life as it is the more active and adventuress period of life. Mean age of presentation was 33.47 years of age. In another study by Sharma et al. [3] of a total of 730 patients, the maximum of 452 was in the age group of 21–30 years and the next common decade was found to be in 4 th decade, i.e., 31–40 years, with 98 patients. As with other studies, in our study also RTA was the most common mode of injury. More of industrialisation and urbanisation with non strict laws has lead to increase in RTAs and associated chest injuries. Next common mode was fall from height followed by assault. This suggests that the government has to come Table 10: Distribution of patients according to cause of death Table 11: Duration of hospital stay up with more safety measures for construction workers. common presentation in chest injury patients followed by some form of external injury on the chest; most of the patients it was abrasion over the chest. These suggest that patients with chest pain should be given importance even if there is no external injury or breathlessness. Most of the patients had multiple findings, but on consideration, individual tenderness presents over chest (84.3%) and was the most common clinical finding of blunt trauma chest in the patients of our study sample followed by bruise (79.8%) and bony crepitus (73.9%). In another study, Choudhary et al. [4] done a study and all injury type data were collected and it includes small chest abrasion to complex chest injuries. In the present study, totally 61.2% of patients developed some type of pleural collection. Most commonly, patients had hemothorax 23.9% followed by pneumothorax 22.4% and hemopneumothorax 15.7%. Most of these cases were managed with intercostal drainage tube. Another study Kumar et al. [5] hemothorax was found in 38.3% and pneumothorax 20.7% of cases. In other studies also find similar result, Lin et al. [6] found 31.8% traumatic hemothorax, 15.6% pneumothorax, and 9.6% hemopneumothorax. Most of these patients were treated with standard intercostal drainage procedure. Most of the patients were polytrauma cases and were associated with other body injuries, most common being head injury, followed by abdominal, spinal, and long bone injuries with equal incidence each and least was pelvic bone fractures. In the present study, of 134 blunt trauma chest patients X-ray chest film shows 2 or <2 ribs fracture present in 61 patients in which 5 patients expired, so mortality was 8.2%, and more than two ribs fracture present in 32 patients in which 5 patients expired, so mortality was 15.6%. It shows a number of ribs fracture directly proportional to mortality. Also found that ribs fracture is the most common skeletal injury following blunt chest trauma. In the present study, of 134 patients, 39 requiring intubation with ventilator support in intensive care unit (ICU) care mostly had polytrauma in which injury severity score was more than 15. Intercostal drain required for 64 patients, of 64 patients, 26 ICD placement done left side, 23 right side, and 15 bilateral; intercostals drain placement done for flail chest patients, most of hemothorax, pneumothorax, and hemopneumothorax patients. Patients had small collection in there pleural cavity and vitally stable are managed conservatively. Exploratory laparotomy done for 11 patients, of 11 patients, 6 had diaphragmatic injury in which diaphragm repair done, 1 had diaphragmatic injury with splenic rupture so splenectomy with diaphragmatic repair done, and 4 laparotomy more done, in which 2 had ileal perforation and other 2 had jejunal perforation so primary closure of ileal and jejunal perforation done. Craniotomy done for 4 patients, of 3 extradural hemorrhage occurs in 3 patients and 1 had hemorrhagic contusion. Moreover, rest 55 patients of study sample not required any intervention and managed conservatively. In the present study, of 134 blunt trauma chest patients, ICD placement done in 64 patients in which 59 (92.2%) was recovered and 5 (7.8%) was expired. Conservative management done in 70 patients in which 62 (88.6%) was recovered and 5 (11.4%) was expired. ICD placement shows better result for the management of blunt trauma chest. Of 134 patients, 87 patients had isolated chest trauma in which 80 (91.96%) recovered and 7 (8.04%) expired and 47 patients had associated head, abdominal, spinal, pelvis, and other injuries in which 42 (89.4%) recovered and 5 (10.6%) expired. Mortality was higher in patients had associated injury with blunt trauma chest. CONCLUSIONS This study shows blunt trauma chest most commonly occurs in young adult male mostly in 3 rd decade of life due to RTA. Patients presented mostly with complaints of chest pain and most common clinical finding was tenderness over thorax region. Ribs fracture was seen in most of patients. Hemothorax, pneumothorax, flail chest, or lung injuries were also seen in some patients. X-ray chest was found to be very useful and a cost-effective initial diagnostic modality for blunt trauma chest. In majority of the patients, ribs fracture and pleural cavity collection were present in X-ray, while in those patients with inconclusive X-rays, HRCT chest was found to be useful in detecting parenchymal lung injuries, occult collection, or ribs fracture. In the diagnosis of blunt trauma chest, HRCT chest was found to be more sensitive and specific in comparison to X-ray chest. In polytrauma patients, head injury is most commonly associated with blunt trauma chest. Other injuries such as abdominal trauma, spinal injuries, and long bone fractures were also seen. Most of the polytrauma patients with injury severity score of more than 15 needed ICU care with or without intubation or ventilatory support. Approximately half of the patients needed intercostals drain insertion. Clinical outcome in this study was found to be dependent on nature of injury, number of ribs fracture, associated injuries and injury severity score. Mortality was higher when chest trauma was associated with other injuries of head, abdominal, or other organs as compared to isolated chest trauma. REFERENCES 1. Sakran JV, Greer SE, Werlin E, McCunn M. Care of the injured worldwide: Trauma still the neglected disease of modern society. Scand J Trauma International Journal of Scientific Study \| February 2020 \| Vol 8 \| Issue 2 16 In the emergency department, chest pain was the most Resusc Emerg Med 2012;20:64. 3. Sharma PP, Jhanwar A, Sharma D, Sharma S. Blunt trauma chest: Our experience at rural tertiary care centre. Int Surg J 2016;3:261-5. 2. Shah JV, Solanki MI. Analytic study of chest injury. IJSS J Surg 2015;1:5-9. 5. Kumar AG, Honnungar RS, Kumar TS, Hallikeri VR. Pattern of chest injuries in road traffic incident victims: A six-year retrospective study. Med Sci Law 2011;51:93-6. 4. Choudhary A, Prassad K, Sreeramulu PN. A clinic-epidemiological study of traumatic chest injuries in a rural tertiary care centre in India: Our experience. Int J Biomed Adv Res 2015;6:110-4. 6. Lin FC, Li RY, Tung YW, Jeng KC, Tsai SC. Morbidity, mortality, associated injuries, and management of traumatic rib fractures. J Chin Med Assoc 2016;79:329-34. How to cite this article: Shukla V, Pandey M, Sahu SK, Singh A, Khare A, Jeswani M, Bisen J, Lahariya CP. Clinicoepidemiological Study of Traumatic Chest Injuries in a Tertiary Care Center. Int J Sci Stud 2020;8(2):12-17. Source of Support: Nil, Conflicts of Interest: None declared. 17
Chartered Accountants www.geraldedelman.com a u t u m n 2 0 1 5 Welcome to the Autumn edition Welcome to the Autumn edition of GENIE. No apologies for the tax theme this time round as we had the Summer budget in July and there are a considerable number of major tax changes planned for implementation from either 6th April 2016 or 2017. I am confident these will impact our clients one way or another across the board. It is also of note that the number of tasks being forced on to all taxpayers appears to increase every year. Indeed the extent of Returns required for UK residential property transactions is now unprecedented. The proposal to scrap the annual tax return, covered in the back page article, made us smile but good luck to HMRC if they can achieve that! BUY-TO-LET: The changes The Summer 2015 Budget announced some major changes to the taxation of residential buy to let properties which commence from 2016/17 onwards. Currently when calculating the amount of profit liable to tax on a residential buy-to-let: * If the property is let fully furnished, you cannot deduct the cost of buying or replacing furniture - instead a wear and tear allowance of 10% of the rent is given, which in most cases is much more beneficial * All the interest (but not capital) on any loan taken out to buy, improve or maintain the property is fully deductible What are the changes? What is that extra tax cost? The first change is that from April 2016 the wear and tear 10% allowance is abolished. Instead you will get tax relief for the actual costs of replacing furniture. This is likely to increase somewhat the tax payable on furnished lettings. The second change is likely to be much more damaging for a large number of owners. Instead of being allowed to deduct the full amount of loan interest, owners will get relief only at the basic rate of tax. The change applies only for Income Tax purposes (so doesn't affect companies). Although it will not be fully effective until April 2020 it starts to be phased in from April 2017 in four equal annual instalments. If you are only ever a basic rate taxpayer, (the government's intention is that all persons with income of less than £50,000 will be so classified), own buy-to-let property free of debt, or if you own through a company the change will not affect you at all. Assume that * Your rental income from letting unfurnished property (after deducting all expenses other than interest) amounts to £40,000. * You pay interest of £30,000. * You have other income which absorbs your personal allowances and basic rate band. Then, at present you will be paying Income Tax of £4,000 on your profit of £10,000. Even assuming that interest rates remain unchanged, when the new rules come into full force your Income Tax bill will be £10,000 (calculated as 40% of £40,000 less 20% of £30,000 interest being £16,000£6000=£10,000). In other words, your tax rate will increase to 100% of the surplus income! continued on p.2.. in this Issue Buy-to-let: Page 2 The changes Rent a Room Relief Page 2 EIS and SEIS tax breaks too complicated for most SMEs Page 2 Residential Property Disposals by Nonresidents Page 3 Raising funding Investment Scheme under the Enterprise Page 3 Changes to the taxation of dividends Page 4 UK risk-takers are important to grow the economy Page 5 Changes to Tax legislation affecting offshore companies Page 5 Inheritance Tax - Page 6 the levy of choice! Tax payments Page 6 procedure 5 golden rules of managing 'A' players Page 7 Taxation of interest and digital tax accounts Each option has its own tax consequences and there will be wider commercial issues to consider as well BUY-TO-LET: The changes Indeed one can easily foresee a scenario where the tax rate may exceed 100%: the tax that you pay may exceed the commercial profit which you make from the letting. This would be the case, for example, if * You are liable to tax at 45% (chargeable other income of more than £150,000) instead of 40%, or * Interest rates increase faster than rents What can be done? Not a huge amount and in the words of one of the new challenger banks this will reduce the number of 'amateur' landlords. Some options that could be considered are: * Do nothing: accept that the investment has a much reduced running yield (or even a negative yield) and rely upon capital growth for your profit. Perhaps a decent strategy inside the M25 but not attractive elsewhere. * Find funds to repay the loan, either by selling assets or possibly in appropriate circumstances by re-financing other assets. * Sell the property. If you want to continue to invest in the property sector you could then consider - Investing via a company; - Investing jointly with others in debt-free residential property; or - Investing in a quoted managed residential property fund * Sell the whole or part of your interest in the buy-to-let property to a company which you control, on terms that the company takes on the whole of the borrowing. Each option has its own tax consequences and there will be wider commercial issues to consider as well. Every case is likely to be slightly different, but among other things you may need to consider the impact of: * Capital Gains Tax both now and when the property is sold in the future * Stamp Duty Land Tax * Dividend Tax * Inheritance Tax * Extracting the funds from a corporate owner It is fair to observe that no two cases will be the same and each case should be reviewed separately on its merits and your regular contact partner at Gerald Edelman would be pleased to arrange this. - Investing in commercial property (where the new rules do not apply); Rent a Room Relief The government has announced that from 6 April 2016 the rent-a-room relief will be increased from £4,250 to £7,500. The relief has not increased since 1997 and is welcome news for individuals who have been renting out part of their main residence. EIS and SEIS tax breaks too complicated for most SMEs Please note the let part should not have its own access to the property. On 7th September 2015 The Institute of Directors (IoD) called on government to simplify the Enterprise Investment Scheme (EIS) and Seed Enterprise Investment Scheme (SEIS) tax breaks for business to encourage investment in small to medium sized businesses and start-ups as too few businesses are aware of the reliefs. The IoD report, Opening the Equity Economy, examining the effect of the EIS and SEIS tax reliefs for business, states that the tax reliefs are being under-used. Residential Property Disposals by Non-residents The changes from 6 April 2015 * A non-UK resident (this includes individuals, Trustees and companies) is now subject to Capital Gains Tax (CGT) on disposals of UK residential property. * HM Revenue & Customs has introduced a new Return that is required to be completed by any non-UK resident owner (individual, company or trust) making a disposal of UK residential property after 6 April 2015. This is due within 30 days of the date of the disposal. * THE NRCGT return has to be filed irrespective of whether a gain or loss has been made. Any applicable exemptions must be claimed in the return * In view of the tight timescale, if you wish us to assist, it is important that we are notified when a residential property is in the process of being sold, to ensure that the return is completed within the short timeframe. * Failure to file a NRCGT Return within 30 days will result in penalties being levied by HM Revenue & Customs (HMRC). * Where the usual annual Self Assessment tax return is being filed, the CGT payment can be postponed until the normal tax payment date relevant to that return. (i.e. for self assessment by 31 January following the end of the tax year in which the disposal occurred). Calculating the gain * The new rules do not apply to gains relating to periods before 6 April 2015. The amount of the chargeable gain subject to the new rules will therefore by default be calculated as any gain that has accrued post 5 April 2015 (any gain accrued pre 6 April 2015 is excluded) i.e. there is an effective 'step up' of the tax base cost to the value of the residential property at 6 April 2015. It is however possible to elect for alternative bases of calculating the gain. * A relief for individuals may be available (the Private Residence Relief - see below). * In limited circumstances certain residential properties or investors may be exempt. * The CGT tax rate for individuals will be either 18% or 28% (depending on the level of UK taxable income); 20% for companies; and 28% for Trustees. * The CGT calculation needs to be submitted to HMRC with the NRCGT return. Changes to Private Residence Relief * The Finance Act 2015 also introduced changes to the Private Residence Relief (PRR). This relief is available where a residential property has been occupied as an individual's main residence. * The new PRR rules will apply to both non-residents disposing of UK residential property and UK residents disposing of properties located outside the UK. * From 6 April 2015, PRR relief will only be available if the individual meets the new PRR occupancy test. * Under this test, an individual will not be eligible for PRR for a tax year unless: - the person making the disposal or their spouse/ civil partner is tax resident in the country where the property is located for that tax year; or - the person spent at least 90 days in that property in that tax year - the "90-day rule". This is a major trap for those claiming to be non-resident in the UK as staying for more than 90 days may cause them to become tax resident for income tax and capital gains tax generally. Raising funding under the Enterprise Investment Scheme The Enterprise Investment Scheme is an excellent way for individuals to raise equity to capitalise either brand new or established companies. The key benefits for individuals is that they receive a 30% income tax credit for the gross amount of their share subscription and they have complete freedom from capital gains tax, when they come to sell the shares in the EIS company. Further, the gross amount of the investment can be used to defer assessment of any capital gain that was made in the previous three years on any asset whatever that may have been. In the March 2015 Budget, new restrictions were announced on the age of the company and a lifetime limit on how much a company can raise under the risk capital schemes. It is intended that, for most companies, these limits will be 12 years and £15m respectively and that these will be effective for share issues on and after 6 April 2015. These are, however subject to EU approval. These limits exceed the EU state aid regulation equivalent limits of seven years and €15m, so may be subject to restriction. If this happens, any relief granted in the interim period, may have to be withdrawn later, as the legislation permitting it may never have been effective in the first place. To avoid granting advance insurance in circumstances where the proposed UK limits are observed but the EU limits would be breached, HMRC will not process any application until the proposed UK limits are confirmed. Generally this is a wholly unsatisfactory state of affairs and means that client's investing or owners seeking to raise finance for companies that are more than seven years old from when they first commenced the trade, are in a state of uncertainty. We will update our client's as soon as we can when we have heard whether the proposed limits are likely to be confirmed and will issue an immediate update on our blog, available at www.geraldedelman.com. The key benefits for individuals is that they receive a 30% income tax credit for the gross amount of their share. Changes to the taxation of dividends The 2015 Summer Budget announced changes to the taxation of dividends. These changes will come in from 6 April 2016. This is an enormous change impacting many of our clients who have owner managed businesses and have in the past typically taken a small salary to qualify for state retirement pension and benefits with the remainder of their income taken in the form of dividends often shared with a wife and adult children. This change alone is expected to increase tax revenue for the Exchequer by £1.5bn, Dividends received by someone paying the 40% rate of tax are taxed at 25%: and for the highest earners, whose income falls within the 45% band, the corresponding dividend rate is 30.55%. From 6 April 2016 all of these rates will be increased by 7.5% so that for a basic rate taxpayer dividends will be charged at 7.5%; for a 40% payer the rate will be 32.5% and for a top-rate taxpayer, 38.1%. However, in every case the first £5,000 of dividend income will be tax-free. At present dividends are not effectively charged to tax to the extent that they fall within the recipient's basic rate band. Tax treatment of £1,000 dividend from April 2016 in excess of £5,000 allowance As a result some higher-rate taxpayers will be better off under the new regime. There is a dividend income break-even point where the tax payable on dividends under the current system equals the tax on the new system. For higher-rate taxpayers this level of dividend income is £21,667. of National Insurance Contributions (both employer's and employee's), substituting salary or bonus for dividend would increase the tax cost in the example quoted above by over £9,000. distributable reserves to vote a large enough dividend and that the cash to pay the tax on the accelerated dividend can be found. Under the current system, for higher-rate taxpayers £21,667 of net dividends taxed at 25 per cent = £5,416.75 From April 2016 £5,000 of dividends taxed at 0 per cent = £0 £16,667 of dividends taxed at 32.5 per cent = £5,416.75 So, from April 2016, higher-rate taxpayers (40% top rate) will be better off as long as their dividend income does not exceed £21,667, but worse off if their dividends exceed this. Additional-rate taxpayers (45% top rate) will be better off under the new regime providing their dividend income does not exceed £25,401, but worse off if their dividends exceed this level. Those with income over £100,000 start to lose their personal allowance at an effective tax rate of 60 per cent on earnings or interest income. Dividends falling within this band will be subject to an effective tax rate of 52.5 per cent. At present, an individual whose income consists of a salary of £7,500 and £80,000 of dividends can expect to pay tax of about £12,000. From 6 April the tax goes up by almost a quarter to some £15,000. So what can be done about it? The first thought may be to wonder whether, with the increased rate of tax on dividends, it will still be worth taking money out as dividend rather than salary once the changes kick in. The clear answer is yes: it is. Because of the impact A second idea that might spring to mind would be to accelerate voting of dividend to before 6 April 2016 and avoid the extra tax charge (leaving the dividend outstanding on loan account, of course, to be drawn down in future years). In a small number of cases this may be worthwhile: but great care is needed. For example, on the example we have given, the tax saving in 2016/17 from accelerating say £40,000 of dividend would be more than wiped out by the fact that the additional income for 2015/16 would take you over the level at which personal allowances are withdrawn. And accelerating larger amounts will soon move you into the highest rate of tax which, again, will defeat the point of the exercise. But there are two circumstances in which accelerating income into 2015/6 may give a worthwhile overall saving. * The first is where you are already paying tax at the highest rate and expect to continue to do so in future years. For example, if you are drawing dividends of £200,000 a year, you may save £15,000 in tax by voting an extra £200,000 in the current year and reducing dividends by £50,000 in each of the next four years. * The second is the special case where your dividend income runs at around £110,000 per year. Accelerating up to £35,000 of dividend from 2016/17 into 2015/16 may afford tax savings of around £5,000 because of the interaction of a number of tax factors at this level of income. In each case, of course, it is necessary that your company should have sufficient For the future, planning may involve considering ways in which value can be extracted from a company other than by way of dividend or remuneration. For example: * If you own premises from which the company operates (or even if you work from home for all or part of the time) consider making an appropriate charge to the company. If set at a market rate the charge should be fully tax-deductible for the company and (unlike remuneration) will not give rise to a charge to NIC. * Similarly, if you have a positive director's loan account with the company - perhaps arising from accelerated voting of dividend left outstanding on loan account - it will be perfectly acceptable for you to charge an appropriate rate of interest. * Your company may be the type that could buy assets from you for resale in it's trade. Finally, if you are typically drawing from the company substantially the whole of the profits which it makes, the additional tax on dividends may lead you to think about disincorporation and returning to trade as a sole trader or partnership. Careful consideration is required. At most levels of profit, the tax payable from April 2016 be very similar regardless of whether you trade through a company and remunerate yourself with dividends, or whether you trade as a sole trader. But in some cases (especially where disincorporation does not itself create significant tax costs) it is an option to consider. UK risk-takers are important to grow the economy I recently read an interesting sound-bite from Sir Nigel Rudd about the UK's approach to risk-takers which struck a chord with me. for a successful business. Fear, immobility or paralysis driven by aversion to risk can only serve to stifle enterprise. Sir Nigel stated that risk and business are often brought together to conjure up colourful stereotypes like Gordon Gekko, Bernie Madoff of the "Wolf of Wall Street" – an individual who is ruthless, excessive and above all a "risk-taker". Critics of risk-takers be they from media or politics are jumping to a misplaced conclusion being that risk is always a bad thing and that taking risks can only be irresponsible, foolhardy, and even immoral. As Sir Nigel goes on to say, "the truth is that risks are not all that easy to take – especially when the potential losses are significant. Indeed, it is not unusual to see senior executives rigid with fear and paralysed by data when confronted by a serious investment decision." The fact is that we need more risk–takers. Or more specifically, we need more individuals who understand risk and can work with it. But many people ask the question, what is "risk"? Many would say it is the potential of losing something of value – physical health, social status, emotional wellbeing or financial wealth – as a result of a particular action. Of course, risk has many different applications, but in financial contexts, it generally describes the possibility that an actual return on an investment will be lower than the expected return or at the cost of a greater return elsewhere. Putting capital on the line and investing in some of the UK's most exciting growing companies, the investor has to know a thing or two about risk. The message from Sir Nigel to British entrepreneurs is clear: more of them need to take a well-calculated risk on growing their businesses – not settling for merely "good", but striving to become "great", the business success stories of the future. Entrepreneurs should embrace the economic upturn with its latent opportunity, accept that now is a great time to invest, and keep an open mind about different ways to fund their growth. Ironically, sitting tight and accepting the status quo is possibly the most risky option for a business, because if you're not careful inertia rapidly becomes a permanent way of life. Delaying investment could prove a costly decision as competitors across the globe raise their game. The smart entrepreneur does not avoid taking risks but instead makes a proper assessment of them and looks for ways to manage or mitigate them. They ask: "how can I take this step more cheaply (possibly by using someone else's money); who can help me to get where I want to go (with contacts and learning); how can I do it faster; and how can I do it better than I had initially planned?" A clear distinction must also be made between risk and plain old uncertainty, and arguably this comes down to the extent to which potential exposure can be measured. The ability to understand, calculate and offset that exposure with an appropriate return is critical – and it is an absolute requirement Calculated risk-taking is ultimately critical to business growth. There should be no shame in taking a risk, and indeed no shame in not always getting it right first time. Successful British enterprise requires a culture where calculated risk-taking is encouraged, applauded and properly supported. The UK needs more risk-takers. This is important as we cannot afford is to leave economic growth to chance! Changes to Tax legislation affecting offshore companies 1. INHERITANCE TAX (IHT) The government announced on 8th July proposed changes to IHT rules on UK residential property held by non-UK domiciled individuals or excluded property trusts. The proposal intends to bring all UK property held directly or indirectly by foreign domiciled persons into charge for IHT purposes, even when the property is owned through an indirect structure such as an offshore company. Please note these are proposed changes, a consultation will be published and legislation will be included in Finance Bill 2017 with changes effective on or after 6 April 2017. 2. ANNUAL TAX ON ENVELOPED DWELLINGS – (ATED) ATED was introduced on 1 April 2013 for residential properties with a value over £2million at 1 April 2012 owned by nonnatural persons (typically companies) whether resident in either UK or offshore. The government is reducing the threshold to £1million and then to £500,000 on 6 April 2015 and 6 April 2016 respectively. If the value of your property exceeds these limits an ATED return will need to be submitted. The entity can claim business exemptions on the Return form from the charge with the main reliefs being: * Let to a third party on a commercial basis and is not, at any time, occupied (or available for occupation) by anyone connected with the owner * Part of a property developer's trade where the dwelling is acquired as part of a property development business the property was purchased with the intention to re-develop and sell it on and isn't, at any time, occupied (or available for occupation) by anyone connected with the owner. There is also an obligation to inform HM Revenue & Customs within 30 days of purchasing a property that falls within the ATED regime. HM Revenue & Customs impose significant penalties for failure to submit ATED returns on time. CAPITAL GAINS TAX Unless the ATED Business Exemption applies, offshore companies with residential properties valued over £2million have been subject to CGT since 6 April 2013 at a rate of 28% on gains accruing after 5 April 2013. The government reduced the CGT threshold in line with the ATED changes so from 6 April 2015 and 6 April 2016 properties over £1million and £500,000 may be subject to CGT respectively. The truth is that risks are not all that easy to take – especially when the potential losses are significant. 3 5 Managing Director Inheritance Tax – the levy of choice! CHANCELLOR George Osborne's announcement in the Summer Budget to allow families to pass on estates worth up to £1million free of Inheritance Tax (IHT) was warmly received but is far less generous than it first appeared. The changes are complicated and very importantly: * will only apply to the main family home when left to a direct descendant (child, grandchild, etc) * will take several years to come fully into effect and * will not benefit those with larger estates – in fact they could be disadvantaged by the changes. It is for this reason that Inheritance Tax (IHT) planning (also known as Estate Planning) has never been more important. In the past, IHT planning was an activity confined to the very rich. However, growing affluence means that this is no longer the case. Even families and individuals who consider themselves to have a relatively modest level of wealth (e.g. property, cash and investments), now need to plan ahead to ensure that the wealth which they have spent a lifetime accumulating passes on to their loved ones, rather than the lion's share passing to HMRC as is unexpectedly often the case. The table below provides an idea of the Inheritance Tax that could be paid on three different sizes of estate; How much Inheritance Tax will be paid on my/our death to HMRC? These figures assume you qualify for the full new main residence nil rate band from 2020/21 onwards. If you do not qualify for the full band the figures in brackets would apply. Estate Planning is not all about reducing Inheritance Tax. It is also important to consider: * whether you need access to income or capital from your assets during your lifetime * protecting your assets so that your family benefit rather than a future disgruntled daughter or son-in-law or creditor, * making provision for vulnerable or minor beneficiaries, and more. Genesis Wealth Ltd has been providing private individuals, families and trustees with high-quality, expert financial advice for many years. Our advisers would be happy to guide you through the complexities of estate planning, explaining the options available to you, and helping you to build the secure financial future which you and your family deserve. At this stage, if you would just like a free copy of our information leaflet entitled – 'You and yours – estate planning' please either email email@example.com or contact my colleague Andrew Chaplin on 01376 344234 and we will forward a copy to you. If you would like an exploratory meeting either face-to-face or by telephone to discuss your circumstances we would be delighted to do so – there is no charge for this and you would not be under any obligation. The good news is that by seeking the right advice, practically everyone with an IHT liability should be able to reduce or eliminate it, passing on as much of their estate as possible to their loved ones. Remember IHT is a voluntary tax which can be legitimately avoided with the right planning. Get professional financial advice before you make a start. Tax payments procedure From the 13th September 2015, you'll need to use a new service to pay your tax online by debit or credit card. Please note that there is a 1.4% surcharge for the use of a credit card. This link can be used to pay Corporation Tax and VAT if a corporate has the requisite cards in issue. Please visit this link and follow the instructions ensuring you have your UTR to hand (unique 10 digit tax reference number with a small 'k' on the end). www.gov.uk/pay-tax-debit-credit-card. My team and I look forward to being of future service to you. The information above does not constitute advice. Specialist advice should be undertaken before pursuing any estate or Inheritance Tax mitigation planning measures. Chiumento Group is a new client for our firm and is in the business of HR recruitment, outplacement and other HR services. The CEO is called Ian Gooden and he has written the following thought provoking article for employers about retaining your 'A' players. 3) "The willing donkey bears the heaviest load". It's an old saying but a valid one. 'A' players can often do more than their colleagues. However it's a skill that's easily abused by leaders – and over time becomes routinely expected and as a result that over-achievement is poorly recognised. "Over the last few months I have delivered a lot of leadership development events. The audiences have ranged from CEOs and MDs to middle managers and "high potentials". Each programme always ends with a Q&A and in every case the question on everyone's mind was "how do I hold on to my best people?". What they are inevitably talking about are their 'A' players. That top perhaps10-15% of the workforce who make an above average contribution. Be that in innovation, customer service, quality, sales performance or technical expertise. Basically the people "who make the boat go faster". Of course what every leader wants is more than their fair share of 'A' players. Recruiting them is tough and expensive and once you've got them everybody else wants to steal them. There's just not enough great talent out there to quench the thirst of every business. That in turn drives up competition and fuels salary inflation. So how do you make sure you stand the best chance of keeping your brightest and best? Well, here's my top tips:- 1) Stop trying to keep hold of them. I don't mean that in terms of accept the inevitable. Rather it is about line managers changing their mindset. Too often line managers try to "hoard" talent. They take the attitude that great people are their local asset – rather than an organisational one. They put up all sorts of barriers and smokescreens to stop other managers in the organisation offering their people more exciting, challenging and rewarding opportunities. That's often simply (if subconsciously) because losing someone good makes their own life harder. The "green eyed god" factor can apply too - especially if their own career has reached a plateau. Great leaders are producers not consumers of talent. They see their job as nurturing and growing potential and then selflessly handing it on. 2) 'A' players want to work with other 'A' players. Generally 'A' players are tolerant of 'B' players. They accept that not everyone is as driven or as capable as them. They know that 'B' players are the dependable, loyal and reliable bedrock that every organisation is built on. The middle 66% of the workforce. What they have little or no tolerance for are 'C' players. Those bottom performers whose negative contribution acts like an organisational sea anchor. 'A' players look at leaders and expect them to do something about poor performance. The reality for leaders is that they aren't judged just on their own contribution. You can be the best accountant, marketeer or engineer in the business and still not be seen as a success if you don't tackle capability issues in your team. Nobody will hold you more to account for this than your 'A' players. Fail the test and you'll lose their trust and respect no matter how technically capable you are. Over time 'A' players can become resentful about the "unfair" burden placed on them compared to their less capable colleagues – including sometimes their boss. If it is combined with a sense leaders are using them to compensate for unresolved performance issues elsewhere, then the problem is multiplied. Over-loading 'A' players is an easy trap to fall into. Often their high achiever traits can make them appear hungry for the challenge but there is a turning point at which it is perceived as being "taken advantage of". At which point their loyalty and engagement declines and they become vulnerable to another offer. 4) A "safe pair of hands" mindset is potentially a bear trap. Leaders typically like nothing more than predictable outcomes. So giving a piece of work or project to an 'A' player lets them sleep at night. The problem is that 'A' players typically like new challenges, stretch and growth. So giving them an objective that smacks of "been there, done that, got the t-shirt" won't offer the stimulus they crave. Your "safety" might well be their "repetitive, boring and unfulfilling". Leaders sometimes need to take risks. That same piece of work your 'A' player might resent could be somebody else's career turning point. Giving them that stretch and development might just make them the next 'A' player in waiting. 5) Neglecting 'A' players. All leaders face a time paradox. The people who tend to soak up their time are 'C' players. The ones who need hands on performance management, direction and coaching. Whereas actually they should be spending most time with the 'A' players. It is easy to fall into the trap of thinking that 'A' players know how good they are and can be safely left to get on with it. However their need for attention and recognition is often just as great as anyone else. Forget that and you will have a big problem on your hands. The interesting thing is that none of the above points are about reward - that's important. Thinking that just showering 'A' players with money will keep them is not true. As our own "Riding the Career Carousel" research showed, less than 20% of the UK workforce sees extrinsic rewards like pay and bonuses as their primary motivator. Get pay wrong and it will be a problem, but equally you can't just buy loyalty. Engaging and retaining 'A' players is a lot more complicated than that." Ian Gooden Chiumento Group 2nd floor, 5-6 Underhill Street, London, NW1 7HS Phone: 02072243307 Email:firstname.lastname@example.org www.chiumento.co.uk Taxation of interest and digital tax accounts From April 2016, banks and building societies will pay interest gross without deducting 20 per cent tax. The government has introduced the Personal Savings Allowance which will result in the first £1,000 for basic rate taxpayers and £500 for higher rate taxpayers being tax free. How will the new tax accounts work? The starting rate of tax on savings income will be reduced from 10% to 0% and the maximum amount of income subject to the 0% rate will be increased to £5,000. Taking the above together with exemption of taxation on the first £5,000 of dividends one may be forgiven for thinking that the Chancellor has become very generous but professionals believe these changes are really designed to reduce the complexity of the tax affairs of millons of people. Read on: Abolishing self-assessment, a new dawn for tax reporting George Osborne set himself an ambitious target in the March 2015 budget, by announcing that he plans to scrap selfassessment tax return reporting by the end of this government (2020). The proposals put forward will abolish self-assessment tax returns in favour of an online tax account. Specific legislation to implement this once in a generation tax system overhaul is being consulted on with legislation being implemented shortly afterwards. Taxpayers will be able to login to their own HMRC portal to view and amend information held by HMRC. This will effectively be a linking up exercise of the information HMRC hold already. This will include information on: * Employment and Savings income; * PAYE deductions; * National Insurance Contributions; * Pension Positions; * Interest from banks and building societies. In addition, third party software providers such as; payroll and accountancy software, will be able to upload information on businesses to HMRC, with this then feeding into the individuals/ business' online account. HMRC envisage this will enable them to produce a single tax payment due from the individual/ business, consolidating various liabilities into one payment, and to track each tax liability in real time. This will cover tax liabilities in respect of: * Income Tax; * Class 4 National Insurance (note below comments on Class 2 National Insurance); * PAYE; * Corporation tax; * VAT. There has been no formal timetable announced for the phasing in of the new online accounts, but we know that the first of the switches will happen next year, presumably to cover reporting for the 2016/17 tax year. HMRC has said that it expects 5 million small businesses, and 10 million individuals will use the new digital tax accounts from 2016, rising to 50 million users by 2020. HMRC's intention is that this will allow taxpayers to see all of their liabilities on one screen, and provide better management of their tax liabilities. HMRC suggest that by enabling more taxpayers to pay their liabilities as they go, it will help manage their cash flow and help avoid a one-off tax bill. In reality, the real time ability to pay tax liabilities that would otherwise wait until a later date, such as 31st January, is more likely intended to help with HMRC's cash flow rather than a selfless act of tax simplification. 8 Gerald Edelman is registered to carry on audit work in the UK and Ireland by the Institute of Chartered Accountants in England and Wales and authorised and regulated by the Financial Conduct Authority (FCA) for investment business. Genesis Wealth Limited is authorised and regulated by the FCA. The value of investments can go down as well as up and you may not get back the full amount you invested. The past is not necessarily a guide to future performance. If you withdraw from an investment in the early years you may not get the full amount invested. The FCA does not regulate taxation advice, inheritance tax planning and trust advice. Chartered Accountants Partners Colin Burns LLP Michael Harris LLP Richard Kleiner LLP David Convisser LLP Howard Wallis LLP Deval Patel LLP Stephen Coleman LLP Stuart Rosenberg LLP Ajay Shah LLP Engin Zekia LLP Graham W Thomas LLP Hemen Doshi LLP Hiten Patel LLP Consultants Neil Summer FCA Bernard Hoffman FCCA MIPA David Atkinson FCA Michael Fialko FCA CTA Office Locations 73 Cornhill London EC3V 3QQ T: +44 (0)20 7299 1400 email@example.com www.geraldedelman.com Edelman House 1238 High Road London N20 0LH T: +44 (0)20 8492 5600 firstname.lastname@example.org www.geraldedelman.com Directors Graham Thomas Robert Jones Andrew Chaplin Colin Burns Richard Kleiner Sanjay Rijhsinghani 240 Avenue West Skyline 120 Great Notley, Braintree Essex CM77 7AA T: +44 (0)1376 344 234 F: +44 (0)1376 344 264 email@example.com www.genesiswealth.co.uk This newsletter is for guidance only and professional advice should be obtained before acting on any information it contains. Gerald Edelman accepts no responsibility for loss suffered by any person as a result of action taken or not taken as a result of the contents of this publication.
Utilization of Nerve Conduction Study for the Detection of Diabetic Polyneuropathy in a Tertiary Care Center in Madhya Pradesh Aruna Singh 1 , Vinit Kumar Tiwari 2 , Brijesh Singh 3 1Associate Professor, Department of Physiology, Shyam Shah Medical College, Rewa, Madhya Pradesh, India, 2Senior Resident, Department of Surgery, Shyam Shah Medical College, Rewa, Madhya Pradesh, India, 3 Associate Professor, Department of Surgery, Shyam Shah Medical College, Rewa, Madhya Pradesh, India Abstarct Introduction: Diabetes mellitus is a group of metabolic disorders that share the phenotype of hyperglycemia. The clinical and economic burden of diabetic polyneuropathy (DPN) stems from its central role in the pathophysiology of foot ulceration and lower limb amputation, reduction in quality of life. Simple screening methods are of limited value in early neuropathy. Nerve conduction studies (NCSs) are the most sensitive and specific DPN detection method. Material and Method: This study was conducted to detect the sensory-motor neuropathy in type 2 diabetes mellitus by clinical examination and nerve conduction study. In this study, 50 cases of type 2 diabetes were taken. Results: Majority of patients presented with tingling sensation and followed by burning feet. In 50 patients of type 2 diabetes mellitus on clinical examination, most of the patients had involvement of both upper and lower limbs followed by only lower limb involvement, whereas on NCS, there were more patients with both upper and lower limbs involvement as compared to clinical studies. Maximum patients had symmetrical limb involvement clinically, but on NCS, the number of patients with symmetrical limb involvement was even more. Conclusion: It was found that patients with diabetes mellitus, diabetic peripheral neuropathy is highly prevalent, but in the majority of patients, it is subclinical. Sensitivity and negative predictive values of the neurological examination are low. Therefore, routine nerve conduction velocity measurement for the assessment of diabetic peripheral neuropathy appears to be warranted in these patients. Thus, the author concluded in this study, detection of neuropathy is earlier and significant with NCS compared to clinical. Key words: Diabetes mellitus, Diabetic polyneuropathy, Nerve conduction studies INTRODUCTION Diabetes mellitus is a group of metabolic disorders that share the phenotype of hyperglycemia. Depending on the etiology, factors contributing to hyperglycemia include reduced insulin secretion, insulin action, decreased glucose utilization, and increased glucose production. [1] The clinical and economic burden of diabetic polyneuropathy (DPN) stems from its central role in the pathophysiology of foot ulceration and lower limb amputation, [2] reduction in quality of life and decreased activities of daily living, [3] and susceptibility to falls and fractures. [4] The International Diabetes Federation estimated the total number of diabetic subjects to be around 40.9 million in India and this is further set to rise to 69.9 million by the year 2025. [5] Simple screening methods are of limited value in early neuropathy, [6] in the presence of neurological comorbidities, [7] and for the elderly. [8] Access this article online Nerve conduction studies (NCSs) are the most sensitive and specific DPN detection method. [6] Aims and Objectives www.ijss-sn.com This study was to detect sensory-motor neuropathy in type 2 diabetes mellitus by clinical examination and nerve Month of Submission : 01-2020 Month of Peer Review : 02-2020 Month of Acceptance : 03-2020 Month of Publishing : 03-2020 Corresponding Author: Vinit Kumar Tiwari, Department of Surgery, Shyam Shah Medical College, Rewa, Madhya Pradesh, India. International Journal of Scientific Study \| March 2020 \| Vol 7 \| Issue 12 conduction study and to correlate the clinical features of peripheral neuropathy with nerve conduction study in type 2 diabetes mellitus. METHODS Fifty patients of type 2 diabetes mellitus with age more than 40 years and duration of diabetes 5 years or more visiting Shyam Shah Medical College and Sanjay Gandhi Memorial Hospital, Rewa, were taken for the present study excluding type 1 diabetics, chronic alcoholics, and due to other causes of peripheral neuropathy. Detailed history regarding symptoms such as paresthesia, tingling sensation, burning feet, and hyperesthesia was taken. Diagnosis of peripheral neuropathy was based on thorough clinical evaluation and nerve conduction study. All diagnosed Type 2 diabetic patients were subjected to nerve conduction study. RESULTS In this study, 50 cases of type 2 diabetes were taken, and we found that out of 50 patients, there were 60% of females and 40% of males. The age of patients varied from 40 to 70 years. The mean age was found to be 52.70 years. The duration of diabetes varied from 5 to 20 years. The maximum numbers of patients were in the duration of 5–15 years comprising 80% of the total. About 57% of patients presented with tingling sensation and 39% presented with burning feet. Hyperesthesia and foot ulcers were presenting complaints in only 6% of patients each. About 45% of patients had loss of ankle jerk, 43% had loss of vibration, 31% had loss of light touch, 29% had loss of joint position, and 16% had loss of superficial pain. In 50 patients of type 2 diabetes mellitus on clinical examination, 40% had involvement of both upper and lower limbs followed by only lower limb involvement in 14% of patients. Isolated upper limb involvement was seen in 2% of cases but on NCS, 56% had involvement of both upper and lower limbs followed by only lower limb involvement in 16% of patients. Isolated upper limb involvement was seen in 6% of cases. About 22% were found normal on NCS [Table 1]. Table 2 shows that 47% of patients had symmetrical limb involvement clinically and 31% had asymmetrical limb involvement but on NCS, 61% of patients had symmetrical limb involvement and 22% had asymmetrical limb involvement. Table 1: correlation of limb involvement clinically and on NCSs NCSs: Nerve conduction studies Table 2: correlation of the pattern of neuropathy clinically and on NCSs NCSs: Nerve conduction studies DISCUSSION Diabetic neuropathy is one of the common microvascular complications in diabetics. Therefore, it is necessary to identify the "at-risk diabetic patients" for neuropathy. NCSs are one of the important methods for assessing nerve functions in diabetic neuropathy. Hyperglycemia causes nerve damage by various mechanisms. Hyperglycemia leads to elevated intracellular glucose and cellular toxicity in the endothelial cells of the capillaries associated with peripheral nerves. [9] The present study has detected types of neuropathy in type 2 diabetes and correlated clinical features of peripheral neuropathy with nerve conduction study. In this study, the mean age of patients who are enrolled is 52.7 years. Prasad et al. conducted a similar study to test the hypothesis of alteration in electrophysiologic parameters of nerve before actual manifestations of neuropathy in type 2 diabetic patients, in which the mean age of patients was found to be 55.72 ± 7.12 years. [10] In the present study, tingling sensation is the most common presentation of diabetic neuropathy followed by burning feet then hyperesthesia and foot ulcers. Kakrani et al. did a study on total of 50 diabetics. NCSs were performed. About 92% presented with complaints of tingling sensation and 64% had burning feet. [11] The most common signs are loss of ankle jerk followed by loss of vibration then light touch and joint position. Shehab et al. conducted a study to assess the performance characteristics of ankle reflex in detecting diabetic peripheral neuropathy. Taking NCS as the gold standard, 29 International Journal of Scientific Study \| March 2020 \| Vol 7 \| Issue 12 ankle reflex yielded the highest sensitivity and specificity, [12] closely followed by that of vibration sense. In the present study, it is found that the detection of neuropathy is earlier and significant with NCS compared to clinical examination (P < 0.05). Höliner et al. conducted a study to evaluate the prevalence of diabetic peripheral neuropathy in patients with diabetes mellitus and examined whether the neurological examination validly diagnoses diabetic peripheral neuropathy as compared with the gold standard of nerve conduction velocity in these patients and found similar results as compared to our study. It was found that patients with diabetes mellitus, diabetic peripheral neuropathy is highly prevalent, but in the majority of patients, it is subclinical. Therefore, routine nerve conduction velocity measurement for the assessment of diabetic peripheral neuropathy appears to be warranted in these patients. [13] CONCLUSION Thus, the author concludes that the detection of neuropathy is earlier and significant with NCS compared to clinical (P < 0.05). Tingling sensation is the most common presentation of diabetic neuropathy followed by burning feet then hyperesthesia and foot ulcers. The most common signs are loss of ankle jerk followed by loss of vibration then light touch and joint position. Simultaneous involvement of both upper and lower limbs is significantly more than single limb involvement by both NCS (P < 0.05) and clinical examination (P < 0.05) followed by only lower limb involvement. of sensory/motor neuropathy as detected by both NCS and clinically (P < 0.05). Sensory-motor type of neuropathy is the most common type of neuropathy in type 2 diabetics detected on both NCS and clinically (P < 0.05). REFERENCES 1. Ozougwu JC, Obimba KC, Belonwu CD, Unakalamba CB. The pathogenesis and pathophysiology of Type 1 and Type 2 diabetes mellitus. JAPI 2013;4:46-57. 3. Vinik EJ, Hayes RP, Oglesby A, Bastyr E, Barlow P, Ford-Molvik SL, et al. The development and validation of the Norfolk QOL-DN, a new measure of patients' perception of the effects of diabetes and diabetic neuropathy. Diabetes Technol Ther 2005;7:497-508. 2. Singh N, Armstrong DG, Lipsky BA. Preventing foot ulcers in patients with diabetes. JAMA 2005;293:217-28. 4. Schwartz AV, Hillier TA, Sellmeyer DE, Resnick HE, Gregg E, Ensrud KE, et al. Older women with diabetes have a higher risk of falls: A prospective study. Diabetes Care 2002;25:1749-54. 6. Perkins BA, Olaleye D, Zinman B, Bril V. Simple screening tests for peripheral neuropathy in the diabetes clinic. Diabetes Care 2001; 24:250-6. 5. Mohan V, Sandeep S, Deepa R, Shah B, Varghese C. Epidemiology of Type 2 diabetes: Indian scenario. Indian J Med Res 2007;125:217-30. 7. Perkins BA, Bril V. Diabetic neuropathy: A review emphasizing diagnostic methods. Clin Neurophysiol 2003;114:1167-75. 9. Buse JB, Polonsky KS, Burant CF. Type 2 diabetes mellitus. In: Larsen PR, Henry M, Melmed S, Kenneth S, editors. Williams Textbook of Endocrinology. 10 th ed. Philadelphia, PA: Saunders; 2003. p. 1427-83. 8. Watanabe T, Ito H, Morita A, Uno Y, Nishimura T, Kawase H, et al. Sonographic evaluation of the median nerve in diabetic patients: Comparison with nerve conduction studies. J Ultrasound Med 2009;28:727-34. 10. Prasad N, Pisharody IK, Karandikar MS, Diwanji SA, Raghav PR. Comparative analysis of electrophysiological parameters of median nerve in normal and diabetic subjects. Indian Med Gaz 2013;147:261-4.4. 12. Shehab DK, Al-Jarallah KF, Abraham M, Mojiminiyi OA, Al-Mohamedy H, Abdella NA. Back to basics: Ankle reflex in the evaluation of peripheral neuropathy in Type 2 diabetes mellitus. QJM 2012;105:315-20. 11. Kakrani AL, Gokhale VS, Vohra KV, Chaudhary N. Clinical and nerve conduction study correlation in patients of diabetic neuropathy. J Assoc Physicians India 2014;62:24-7. Distal symmetrical polyneuropathy is the most common form of diabetic neuropathy as compared with other forms 13. Höliner I, Haslinger V, Lütschg J, Müller G, Barbarini DS, Fussenegger J, et al. Validity of the neurological examination in diagnosing diabetic peripheral neuropathy. Pediatr Neurol 2013;49:171-7. How to cite this article: Singh A, Tiwari VK, Singh B. Utilization of Nerve Conduction Study for the Detection of Diabetic Polyneuropathy in a Tertiary Care Center in Madhya Pradesh. Int J Sci Stud 2020;7(12):28-30. Source of Support: Nil, Conflicts of Interest: None declared. International Journal of Scientific Study \| March 2020 \| Vol 7 \| Issue 12
ОРГАНИКАЛЫҚ ХИМИЯ ОРГАНИЧЕСКАЯ ХИМИЯ ORGANIC CHEMISTRY DOI 10.31489/2019Ch4/8-17 UDC 661.746.2:544.56 G.Ya. Guba 1 , A.O. Gusar 1 , E.A. Mamaeva 1 , V.А. Popova 1 , I.R. Dolgov 1 , A.A. Bakibayev 2 , R.R. Ahmedjanov 3 1Tomsk Polytechnic University, Russia; 2National Research Tomsk State University, Russia 3Tomsk State Pedagogical University, Russia (E-mail: email@example.com) Polymerization of lactic acid oligomers under microwave irradiation The kinetics of the polymerization of lactic acid oligomers (LAO) was studied for the first time at various microwave irradiation powers (MW) in the presence of Sn(Oct)2/benzyl alcohol (C6H5CH2OH) catalyst and toluenesulfonic acid (TSA). LAO was polymerized in a multimodal reactor in a vacuum while sparging with nitrogen at powers of 130, 280, 360 W. The optimal concentrations of catalysts and initiator were determined, which represent 0.03 % Sn(Oct)2/C6H5CH2OH and 0.3–0.4 % TSA by weight of LAO. It was established that the polymerization of LAO in the presence of TSA proceeds already at 130 W. As the MW power increases, the rate of LAO polymerization increases. When Sn(Oct)2/C6H5CH2OH was used as a catalyst, the LAO polymerization process proceeds at a noticeable rate at 280 W, and after 25 min the molecular weight was about 20,000 Da. During the polymerization of LAO in the presence of catalysts at 360 W, lactide forms along with the formation of polylactic acid (PLA). Using the methods of IR and NMR spectroscopy, the structure of the obtained substances was studied. The synthesized PLA samples are optically pure; the optical rotation angle is 156–158 degrees×ml/dm×g. It has been suggested that during LAO polymerization under MW conditions, the so-called «non-thermal microwave effect» is observed, that is, at the same temperature (215 °C), but at different powers (280 W and 360 W), the LAO polymerization proceeds at different rates. Keywords: microwave irradiation, lactic acid, polylactic acid, lactic acid oligomers, NMR spectroscopy, IR spectroscopy, specific optical rotation, catalyst. Introduction PLA is one of the most promising biodegradable polymers used for various biomedical applications because of its biocompatibility and biodegradation in the human body into non-toxic metabolites [1–5]. Tin octanoate is recognized as the most effective catalyst for the synthesis of PLA. In this case, compounds containing hydroxyl groups, such as alcohols [2, 6, 7], initiate the ring opening polymerization process. With traditional methods for the synthesis of PLA stringent conditions are necessary: high vacuum, long polymerization time and the consumption of large amounts of energy. MW is able to accelerate chemical reactions 10–100 times. The wide possibilities offered by MW in chemistry are of great interest in the study and application of the effects of exposure to microwave radiation. It is believed that MW has firstly, the ability to cause rapid and significant heating of organic compounds and secondly, to activate reagent molecules and especially, cause their dissociation into ions and free radicals. The MW photon at a frequency of 2.45 GHz has the energy equal to 9.6×10 –4 eV. This is not enough even to break the hydrogen bond [8, 9]. To date considerable experience has been accumulated on the use of MW to accelerate the synthesis of PLA [10–19]. The works [3, 6, 17–18, 20–23] show the results of studies of the synthesis of PLA under MW conditions by polymerization of lactides. The rate of polycondensation of lactic acid (LA) under MW conditions depends on the volume of reacting substances [24], pressure [19–20], and the monomer/catalyst ratio [25]. The polymerization of PLA with the opening of the lactide ring was successfully carried out using the conventional and microwave methods in [26]. The lactide polymerization reaction time under MW conditions was reduced from 6 hours to 20 minutes, the molecular weight (Mw) of the PLA was 11000 Da and under ordinary conditions the Mw of the PLA was 2000 Da. The processes of direct polymerization of LA under MW conditions are attractive as energy-saving processes, since they avoid the labor-consuming and energy-consuming stage of lactide synthesis [3, 12, 14, 26, 27]. Direct condensation of LA is carried out in three stages: removal of free water, polycondensation with the formation of oligomers and condensation of oligomers to high molecular weight polymers in the melt. On the first and third stages, water removal is critical to the reaction rate. For the second stage, the rate is determined by the chemical reaction [12, 28]. The authors of [12, 26] studied the polycondensation of 85 % LA in the presence of a SnCl2/TSA binary catalyst under MW conditions in a monomode reactor. MW with Mw 16000 Da was obtained by carrying out the reaction for 30 min at a pressure of 30 mmHg. When only TSA is used as a catalyst, LAO with Mw less than 1000 Da is formed. This polymer can also be converted to high molecular weight PLA by melt polycondensation [12]. The effect of MW is currently debatable [6, 11, 25, 27, 29–31]. No data were found on increasing the reaction rate due to an increase in activation energy in the MW field in the literature. The authors of [25], while studying the polymerization of lactide in a toluene solution, expressed the opinion that microwave irradiation did not cause any changes in the polymerization kinetics, which made it possible to consider the absence of a specific «non-thermal» effect during microwave synthesis. Authors [30] studied the kinetics of caprolactam polymerization under MW conditions. As a result, a specific «non-thermal» effect was suggested. Authors [31] investigated the polycondensation of LA under MW conditions in xylene in the presence of catalysts at a power of 100–400 W and pointed to the existence of a specific «non-thermal» effect induced by an electric field. In [32], a lactide-pullulan copolymer was synthesized in a monomode microwave reactor and it was found that at the same reaction temperature (80 °C) with increasing irradiation power from 50 to 200 W, the yield of the final product increased. The authors suggested the existence of a specific «non-thermal» effect. An analysis of the literature data showed that, despite the large number of publications on the synthesis of PLA under MW conditions, the results obtained are disparate, performed under different conditions and in various microwave reactors [29]. Although it can be said unequivocally that under MW conditions, the time for the synthesis of PLA decreases by 10–15 times. In this work, the influence of the MW power, the time and nature of the catalysts on the polymerization of LAO under the MW conditions in a multimode reactor was investigated. Experimental LAO obtained according to the method described in [33] by evacuation for 25 min at 280 W of an 80 % aqueous solution of D(+)˗acid of the PURAK 80 brand (country of origin is the Netherlands) was used as the object of study. Sn(Oct)2, TSA applied qualifications chemically pure, C6H5CH2OH analytical grade was used as initiator. The IR spectra of the starting compounds and reaction products were recorded on an Agilent Resolutions Pro IR spectrometer. The molecular weights of the obtained samples were determined by the viscometric method using a Ubbelode viscometer. Chloroform was used as a solvent. The molecular weights of PLA were also determined by gel permeation chromatography on an Agilent 1200 instrument. Chloroform was used as a solvent, the eluent velocity was 1 ml/s. The 1 H NMR spectra of the synthesized LAO and PLA were recorded using a Bruker AVANCE AV 300 Fourier spectrometer (Germany), an operating frequency of 300 MHz, and a deuterated CDCl3 solvent. To determine the angle of optical rotation (degrees×ml/dm×g), an AR-300 polarimeter was used, the tube length was 1 dm, and the solvent was chloroform, λ = 589 nm. Thermal studies of PLA sample LAO was polymerized under m es were performed on an SDT Q600 V20.9 Build microwave irradiation according to the general sch d 20 instrument. heme shown in Figure 1. The resulting 10 g LAO was TSA) were added in an amount of 0 lyst/initiator 1:1). They were placed mmHg at various powers 130–360 W loaded into a 100 ml glass heat-resistant flask 0.03–0.3 %, together with the initiator (C6H5CH2 d in a microwave reactor and sparged with nitrog W. and catalysts (Sn(Oct)2, 2 OH, in the ratio of catagen at a pressure of 200 Results and Discussion It is known that Mw of PLA de ratio of catalyst:cocatalyst, tempera ence of the molecular weight of PL out at 280 W for 25 min. The h 0.03 mass.%. epends on a number of factors: the nature and am ature and polymerization time. Figure 2 shows th LA on the concentration of the catalyst. The pol ighest Mw of PLA was achieved at a cataly mount of the catalyst, the he curves of the dependlymerization was carried yst concentration (ω) of The increasing of catalyst conc er, further catalyst concentration in Moreover, samples changed the col that catalyst concentration increase s centration to ω = 0.03 mass.% leads to molecular ncrease provokes the reverse process of molec lor to darker one. Taking into account these fact stimulates polymer destruction process. r weight growth. Howevcular weight decreasing. ts, it could be suggested Sn(Oct) 2 /C 6 H 5 CH 2 OH = 1:1; Power = 280 W; τ = 25 min Figure 2. Dependence of M Mw PLA on ω of the catalyst during LAO polymerizati ion under MW C6H5CH2OH is an effective ini Mw to Sn(Oct)2, the PLA increases the absence of C6H5CH2OH, the po lyst: initiator is 1:2 and the reaction mass becomes black-brown. The me known that alcohols presence incre Sn(Oct)2. tiator of Sn(Oct)2 in the synthesis of PLA. Upon and reaches a maximum at a ratio of 1:1, and th lymerization process is practically not observed. n takes more than 15 minutes, the polymer is de echanism of PLA at Sn(Oct)2 and alcohols are de eases the reaction rate of cyclic LAO polymeriz addition of C6H5CH2OH hen decreases (Fig. 3). In When the ratio of cataegraded and the reaction escribed in [15, 17]. It is zation at the presence of The kinetic curves of LAO po ure 4. The dependence of Mw at an during the course of the reaction for lymerization in the presence of Sn(Oct)2/C6H5CH n irradiation power of 130 W (205 °C), Mw LA 30 min, the Mw LAO is only 1500 Da. H2OH are shown in FigAO slowly increases. So, It could be suggested that C6H5 CH 2 OH forms intermediate complex. The optima al ratio is 1:1. Power = 280 W; τ = 25 min Catalyst — Sn(Oct) /C H CH OH; Power: 1— 130 W; 2— 280 W; 3— 360 W Ratio catalyst/initiator/LAO = 3/3/10000 (mass.%) 2 6 5 2 Figure 4. Kinetic curves of LAO polymerization the presence of a catalyst At an MW power of 280 W, the sample heats up during the first 10 minutes and the process of polycondensation of low molecular weight LAO occurs with the removal of water. With an increase in the process time, the molecular weight of LAO sharply increases. Presumably, at this period of the process, the LAO polymerization stage is limiting with the opening of the cycle after 15 minutes the polymerization process slows down, which is apparently due to the fact that the diffusion stage of the process becomes limiting. It should be noted separately that the temperature of the LAO reaction mass reaches 215 ºC both at 280 W and 360 W [33]. At a power of 360 W, the molecular weight of the polymer increases sharply and reaches its maximum value of about 20000 Da in 12 minutes. With an increase in the process time, the resulting polymer is degraded and Mw LAO sharply decreases, and a white crystalline compound is formed at the outlet of the reactor, which was identified as lactide using IR spectroscopy. Thus, we can assume that in this case the so-called «non-thermal microwave effect» is observed, that is, under the same conditions at the same temperature (215 ºC), but with different capacities (280 W and 360 W), the LAO polymerization proceeds at different rates. LAO polymerization in the presence of TSA was performed at powers of 130 W, 280 W, and 360 W. The dependence of Mw of PLA on ω TSA is presented in Figure 5. This dependence shows that with an increase in the catalyst concentration from 0.05 to 0.3 %, an increase in Mw is observed. The optimal ω TSA is in the range of 0.3–0.4 mass.%. Power = 280 W; τ = 30 min Figure 5. Dependence of Mw of PLA on ω TSA upon polymerization of LAO under MW conditions The kinetic curves of LAO polymerization in the presence of TSA are presented in Figure 6. With an increase in reaction time, an increase in Mw of LAO is observed. However, Mw PLA grows unevenly at 280 W. When carrying out the reaction up to 15 minutes, a weak growth of the LAO chain is observed, low molecular weight oligomers are formed. In the range from 15 to 30 minutes, a sharp increase in the Mw of the polymer occurs, and then the chain grows in a linear relationship. 1— 130 W; 2— 280 W (ω TSA 0.3 mass.%) Figure 6. Dependence of Mw of the PLA sample on time in the conditions of MW During the polymerization of LAO at a power of 360 W, volatile cyclic lactides are formed in parallel with the formation of PLA, which are white crystals deposited on the walls of the flask and the condenser. Physicochemical properties of the synthesized samples and experimental conditions are presented in Table. Table Synthesis conditions and physicochemical properties of synthesized LAO samples \| Sn(Oct) / C H CH OH 2 6 5 2 \| 130 \| 205 \| 35 \| 1700 \| – \| – \| – \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Sn(Oct) / C H CH OH 2 6 5 2 \| 280 \| 215 \| 25 \| 19900 \| 19230 \| 12820 \| 1,50 \| \| TSA \| 280 \| 215 \| 35 \| 9350 \| 9940 \| 5402 \| 1,84 \| \| Sn(Oct) / C H CH OH 2 6 5 2 \| 360 \| 215 \| 8 \| 3000 \| \| \| \| \| \| \| \| 12 \| 19500 \| \| \| \| \| \| \| \| 17 \| 10300 \| \| \| \| \| \| \| \| 25 \| 6000 \| \| \| \| \| TSA \| 360 \| 215 \| 10 \| \| \| \| \| Note. t, о С — temperature; τ — reaction time, min; Mw a , Da — calculated using a viscometric method; Mw b , Da — determined by NMR spectroscopy; Mn b , Da — determined by gel permeation chromatography; 25 589 [ ] — optical rotation angle. —————————— Therefore, it could be suggested that MW power determines the kinetics of LAO polymerization in the presence of TSA. The data obtained confirm the presence of a «non-thermal microwave effect» during LAO polymerization under MW conditions, since at the same temperature but diverse capacities, LAO polymerization proceeds at different rates by various mechanisms at 280 W and 360 W. The optical rotation angle of the synthesized samples is 156–158 degrees×ml/dm×g, i.e., the synthesized samples are optically pure. Figure 7 shows the IR spectra of PLA samples synthesized under MW conditions. Figure 7. IR spectra of LAO obtained at a power of 280 W The interpretation of the absorption bands of the IR spectra is given below: 3500–3300 (υОН), 2997 (υasCH3), 2947 (υsCH3), 2882 (υCH), 1760–1727 (υC=O), 1452 (δasCH3), 1388–1348 (δsCH3), 1368–1360 (δ1CH+δsCH3), 1315–1300 (δ2CH), 1270 (υCOC), 1215–1185 (υasCOC), 1130 (rasCH3), 1100–1090 (υsCOC), 1045 (υC-CH3), 960–950 (r CH3 + υCC), 875–860 (υC-COO), 760–740 (δC=О). In the IR spectra, intense absorption bands of carbonyl groups C=O (1757 cm -1 ) and absorption bands of C-O-C bonds of 1188 cm -1 , PLA characteristic are observed. On curves 2 and 3 (Fig. 7), belonging to the samples of synthesized PLA, the intensity of the absorption bands in the region of 3600–3500 cm -1 , characterizing the vibrations of the OH groups, significantly decreased. The peaks in the region of 1759 cm -1 , which belong to the stretching vibrations of the C=O bond, become more symmetrical. The band in the region of 1188 cm -1 , related to the stretching vibrations of the –C–O– bond, becomes more pronounced. Figure 8 shows the 1 H NMR data of PLA samples synthesized under MW conditions. Chemical shifts 1 H NMR LAO and PLA are presented below: 1— OLA obtained by irradiating MW in vacuum for 20 minutes; 2— PLA, obtained from OLA in the presence of TSA for 30 minutes at a power of 280 W; — PLA obtained from OLA in the presence of Sn(Oct) 2 for 25 minutes at a power of 280 W Figure 8. 1 H NMR spectra The proton signal of the multiplet of the methine group of the terminal group –CH(CH3)OH LAO is 4.4 ppm, the chemical shift of the proton of the multiplet of the methylene group of the PLA is 5.2 ppm. By the ratio of signal intensities of methine groups in the region of 4.4 and 5.2 ppm we can judge the depth of the polymerization process of LAO to PLA. Intensive chemical shifts of 4.4 ppm are observed on curve 1 (Fig. 8), which suggests the presence of a significant number of terminal hydroxyl (and, accordingly, carboxyl) groups in LAO. In the spectra of PLA samples obtained by the polymerization of LAO in the presence of TSA and Sn(Oct)2 (see Fig. 8). Chemical shifts at 4.4 ppm are observed. Other shifts are absent. Figure 9 shows the DSC thermogram of a PLA sample synthesized at 280 W for 25 min in the presence of 0.09 mass.% Sn(Oct)2. The absence of a pronounced melting peak at 180–190°С suggests that the polymer mainly has an amorphous structure. τ = 20 min in the presence of Sn(Oct) 2 Figure 9. DSC-TGA spectra of PLA synthesized under MW conditions Conclusions The optimal concentrations of catalysts and initiator for the synthesis of PLA were determined, which are 0.03 % Sn (Oct)2/C6H5CH2OH and 0.3–0.4 % TSA by weight of LAO. It was found that with an increase in the power of MW, the rate of LAO polymerization in the presence of catalysts increases. When Sn(Oct)2/C6H5CH2OH is used as a catalyst, the LAO polymerization process proceeds at a noticeable rate at 280 W, and after 25 min Mw is about 20000 Da. The synthesized PLA samples are optically pure; the optical rotation angle of the synthesized samples is 156–158 degrees×ml/dm×g. It has been suggested that during LAO polymerization under MW conditions, the so-called «non-thermal microwave effect» is observed, that is, at the same temperature (215 °C), but with various capacities (280 W and 360 W), the LAO polymerization proceeds at different rates by diverse mechanisms. During the polymerization of LAO in the presence of catalysts at 360 W, a small amount of lactide is formed along with the formation of PLA. References 1 Masutani, K. & Kimura, Y. (2014). PLA Synthesis. From the Monomer to the Polymer, in Poly (lactic acid) Science and Technology: Processing, Properties, Additives and Applications. Polymer Chemistry Series, 12, 1–36. 2 Nakatsuka, T. (2011). Polylactic acid-coated cable. Fujikura Technical Review, 40, 39–45. 3 Madhavan K., Nampoothiri, Nimisha Rajendran, Nair, & Rojan Pappy, John. (2010). 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(2010). Novel microwave-assisted synthesis of poly (D,L-lactide): The influence of monomer/initiator molar ratio on the product properties, Sensors, 10, 5063–5073. 25 Singlaa, P., Kaura, P., Mehtaa, R., Berekb, D., & Upadhyayc, S. (2012). Ring-opening polymerization of lactide using microwave and conventional heating. Procedia Chemistry, 4, 179–185. 26 Yamada, S., Takasu, A., Takayamab, S., & Kawamurac, K. (2014). Microwave-assisted solution polycondensation of L-lactic acid using a Dean-Stark apparatus for a non-thermal microwave polymerization effect induced by the electric field. Polymer Chemistry, 5, 5283–5288. 27 Lei, H., Wang, P., & Yuan, W. (2009). Microwave-assisted synthesis of poly (L-Lactic Acid) via direct melt polycondensation using solid super acids. Macromolecular Chemistry and Physics, 210, 2058–2062. 28 Fangchao, Song, & Linbo, Wu. (2011). Synthesis of high molecular weight poly (L-lactic acid) via melt/solid polycondensation: intensification of dehydration and oligomerization during melt polycondensation. Applied Polymer Science, 120, 2780–2785. 29 Fimberger, M., & Wiesbrock, F. (2016). Microwave-assisted synthesis of polyesters and polyamides by ring-opening polymerization. Advances in Polymer Science, 274, 149–182. 30 Ramier, J., Renard, E., & Grande, D. (2012). Microwave-assisted ring-opening polymerization of d,l-lactide: A probe for the nonexistence of nonthermal microwave effects. Macromolecular Chemistry and Physics, 7, 784–788. 31 Manoj B., Gawande, Sharad N., Shelke, Radek, Zboril, & Rajender S., Varma. (2014). Microwave-assisted chemistry: synthetic applications for rapid assembly of nanomaterials and organics. Accounts of Chemical Research, 47, 1338−1348. 32 Tanga X., Huanga J., & Xub L., et al. (2014). Microwave-assisted rapid synthesis, characterization and application of poly (d,l-lactide)-graft-pullulan. Carbohydrate Polymers, 107, 7–15. 33 Guba, G., Gusar, A., Bakibayev, A., Tazhbayev, Ye., & Minayeva, Ye. (2019). Dehydration/polycondensation of lactic acid under microwave irradiation. Bulletin of the Karaganda university. Chemistry series, 1(93), 8–16. Г.Я. Губа, А.О. Гусар, Е.А. Мамаева, В.А. Попова, И.P. Долгов, А.А. Бакибаев, Р.Р. Ахмеджанов Қысқа толқынды сəулелендіру жағдайында сүт қышқылы олигомерлерін полимерлеу Сүт қышқылының олигомерлерінің (СҚО) полимерленуінің кинетикасы алғаш рет микротолқынды сəулеленудің (МТС) əртүрлі қуаттарында, Sn(Oct)2 / бензил спирті (C6H5CH2OH) катализаторы жəне толуолсульфоқышқылы (ТСҚ) қатысуымен зерттелді. СҚО полимеризациясы мультимодальды реактордағы вакуумда азотпен барботаждау жəне 130, 280, 360 Вт қуаттылықтарда жүргізілді. 0.03 % Sn(Oct)2/C6H5CH2OH жəне СҚО салмағы бойынша 0,3–0,4 % ТСҚ болатын катализаторлар мен сокатализаторлардың оңтайлы концентрациясы анықталды. СҚО салмағынан 0,03 % Sn(Oct)2/ C6H5CH2OH жəне 0,3–0,4 % ТСҚ тұратын катализаторлар мен сокатализаторлардың оптималды концентрациясы табылды. ТСҚ қатысуымен СҚО-ны полимерлеу 130 Вт-тан басталатындығы анықталды. МТС қуатының жоғарылауымен СҚО полимерлену жылдамдығы артады. Sn(Oct)2/ C6H5CH2OH катализатор ретінде қолданғанда, СҚО полимеризациясы 280 Вт жылдамдықпен жүреді, ал 25 минуттан кейін молекулалық массасы шамамен 20000 Dа болды. СҚО полимерлеу процессі кезінде катализаторлардың қатысуымен 360 Вт қуаттылықта полисүт қышқылдың (ПСҚ) түзілуімен бірге лактид түзіледі. ИҚ жəне ЯМР спектроскопия əдістерінің көмегімен алынған полимерлердің құрылымы зерттелді. Синтезделген ПСҚ үлгілері оптикалық таза, оптикалық бұрылу бұрышы 156–158 градус×мл/дм×г тең. Болжам бойынша, МТС жағдайында СҚО полимеризациясы кезінде «жылусыз микротолқынды эффект» деп аталатын, яғни бірдей жағдайларда, бірдей температурада (215 ºC), бірақ əртүрлі қуаттылықта (280 жəне 360 Вт) СҚО полимерленуі əр түрлі жылдамдықпен жүреді. Кілт сөздер: микротолқынды сəулелендіру, сүт қышқылы, полисүт қышқылы, сүт қышқылы олигомерлері, ЯМР спектроскопиясы, ИҚ спектроскопиясы, меншікті оптикалық айналу, катализатор. Г.Я. Губа, А.О. Гусар, Е.А. Мамаева, В.А. Попова, И.P. Долгов, А.А. Бакибаев, Р.Р. Ахмеджанов Полимеризация олигомеров молочной кислоты в условиях микроволнового облучения Впервые изучена кинетика полимеризации олигомеров молочной кислоты (ОМК) при различных мощностях микроволнового облучения (МВО) в присутствии катализатора/cокатализатора Sn(Oct)2/бензиловый спирт (C6H5CH2OH) и толуолсульфокислоты (ТСК). Полимеризацию ОМК проводили в мультимодальном реакторе в вакууме при барботировании азотом при мощностях 130, 280, 360 Вт. Определены оптимальные концентрации катализаторов и сокатализаторов, которые составляют 0,03 % Sn(Oct)2/C6H5CH2OH и 0,3–0,4 % ТСК от массы ОМК. Установлено, что полимеризация ОМК в присутствии ТСК протекает уже при 130 Вт. С повышением мощности МВО скорость процесса полимеризации ОМК увеличивается. При использовании в качестве катализатора Sn(Oct)2/C6H5CH2OH процесс полимеризации ОМК с заметной скоростью протекает при 280 Вт, и через 25 мин молекулярный вес составлял около 20000 Dа. При проведении процесса полимеризации ОМК в присутствии катализаторов при 360 Вт, наряду с образованием полимолочной кислоты (ПМК), происходит образование лактида. С применением методов ИК- и ЯМР-спектроскопии изучено строение полученных полимеров. Синтезированные образцы ПМК являются оптически чистыми, угол оптического вращения равен 156–158 градусам×мл/дм×г. Высказано предположение, что при полимеризации ОМК в условиях МВО наблюдается так называемый «нетепловой микроволновой эффект», т.е. в одинаковых условиях при одинаковой температуре (215 ºС), но разных мощностях (280 и 360 Вт) процесс полимеризации ОМК протекает с различной скоростью. Ключевые слова: микроволновое облучение, молочная кислота, полимолочная кислота, олигомеры молочной кислоты, ЯМР-спектроскопия, ИК-спектроскопия, удельное оптическое вращение, катализатор.
US Army Corps of Engineers Rock Island District PUBLIC NOTICE Applicant: Illinois and Michigan Oil, LLC. CEMVR-OD-P-2020-484 Date: May 7, 2020 Expires: June 5, 2020 Section: 10 US Army Corps of Engineers 1. Applicant. Mr. Derek Egan-Illinois and Michigan Oil, LLC, 724 Railroad Street, Joliet, Illinois 60436. 2. Project Location. IL-Seneca USGS quad sheet. Section 30, Township 33 North, Range 6 East. 7700 W. Dupont Road, Seneca, Grundy County, Illinois. Datum NAD-83. UTM Zone 16, Northing: 4574493.02, Easting: 368049.89. Latitude: 41.311114. Longitude: -88.576348. Illinois River Mile 255. . 3. Project Description a. Previous Authorization. No known previous authorizations at this location. b. Current Request. The purpose of the project is barge fleeting and maintenance dredging to enable barges to be loaded to full draft. The applicant proposes to install 20 concrete filled steel mooring pins at 400 foot intervals which will create an upper section of 4,400 feet and a lower section of 2,800 feet, for an approximate fleeting capacity of 106 barges, which would be arranged in varying configurations. Also, a 600 feet sheet pile dock wall will be constructed downstream, adjacent to the termination of the lower fleet. The barges will be fleeted/moored from mile marker 255.7 downstream to mile marker 254.1 (approximately 300 feet east of the Seneca Railroad Drawbridge). A small portion of the fleet will encroach into the navigation channel, a description is provided in Exhibit A (on sheet 5 below) to explain the reasoning for the encroachment. In addition to the mooring pins, the upper and lower fleet areas will be dredged to a level of 10 feet. Approximately 17,600 C.Y. of dredged materials will be mechanically dredged, removed and stored in the upland disposal area indicated on the plan sheets. No return water will be going back into a water of the U.S. c. Permit Area. The permit area consists of the proposed lower barge fleeting/mooring area and dredging area and sheet pile dock wall, an area approximately (2800 feet by 105 feet) or 6.75 acres which will accommodate 34 barges and the proposed upper barge fleeting/mooring area and dredging area approximately (4400 feet by 140 feet), or 14.14 acres, which will accommodate 72 barges. The permit area also consists of the previously used 10.50 acre spoil area located adjacent to the upper barge fleeting area. 4. Agency Review. a. Department of the Army, Corps of Engineers. The Department of the Army application is being processed under the provisions of Section 10 of the Rivers and Harbors Act of 1899 (33 U.S.C. 403). b. State of Illinois. (1) The project plans have been submitted to the Illinois Environmental Protection Agency (IEPA) for review. (2) The Illinois Department of Natural Resources, Office of Water Resources (IDNR/OWR) is a participant in the joint application process and requires that IDNR/OWR permits be obtained for construction within floodways; construction and other activities within public bodies of water; and construction, operation and maintenance of dams pursuant to the State of Illinois Rivers, Lakes, and Streams Act (615 ILCS 5). Inquiries concerning IDNR/OWR jurisdiction and/or review of the activity should be directed to the Office of Water Resources at firstname.lastname@example.org or 217/782-3863. Information on the IDNR/OWR regulatory and other programs can be found at http://dnr.state.il.us/owr. 5. Historical/Archaeological. The District consulted with the Illinois geographic information systems archeological site and survey databases online and determined there are multiple surveys in the area, but no previously identified historic properties in the vicinity of the permit area. In addition, the Corps consulted "An Investigation of Submerged Historic Properties in the Upper Mississippi River and Illinois Waterway" (October 1997) prepared by American Resources Group, Ltd. for the Corps (Contract No. DACW25-93-D-0012, Delivery Order No. 37). There are no shipwrecks indicated in the vicinity of the current permit. The proposed action under the permit includes maintenance dredging to remove only recently accumulated sediments in the area and has been completed to similar depths. In addition, the dredge disposal location was previously open water ponds that have been used previously for dredge disposal. Therefore, it is the opinion of the District there low to no potential for intact historic properties to be affected by the proposed action and there will be no historic properties affected by the issuance of the permit. . 6. Endangered Species a. District staff have performed a preliminary review of this application for the potential impact on threatened or endangered species pursuant to Section 7 of the Endangered Species Act as amended. The following threatened or endangered species are listed by the United States Fish and Wildlife Service as occurring in Grundy County, Illinois: (http://www.fws.gov/midwest/endangered/lists/illinois-cty.html) − Indiana bat. The endangered Indiana bat (Myotis sodalis) is considered to potentially occur in any area with forested habitat in any county in Illinois. Indiana bats migrate seasonally between winter hibernacula and summer roosting habitats. Winter hibernacula include caves and abandoned mines. Females form nursery colonies under the loose bark of trees (dead or alive) and/or cavities, where each female gives birth to a single young in June or early July. A single maternity colony may utilize a number of trees during the summer, typically a primary roost tree and several alternates. The species or size of tree does not appear to influence whether Indiana bats use a tree for roosting provided the appropriate bark structure is present. o Since no trees will be removed associated with this fleeting/dredging project, the Corps has determined there will be no effect on the Indiana bat. − Eastern Prairie Fringed Orchid. The threatened eastern prairie fringed orchid (Platanthera leucophaea) may potentially be found in any Illinois county. It occupies wet prairie remnant habitat. There is no critical habitat designated for this species. o Since there is no wet prairie remnant habitat to be affected by the project, the Corps has determined there should be no effect on the eastern prairie fringed orchid. − Northern long-eared bat. The threatened northern long-eared bat (Myotis septentrionalis) is considered to potentially occur in any area with forested habitat in any county in Illinois. It hibernates in caves and mines and swarms in surrounding wooded areas in autumn. It roosts and forages in upland forests and woods. o Since no trees will be removed associated with this fleeting/dredging project, the Corps has determined there will be no effect on the northern long-eared bats. − Scaleshell Mussel. The Federal endangered freshwater scaleshell mussel (Leptodea leptodon) is known to occur within medium to larger rivers and streams in Grundy County, Illinois. The scaleshell mussel is primarily a medium to larger river species with stable channels and good water quality. They bury themselves in sand and gravel on the river bottom with only the edge of their partially opened shells exposed. They occurring mainly in shallow shoal habitats with moderate to swift currents over coarse sand and gravel. o A mussel survey may be required to be performed by a qualified malacologist to determine whether the listed species is present and could be adversely effected by the project. − Rattlesnake-master Borer moth. The Federal candidate rattlesnake-master borer moth (Papaipema eryngii) is a prairie habitat species. The moth is reliant on the rattlesnake master prairie plant as its sole food source. There is no critical habitat designated for this species. o No effect determination is required for candidate species, however since there is no prairie habitat to be affected by the project, the Corps has determined there should be no effect on the rattlesnake-master borer moth. b. Based upon the information provided and available at this time, our preliminary determination is that the proposed activity would have no effect on federally listed Indiana bat, northern long-eared bat, and eastern prairie fringed orchid, rattlesnake-master borer moth. More information is needed from the mussel survey to determine the proposed activities effect on federally listed scaleshell mussel species. c. While informal consultation has been initiated with the United States Fish and Wildlife Service (FWS) at this time, we are further coordinating this application with the FWS and the respective resource agencies through this public notice. Any comments they may have concerning Federally listed threatened or endangered species or their critical habitat will be considered in the final assessment of the proposed project. Accordingly, our preliminary determination is subject to change should further information become available. 7. Public Interest Review. The decision whether to issue the Corps permit will be based on an evaluation of the probable impact including cumulative impacts of the proposed activity on the public interest. That decision will reflect the national concern for both protection and utilization of important resources. The benefit which reasonably may be expected to accrue from the proposal must be balanced against its reasonably foreseeable detriments. All factors which may be relevant to the proposal will be considered including the cumulative effects thereof; among those are conservation, economics, aesthetics, general environmental concerns, wetlands, cultural values, fish and wildlife values, flood hazards, floodplain values, land use, navigation, shoreline erosion and accretion, recreation, water supply and conservation, water quality, energy needs, safety, food production and, in general, the needs and welfare of the people. 8. Who Should Reply. The Corps of Engineers is soliciting comments from the public; Federal, state, and local agencies and officials; Indian Tribes; and other interested parties in order to consider and evaluate the impacts of this proposed activity. Any comments received will be considered by the Corps of Engineers to determine whether to issue, modify, condition or deny a permit for this proposal. To make this decision, comments are used to assess impacts on endangered species, historic properties, water quality, general environmental effects, and the other public interest factors listed above. Comments are used in the preparation of an Environmental Assessment and/or an Environmental Impact Statement pursuant to the National Environmental Policy Act. Comments are also used to determine the need for a public hearing and to determine the overall public interest of the proposed activity. These statements should be submitted on or before the expiration date specified at the top of page 1. These statements should bear upon the adequacy of plans and suitability of locations and should, if appropriate, suggest any changes considered desirable. 9. Public Hearing Requests. Any person may request, in writing, within the comment period specified in this notice, that a public hearing be held to consider this application. Requests for public hearings shall state, with particularity, the reasons for holding a public hearing. A request may be denied if substantive reasons for holding a hearing are not provided. 10. Reply to the Corps of Engineers. For additional information and comments concerning the Corps permit should be addressed to Mr. James Kelley by telephone 309-794-5373 or by e-mail: email@example.com. Attach Plan Mr. James C. Kelley Project Manager, Illinois/Missouri Section Regulatory Branch Digitally signed by James C. Kelley Jr. Date: 2020.05.06 16:52:05 -05'00' NOTICE TO EDITORS: This notice is provided as background information for your use in formatting news stories. This notice is not a contract for classified display advertising. 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SORPTION CHARACTERISTICS OF THE SOFT BANGKOK CLAY L. Sthapit 1 , C. S. P. Ojha 2 and U. Glawe 3 ABSTRACT: Asian countries are in a need for identification of suitable sites for disposal of municipal solid wastes. The travel of pollutants is significantly influenced by the properties of the porous medium through which these travel. In Thailand, existing land disposal sites, which were initially selected in view of the low lying areas or the water bodies, are likely to last not for many years. In the light of this, it is essential that soils available in the region are tested and evaluated for their specific characteristics relevant to the safe disposal of solid wastes and planning of future landfill sites. Sorption characteristics are of special significance in the design of landfills. In this paper, the Bangkok clay has been evaluated for its sorption characteristics. Various adsorption isotherm models are tested and it has been observed that the Langmuir model performs best. The study indicates that the process of sorption is non-linear in nature and is sensitive to the type of influent characteristics. Keywords: Isotherm, batch equilibrium, heavy metals and soft Bangkok Clay INTRODUCTION Thailand is now practicing to use natural clay and compacted clay liner or clay barriers combined with geomembrane as a barrier material in waste disposal landfill. Evaluation of the mechanism of contaminant migration and the ability to reduce contaminant migration through barrier material is important to prevent the contamination of soil and groundwater under landfills (Jang and Hong 2003). For clay liners, which have a high cation exchange capacity (CEC) and large specific surface area is the most suitable for clay barriers (Yong et al. 1992). In addition, the transport of contaminant should also be considered which mainly depends on the sorption characteristics of clay. Studies of sorption characteristics of soft Bangkok clay are relatively few. It is found that the leachate samples collected at 8 disposal sites in Thailand were contaminated with heavy metals particularly nickel, lead, mercury, zinc and manganese. Due to certain constraints, the heavy metals Zn and Mn have been considered in the present investigation. To study the sorption characteristics of the clay, commonly used laboratory method batch-equilibrium test is performed. Sorption is a term used to include all the processes responsible for the mass transfer-absorption, adsorption, and ion exchange. The parameters governing sorption are contaminant and pore fluid characteristics which may include pH of the pore fluid, water solubility of the contaminant and polar nature of the contaminant. In addition, solids and porous media characteristics may also govern sorption (Reddy and Inyang, 2000). Studies on sorption through clayey soils have been performed by many researchers, e.g., (Crooks and Quigley 1984; Rowe et al. 1988; Shackelford and Daniel 1991; Rowe and Badv 1996). Sorption of ions can play a very significant role in describing their movement through clayey soils. In this paper, the objective is to study the sorption characteristics of the soft Bangkok clay using three popularly used models, i.e. Linear, Freundlich and Langmuir isotherm (Reddi and Inyang 2000) and to assess the suitability of the appropriate models. As the model parameters have a direct influence on the resultant quality coming out of a liner, the study can be useful in the design of landfill sites in Bangkok region. LITERATURE REVIEW The soil properties which influence the transport of contaminants through porous medium are its diffusion/dispersion characteristics along with sorption and reactivity. The generalized one dimensional advection dispersion equation is popularly written as (Reddy and Inyang 2000). 1 Senior Research Associate, Asian Institute of Technology, P.O. Box 4, Klong Luang, Pathumthani 12120, THAILAND 3 Associate Professor, Asian Institute of Technology, P.O. Box 4, Klong Luang, Pathumthani 12120, THAILAND Note: Discussion on this paper is open until June 30, 2006 2 Professor, Department of Civil Engineering, IIT Roorkee, INDIA Key map where Dx includes the two components of the molecular diffusion and mechanical dispersion, Vx is the pore velocity in the x direction, r is the rate of mass production/consumption given by the kinetic model of reaction, n is the porosity, and C is the solute concentration expressed as mass of solute per unit volume of solution. x and t refer to space and time variables. The role of sorption characteristics is included in the term r. One of the dominant mass transfer mechanisms occurring during mass transport is sorption. The simplest way of incorporating sorption is to use the linear isotherm where q is the quantity of mass sorbed on the surface of solids and Kd is the distribution coefficient. The rate expression r is equal to the product of time derivative of q and dry mass density, b ρ . Thus, Substituting Eq. (3) in Eq. (1) leads to Rearrangement of terms in Eq. (4) yields or, in its familiar form, where ( ) n K R d b / 1 ρ + = is known as the retardation factor since it has the effect of retarding the transport of adsorbed species relative to the advection front. Given the initial and boundary conditions, the solution of Eq. (6) is (Ogata and Bank 1961; Ogata 1970) The role of Kd is apparent from Eq. 8. Unfortunately, a linear isotherm model is not suitable and thus, one needs to linearize non-linear isotherms in order to use analytical expressions, such as Eq. (8). SOIL PROPERTIES The map of study area is shown in Fig.1. Undisturbed soft Bangkok clay specimens from a depth of 3 to 4m Table 1 Physico-chemical properties of the soil tested (Asavadorndeja and Glawe 2004) beneath the weathered crust layer were used in this study. It is strongly believed that the soft Bangkok clay has a potential for use as geological barriers for landfill sites. The properties of the soil, as determined by standard methods, are presented in Table 1. Sample Preparation To perform the test, the soft Bangkok clay was ovendried for 24 hours at the temperature of 110 o C. After the sample had oven-dried, it was crushed into powder and sieved through a 2-mm screen sieve. Contaminant Leachate Two kinds of heavy metal solutions (ZnCl2 and MnCl2 solutions) with different initial concentrations e.g. 50, 100, 250, 500, 1000, 1500, 2000 ppm were used. The replaceability of the some cations is shown in Table 2. (Reddy and Inyang 2000) also list the adsorption selectivity of heavy metals in different soils. For example, the selectivity of Zn is more than Mg in case of Kaolinite clay while it is reversed in case of Illite clay. Thus, depending on the composition of a soil, the sorption characteristics may vary. In other words, it is difficult to precisely mention that out of Zn and Mn, which are the focus of present work, which one will be Table 2 Replaceability of certain cations (Triegel 1980 and Mehlich 1981, cited in Du et al. 2000) more sorbed. BATCH EQUILIBRIUM TEST The batch equilibrium tests were performed to determine the adsorption characteristics of the soft Bangkok clay with respect to the specified ions. A 1: 4 soil: solution ratio (w/w ratio), which is the highest recommended ratio (U.S. Environmental Protection Agency 1987, cited in Shackelford and Daniel 1991) was used in the batch equilibrium tests. 1:4 ratio was maintained by adding 5 g (oven-dried basis) of prepared soil sample with 20 ml of solution in Erlenmeyer flasks of 125-ml. All the flasks were sealed and placed in an end-over-end rotary mixer, and shake at 120 rpm for 24 hours at a temperature of 25 o C ± 2 o C. At the end of the mixing period, the soil-solution slurry was poured into 50-ml centrifuge tubes, sealed properly and centrifuged. The tubes were centrifuged for 30 minutes at 3000 rpm. The obtained supernatant from each tube was then analyzed for equilibrium concentrations using spectrophotometer. Dilutions of the solution were required to bring the concentrations into range of spectrophotometer. The procedure was repeated until each soil sample was completed. The adsorption mass ratio, q, was determined using the following equation: where, C0 is the initial concentration of the specified ion in the flask, C is the equilibrium concentration, Vsol is the volume of the solution (20-ml) and Ms is the soil mass (5 g). The results of the tests were plotted in the form of adsorption isotherm. Fig. 2 shows that the variation of q Table 3a Analysis for ZnCl2 Table 3b Analysis for MnCl2 with C is non-linear. The sorbed concentration, q, were plotted as a function of the equilibrium concentration, C. RESULTS AND DISCUSSIONS The adsorption isotherms for the Zn ++ and Mn ++ cations are presented in Fig. 2. The isotherms obtained are non-linear. Zn ++ is absorbed more than Mn ++ in soft Bangkok clay. Zn ++ is adsorbed more in case of Bangkok clay when compared to Kaolinite and Lufkin clay (Shackelford and Daniel 1991). Using the experimental data, attempts were made to fit a variety of models. Basically, three models are attempted. Linear isotherm model: C q. α = (10) Freundlich isotherm model: β α C q. = (11) $$Langmuir isotherm model: C C q . 1 . . α β α + = (12)$$ where q is the quantity of mass sorbed on the surface (mg/g), C is the equlibrium concentration of the solution. Calculated sorbed concentration, q (mg/g) Fig. 3 (a) Comparison of observed sorbed concentration of Zn++ with Linear model 6 Calculated sorbed concentration, q (mg/g) Calculated sorbed concentration, q (mg/g) Fig. 4(a) Comparison of observed sorbed concentration of Zn++ with Freundlich model In Eqs. (10), (11) and (12), the models parameters are termed as α and β . To evaluate these parameters, Mean Square Error (MSE) is used as a minimization criterion. The MSE is defined as the average of square of residual errors between observed and computed q values. Based on the analysis of data, a set of parameters are obtained for the case of ZnCl2 and MnCl2. MSE along with R 2 value is given in Table 3.Using the set of parameters given in Table 3, Figs. 3, 4 and 5 are developed. The agreement diagram between observed and computed q values using various models indicates that Langmuir model performs better than rest of the models as it has the least value of MSE. In general, Freundlich model also works well in preference to linear model. CONCLUSIONS The study indicates that Bangkok clays does exhibit sorption characteristics. The sorption characteristics are observed to be sensitive to the type of influent being removed. Sorption characteristic of Zn ++ is more than Mn ++ in the soft Bangkok clay. The nature of removal of Calculated sorbed concentration, q (mg/g) Calculated sorbed concentration, q (mg/g) Calculated sorbed concentration, q (mg/g) Fig. 5(b) Comparison of observed sorbed concentration of Mn++ with Langmuir model the two ions tested in this work indicates that a nonlinear adsorption isotherm is the most appropriate one for describing the removal of impurities. The Langmuir model is found to work well for Zn and Mn ions. A knowledge about sorption properties may enable better removal of ions during their passage through soft Bangkok clay. ACKNOWLEDGEMENTS The authors express their sincere gratitude for the support from the European Commission under the AsiaPro-Eco Programme, Contract No. ASI/B7-301/2598/162004/79010 for the experimental work presented here. REFERENCES Asavadorndeja, P. and Glawe, U. (2004). Preliminary Results of Studies into Electrokinetic Remediation Technologies in the soft Bangkok clay. Proceedings of the Fifteenth Southeast Asian Geotechnical Conference (15 th SEAGC), Bangkok, Thailand.1: 653-658. Crooks, V. E. and Quigley, R. M. (1984). Saline leachate migration through clay: a comparative laboratory and field investigation. Canadian Geotech J. 21(2):349362. Du, Y. J., Hayashi, S., Hini, T. and Tanaka, K, (2000). Contaminant adsorption characteristics of Kyushu regional soils. Lowland Technology International (IALT). 2 (2): 31-41. Jang, Y. S and Hong, G. T. (2003). An experimental study on diffusion characteristics of hardened liner materials to inorganic chemicals. Environmental Geology. 44:599-607. Ogata, A. (1970). Theory of dispersion in a granular medium. U.S. Geol. Surv. Prof. Paper 411-I. Ogata, A. and Banks, R.B. (1961). A solution of the differential equation of longitudinal dispersion in porous media. U.S. Geol. Surv. Prof. Paper 411-A. Reddy, L. N. and Inyang, H. I. (2000). Geoenvironmental Engineering: Principles and Applications. Marcel Dekker, Inc. New York. Rowe, R. K., Caers, J. C. and Barone, F. S. (1988). Laboratory determining of diffusion and distribution coefficients of contaminants using undisturbed clayey soils. Canadian Geotech J. 25(1):108-118. Rowe, R. K. and Badv, K. (1996). Advective-diffusive contaminant migration in unsaturated sand and gravel. Journal of Geotechnical Engineering ASCE, 122 (12):965-975. Shackelford, C. D. and Daniel, D. E. (1991). Diffusion in Saturated Soil. II: Results for Compacted Clay. Journal of Geotechnical Engineering (ASCE). 117 (3): 485-506. Yong, R. N., Mohamed, A. M. O. and Warkentin, B. P. (1992). Principles of Contaminant Transport in Soils. Elsevier, New York.
Clinical Profile of Patients with Cerebral Palsy – A Hospital-based Study Pallavi Sharma 1 , Sunil Dutt Sharma 2 , Ashu Jamwal 2 , Sanjeev Digra 3 , Ghanshyam Saini 4 1Registrar, Department of Pediatrics, Government Medical College, Jammu, Jammu and Kashmir, India, 2Associate Professor, Department of Pediatrics, Government Medical College, Jammu, Jammu and Kashmir, India, 3 Professor Department of Pediatrics, Government Medical College, Jammu, Jammu and Kashmir, India, 4 Professor and Head, Department of Pediatrics, Government Medical College, Jammu, Jammu and Kashmir, India Abstract Background: Cerebral palsy (CP) is one of the leading causes of childhood disability worldwide with the greatest burden found in developing countries. Motor impairments are the hallmarks of CP, but in many individuals, other impairments such as vision, hearing, speech, cognition, behavior, and epilepsy may at times produce even greater activity limitation in daily life. Early diagnosis and comprehensive management with a multidisciplinary approach are required for satisfactory management of a child with CP. In low- and middle-income countries, there are gaps in knowledge especially in spheres of epidemiological research, intervention, and service utilization. Materials and Methods: This cross-sectional observational study was conducted among the children coming to the inpatient and outpatient Department of Paediatrics SMGS Hospital, Government Medical College Jammu. Aims and Objectives: The aim of the study was to study the clinical pattern and etiological factors of CP and to determine the prevalence of associated disabilities or handicaps in CP. Our study population included 100 cases of diagnosed CP up to 18 years of age. Results: A total of 100 children of CP were evaluated of which 59% were boys and 41% were girls. CP patients belonged to various age groups as, <2 years (46%), 2–4 years (30%), 4–6 years (12%), 6–12 years (10%), and 12–18 years (2%). CP patients coming to our hospital belonged to various districts such as Jammu (27%), Rajouri (20%), Doda (17%), Reasi (11%), Udhampur (8%), Kathua (7%), Poonch (5%), and Samba (5%). The most common etiological factors were birth asphyxia (48%). The spastic type was the most common (65%), followed by ataxic (15%), dyskinetic (10%), and mixed (10%). Among the spastic quadriplegic, subtype was seen in 69%, diplegia in 23%, and hemiplegia in 8%. Speech delay was the most common associated problem (80%), followed by seizures (56%), feeding difficulty (46%), and contractures and deformities (20%). Formal vision assessment had been done in only 48% of the patients, among them, 30% had normal vision, 9% had refractive error, 7% were having strabismus, and 2% were blind. Spectacles were being used by only three patients. A mere 30% of the patients had undergone hearing assessment; among them, 6% were having moderate to profound hearing loss. Hearing aid was being used by two patients. Physiotherapy services were being availed by 47% of patients. Early intervention and appropriate rehabilitation services should be provided to such children to limit the disability. Medical college hospitals of India, where a number of these children report with their various problems, can play an important role as nodal centers for evaluation and registration of such patients. Key words: Cerebral palsy, Quadriplegic, Severe asphyxia, Spasticity INTRODUCTION Cerebral palsy (CP) is one of the leading causes of childhood disability worldwide with the greatest burden Access this article online www.ijss-sn.com found in developing countries. [1] Population-based studies from around the world report a prevalence of CP ranging from 1.5 to >4/1000 live births or children of a defined age group. [2] CP describes a group of permanent disorders of the development of movement and posture, causing activity limitation, that is attributed to non-progressive disturbances that occurred in the developing fetal or infant brain. The motor disorders of CP are often accompanied by disturbances of sensation, perception, cognition, communication, behavior, by epilepsy, and by secondary musculoskeletal problems. In many individuals with CP, Month of Submission : 02-2019 Month of Peer Review : 03-2019 Month of Acceptance : 03-2019 Month of Publishing : 04-2019 Corresponding Author: Dr. Sunil Dutt Sharma, Department of Pediatrics, Sri Maharaja Gulab Singh Hospital, Government Medical College, Jammu - 180 001, Jammu and Kashmir, India. other impairments interfere with the ability to function in daily life and may at times produce even greater activity limitation than the motor impairments that are the hallmarks of CP. [1,3] Complete evaluation of a child with CP, therefore, should include an assessment of associated deficits such as vision, speech, hearing, sensory profile, oromotor evaluation, epilepsy, and cognitive functioning. CP is a chronic condition with considerable impact on affected individuals. Early diagnosis and comprehensive management with a multidisciplinary approach involving developmental pediatrician, neurologist, orthopedic surgeon, speech and language therapist, physio, and occupational therapist are required for satisfactory management of a child with CP. [4] Since CP is a continuing problem, it is important to study and explore the causes and newer aspects of the condition for proper understanding and management. In high-income countries, CP registers have made substantial contributions to our understanding of CP. However, in low- and middleincome countries, there are gaps in knowledge especially in spheres of epidemiological research, intervention, and service utilization. [5] Till date, there is no exact database of the CP patients in India. Furthermore, there is a lack of large scale community studies estimating the exact prevalence of CP in India. Limited data are available regarding the CP patients in Jammu region. Raina et al. in their study of 3966 children aged >10 years, from RS Pura, a town in the outskirts of Jammu, reported a prevalence rate of CP as 2.27%. [6] It has been observed that children with CP often report to the outpatient or the inpatient section of the pediatrics department due to various medical problems and concerns about developmental delay. The present study was, therefore, planned to look into the clinical spectrum, etiology, comorbidities of these children, and to assess the continuum of care available to these children. MATERIALS AND METHODS This cross-sectional study was conducted among the children coming to the inpatient and outpatient Department of Paediatrics SMGS Hospital, Government Medical College Jammu over a period of 6 months, i.e., from August 2018 to January 2019. All the children presenting with neurodevelopmental delay were evaluated. A total of 100 children with neurological examination consistent with CP up to 18 years of age were included in the study. Children with noncentral motor deficits and progressive neurological disorders were excluded from the study. The study was approved by the Institutional Ethical Committee. Medical records already available with the parents were scrutinized to find out the possible etiology and assessment of various comorbidities. Thorough history and clinical examination were done to find out the associated handicaps in the children. Data were also collected from the parents regarding whether the children have had a formal vision and hearing assessment, neuroimaging. Information was also sought on whether the children had availed physiotherapy, rehabilitation, and speech therapy services or attended any special school. The cases were classified based on modified Swedish Classification. [4,5] Data were compiled using Microsoft Excel. RESULTS * A total of 100 children of CP were evaluated of which 59% were boys and 41% were girls. * CP patients from the whole of Jammu region were reporting to the hospital. They belonged to various districts such as Jammu (27%), Rajouri (20%), Doda (17%), Reasi (11%), Udhampur (8%), Kathua (7%), Poonch (5%), and Samba (5%) [Figure 1]. * CP patients belonged to various age groups as, <2 years (46%), 2–4 years (30%), 4–6 years (12%), 6–12 years (10%), and 12–18 years (2%). * Patients presented to the hospital with various complaints such as seizures (46%), acute respiratory tract infection (18%), acute gastroenteritis (15%), and urinary tract infection (5%). 16% of the children had been brought to the hospital with developmental delay as the prime concern. * The most common etiological factor being birth asphyxia (48%), central nervous system (CNS), * The spastic type was the most common (65%), followed by ataxic (15%), dyskinetic (10%), and mixed (10%). Among the spastic quadriplegic, subtype was seen in 69%, diplegia in 23%, and hemiplegia in 8% [Figures 2 and 3]. 197 infections (20%), hypoglycemia (18%), and bilirubin encephalopathy (14%) [Table 1]. * Only 48% of the patients had undergone formal visual assessment among them 30 patients had normal vision, nine patients had refractive error, seven patients were having strabismus, and two patients were blind. Spectacles were used by only three patients. * The comorbid conditions affecting the patients were speech delay (80%), seizures (56%), feeding problems (46%), and contractures and deformities (20%). Table 1: Etiological factors Table 2: Comorbidities associated with cerebral palsy services and their benefits, and 16% were living in the far-flung areas where such facilities were not available. Overall, 53% of patients were not undergoing any physiotherapy presently. * Imaging which includes computed tomography/ magnetic resonance imaging had been done in only 18% of the patients [Table 2 and Figure 4]. DISCUSSION The prevalence and pattern of CP vary between different geographical regions probably due to different etiological factors and different classifications used. A number of European countries have reported a significant decrease in the prevalence and severity of CP subtypes and associated impairments, most likely explained by advancements in obstetric and newborn care. In Norway, the prevalence of CP decreased from 2.62 per 1000 live births in 1999 to 1.89 in 2010. [7] In Slovenian children, the total prevalence of CP per 1000 live births fell significantly from 3.3 in 1981 to 2.3 in 1990. [8] * Although 80% of the patient had speech delay, formal hearing assessment (BERA) had been done in only 30% of the patients. Among these, five patients were having moderate to profound hearing loss. Hearing aid was being used by only two patients. CP can affect both genders; however, boys are affected slightly higher than girls. In this current study, 59 were boys and 41 were girls, with a ratio of 1.4:1. Male sex preponderance has been reported in a number of studies by Tatavarti et al., [9] Johnson [10] in Europe, Laisram et al., [11] and Das et al. [12] in India. * 47% patients were availing physiotherapy services, 15% had received physiotherapy in the past but discontinued as the parents were not satisfied by the role of physiotherapy, 22% were not aware of such CP children are brought to the medical college hospitals at an early age with either various medical problems or concern for delayed milestones. In the present study, 46% of the children were <2 years while 30% were between 2 and 4 years. Gowda et al. in their study of 100 children with CP at a tertiary care teaching hospital observed that age at presentation at the first diagnosis was <1 year in 28% and 1–4 years in 65%. [13] In the present study, the majority (65%) of the children had spastic CP, of which 69% were quadriplegic and 23% diplegic. Odding et al. in a study of the epidemiology of CP observed that it is more prevalent in deprived socioeconomic populations, with the majority having the spastic syndrome of which diplegic group is the smallest. Epilepsy is present in 20–40%, up to 80% have some impairment of speech and low visual acuity is reported in almost three-quarter of the children. [1] Singhi et al. in 2002, in a study from North India, reported quadriplegic spastic CP in 61% and diplegic CP in 20% of the total CP children. [15] In another study in 2013, Singhi et al. reported 51.5% spastic quadriplegia and 34.5% diplegia. [16] Das et al. reported 43% spastic quadriplegia and 12% spastic diplegia, Gowda et al. reported 71% spastic quadriplegia and 16% spastic diplegia. [12-14] Hence, our results are consistent with all these Indian studies. The European countries have over the past three decades observed shifts in the types of CP manifestations with decreasing incidence of spastic quadriplegia as a result of improved perinatal care and better equipped newborn intensive care units. Hagberg et al. in a study of 216 children of CP from Sweden, born between 1987 and 1990, observed that hemiplegic, diplegic, and tetraplegic syndromes accounted for 22%, 66%, and 7% of preterms and 44%, 29%, and 10% of term children. [17] Role of perinatal complications particularly birth asphyxia has been implicated strongly in developing countries. In our study, birth asphyxia accounted for 48% of patients. Our results are in conformity with studies of Singhi et al. who reported 45.3% cases and in another study 51.98%. They also reported that the majority of the patients were term institutional deliveries. In the present study, CNS infections were 20%, bilirubin encephalopathy 18%, and hypoglycemia 14%. Singhi et al. reported neonatal sepsis 30.6% and neonatal jaundice 35.14%. In another study, Singhi et al. reported neonatal septicemia 14.6% and neonatal jaundice 21.6%. [15,16] The comorbid conditions/handicaps in the patients were speech problems 80%, seizures 56%, feeding problems 46%, and contractures and deformities 20%. Similar finding was reported in studies from other low- and middle-income countries Khandaker et al. in Bangladesh reported a prevalence of 3.4 per 1000 children, the majority (79.6%) having spastic CP. They also reported that 79.6% of these children had at least one associated impairment speech 67.6%, intellectual 39.0%, epilepsy 23.7%, visual 10.2%, and hearing 10.2%. In total, 78.2% never received rehabilitation. They observed that the diagnosis of CP is substantially delayed limiting opportunities for early intervention. There is a lack of available services and the majority of the children had preventable risk factors. [18] In the present study, physiotherapy services were being availed by 47% of the patients, among 53% patients who were not taking physiotherapy 22 parents gave the reason of not being aware of such services and their benefits, 15 parents were not satisfied with the role of physiotherapy and 16 parents were living in the far-flung areas where such facilities were not available. In our study, only 48% had undergone formal visual assessment, out of which 18 children (37.5%) were having visual defects. The formal hearing assessment had been done in only 30% of the patients, out of which five patients were having moderate to profound hearing loss (16.6%). Dass et al. had also reported speech defect (76%), visual defect (23%), and hearing problems (18%). Singhi et al. reported speech problems (83.7%), visual defect (46.7%), and hearing problem (13.9%). Our results are consistent with these authors. [12,15] Sasmal et al. in a study of 140 patients of CP observed an overall incidence of ocular abnormalities as 42.1%. These were strabismus (36.4%), myopia (12.9%), hypermetropia (8.6%), astigmatism (3.6%), optic atrophy (2.1%), and nystagmus (2.1%). Cortical visual impairment was seen in 20.7%. [19] CP is one of the leading causes of childhood disability worldwide, in developing countries, where rehabilitation services are either not available or are poorly availed. In a study from Nigeria Lagunju and Fatunde enrolled 82 children of CP for rehabilitative care, functional improvement and reasons for default and observed that at the end of 1 year, only 25.6% were still receiving rehabilitative care, 74.4% had defaulted from follow-up, and 13.4% had died. [20] In a recent pilot study, on the infectious causes of childhood disabilities from rural subdistrict of Bangladesh, 57% of CP children had never received any rehabilitative support or services. Only 21.1% were attending regular school and just 0.2% were attending a special school. [21] 199 The clinical spectrum of CP in our country, thus, differs from that reported in western countries due to perinatal and postnatal morbidities such as birth asphyxia, CNS infection, bilirubin encephalopathy, and hypoglycemia. Furthermore, the percentage of children who have undergone visual and hearing assessment and undergoing rehabilitation is quite low. Timely diagnosis and initiation of appropriate management should be ensured to decrease the incidence of CP and associated disabilities or handicaps in the future. It is suggested that rehabilitation clinics should be set up for CP patients at every government medical college so that parents can be made aware of the disease, handicaps, prognosis, and management. CONCLUSION In this era of digital technology and artificial intelligence, it is high time that we develop a National CP population register in India to fill the knowledge gap, facilitate care, and management of these children. Medical college hospitals of India, where a number of these children report with their various problems, can play an important role as nodal centers for evaluation and registration of such patients. This will enable estimates of prevalence, help in infrastructure development to improve care of CP patients in India. Parents of CP children were made aware of the disease process, handicaps, and there management such as physiotherapy, visual aid, hearing aid, and treatment of other comorbidities/handicaps. REFERENCES 1. Rosenbaum PL, Paneth N, Leviton A, Goldstein M, Bax M, Damiano D, et al. The definition and classification of cerebral palsy. Dev Med Child Neurol 2007;49:1-44. perspective. Dev Med Child Neurol Suppl 2007;109:3-7. 5. Khandekaker G, Sheedy HS, Islam J, Alam M, Jung J, Novak L, et al. Bangladesh cerebral palsy register (BCPR): A pilot study to develop a national cerebral palsy register with surveillance of children for CP. BMC Neurol 2015;15:173. 4. Sankar C, Mundkur N. Cerebral palsy-definition, classification, etiology and early diagnosis. Indian J Pediatr 2005;72:865-8. 6. Raina SK, Razdan S, Nanda R. Prevalence of cerebral palsy in children <10 years of age in R.S. Pura town of Jammu and Kashmir. J Trop Pediatr 2011;57:293-5. 8. Kavcic A, Perat MV. Prevalence of cerebral palsy in Slovenia: Birth years 1981 to 1990. Dev Med Child Neurol 1998;40:459-63. 7. Hollung SJ, Vik T, Lydersen S. Decreasing prevalence and severity of cerebral palsy in Norway among children born 1999 to 2010 concomitant with improvements in perinatal health. Eur J Paediatr Neur 2018;22:814-21. 9. Tatavarti SR, Garimella RR, Subbalakshmi TD. Male sex preponderance in cerebral palsy. Int J Orthop Sci 2018;4:200-2. 11. Laisram N, Srivastava VK, Srivastava RK. Cerebral palsy an etiological study. Ind J Paediatr 1992;59:723-8. 10. Johnson A. Prevalence and characteristics of children with cerebral palsy in Europe. Dev Med Child Neurol 2002;44:633-40. 12. Das N, Beboruah G, Das I. Study on the clinical profile of patients with cerebral palsy. IOSR J Dent Med Sci 2016;15:54-8. 14. Odding E, Roebroeck ME, Stam HJ. The epidemiology of cerebral palsy: Incidence, impairments and risk factors. Disabil Rehabil 2006;28:183-91. 13. Gowda VK, Kumar A, Shivappa SK, Srikanteswara PK, Shivananda, Mahadeviah MS, et al. Clinical profile, predisposing factors, and associated co-morbidities of children with cerebral palsy in South India. J Pediatr Neurosci 2015;10:108-13. 15. Singhi PD, Ray M, Suri G. Clinical spectrum of cerebral palsy in North India an analysis of 1,000 cases. J Trop Pediatr 2002;48:162-6. over two decades in North India an analysis of 1212 cases. J Trop Pediatr 16. Singhi P, Saini AG. Changes in the clinical spectrum of cerebral palsy 2013;59:434-40. 18. Khandaker G, Muhit M, Karim T, Smithers-Sheedy H, Novak I, Jones C, et al. Epidemiology of cerebral palsy in Bangladesh: A population-based surveillance study. Dev Med Child Neurol 2019;61:601-9. 17. Hagberg B, Hagberg G, Olow I. The changing panorama of cerebral palsy in Sweden. VI. Prevalence and origin during the birth year period 19831986. Acta Paediatr 1993;82:387-93. 19. Sasmal NK, Maiti P, Mandal R, Das D, Sarkar S, Sarkar P, et al. Ocular manifestations in children with cerebral palsy. J Ind Med Assoc 2011;109:318-23. 20. Lagunju IA, Fatunde OJ. The child with cerebral palsy in a developing country-diagnosis and beyond. J Pediatr Neurol 2009;7:375-9. 2. CDC Data and Statistics for Cerebral Palsy. Available from: http://www. cdc.gov/ncbddd/c/data.html. [Last accessed on 31 July 2015]. 3. Morris C. Definition and classification of cerebral palsy: A historical 21. Khandaker G, Muhit M, Rashid H, Khan A, Islam J, Jones C, et al. Infectious causes of childhood disability: Results from a pilot study in rural Bangladesh. J Trop Pediatr 2014;60:363-9. How to cite this article: Sharma P, Sharma SD, Jamwal A, Digra S, Saini G. Clinical Profile of Patients with Cerebral Palsy – A Hospital-based Study. Int J Sci Stud 2019;7(1):196-200. Source of Support: Nil,Conflict of Interest: None declared.
Register of Transactions kept for the purpose of section 60 of the Residential Properties (First-hand Sales) Ordinance 第一部份第一部份：第一部份：基本資第一部份：基本資料：基本資料基本資料料 Part 1: Basic Information \| 發展項目名稱 Name of Development \| 福慧大廈 Fortuna Court \| 期數(如有) Phase No. (if any) \| \|---\|---\|---\| \| 發展項目位置 Location of Development \| \| \| 福慧大廈期數如有重要告示： Important Note : 發展項目位置 Location of Development 發展項目名稱 Name of Development 是以臨時買賣合約為基礎，有關交易資料日後可能會出現變化。 Please read with particular care those entries with only the particulars of the Preliminary Agreements for Sale and Purchase (PASPs) shown. They are transactions which have not yet proceeded to the Agreement for Sale and Purchase (ASP) stage. For those transactions, the information shown is premised on PASPs and may be subject to change. 淺水灣道號閱讀該些只顯示臨時買賣合約的資料的交易項目時請特別小心，因為有關交易並未簽署買賣合約，所顯示的交易資料根據《一手住宅物業銷售條例》第60 60條所備存的成交記錄冊 60 60 Part 2: Information on Transactions \| (A) \| (B) \| (C) \| (D) \| \| \| \| (E) \| (F) \| (G) \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 臨時買賣合約的日期 (日-月-年) Date of PASP (DD-MM-YYYY) \| 買賣合約的日期 (日-月-年) Date of ASP (DD-MM-YYYY) \| 終止買賣合約的日期 (如適用) (日-月-年) Date of termination of ASP (if applicable) (DD-MM-YYYY) \| 住宅物業的描述 (如包括車位，請一併提供有關車位的資料) Description of Residential Property (if parking space is included, please also provide details of the parking space) \| \| \| \| 成交金額 Transaction Price \| 售價修改的細節及日期 (日-月-年) Details and date (DD-MM-YYYY) of any revision of price \| 支付條款 Terms of Payment \| \| \| \| \| 大廈名稱 Block Name \| 樓層 Floor \| 單位 Unit \| 車位(如有) Car-parking space (if any) \| \| \| \| \| 11-4-2016 \| 15-4-2016 \| \| 福慧大廈 FORTUNA COURT \| 2 \| A \| 35 36 \| $111,600,000 \| \| (1)售價的5%於簽署臨時買賣合約時付清; (1)5% of the purchase price to be paid upon the signing of the PASP; (2)售價的5%於簽署正式買賣合約時付清; (2)5% of the purchase price to be paid upon the signing of the ASP; (3)售價的90%於2016年7月18日或之前付清。 (3)90% of the purchase price to be paid on or before 18-07-2016. \| \| 11-4-2016 \| 15-4-2016 \| \| 福慧大廈 FORTUNA COURT \| 2 \| B \| 12 23 \| $111,600,000 \| \| (1)售價的5%於簽署臨時買賣合約時付清; (1)5% of the purchase price to be paid upon the signing of the PASP; (2)售價的5%於簽署正式買賣合約時付清; (2)5% of the purchase price to be paid upon the signing of the ASP; (3)售價的90%於2016年7月18日或之前付清。 (3)90% of the purchase price to be paid on or before 18-07-2016. \| 福慧大廈售價的售價的售價的於簽署臨時買賣合約時付清於簽署正式買賣合約時付清於年月日或之前付清。 1. 第三部份第三部份：：：備註備註備註 Part 3: Remarks Part 3: Remarks 3. 2. in this register and revise the entry in this register if there is any change in the particulars of the transaction mentioned in column (H). If an ASP is terminated, the vendor must within 1 working day after the date of termination, enter that date in column (C) of this register. relevant PASPs. Within 1 working day after the date on which the owner enters into the relevant ASPs, the vendor must enter the date of that agreement 關於臨時買賣合約的資料( 即(A), (D), (E), (G) 及(H) 欄) 須於擁有人訂立該等臨時買賣合約之後的24 小時內填入此記錄冊。在擁有人訂立買賣合約之後的1 個工作日之內，賣方須在此紀錄冊內記入該合約的日期及在(H) 欄所述的交易詳情有任何改動的情況下，須在此紀錄冊中修改有關記項。 Information on the PASPs (i.e. columns (A), (D), (E), (G) and (H)) should be entered into this register within 24 hours after the owner enters into the 4. 如買賣合約於某日期遭終止，賣方須在該日期後的 1 個工作日內，在此紀錄冊(C)欄記入該日期。如在簽訂臨時買賣合約的日期之後的5 個工作日內未有簽訂買賣合約，賣方可在該日期之後的第6 個工作日在(B) 欄寫上「簽訂臨時買賣 section 59(2)(c) of the Residential Properties (First-hand Sales) Ordinance, vendor may state " the PASP has not proceeded further " in column (B) on the If the PASP does not proceed to ASP within 5 working days after the date on which the PASP is entered into, in order to fulfill the requirement under sixth working day after that date. 合約後交易再未有進展」，以符合一手住宅物業銷售條例第59(2)(c)條的要求。 5. 賣方須一直提供此記錄冊，直至發展項目中的每一住宅物業的首份轉讓契均已於土地註冊處註冊的首日完結。 The Vendor should maintain this Register until the first day on which the first assignment of each residential property in the development has been registered in the Land Registry. Within 1 working day after the date on which the price of a residential property is revised under section 35(2) of the Residential Properties (First-hand 在住宅物業的售價根據一手住宅物業銷售條例第35(2) 條修改的日期之後的1 個工作日之內，賣方須將有關細節及該日期記入此紀錄冊 (F)欄。 Sales) Ordinance, the Vendor must enter the details and that date in column (F) of this register. - 3 - 6. √ 該賣方的董事，或該董事的父母、配偶或子女； (a) (i) (ii) (iii) (iv) (v) (vi) (b) 該賣方屬法團，而該人是－本記錄冊會在(H)欄以" 該賣方的經理；上述董事、父母、配偶、子女或經理屬其董事或股東的私人公司；該賣方的有聯繫法團或控權公司； "標示買方是賣方的有關連人士的交易。如有以下情況，某人即屬賣方的有關連人士－ (iv) an associate corporation or holding company of that vendor; (i) (ii) (c) (i) (ii) (a) (i) (ii) (iii) a manager of that vendor; a private company of which such a director, parent, spouse, child or manager is a director or shareholder; 其董事或股東為上述合夥人、父母、配偶或子女的私人公司。 where that vendor is a corporation, the person is a director of that vendor, or a parent, spouse or child of such a director; The transactions in which the purchaser is a related party to the vendor will be marked with " √ " in column (H) in this register. A person is a related party to a vendor if – 該賣方屬個人，而該人是－該賣方的父母、配偶或子女；或上述父母、配偶或子女屬其董事或股東的私人公司; 或該賣方屬合夥，而該人是－該賣方的合夥人，或該合夥人的父母、配偶或子女；或上述有聯繫法團或控權公司的董事，或該董事的父母、配偶或子女；或上述有聯繫法團或控權公司的經理； (v) a director of such an associate corporation or holding company, or a parent, spouse or child of such a director; or (vi) a manager of such an associate corporation or holding company; (b) where that vendor is an individual, the person is (i) a parent, spouse or child of that vendor; or － (ii) a private company of which such a parent, spouse or child is a director or shareholder; or (c) where that vendor is a partnership, the person is – (i) a partner of that vendor, or a parent, spouse or child of such a partner; or (ii) a private company of which such a partner, parent, spouse, child is a director or shareholder. － - 4 - 7. 8. www.fortunacourt.hk www.fortunacourt.hk If applicable, the price list(s) of the development can be found in the following website : For column (G), the terms of payment include any discount on the price, and any gift, or any financial advantage or benefit, made available in connection with the purchase. (G)欄所指的支付條款包括售價的任何折扣，及就該項購買而連帶的贈品、財務優惠或利益。 10:32AM, 18-04-2016 (日-月-年) - 5 - 更新日期及時間： Date & Time of Update: (DD-MM-YYYY) 下述互聯網可連結到此發展項目的價單(如適用)：
Franklin University FUSE (Franklin University Scholarly Exchange) Faculty and Staff Scholarship 5-1-2019 Sharing clinical notes with patients: The nurse practitioner perspective Deborah S. Adelman Catherine Fant Debbie Conner Franklin University, email@example.com Follow this and additional works at: https://fuse.franklin.edu/facstaff-pub Part of the Nursing Commons Recommended Citation Adelman, D. S., Fant, C., & Conner, D. (2019). Sharing clinical notes with patients: The nurse practitioner perspective. The Nurse Practitioner, 44 (5), 43-50. https://doi.org/10.1097/01.NPR.0000554676.56859.bb This Article is brought to you for free and open access by FUSE (Franklin University Scholarly Exchange). It has been accepted for inclusion in Faculty and Staff Scholarship by an authorized administrator of FUSE (Franklin University Scholarly Exchange). For more information, please contact firstname.lastname@example.org. Tero Vesalainen / Thinkstock Sharing clinical notes with patients: The NP perspective Abstract: This article outlines a research project conducted to learn more about NPs' attitudes regarding sharing clinical notes with patients through a patient portal. Perceptions were positive overall. To achieve effective health outcomes, patient and family engagement is essential. Shared clinical notes provide an opportunity to achieve these goals. By Deborah S. Adelman, PhD, RN, NE-BC; Catherine Fant, PhD, RN-BC; and Debbie Nogueras Conner, PhD, ANP/FNP-BC, FAANP Over the last several years, researchers have encouraged healthcare providers to share clinical notes with patients. The first initiative started in 2010 when researchers conducted a study in primary care settings in three large medical systems. 2 This initiative was called OpenNotes and it continues to support institutions today as they increase patient engagement efforts. OpenNotes provides public domain materials to clinicians to assist them as they begin sharing clinical notes with patients. 3,4 The 2010 OpenNotes study examined the attitudes of patients and physicians both prior to implementation atient portals have been put in place at many healthcare facilities to assist organizations in meeting the meaningful use requirement of increased patient engagement. The types of data and functionality patients can access through the portals vary but typically include test results, a medications list, educational materials, appointment scheduling information, and the ability to order reﬁ lls and communicate with their healthcare professionals. 1 However, until a few years ago, clinical notes were not readily available to patients. P Keywords: clinical notes, OpenNotes, patient engagement, patient portals, physicians, survey NPR0519_ClinicalNotes_Dharam.indd 43 of sharing clinical notes and 1 year later. The researchers found that the patients' attitudes both before and after were over 90% positive, although the primary care providers were less enthusiastic prior to sharing (69% to 81%) and much more enthusiastic after implementation (85% to 91%). 2 Since then, almost 29 million patients have gained access to their clinical notes. 4 The trend of sharing clinical notes with patients through patient portals has grown over the years. However, as more data become accessible to patients online, improved patient willingness to continue accessing their clinical notes. 5,9,11-13,15-17 Other positive outcomes resulting from shared clinical notes have included greater involvement of families and/or caregivers with the patient's care, strengthening of the patient-clinician relationship, a stronger sense of control over one's healthcare, better patient preparation for the next visit, improved coordination of care, patient safety, and improved patient self-care. 5,8,9,11-13,17,18 Related clinician-identiﬁ ed concerns include increased workloads for providers, increased concern Attitudes about sharing clinical notes have been primarily positive from both clinicians and patients. and worry by the patients, privacy and Health Insurance Portability and Accountability Act issues, and possible lack of understanding of content by the patients. 5,9-12 However, clinicians noted many of these concerns prior to sharing clinical new issues regarding this increased access have surfaced. For example, patients can easily access their health information, but they may not necessarily understand or agree with the content in their clinical notes. In addition, legal issues may impact future data sharing, as laws have not kept up with the technology changes related to patient access to their healthcare records. 5-7 To date, all states in the US have had at least one institution in which primary care providers reported sharing clinical notes with patients. 3 As this trend gains acceptance, understanding the mindset of clinicians about sharing their clinical notes is important to the future of patient care. Although sharing clinical notes started in primary care settings, this practice is slowly moving to other ambulatory clinical settings as well as the inpatient setting. 8 The focus of research in this area has addressed physicians who share clinical notes; minimal attention has been paid to NPs. 9-11 Understanding how this large segment of the healthcare team perceives sharing clinical notes with patients has driven the research study presented here. ■ Literature review Attitudes about sharing clinical notes have been primarily positive from both clinicians and patients. 5,6,8,9,11-14 Sharing clinical notes has resulted in improved medication adherence, better understanding of why a medication was prescribed, improved communication, increased understanding of plans of care and health status, improved patient and family engagement in healthcare, and NPR0519_ClinicalNotes_Dharam.indd 44 notes and changed their attitudes after doing so. 9 Some clinicians worried about changing how clinical notes are written knowing the patient was going to read them. This was of particular concern for clinicians providing care for patients with behavioral health issues, substance use disorders, obesity, and cancer. 9 Nevertheless, there is a growing willingness to share mental health records. A 2017 pilot study in which patients were given access to their mental health progress notes found that sharing was helpful to the patients and showed no signs of negative impact. 19 ■ Purpose The purpose of this study was to understand NPs' perceptions of sharing clinical notes with their patients using a descriptive quantitative methodology with two open-ended questions. Many clinical practice sites use patient portals, but not all share clinical notes or grant the patient complete access to their health information through the portal. 20 However, this is changing as more patients are accessing their health information through patient portals and because of the growing need for big data on population health. 21 The existing research has addressed how patients, physicians, and other healthcare professionals perceived, used, and felt about sharing clinical notes with patients through patient portals, but does not speciﬁ cally address NPs. 6,8,11,13,22 Because NPs generally work in practice settings that increasingly use patient portals, it was deemed important to understand their perceptions related to clinical notes sharing to guide future research in the area. ■ Methodology The methodology was a descriptive quantitative approach that sought to answer the Patient population, Intervention of interest, Comparison, Outcome(s), and Time (PICOT) question: How do NPs perceive sharing of clinical notes through a patient portal? 23 The PICOT question format is a consistent format used to develop clinical research questions. Note, not every PICOT question requires the Time component. The research study was approved by the Purdue University Global Institutional Review Board. Permission to share the survey with all clinical practice sites was obtained from the owner of the site or the dean of the school of nursing. ■ Sample The sample consisted of several groups: invited participants (NP faculty who worked for Purdue University Global and NPs who worked for an outpatient clinic in a large Midwestern state) and NPs who saw information about the study on social media such as Facebook, were members of an NP-focused LinkedIn group, or were members of Sigma Theta Tau International. ■ Survey setting and instrument The survey was made available via SurveyMonkey between February 1 and August 31, 2018. The survey started with a consent form that sent the potential participant to the survey if "Yes," was selected, or to a thank-you page if "No," was selected. The survey in- patients, the researchers felt this approach would allow for basic identiﬁ cation of concepts related to the NPs' changing practices. Open-ended questions were examined for commonalities and the responses were tagged, similar tags were noted and merged, and overarching similarities were presented. ■ Results Of the total 57 survey participants, 47 (82.5%) were actively practicing. The majority were FNPs (61.4%), MSN-prepared (70.2%), had practiced for 6 or more years (63.2%), and were both licensed and certiﬁ ed as NPs (77.2%). Seven participants were not practicing NPs, and three participant responses were missing. Of the practicing non-FNPs, ﬁ ve identiﬁ ed as gerontological adult NPs and ﬁ ve classiﬁ ed their practice as "other." Nine stated they were either acute care, adult, gerontological, pediatric, or psychiatric/mental health NPs. (See Participant demographics.) Approximately half of the survey respondents use patient portals and share their clinical notes. Overall, perceptions about sharing clinical notes were somewhat positive to very positive (40.3%). A total of 31.6% of the participants felt that their ﬁ rst experience with sharing their clinical notes was a somewhat positive to very positive experience. The biggest issue for many of the participants was knowing patients did or would be able to read their clinical notes. Because of this, the participants felt this would cause them to change how they wrote their notes. Nevertheless, just under 10% cluded 12 multiple-choice questions, one sentence-completion question, and one open-ended question allowing participants to share any other comments. The ﬁ rst ﬁ ve questions consisted of demographic information (licensing/ This study supported previous research that found providers' perceptions of sharing clinical notes with their patients to be positive. certiﬁ cation status, practicing or not, specialization area, and education level), and the other seven questions addressed the PICOT. A total of 57 participants completed the survey. Percentages were evaluated for each of the multiple-choice questions. The responses to open-ended questions were examined for themes. of participants noted there was or would be no effect on how they wrote their clinical notes. Lastly, more than 70% had apprehensions about patients not understanding the medical terminology used in their clinical notes. Despite these concerns, the participants were positive about sharing the notes. ■ Data analysis Descriptive statistics were used to describe the sample's demographic data and responses to the survey questions. Because the study was designed to understand the NPs' perception of sharing clinical notes with their NPR0519_ClinicalNotes_Dharam.indd 45 When asked if the participants presently used a patient portal that allowed clinical notes sharing, 49.1% (n = 28) said they did not at the current time. These NPs were asked how knowing they might be sharing their clinical notes in the future could affect their ﬁ rst experience. The majority (90%, n = 9) felt NPR0519_ClinicalNotes_Dharam.indd 46 it would be a somewhat positive to very positive experience. Of those who did use such a patient portal, 40.3% said it was a somewhat positive to very positive experience (n = 23). Only 5.3% felt that it was a somewhat negative experience, with none feeling that it was a very negative experience. The knowledge that they would be sharing their clinical notes did affect the way NPs would write their clinical notes (major affect: 12.3%, n = 7; moderate affect: 14%, n = 8). Only 8.8% (n = 5) said it would have no effect on how they wrote their clinical notes. The participants who had shared their clinical notes through patient portals were asked how they rated their ﬁ rst experience: 19.3% (n = 11) rated their initial experience with sharing clinical notes as somewhat positive. Although 12.3% (n = 7) thought the experience was very positive, the same number thought it was somewhat a negative experience, and 1.8% (n = 1) thought it was a negative experience. Most of the NPs did have concerns about patients understanding medical terminology or other aspects of their clinical notes (70.2%, n = 40). When asked about their feelings knowing clinical notes may be read by patients through the portal, 40 of the participants responded to the open-ended questions by expressing concerns such as: "NP and clinical setting. A total of 35% (n = 20) stated they had shared their computer screen with their patients and 10.5% (n = 6) said they had not done so. Asked if they would be willing to do so, 70.2% (n = 40) said they would consider it. (See Survey results ; Missing cells represent questions that do not apply to the NP's practice site [for example, some clinics did not have patient portals where NPs posted their clinical notes.]) ■ Discussion This study supported previous research that found providers' perceptions of sharing clinical notes with their patients to be positive. 2,6,9,13 In addition, the NPs felt their ﬁ rst experience with sharing the notes was a positive experience. The NPs felt sharing the notes would help improve patients' understanding of their care plans and self-management, an important aspect in improving shared decision-making and patient engagement. 4 A similar sentiment was expressed by physicians in the literature. 5,12,18 As with the physicians studied in the past, the participating NPs expressed concern about how patients would interpret the content of their clinical notes and that knowing their notes would be shared would impact what they wrote. 9 NPs felt misunderstandings could negatively impact the patient honesty in providing information," and "NPs less likely to include details that may be helpful for future recall or may be misinterpreted by patients." The openended questions validated the quantitative responses about pa- Clinical notes that are written using less medical terminology may cause fewer misunderstandings. tients not understanding what was written because of the use of medical terminology. The remaining respondents were positive in their responses and included statements such as: "comfortable allowing my patients [sic] read their clinical notes," "an even greater need to make myself clear and well understood when speaking to them," and "that it may improve the understanding of their care plan and improve self-management." The participants also shared that they were "glad someone is asking this," and "I personally like the idea of patient access to their medical information. It is the same when I myself am the patient when I like to have the same access." therapeutic relationship. Consequently, they felt they had a greater need to make sure what they wrote was clear. Two additional questions were asked about sharing computer screens with patients while in the NPR0519_ClinicalNotes_Dharam.indd 47 Further, the participating NPs expressed their concern about how well patients would understand medical terminology, an issue also found among physicians' perceptions of clinical notes sharing. 11 Clinical notes that are written using less medical terminology may cause fewer misunderstandings. Providers could also try providing patients with a written or verbal explanation of the terminology they may encounter in the clinical notes during the patients' exams. The participants also had concerns about how honest NPs and patients were when providing information. This concern has not been addressed with other healthcare providers. Survey results Do you presently use a patient portal that allows patient access to posts of their clinical notes? Now that you use a patient portal to share clinical notes with patients, how would you rate your experience knowing that a patient can access your clinical notes in the electronic health record through a patient portal? How would you rate your experience the ﬁ rst time you knew that a patient was going to be able to access their own clinical notes in the electronic health record through a patient portal? Does the knowledge that your clinical notes are available through the patient portal affect the way (or would it affect the way in the future) of how you write your clinical notes? Have you ever shared your computer screen with a patient while doing an assessment? NPR0519_ClinicalNotes_Dharam.indd 48 Survey results (Continued) Do you have or have you had any apprehensions about your patients not understanding the medical terminology or any other aspect of the visit that you write in your clinical notes? If you have not shared your computer screen with your patient, would you consider doing so? Anticipating that in the future your practice setting might use a patient portal to share clinical notes with patients, if you do not presently do so, how do you expect your ﬁ rst experience will be knowing that a patient will be able to access your clinic? ■ Limitations ■ Future research This study collected data from relatively small sample. Traditionally, this would be considered a pilot study in which a hypothesis would be tested. Pilot studies now focus more on acceptability and feasibility. 24 Thus, the sample size of this study, designed as a descriptive quantitative approach to identify NP perceptions related to clinical notes sharing through a patient portal, was appropriate. Another limitation of the sample was that the participants were recruited primarily from an academic setting (where NPs are also engaged in practice) and one free-standing clinical practice located in the Midwest. The number of respondents from social media recruitment may not be representative of the sample. It is also worth considering that not all NPs work in settings that have patient portals, which might have inﬂ uenced their responses to relevant questions. NPR0519_ClinicalNotes_Dharam.indd 49 Further research needs to include a larger, more diverse sample of NPs in different specialty outpatient clinics and hospitals. In addition, future research should examine the attributes found in past studies, such as improved adherence to medications and determining NPs' perceptions of sharing their clinical notes with patients. Finally, the patients' perceptions of shared clinical notes and their experiences with the healthcare provider should be studied to truly understand this new practice. ■ Implications for practice From this study, three major implications for advanced nursing practice emerged. First, participants expressed concerns about how to write clinical notes. NPs should be encouraged to assess the organizational climate related to the sharing of clinical notes in their workplace and discuss concerns regarding full and accurate documentation with administration. Because concerns emerged regarding the potential impact on patient interpretation of the clinical note, NPs should consider reviewing their clinical notes and terminology prior to ending the visit or using simpler language, particularly in cases where differential or presumptive diagnoses might be concerning to the patient. There may be a concern related to additional time spent writing the note so that patients can understand them clearly. Consequently, practices could consider the use of another individual to serve as a scribe. 25 This would allow for face-to-face conversations without requiring the NP to focus quite as much on documentation, allowing them to instead explain the meaning of the medical terminology while the scribe makes the entries into the record. NPs would then review the clinical notes with the patients present to ensure accuracy in documentation as well as patient understanding. ■ Conclusion As access to clinical notes through patient portals becomes more mainstream, providers will need to consider how to engage patients in conversations about their health and medical conditions. NPs, like their physician and physician assistant colleagues, should examine any personal concerns they have related to perceptions of increased workload, patient anxiety about not understanding what is written, and how to write effective and detailed notes. Developing good communication practices during the visit and discussing the details of the patient note and answering questions in real time provides an opportunity to reduce concerns and anxiety for both parties. REFERENCES 1. Fant CT, Adelman DS. Sharing clinical notes with patients. Nurse Pract. 2017;42(10):1-5. 2. Walker J, Leveille SG, Ngo L, et al. Inviting patients to read their doctors' notes: patients and doctors look ahead: patient and physician surveys. Ann Intern Med. 2011;155(12):811-819. 3. OpenNotes. Everyone on the same page. www.opennotes.org. 4. OpenNotes. A strong case for sharing. www.opennotes.org/case-foropennotes. 5. Jackson SL, Mejilla R, Darer JD, et al. Patients who share transparent visit notes with others: characteristics, risks, and beneﬁ ts. J Med Internet Res. 2014;16(11):e247. 6. Dobscha SK, Denneson LM, Jacobson LE, Williams HB, Cromer R, Woods S. VA mental health clinician experiences and attitudes toward OpenNotes. Gen Hosp Psychiatry. 2016;38:89-93. 7. Lee BS, Walker J, Delbanco T, Elmore JG. Transparent electronic health records and lagging laws. Ann Intern Med. 2016;165(3):219-220. NPR0519_ClinicalNotes_Dharam.indd 50 8. Grossman LV, Creber RM, Restaino S, Vawdrey DK. Sharing clinical notes with hospitalized patients via an acute care portal. AMIA Annu Symp Proc. 2018;2017:800-809. 9. Delbanco T, Walker J, Bell SK, et al. Inviting patients to read their doctors' notes: a quasi-experimental study and a look ahead. Ann Intern Med. 2012;157(7):461-470. 10. Vodicka E, Mejilla R, Leveille SG, et al. Online access to doctors' notes: patient concerns about privacy. J Med Internet Res. 2013;15(9):e208. 11. Weinert C. Giving doctors' daily progress notes to hospitalized patients and families to improve patient experience. Am J Med Qual. 2017;32(1):58-65. 12. Hogan TP, Nazi KM, Luger TM, et al. Technology-assisted patient access to clinical information: an evaluation framework for blue button. JMIR Res Protoc. 2014;3(1):e18. 13. Esch T, Mejilla R, Anselmo M, Podtschaske B, Delbanco T, Walker J. Engaging patients through open notes: an evaluation using mixed methods. BMJ Open. 2016;6(1):e010034. 14. Klein JW, Peacock S, Tsui JI, O'Neill SF, DesRoches CM, Elmore JG. Perceptions of primary care notes by patients with mental health diagnoses. Ann Fam Med. 2018;16(4):343-345. 15. Bresnick J. Open EHR notes improve medication adherence, engagement. HealthIT Analytics. 2015. https://healthitanalytics.com/news/open-ehr-notesimprove-medication-adherence-engagement. 16. Wright E, Darer J, Tang X, et al. Sharing physician notes through an electronic portal is associated with improved medication adherence: quasi-experimental study. J Med Internet Res. 2015;17(10):e226. 17. Gerard M, Fossa A, Folcarelli PH, Walker J, Bell SK. What patients value about reading visit notes: a qualitative inquiry of patient experiences with their health information. J Med Internet Res. 2017;19(7):e237. 18. Bell SK, Folcarelli P, Fossa A, et al. Tackling ambulatory safety risks through patient engagement: what 10,000 patients and families say about safetyrelated knowledge, behaviors, and attitudes after reading visit notes. J Patient Saf. [e-pub April 27, 2018] 19. Peck P, Torous J. Patient access to electronic psychiatric records: a pilot study. Health Policy Technol. 2017;6(3):251-380. 20. Jacob JA. Patient access to physician notes is gaining momentum. JAMA. 2016;315(23):2510-2511. 21. Wilson ML. Understanding the technology that supports population health programs. Am Nurse Today. 2017;12(10):28-31. 22. Zulman DM, Nazi KM, Turvey CL, Wagner TH, Woods SS, An LC. Patient interest in sharing personal health record information: a web-based survey. Ann Intern Med. 2011;155(12):805-810. 23. Melnyk BM, Fineout-Overholt E. Evidence-Based Practice in Nursing and Healthcare. Philadelphia, PA: Lippincott Williams & Wilkins; 2011. 24. Morris NS, Rosenbloom DA. Deﬁ ning and understanding pilot and other feasibility studies. Am J Nurs. 2017;117(3):38-45. 25. Miller N, Howley I, McGuire M. Five lessons for working with a scribe. Fam Pract Manag. 2016;23(4):23-27. Deborah S. Adelman is a professor at Purdue University Global's School of Nursing, Springﬁ eld, Ill. Catherine Fant is an adjunct professor at Walden University's School of Nursing, Minneapolis, Minn. Debbie Nogueras Conner is a professor at Franklin University's College of Health and Public Administration, Columbus, Ohio. The authors have disclosed no ﬁ nancial relationships related to this article. DOI-10.1097/01.NPR.0000554676.56859.bb
of the Maritime University of Szczecin 2017, 52 (124), 120‒127 ISSN 2392-0378 (Online) ISSN 1733-8670 (Printed) DOI: 10.17402/253 The radio operator decision support system model Marcin Mąka, Piotr Majzner Maritime University of Szczecin e-mail: {m.maka; firstname.lastname@example.org 1-2 Wały Chrobrego St., 70-500 Szczecin, Poland corresponding author Key words: radiocommunication, Radiocommunication Events Management System, GMDSS, decision model, graph theory, signals Abstract The article proposes a model of the system supporting the decision-making process relating to the radio operator on board a ship after a distress alert is received by a Digital Selective Calling (DSC) controller working on VHF channel 70. The model is aimed at the implementation into the system of radiocommunication event management. The system takes into account the existing Radio Regulations. The model makes use of Petri nets, which are elements of graph theory. The time domain is comprised in the developed graph, and the states (places) and transitions capable of autonomous functioning are separated, as are those places and transitions requiring direct operator action based on empirical knowledge. Introduction The main function of the Global Maritime Distress and Safety System (GMDSS) is transmitting signals from ships in distress to coastal radio stations and Rescue Coordination Centres (RCC) (Czajkowski, 2002; SOLAS, 2009; Uriasz & Majzner; 2013). 1. Digital Selective Calling (DSC); The system is composed of 10 subsystems: 2. Radiotelephone in the VHF band; 4. NBDP; 3. Radiotelephone in the MF/HF band; Alarming by DSC is simple for operators. Problems arise when a ship on a sea voyage receives an alarm on its DSC controller from another vessel in distress. In such as case, the procedure after the receipt of a distress alert is defined by the Radio Regulations (RR). Despite the full operation of the GMDSS system for over 18 years, the interpretation of regulations in practice, particularly under stress, may result in operator errors that will lead to a delay in, or even the failure of, effective search and rescue operations by marine rescue services. 5. Inmarsat; 7. Navtex; 6. Cospas-Sarsat; 8. SART; 10. EPIRB. 9. MSI; DSC is the principal subsystem, which allows: * initiating urgency and safety messages, subsequently broadcast via radiotelephone; * sending ship-to-shore and ship-to-ship alerts; * establishing routine ship-to-ship and ship-toshore communications. Received: 23.11.2017 Accepted: 04.12.2017 Published: 15.12.2017 It has been indicated in articles (Lisaj & Majzner, 2014; Majzner & Mąka, 2014; Lisaj, Majzner & Maka, 2015) that it is purposeful to develop a Radiocommunication Events Management System (REMS) at sea. One major component of such a system would be a radio operator decision support system. Characteristics of DSC VHF Maritime VHF comprises the 156–174 MHz band. The band is divided into channels, of which the most important are: * Channel 70 – designed for DSC, and the only DSC channel in this band; In theory, the range of ultra short waves is restricted to line-of-sight. In practice, however, it is much larger, thanks to the tropospheric refraction and diffraction. The range of V-band communications (in nautical miles) is expressed by means of the following equation (Czajkowski, 2002): * Channel 16 – designed for distress, urgency and safety radiotelephone communications. where: H – height of the receiving antenna; h – height of the transmitting antenna; V – band communication range modelling consists of the determination of a circle of radius and D. The distress alert of DSC consists of 12 elements: The basic information unit in the DSC is a word consisting of 10 bits, of which the first seven are information, and the last three represent the number of zeroes found in the information. The information part may contain numeric values in the 0–127 range. The values 0 to 99 are interpreted as numbers, e.g. Maritime Mobile Service Identity (MMSI) number, coded position, etc., whereas values from 100 to 127 have special meaning depending on their position in the message. * dot pattern; * format specifier; * phasing signal; * address; * self-identification (MMSI number of the ship); * category; * message 1 – the nature of distress; * message 2 – the position of a ship in distress; * message 3 – the time of the position of a ship in distress; * end of sequence; * message 4 – the kind of communication after sending the distress alert; * error check symbol. A DSC message is repeated twice with 33.(3) ms delay and the whole distress alert is sent within approximately 0.5 seconds. The message contains information automatically appended by the controller connected to a VHF radiotelephone and a system providing a ship's position, but may also contain information specified by the operator, such as the nature of distress, and an updated position. The Radio Regulations The procedures for emergency situations and for such events as the reception of a message from a ship in distress are set forth in the RR (Salmonowicz, 2001). The operator of a vessel in distress, after sending a distress alert by DSC VHF controller in automatic or extended mode, prepares for communication by switching to radiotelephone channel 16; this may also be done automatically, as in most of today's ships. The DSC controller will automatically send an alarm at approximately 4-minute intervals containing all the items listed above, until receiving acknowledgement from the coast station. Such acknowledgement should be sent by the coast station immediately upon receipt. The acknowledgement is addressed to all ships and should not be sent by an operator of another ship. Next, the operator on the ship in distress may send a distress message via a radiotelephone as defined by the RR (COMSAR.1 Circ 45). Currently the RR define only the form of further communication between the participants in the rescue operation, the form of imposing silencing on stations which interfere with the traffic, and the form of finishing radio silence. The actions of the rescue operation participants are determined by the existing situation and IAMSAR regulations (IAMSAR, 2001). MAYDAY Name, call sign, MMSI (if the initial alert is sent by DSC) of the ship in distress This is Name, call sign, or other identification of the ship which received the distress alert Received In a distress situation, the behaviour of radio operators on ships in the vicinity is of particular importance after they receive a DSC VHF distress alert. The operational procedures are set forth in ITU-R M. 541 (Annex 3), illustrated in Figure 2. MAYDAY This procedure is the same for the receipt of a distress alert by a DSC in the VHF and in MF bands. * if any coast station has acknowledged the alert to the ship in distress via DSC (block 3, Figure 2); or The operator on the ship, after receiving a DSC VHF distress alert (block 1 in Figure 2), should get ready for distress communication by ensuring sure that VHF channel 16 is switched on with the noise reduction disabled (block 2, Figure 2). Then the operator should wait for a maximum of five minutes. In the meantime, s/he will check: * if any distress traffic can be heard (block 4, Figure 2). An affirmative answer to any of the two checks creates a situation in which the radio operator should assess the possibility of providing effective assistance to the ship in distress (block 5, Figure 2). If the assessment by the ship's captain, watch officer or radio operator is positive, i.e. the ship receiving the distress alert is able to provide effective assistance to the ship in distress and its crew, the ship acknowledges receipt of the alert in line with the following form (block 7, Figure 2): In addition, radio operators should transmit to the ship in distress information on their present position, course and speed, and estimated time of arrival at the distress position. Then the radio operator should notify the nearest coast station of such communication events, enter the details of communications in the radio log and reset the system. In the radio space, the distress communication should continue, depending on the actions of rescue operation participants and IAMSAR regulations (IAMSAR, 2001). If after five minutes the DSC controller has not received acknowledgement of the distress alert sent by the coast station and the radio operator has not heard on channel 16 any distress message, but has again received a DSC distress alert (block 6, Figure 2), s/he should acknowledge receipt to the ship in distress (block 7, Figure 2), notify the coast station of the communication events, (block 8, Figure 2), enter the details of the communication in the radio log (block 9, Figure 2) and reset the system (block 10, Figure 2). If the assessment by the ship's captain, watch officer or radio operator is negative, i.e. the ship that received the distress alert is not able to provide effective assistance, the radio operator should only enter the details of communications in the radio log (block 9, Figure 2) and reset the system (block 10, Figure 2). In a situation in which a distress alert has been received only once, the radio operator who received the alert should notify the coast of the communication events (block 8, Figure 2), enter the details of communications in the radio log (block 9, Figure 2) and reset the system (block 10, Figure 2). According to the above description, the operator's conduct upon reception of a distress alert by means of the DSC controller is complex, and requires making quick and accurate decisions and the proficient operation of radio equipment in distress communications. Even small mistakes by the radio operator can result in interference with, or failure to carry out, the rescue operation. A model of the decision-making process based on Petri nets The decision process resulting from the binding procedure has been defined herein using the methods and tools typical of process exploration, Petri nets in particular (van der Aalst, 1998; 2013). The Petri net (Jensen & Kristensen, 2009; Jensen & van der Aalst, 2009) is the five: where: * places – states, individual actions essential for the process; In the process of modelling, we initially assumed that the individual components of the developed net are: * transitions – changes of a state, completion of actions, decisions made; * input – reception of a radio message (DSC and voice); * tokens and their location – information, representation of the status of the decision-making process referring to a specific distress situation; * output – completion of distress communications; Denotations in Figure 3 represent, respectively: * state of a Petri net – set of actions taken at a given instant, representing the status of the decision-making process. * places: * transitions: p1 – received a DSC distress alert; p2 – listening on VHF channel 16; p3 – analysis of the possibility of coming to assistance; p4 – acknowledgement to the sinking vessel; p5 – notification of the coast station; p6 – entry made in the radio log. Reset the system; t1 – setting channel 16; It is assumed that for each net specified as above this condition is fulfilled: P – (finite) set of places; T– (finite) set of transitions; A ⊆P × T∪T × P – set of arcs; W: A → N – function of weights ascribing labels (natural numbers) to each arc; s0: P →N – function describing the initial marking, where N is the set of non-negative integers, i.e. N=N∪{0}. P∩T = Ø & P∪T ≠ Ø. t2 – repeated receipt of a distress alert; t3 – five minutes elapsed; t4 – received acknowledgement from the coast station; t5 – distress communication in progress; t6 – commencement of rescue operation; t7 – no rescue actions taken, continuing with the voyage; t8 – acknowledgement sent to the ship; t9 – notification sent to the coast station. This interpretation of the procedure diagram in Figure 2, presented in the form of a Petri net (Figure 3), reflects the correct course of action in the decision-making process after the receipt of a DSC VHF distress alert. The net presented in Figure 3 allows us to directly implement the application, an element of the REMS presented in the next chapter. In addition, the net model thus developed helps to isolate elements which indicate: elements of the decision-making process which currently require operator activity and may be executed in the newly developed REMS system (col. 4, Table 1); * actions carried out autonomously by the radiocommunication equipment, (col. 3, Table 1); * elements of the decision-making process which require direct actions to be taken by the operator (col. 5, Table 1). Table 1 illustrates elements of the decision-making process from Figure 2, decomposed in the Petri net from Figure 3. Table 1. Some decision process elements Denotations in Figure 4 represent, respectively: The above Petri net, however, does not provide the proper opportunities for proper analysis of the net in the time domain. It is necessary to adjust the net to a form in which places and tokens located in them will represent only statuses of the decision-making process and the termination of each action essential for the process. Transitions will be changes of the state, individual actions and decisions made (Figure 4). * places: p8 – completion of the decision-making process. STOP; p1 – received a DSC distress alert, START; p2, p3, p4, p5, p6, n – statuses of the decision-making process; * transitions (C – actions, D – decisions): t2 – C: start listening on channel 16; t1 – C: checking if channel 16 is set/setting channel 16; t3 – C: repeated receipt of a distress alert; t5 – C: received acknowledgement from a coast station; t4 – C: five minutes elapsed (waiting); t6 – C: distress communication in progress; t8 – D: making a decision not to provide assistance and continue the voyage; t7 – D: making a decision to provide assistance; t9 – C: sending an acknowledgement to the ship in distress; t11 – C: entry in the LOG. Reset the system. t10 – C: notification of the coast station; In the net thus defined, all time parameters are associated only with transitions. It is then much easier to analyse the whole process in the time domain, the basis for the presentation of the whole procedure in the form of an event-decision diagram. It is also a basis for planned research into the optimisation of the process in the time domain. Implementation of the decision-making process model Taking into account the binding procedure scheme (Figure 2) we have developed an application supporting the operator in making decisions on the ship. The application defines subsequent stages of the decision-making process, the scope of decisions and the decision-making procedures followed when assistance is provided in accordance with the RR. This requires defining the criteria, derived from the procedure, for the situation analysis and assessment, including the possibility of providing assistance to the ship in distress. The key steps in the process are the user's decisions – responses to system-generated questions concerning the course of action in the situation of providing assistance. To facilitate responses, apart from the questions generated by the system, the application presents a procedure diagram, as required by regulations, in the event of distress alert reception (Figure 5). The presentation and archiving of the decision-making process makes use of the event-decision diagram proposed previously in articles (Majzer & Mąka, 2014; Lisaj, Majzner & Mąka, 2015).The diagram presents and allows us to archive questions concerning necessary decisions, directed to the system operator, and the solutions developed by the REMS subsystem. 6). Decisions and actions that the navigator/GMDSS operator has to take are marked with colours, in accordance with the procedure diagram (Figures 2 and 5). The process of creating the diagram shown in Figure 7 is based on the previously described Petri net and the fundamental procedure for actions after the receipt of a DSC VHF distress alert (Figure 2). 1. We receive on DSC VHF channel 70 an alert transmitted by a ship in distress. The diagram in Figure 7 illustrates a fragment of communication, in which the respective actions are as follows: 2. We make a decision / answer the question: 'Is the alert acknowledged by the coast station?'. The questions and suggestions for further actions, generated by the system, are displayed to the navigator in the proper sequence, making it easier for him or her to make an appropriate decision (Figure 4. We receive a distress call and message sent subsequently by radiotelephone on VHF channel 16. The data source for the REMS subsystem and subsequently generated event-decision diagram are streams of random events, related and not related to radiocommunication, internal and external. 3. We receive the distress alert acknowledgement sent by the coast station on VHF channel 70. 5. We receive a distress relay transmitted by the coast station by radiotelephone on VHF channel 16. Figure 5. Fragment of the screenshot from the programme of operator decision support immediately after alert receipt 6. During the actions under pp. 5 and 6 we make a decision on the possibility of providing assistance. 7. We can provide assistance; therefore, in accordance with the diagram in Figure 2, we have sent an acknowledgement of distress alert receipt by radiotelephone on VHF channel 16. 8. The coast station begins distress communication and coordination of the rescue operation. Conclusions The article presents a model of the decision support system aimed at assisting the radio operator on a ship after receipt of a distress alert by DSC VHF on channel 70. The following conclusions can be drawn: * While developing the graph of the Petri net, these authors took into account the states executed automatically by the equipment, states that may be a component of an autonomous REMS and states dependent on operator intervention. * The process of decision making involving the radio operator on a ship after distress alert reception by means of the DSC VHF controller is complex and may turn out difficult, even for experienced users. The operator has to be competent and proficient in handling the device. * The two models of the Petri net allowed the modelling of the decision-making process, which resulted in the development of operator decision-making support and the generation of a time diagram. These conclusions confirm that there is a need to conduct further research in order to develop a radio operator decision support system as an integral part of the REMS. * Based on the Petri net, the proposed system of operator decision-making support allows the time the radio equipment is handled to be shortened, thus giving more time for heuristic analysis of the existing situation and optimising decisions for the most effective rescue operation. References 1. van der Aalst W.M.P. (1998) The application of Petri nets to workflow management. Journal of circuits, systems, and computers 8.01, pp. 21–66. 3. Czajkowski, J. (2002) System GMDSS regulaminy, procedury i obsługa. Gdańsk: Skryba. 2. van der Aalst W.M.P. (2013) Decomposing Petri nets for process mining: a generic approach, distributed and parallel databases. Erratum 31(4), pp. 471–507. 4. EGMDSS (2017) [Online] Available from: www.egmdss. com [Accessed: November 20, 2017] 6. ITU-R M.541 (2004) ITU-R M.541. Operational procedures for the use of digital selective-calling equipment in the maritime mobile service. Annex 3 – Operational procedures for ships for digital selective calling communications on MF, HF and VHF. 5. IAMSAR (2001) Międzynarodowy Lotniczy i Morski Poradnik Poszukiwania i Ratowania. Tom III Środki mobilne. Gdynia: Wydawnictwo Trademar. 7. Jensen, K. & Kristensen, L.M. (2009) Coloured Petri Nets Modelling and Validation of Concurrent Systems. Berlin: Springer International Publishing AG. 9. Lisaj, A. & Majzner, P. (2014) A Model of Radiocommunication Events Management System. Scientific Journals of the Maritime University of Szczecin, Zeszyty Naukowe Akademii Morskiej w Szczecinie 38 (110), pp. 57–61. 8. Jensen, K. & van der Aalst, W.M.P. (2009) Transactions on Petri nets and other models of concurrency II. Berlin – Heidelberg: Springer-Verlag. 10. Lisaj, A., Majzner, P. & Mąka, M. (2015) Area Model in the Radio Communication Event Management System. Archives of Transport Systems Telematics 8, 3, pp. 30–34. 12. Salmonowicz, W. (2001) Łączność w niebezpieczeństwie GMDSS. Szczecin. 11. Majzner, P. & Mąka, M. (2014) A Simulation Model of Radiocommunication Events Management. Scientific Journals of the Maritime University of Szczecin, Zeszyty Naukowe Akademii Morskiej w Szczecinie Nr 37 (109), pp. 61–65. 13. SOLAS (2009) Consolidated edition. International Maritime Organization. 14. Uriasz, J. & Majzner, P. (2013) Systemy łączności morskiej. In: Nowoczesne systemy łączności i transmisji danych na rzecz bezpieczeństwa. Szanse i zagrożenia. Pach, A., Rau, Z. & Wągrowski, M. (Eds). Warszawa: LEX a Wolter Kluwert Bussines.
+------------------------------------------+ +------------------------------------------+ ¦ LOCAL COMMISSIONERS MEMORANDUM ¦ ¦ LOCAL COMMISSIONERS MEMORANDUM ¦ +------------------------------------------+ +------------------------------------------+ Transmittal No: Transmittal No: 94 LCM-87 Date: Date: Division: July 21, 1994 Services & Community Development Division: TO: Local District Commissioners SUBJECT: SUBJECT: Preventive Housing Services Demonstration ATTACHMENTS: ATTACHMENTS: A: Initial and Continued Client Eligibility (Available On-Line) B: Implementation Procedures (Available On-Line) C: Model Letter of Intent (Available On-Line) The purpose of this LCM is to inform you of an opportunity to begin or continue participation in the Preventive Services Housing Demonstration program enacted by Chapter 165 of the Laws of 1991 and to invite you to submit letters of intent if you wish to participate in this demonstration project. The due date for submission of letters of intent to the Department is August 19, 1994. is August 19, 1994. Any social services district submitting a letter of intent will be included in the demonstration, pursuant to Chapter 165. Thirty districts responded to the original request for participation outlined in 91 LCM 139. However, utilization has been low in some districts while others have consistently authorized their maximum number of slots. Consequently, the 1,000 slots authorized by the demonstration have not been fully utilized. The recently enacted 1994-95 aid to localities budget contains a $2.7M appropriation for the continuation of the Preventive Services Housing Demonstration. This LCM offers an opportunity to all districts to participate in the demonstration. Any district which intends to participate in the demonstration, including those which are currently participating and wish to continue, wish to continue, will need to affirmatively respond by submitting the required letter of intent (Attachment C). Based on the number of districts responding, a new allocation of the 1,000 authorized slots will be made based on a combination of criteria, including previous preventive housing services utilization, Family Unification Program implementation, housing services need as reported through CCRS and the district's percentage of the total statewide mandated preventive services caseload served during 1993. Trans. No. 94 LCM-87 Page No. 2 ____________________________________________________________________________ The following program criteria and implementation procedures are a reiteration of those included in 91 LCM 139, dated August 8, 1991, which originally introduced the Preventive Services Housing Demonstration. Chapter 165 amends section 409-a of the Social Services Law, Preventive Services; provision by a social services official Services; provision by a social services official. It required the Department to establish the demonstration project, effective August 1, 1991, for the purpose of "providing special cash grants in the form of rent subsidies, payments for rent arrears, or any other assistance sufficient to obtain adequate housing." The grants may be provided to up to 1,000 families statewide, in an amount of up to $300 per month per family. Chapter 165 is silent as to the duration of the subsidy for each individual family and as to the duration of the demonstration project. However, continuation of the demonstration beyond the current state fiscal year is contingent upon budget appropriation. Chapter 165 sets forth requirements as to the information which you must submit if you wish to participate in the demonstration project. A letter of intent is required. A model letter of intent is included as Attachment C. Currently participating districts can continue to authorize and provide the housing grants within the allocation originally granted to the district in 91 LCM 139 until a reallocation of the 1,000 slots is made, provided that you submit the required letter and information by the due date. New districts may begin participation upon receipt of the Department's letter which announces the final district allocations. In your letter of intent, you must submit an assurance that you will comply with the implementation procedures set forth in Attachment B of this LCM, an estimate of the number of families to be served during the current state fiscal year (i.e., through March 31, 1995), and an assurance that you will comply with the eligibility standards developed by the Department and contained in Attachment A of this LCM. Chapter 165 calls upon the Department to establish client eligibility standards, including the following: "...a family with more than one child and a family receiving or eligible to receive emergency housing will have preference...; the family is otherwise eligible for mandated preventive services to prevent the placement or re-placement of a child into foster care, the family has at least one service need other than the lack of housing; and it is reasonable to believe that the provision of services, including housing services, would enable a child to remain with his or her family." A full description of eligibility standards is contained in Attachment A. Reimbursement for the costs you incur in providing the housing grants pursuant to the demonstration project will be subject to 75% state reimbursement as are all mandated preventive services expenditures. However, the housing grants will be reimbursed only to the extent that state funding is available and only up to the maximum 1000 families statewide. Systems/claiming procedures are in Attachment B. Trans. No. 94 LCM-87 Page No. 3 ____________________________________________________________________________ The Department will be monitoring this demonstration project for evaluation purposes, pursuant to Chapter 165. The evaluation will assess the impact of the housing grants in obviating the need for foster care and the fiscal impact in terms of reduced foster care costs. Questions regarding the contents of this LCM should be directed as follows: Program standards/procedures: Jayne Stillwell, USERID 0fb090, phone 1-800343-8859, ext. 6-3448. Systems procedures: Jerry Seeley, USERID 0fl130, phone 1-800-343-8859, ext. 432-2932. Claiming procedures: Roland Levie, USERID fms001, phone 1-800-343-8859, ext. 4-7549 or Marvin Gold, USERID ofm270, phone 212-383-1733. _______________________________________________ Frank Puig Deputy Commissioner Division of Services and Community Development Attachment A Initial and Continued Client Eligibility 1. The family must be eligible for mandated preventive services to prevent placement or re-placement in foster care: o family must satisfy the eligibility standards for mandated preventive services set forth in Department Regulation 18 NYCRR 423.3, 430.9(c) or 430.9(d); o child(ren) must be residing with parent(s), i.e. goal must be to prevent placement or return to placement in foster care (Chapter 165 requires you to give preference to families having more than one child). 2. The family must have at least one service need other than the lack of housing: o family must have an identified service need for one of the preventive services defined in Department regulation 18 NYCRR 423.2(b)(4)-(15), 17 and 19 and 18 NYCRR Part 435: day care, homemaker, housekeeper/chore, family planning, home management, parent training, parent aide services, transportation, clinical services, day services to children, emergency shelter, emergency cash or goods, intensive family preservation services, or crisis respite care and services for families. 3. It must be reasonable to believe that the provision of housing grants in combination with other preventive service(s) will avoid the need for foster care: o the Uniform Case Record must include documentation of the specific eligibility standard under which preventive services are mandated, the service(s) needed in addition to the housing grant and the service plan to provide such service(s) toward the goal of preventing placement/re-placement; o each subsequent UCR completed while a housing grant is being provided must document compliance with the standards for recertification for mandated preventive services in 18 NYCRR 423.4. 4. The family's housing situation must meet one or more of the following criteria, as documented in the UCR, and the UCR must document the purpose of the housing grant: o the family is homeless or is residing in an emergency shelter, hotel/motel or other temporary housing (Chapter 165 gives priority to families eligible for emergency housing); o the family is residing in its own home, in a room and board situation, or in the home of friends or relatives that exceeds the capacity of such a residence as specified in local laws, ordinances, rules or regulations or the family is threatened with eviction or there is an unreasonable and unsafe degree of overcrowding as determined by the case manager; o the family has a home but rent or mortgage arrears place the family at imminent risk of losing the home; o the family is residing in a home which is the subject of a vacate order; and/or o the condition of the home poses a health and safety risk which places the children at imminent risk of harm. 6. The child on whose behalf the housing grant is being provided must continue to live with the parent(s). The grant must be terminated upon the placement into foster care of the child(ren) on whose behalf the housing grant is being provided, unless the anticipated date of discharge from foster care is within 90 days or less of the placement date, in which case o the Uniform Case Record (UCR) must indicate the date of placement/re-placement, the anticipated date of discharge, the reason discharge is anticipated to occur within 90 days or less, and the actual date of discharge. o If the child(ren) is/are not discharged within 90 days, the housing grant must be terminated on the 91st day of placement. 7. The family must continue to reside in the housing unit for which the grant is being provided. The grant must be terminated if the family moves out of the housing unit unless the district determines that the grant must continue due to new housing needs and that the grant, along with the other preventive service(s) will avoid the need for placement or re-placement. Attachment B Implementation Procedures 1. Priority status must be given to eligible families having more than one child and to families eligible for or receiving emergency housing. 2. Housing grants may be provided for the following purposes: o rent subsidies; o rent or mortgage arrears; o security deposits; o finder's or broker's fees; o household moving expenses; o essential repairs of conditions in rental or client owned property which create a substantial health or safety risk. 3. Housing grants may be provided directly by the social services district or by a local public agency or private not-for-profit agency or organization through a purchase of service agreement and must be paid to the landlord or mortgage holder or to the exterminator or contractor for repairs. 4. Where a rent subsidy is being provided, the provisions of Department regulation 18 NYCRR 423.2(b)(16)(iv) will apply. 5. Where payment of rent or mortgage arrears is being provided, the provision of Department regulation 18 NYCRR 423.4(b)(2)(ii) will apply. This allows for a lump sum payment of up to $1800. However, no family may receive more than a total of $3600 in any year (based on the total available at $300 per month for the state fiscal year). 6. Where payment for any of the remaining items listed in item 2. above is being made, the district may provide a lump sum payment of up to $1800. However no family may receive more than a total of $3600 in any one year. 7. The provisions of Department regulation 18 NYCRR 423.4(l)(1) and (2) will apply to all housing grants provided pursuant to this demonstration. These requirements relate to exploring the availability of public assistance to pay for the needed housing assistance and to notifying the district's public assistance, food stamp and medical assistance unit of a family's receipt of the housing grant. 8. Systems procedures: Open a WMS services case and authorize direct service type 25 (mandated preventive). The POS must be 27V (the V suffix is to be used only for this demonstration project and only with POS 27). The POS line is to be written in the routine manner. The vendor should be entered into the BICS Vendor File with a Commodity Code of 06 (shelter). 9. Claiming procedures: Expenditures made for housing grants provided pursuant to this demonstration project are to be claimed on the Schedule G, Services for Recipients (DSS-1372), line 8 - Housing Improvements, column 4 - Mandated Preventive (these housing grants may not be provided as Non-Mandated Preventive). Administrative costs are to be claimed on the Schedule D-2, allocation for Claiming of General Services Expenditures (DSS-2347 -B) on Line 14 (Title XX Services). For BICS districts, these payments will be identified on the BICS Composite; Claim RF-2A, Schedule G, Item: Housing Improvement Services. Model Letter of Intent Mr. Frank Puig Deputy Commissioner Division of Services and Community Development New York State Department of Social Services 40 North Pearl Street, ll-C Albany, New York 12243 Dear Deputy Commissioner Puig: The ____________________________ Department of Social Services intends to participate in the demonstration project for the purpose of providing housing grants to prevent foster care placement, pursuant to Chapter 165 of the Laws of 1991. In carrying out this demonstration project the district will comply with the eligibility standards set forth in Attachment A and with the implementation procedures set forth in Attachment B of 94 LCM _____. An estimated _____ families will be served in this demonstration project during state fiscal year 1994-95. _____________________________________________ Commissioner __________________________ Department of Social Services
Town Vote Art. # 1 2 3 4 5 6 7 8 9 10 11 Town of Merrimac October 19, 2020 - Special Town Meeting Articles for Consideration To reinstate the Town Nurse's hours to 19 ½ hours per week and reinstate her hourly rate to $31.00 per hour. To reduce the amount raised and appropriated in Article 1 of the June 15, 2020 Annual Town Meeting by the sum of$35,172 $ $ $ $ $ $ $ $ $ $ and 184 (10,000) 1,800 (31,745) (5,000) 6,920 15,568 3,101 (2,000) (4,000) $ (10,000) To reduce the amount raised and appropriated in Article 2 of the June 15, 2020 Annual Town Meeting, operate the Wastewater To reduce the amount raised and appropriated in Article 3 of the June 15, 2020 Annual Town Meeting, operate the Water To increase the amount raise and appropriated in Article 9 of the June 15, 2020 Annual Town Meeting, for Solid Waste Collection and from the Capital Stabilization Fund for the required town contribution for the Green Communities Grant of. from Article 1(d) for the Special Town Meeting on April 30, 2018, Engineering on Bear Hill Road To accept the provisions of G.L. C. 40, S. 22G and amend the Town of Merrimac General By-laws Section 6.5.11 by adding the To authorize the Board of Selectmen to release and discharge the easement granted to the Town by instrument recorded the Essex 2/3 Vote Required To amend the Town of Merrimac Zoning By-Laws by adding the following article; Article 17A: Reuse of Municipal Building or \| \| \| \| \| Capital Planning Expense \| Public Building Expense \| Fire Expense \| Whittier Regional Assessment \| Essex North Tuition \| Board of Health Salaries \| Nurse Salary (If Article 1 is approved) \| Library Expense \| Worker's Compensation Insurance Expense \| Unemployment Expense \| Property-Liability Insurance Expense \| \| \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| Line # 4 \| Line # 32 \| Line # 37 \| Line # 50 \| Line # 52 \| Line # 60 \| Line # 62 \| Line # 68 \| Line # 74 \| Line # 75 \| Line # 80 \| \| \| \| \| \| \| \| \| \| \| Recommendations \| Capital Planning \| N/A \| - \| N/A \| N/A \| N/A \| N/A \| N/A \| N/A \| N/A \| N/A \| N/A \| N/A \| N/A \| N/A \| N/A \| N/A \| Yes 5 - 0 \| N/A \| N/A \| N/A \| N/A \| N/A \| \| \| Finance Committee \| N/A \| - \| Yes 5 - 0 \| Yes 5 - 0 \| Yes 5 - 0 \| Yes 5 - 0 \| Yes 5 - 0 \| N/A \| N/A \| Yes 5 - 0 \| Yes 5 - 0 \| Yes 5 - 0 \| Yes 5 - 0 \| Yes 5 - 0 \| Yes 5 - 0 \| Yes 5 - 0 \| Yes 5 - 0 \| Yes 5 - 0 \| N/A \| N/A \| N/A \| N/A \| \| \| Selectmen \| N/A \| - \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| N/A \| N/A \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| Yes 2 - 0 \| \| Art. # \| \| 1 \| 2 \| \| \| \| \| \| \| \| \| \| \| \| 3 \| 4 \| 5 \| 6 \| 7 \| 8 \| 9 \| 10 \| 11 \| \| Town Vote \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Town of Merrimac Warrant Articles Special Town Meeting, October 19, 2020 Essex, ss. To one of the Constables of the Town of Merrimac: GREETINGS, In the name of the Commonwealth of Massachusetts, you are hereby required to notify and warn the voters of the Town of Merrimac to meet in the Whittier Regional Vocational Technical High School Cafeteria, 115 Amesbury Line Rd., Haverhill, MA 01830 on October 19, 2020 at 7:30 PM to act on the following articles, namely: Article 1: To see if the Town will vote to reinstate the Town Nurse's hours to 19 ½ hours per week and reinstate her hourly rate to $31.00 per hour. Rationale: This is being requested by a citizen's petition. The Finance Committee and the Board of Selectmen recommended reducing the hours of the Town nurse from 19 ½ per week to 5 hours per week at the Annual Town Meeting. Town Meeting approved this recommendation. The hourly rate was not changed; it is $31.03 per hour. Article 2: To see if the Town will vote to reduce the amount raised and appropriated in Article 1 of the June 15, 2020 Annual Town Meeting by the sum of $35,172 and amend the following lines by the amounts listed below: Line # 4 – Capital Planning Expense $ 184 ; or take any other action relative thereto. Rationale: This article will amend the line items above to account for, adjustments to salary lines, adjustments to town utility charges, adjustment to municipal building expense, adjustments insurance and unemployment lines in order to present a balanced budget. Capital Planning Expense and Library Expense increases are due to errors at the ATM. Nurse Salary is contingent upon Article 1 being approved. Per the request of the Board of Selectmen. Selectmen Recommendation: FinCom Recommendation: 5 – 0, Except N/A on #60 and #62 2 – 0, Except N/A on #60 and #62 Article 3: To see if the Town will vote to reduce the amount raised and appropriated in Article 2 of the June 15, 2020 Annual Town Meeting, operate the Wastewater Department Enterprise for FY2021, by the sum of $55,000; or take any other action relative hereto. Salaries: ($ 5,000) Expenses: ($ 50,000) Total ($ 55,000) Rationale: This article reduces the budget to reflect actual revenue collection in FY2020. FY2020 revenues were less than anticipated due to Covid restrictions on the revenue collection. Per the request of the DPW Director. Selectmen Recommendation: Yes 2 - 0 FinCom Recommendation: Yes 5 - 0 Article 4: To see if the Town will vote to reduce the amount raised and appropriated in Article 3 of the June 15, 2020 Annual Town Meeting, operate the Water Department Enterprise for FY2021, by the sum of $30,000; or take any other action relative hereto. Salaries: ($ 30,000) Total ($ 30,000) Rationale: This article reduces the budget to reflect actual revenue collection in FY2020. FY2020 revenues were less than anticipated due to Covid restrictions on the revenue collection. Per the request of the DPW Director. Yes 5 - 0 Selectmen Recommendation: FinCom Recommendation: Yes 2 - 0; Article 5. To see if the Town will vote to increase the amount raise and appropriated in Article 9 of the June 15, 2020 Annual Town Meeting, for Solid Waste Collection and Disposal, Recycling Collection, by the sum of $15,000 or take any other action relative hereto. Rationale: This article increases the funds necessary for the collection and disposal of solid waste, recycling based upon actual costs in FY2020. The cost of recycling continues to increase due to the unfavorable recycling market. FinCom Recommendation: Selectmen Recommendation: Yes 2 - 0 Yes 5 - 0 Article 6: To see if the Town will vote to appropriate $19,878 from the Capital Stabilization Fund for the required town contribution for the Green Communities Grant of $200,000 for energy repairs to the Fire Station and COA buildings; or take any other action relative thereto. Rationale: The Town was awarded a $200,000 grant to make energy repairs to the Fire Department and the COA Buildings. The grant requires a Town match of $19,878 in order to receive the grant. Per the request of the Board of Selectmen. FinCom Recommendation: Yes 5 – 0 Capital Planning Recommendation: Yes 5 - 0 Selectmen Recommendation: Yes 2 - 0 2/3 Vote Required Article 7: To see if the Town will vote to transfer the balance of $24,845.60 from Article 1(d) for the Special Town Meeting on April 30, 2018, Engineering on Bear Hill Road Culvert to General Culvert Repairs Town wide; or take any other action relative thereto. Rationale: The Town has multiple culverts which have failed or are in the process of failing. The initial article has helped us get to the point of a shovel-ready project for Bear Hill, and continues to help us through the grant application process for replacement of such culvert. We have also received grant funding for the Mill Street culvert engineering, and want to ensure the remaining funds in the article can be used to help us reach the goal of repair/replacement town-wide for any and all future culvert needs the Town may face. Per the request of the DPW Director. FinCom Recommendation: Selectmen Recommendation: Yes 2 - 0 Yes 5 – 0 Article 8: To see if the Town will vote to amend the Town of Merrimac General By-laws Section 6.5.11 by adding the following sentence; A fee of $150 be imposed for a violation of this section. ; or take any other action relative thereto. Rationale: This article will allow the town to collect handicapped parking fines in a separate account to be used by the Commission on Disabilities for ADA projects approved by the Board of Selectmen. The current fine is $10. Massachusetts General Law Chapter 40, Section 22A states that handicapped parking fines shall contain a penalty of not less than $100 nor more than $300. The Commission on Disabilities is asking the penalty be set at $150. Requested by the Merrimac Commission on Disabilities. Selectmen Recommendation: Yes 2 - 0 Article 9: To see if the Town will vote to authorize the Board of Selectmen to release and discharge the easement granted to the Town by instrument recorded the Essex South District Registry of Deeds in Book 6000, Page 404; or take any other action relative hereto. Rationale: The homeowners of Merri Hill Tree Farm requested the easement on their property be released. The Board of Selectmen in consultation with the DPW Director agree that the access easement is no longer needed. Per the request of the Board of Selectmen. Selectmen Recommendation: Yes 2 - 0 Article 10: To see if the Town will vote to transfer from the tax custodian for tax title purposes to the Board of Selectmen for general municipal purposes and for the purpose of conveyance, the care, custody and control of the parcel of land located on Merrimac Avenue, identified by the Assessors as Parcel 98-1-847, and acquired by the Town by low value foreclosure recorded with the Essex South District Registry of Deeds in Book 3393, Page 394, and to authorize the Board of Selectmen to convey said parcel on such terms and conditions and for such consideration as the Board of Selectmen deems appropriate; or take any other action relative hereto. Rationale: This will allow for the sale of a parcel of land on Merrimac Ave to the abutter. Per the request of the Board of Selectmen. Selectmen Recommendation: Yes 2 - 0 2/3 Vote Required Article 17A: Reuse of Municipal Building or Remediated Hazardous Material Site 17A.2. Applicability. This bylaw shall apply to sites containing municipal buildings (or former municipal buildings) designated for reuse by the Town or at remediated sites that have formerly been found to contain hazardous materials as further detailed herein. 17A.1. Purpose. The purpose of the Reuse of Municipal Building or Remediated Hazardous Material Site bylaw is to provide for a range of multi-family affordable housing types in the Town of Merrimac through the reuse of existing municipal buildings or redevelopment of former hazardous material sites. 17A.3 Permit Granting Authority. The Planning Board shall be the special permit granting authority for applications made in accordance with this section and may grant a SPECIAL PERMIT for MULTI-FAMILY DWELLING qualifying as AFFORDABLE HOUSING for LOW- AND MODERATE INCOME HOUSEHOLDS, if at least 25% of the units meet the requirements of 760 CMR 56.00, in existing or former municipal buildings which have been designated for reuse or at remediated sites that have formerly been found to contain hazardous materials subject to EPA Brownfields and Land Revitalization Program or other similar program of the Commonwealth of Massachusetts. DWELLING UNITS may include one-, two-, or three-bedrooms. MUNICIPAL USE: A building shall be considered in municipal use if substantially all of that building was actively used for municipal purposes for at least ten (10) continuous years, and it is currently owned by the Town. Buildings associated with public parks and municipal cemeteries are excluded for purposes of this bylaw. 17A.4 Definitions. Terms used herein shall be as defined in the Zoning Bylaw, unless otherwise defined herein or in the event the context clearly means otherwise. HAZARDOUS MATERIAL: A hazardous material, as defined in MGL c.21E, includes but not limited to, any material, in whatever form, which, because of its quantity, concentration, chemical, corrosive, flammable, reactive, toxic, infectious or radioactive characteristics, either separately or in combination with any substance(s), constitutes a present or potential threat to human health, safety, welfare, or to the environment, when improperly stored, treated, transported, disposed of, used, or otherwise managed. The term shall not include oil. The term shall also include all those substances which are included under 42 USC Sec. 9601(14), but it is not limited to those substances. 17A.5 Pre-Submission Meeting. All applicants seeking a SPECIAL PERMIT under Section 17A shall schedule a presubmission meeting with the Planning Board to review the scope of the project and the LOT for which it is proposed. Whenever possible, the Planning Board shall include other Town boards in the pre-submission meeting. Additional pre-submission meetings may be held by mutual agreement of the Planning Board and the applicant. REMEDIATED HAZARDOUS MATERIAL SITE: A LOT that has been subject to regulated clean up efforts to remove or mitigate the release of Hazardous Materials to a level at which the land can be re-developed for economically viable uses not otherwise prohibited by law. 17A.6. Reuse of Buildings in Municipal Use. 17A.6.1.1. There shall be no minimum LOT AREA per DWELLING UNIT requirement for the building for which the SPECIAL PERMIT is issued. 17A.6.1. Dimensional Regulations for existing or former Buildings in Municipal Use. 17A.6.1.2. The Planning Board may, in issuing a SPECIAL PERMIT hereunder, allow structural extensions and alterations to existing or former nonconforming municipal buildings where the Board finds that: (1) the changes are necessary for purposes of public health and safety, access for disabled persons, utilities, mechanical equipment or code compliance concerns and (2) the extensions and alterations shall not be substantially more detrimental than the existing nonconformity to the neighborhood. 17A.7 Redevelopment of Remediated Hazardous Material Site. 17A.6.2. Any portion of the LOT on which the municipal building is or formerly was located not dedicated to the development of AFFORDABLE HOUSING, including associated yard areas, parking and circulation must be used in its entirety for other municipal purposes. This requirement shall not prevent the LOT from being divided so as to create separate LOTS, each containing a MULTIFAMILY DWELLING and a municipal purpose. 17A.7.1. Dimensional Regulations. 17A.7.1.2. Dimensional regulations for LOT AREA, FRONTAGE, LOT COVERAGE, and setbacks shall be as specified for the ZONING DISTRICT in which the LOT is located. As part of a SPECIAL PERMIT granted under this section, the Planning Board may vary those requirements. 17A.7.1.1. Maximum number of units: Up to 24 units per acre at the discretion of the Planning Board. Remediation costs and potential net profits, neighborhood, zoning district and other land use factors, such as capacity of existing utilities, shall be given consideration. The applicant is not entitled to 24 units per acre and the Planning Board's determination shall be conclusive. 17A.7.1.3. Maximum Building Height (Feet): 40 feet with consideration given to the ZONING DISTRICT. 17A.8. New Road Construction. 17A.7.1.4. Maximum Building Height (Stories): 3 stories with consideration given to the ZONING DISTRICT. Any new roads that serve affordable housing developments under section 17A shall be constructed in accordance with the standards of the Subdivision Rules and Regulations of the Town with the exception of width, which shall be determined by the Planning Board. Inspection of the roads during construction shall be in accordance with the procedures contained in the Subdivision Rules and Regulations and the inspection process shall be administered by the Planning Board. Such procedure shall include the payment of any fees or deposits for the inspections as required by the Subdivision Rules and Regulations at the time of site plan submittal. 17A.9. Parking. OFF-STREET PARKING shall be provided in accordance with Article 20 of this bylaw. As part of a SPECIAL PERMIT granted under this section, the Planning Board may vary those requirements. 17A.10. Signs. SIGNS shall be permitted in accordance with Article 21 of this bylaw. 17A.11.1. Consistency with the Merrimac Master Plan. 17A.11. Special Permit Criteria. The Planning Board may grant a SPECIAL PERMIT for reuse of Buildings in Municipal Use or Redevelopment of Remediated Hazardous Material Site upon finding that the proposed use is in harmony with the general purpose and intent of this section 17A. In making its decision, the Planning Board shall consider the following criteria: 17A.11.2. Consistency with special regulations that apply to the proposed use. 17A.11.4. The degree to which the proposed use, viewed in its entirety, is of superior design and provides more environmental, social, and/or fiscal benefits to the Town than an alternative use permitted as of right. 17A.11.3. Protection of adjoining LOTS against detrimental or offensive uses on the site, including, but not limited to, landscaping, visual buffers, amenities provided for residents or the public. 17A.11.5. Adequacy of space for vehicular access to the site and off-street parking and loading/unloading on the site. 17A.11.7. 17A.11.6. Adequacy of water supplies and distribution for domestic use fire protection. 17A.11.7.1. Adequacy of the methods of: regulations of the Sewer Commission, where applicable. Connection to the Disposal of sanitary sewage, as determined by the Board of Health or municipal sewer system is required for property located in a designated sewer 17A.11.7.2. service area. permitted on the site. Storage and disposal of refuse and solid wastes resulting from the uses 17A.11.7.3. Drainage and retention of surface water. ; or take any other action relative thereto. 17A.12. Site Plan Review. The site plan requirements of Article 19 of this Bylaw shall apply to section. SITE PLAN REVIEW shall be conducted concurrently with the SPECIAL PERMIT application, review, and determination procedures. Rationale: This article amends zoning to create a means to develop multi-family affordable housing that can serve as an alternative to the Comprehensive Special Permit process, commonly referred to as 40B. In very special circumstances, a developer will have the option to obtain a Special Permit under this new zoning bylaw rather than through the 40B process. This only applies to development of affordable housing that involves the reuse of municipal buildings or remediated hazardous material sites. By creating this zoning option it will give the Town more control over these developments than is the case with a 40B project while creating affordable housing units that qualify toward the state required 10%. Per the request of the Planning Board. Selectmen Recommendation: Yes 2 - 0 2/3 Vote Required REVENUE ESTIMATES Adopted EXPENDITURE ESTIMATES Departmental Fin Com 10/19/2020 Departmental Budget Adopted Requested FY2021 ARTICLE 1 OMNIBUS 2,435,822 1,053,366 $ 150,873 $ 664,101 $ 453,747 $ 10,669,385 $ 311,539 $ 91,130 $ 12,300 $ 600 $ 456,896 $ 292,886 $ 154,445 $ $ 1,334,836 $ 18,081,926 $ 106,572 $ 10,552 75,000 $ - $ - $ $ - $ 192,124 $ CURRENT YEAR SPECIAL ARTICLES 4,332,298 $ 418,970 $ 4,751,268 $ 522,000 $ 522,000 $ 23,547,318 $ (487,597) $ Requested TOWN OF MERRIMAC BUDGET SUMMARY Recommended Requested Fin Com Budget Recommended FY2021 1,039,373 $ 108,791 2,235,861 $ 626,684 $ 440,761 $ 10,634,568 $ 310,539 $ 63,058 $ 12,300 $ 600 $ 456,896 $ 292,886 $ 154,445 $ $ 1,249,836 $ 17,626,598 $ 106,572 $ 10,552 75,000 $ - $ - $ $ - $ 192,124 $ 4,305,852 $ 418,970 $ 4,724,822 $ 522,000 $ 522,000 $ 23,065,544 $ 0 $ 10/19/2020 Budget Requested FY2021 1,029,557 $ 108,791 2,237,661 $ 626,684 $ 440,761 $ 10,597,823 $ 313,640 $ 63,058 $ 12,300 $ 600 $ 592,372 $ 292,886 $ 18,969 $ $ 1,233,836 $ 17,568,938 $ 106,566 $ 9,920 75,000 $ - $ - $ $ - $ 191,486 $ 3,815,730 $ 418,970 $ 4,234,700 $ 522,000 $ 522,000 $ 22,517,124 $ 0 $ FY21 - Omnibus Budget \| FTM Requested Budget \| \| \| $ 200 \| $ - \| $ 60,286 \| $ 24,600 \| $ - \| $ 184 \| $ - \| $ 1,000 \| $ 800 \| $ - \| $ 40,000 \| $ - \| $ 365,399 \| $ 87,380 \| $ - \| $ 1,100 \| $ - \| $ 50,000 \| $ - \| $ 7,488 \| $ 27,390 \| $ - \| $ 2,860 \| $ - \| $ 70,920 \| $ 6,050 \| $ - \| $ 9,075 \| $ 14,430 \| $ - \| $ 250 \| $ 2,045 \| $ - \| $ 150 \| $ 395 \| $ - \| $ 15,776 \| $ 1,519 \| $ - \| $ 630 \| $ - \| $ 7,486 \| $ 2,150 \| $ - \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| FTM Requested Changes \| \| \| \| \| \| \| \| $ 184 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| ATM Approved Budget 6/15/2020 \| \| \| $ 200 \| \| $ 60,286 \| $ 24,600 \| \| $ - \| \| $ 1,000 \| $ 800 \| \| $ 40,000 \| \| $ 365,399 \| $ 87,380 \| \| $ 1,100 \| \| $ 50,000 \| \| $ 7,488 \| $ 27,390 \| \| $ 2,860 \| \| $ 70,920 \| $ 6,050 \| \| $ 9,075 \| $ 14,430 \| \| $ 250 \| $ 2,045 \| \| $ 150 \| $ 395 \| \| $ 15,776 \| $ 1,519 \| \| $ 630 \| \| $ 7,486 \| $ 2,150 \| \| \| Fin Com Changes \| \| \| $ - \| \| $ - \| $ - \| \| \| \| $ - \| $ - \| \| $ - \| \| $ (7,655) \| $ - \| \| $ - \| \| $ - \| \| $ - \| $ - \| \| $ - \| \| $ (5,320) \| $ (1,480) \| \| $ - \| $ (1,200) \| \| $ - \| $ - \| \| $ - \| $ - \| \| $ - \| $ - \| \| $ - \| \| $ - \| $ - \| \| \| Dept. Requested Budget \| \| \| $ 200 \| \| $ 60,286 \| $ 24,600 \| \| $ 184 \| \| $ 1,000 \| $ 800 \| \| $ 40,000 \| \| $ 371,208 \| $ 87,380 \| \| $ 1,100 \| \| $ 50,000 \| \| $ 7,488 \| $ 27,390 \| \| $ 2,860 \| \| $ 76,240 \| $ 7,530 \| \| $ 9,075 \| $ 15,630 \| \| $ 250 \| $ 2,045 \| \| $ 150 \| $ 395 \| \| $ 15,776 \| $ 1,519 \| \| $ 630 \| \| $ 7,486 \| $ 2,150 \| \| \| FY20 Budgeted \| \| \| $ 200 \| \| $ 56,702 \| $ 24,110 \| \| $ 184 \| \| $ 1,000 \| $ 584 \| \| $ 40,000 \| \| $ 341,799 \| $ 74,253 \| \| $ 1,100 \| \| $ 50,000 \| \| $ 7,292 \| $ 14,451 \| \| $ 2,672 \| \| $ 68,827 \| $ 4,855 \| \| $ 1,250 \| $ 3,850 \| \| $ 250 \| $ 2,045 \| \| $ 150 \| $ 395 \| \| $ 15,256 \| $ 1,209 \| \| $ 630 \| \| $ 7,267 \| $ 2,150 \| \| \| FY19 Actuals \| \| \| $ - \| \| $ 52,421 \| $ 22,848 \| \| $ 100 \| \| $ 800 \| $ 500 \| \| $ - \| \| $ 319,591 \| $ 58,021 \| \| $ 830 \| \| $ 33,944 \| \| $ 1,360 \| $ 15,050 \| \| $ 2,322 \| \| $ 58,397 \| $ 3,677 \| \| $ 6,328 \| $ 8,953 \| \| $ 250 \| $ 2,026 \| \| $ 150 \| $ 395 \| \| $ 14,918 \| $ 786 \| \| $ 525 \| \| $ 5,383 \| $ 1,493 \| \| \| FY18 Actuals \| \| \| $ - \| \| $ 46,677 \| $ 21,340 \| \| $ 50 \| \| $ 800 \| $ 500 \| \| $ - \| \| $ 301,971 \| $ 56,607 \| \| $ 941 \| \| $ 36,938 \| \| $ 1,333 \| $ 15,475 \| \| $ 2,043 \| \| $ 52,545 \| $ 1,564 \| \| $ 1,375 \| $ 6,618 \| \| $ 250 \| $ 2,045 \| \| $ 150 \| $ - \| \| $ 14,584 \| $ 700 \| \| $ 380 \| \| $ 5,839 \| $ 1,478 \| \| \| FY17 Actuals \| \| \| $ - \| \| $ 41,888 \| $ 19,837 \| \| $ 70 \| \| $ - \| $ 496 \| \| $ - \| \| $ 291,154 \| $ 59,984 \| \| $ 894 \| \| $ 33,659 \| \| $ 1,300 \| $ 14,488 \| \| $ 1,661 \| \| $ 43,942 \| $ 870 \| \| $ 6,764 \| $ 12,627 \| \| $ 250 \| $ 2,127 \| \| $ 150 \| $ - \| \| $ 13,764 \| $ 800 \| \| $ 263 \| \| $ 5,420 \| $ 1,258 \| \| \| Account Description \| General Government \| Town Moderator \| Total Town Moderator Expenditures: \| Board of Selectmen \| Total Salaries and Wages: \| Total Other Expenditures: \| Capital Planning \| Total Capital Planning Expenditures: \| Finance Committee \| Total Salaries and Wages: \| Total Other Expenditures: \| Reserve Fund \| Total Reserve Fund Expenditures: \| Finance Administration \| Total Salaries and Wages: \| Total Other Expenditures: \| Bond Town Officers \| Total Bond Town Officers Expenditures: \| Town Counsel-Legal \| Total Town Counsel-Legal Expenditures: \| Town Hall IT \| Total Salaries and Wages: \| Total Other Expenditures: \| Census Takers \| Total Other Expenditures: \| Town Clerk \| Total Salaries and Wages: \| Total Other Expenditures: \| Elections \| Total Salaries and Wages: \| Total Other Expenditures: \| Registrars \| Total Salaries and Wages: \| Total Other Expenditures: \| Vital Statistics \| Total Salaries and Wages: \| Total Other Expenditures: \| Conservation Commission \| Total Salaries and Wages: \| Total Other Expenditures: \| Open Space Committee \| Total Open Space Committee Expeditures: \| Planning Board \| Total Salaries and Wages: \| Total Other Expenditures: \| Appeals Board \| \| \| Line # \| \| 1 \| \| 2 \| 3 \| \| 4 \| \| 5 \| 6 \| \| 7 \| \| 8 \| 9 \| \| 10 \| \| 11 \| \| 12 \| 13 \| \| 14 \| \| 15 \| 16 \| \| 17 \| 18 \| \| 19 \| 20 \| \| 21 \| 22 \| \| 23 \| 24 \| \| 25 \| \| 26 \| 27 \| \| FTM Changes Requested 184 $ FTM Budget Requested 200 $ 60,286 - $ 24,600 $ - $ 184 $ - $ 1,000 $ 800 $ - $ 40,000 $ - $ 365,399 $ 87,380 $ - $ 1,100 $ - $ 50,000 $ - $ 7,488 $ 27,390 $ - $ 2,860 $ - $ 70,920 $ 6,050 $ - $ 9,075 $ 14,430 $ - $ 250 $ 2,045 $ - $ 150 $ 395 $ - $ 15,776 $ 1,519 $ - $ 630 $ - $ 7,486 $ 2,150 $ $ - $ $ Change from FY20 - $ 3,584 - $ 490 $ - $ - $ - $ - $ 216 $ - $ - $ - $ 23,600 $ 13,127 $ - $ - $ - $ - $ - $ 196 $ 12,939 $ - $ 188 $ - $ 2,093 $ 1,195 $ - $ 7,825 $ 10,580 $ - $ - $ - $ - $ - $ - $ - $ 520 $ 310 $ - $ - $ - $ 219 $ - $ $ - $ % Change From FY20 0.00% 6.32% 2.03% 0.00% 0.00% 36.99% 0.00% 6.90% 17.68% 0.00% 0.00% 2.69% 89.54% 7.04% 3.04% 24.61% 626.00% 274.81% 0.00% 0.00% 0.00% 0.00% 3.41% 25.64% 0.00% 3.01% 0.00% FY21 - Omnibus Budget \| FTM Requested Budget \| $ 4,991 \| $ 425 \| $ - \| $ 2,503 \| $ - \| $ 200 \| $ - \| $ 221,375 \| $ - \| $ 500 \| $ 1,029,557 \| \| \| $ 1,187,418 \| $ 139,628 \| \| $ 483,363 \| $ 130,919 \| \| $ 100,158 \| $ 54,965 \| \| $ 74,749 \| $ 9,470 \| \| $ 1,916 \| $ 250 \| \| $ 17,264 \| $ 13,641 \| \| $ 19,574 \| $ 2,500 \| \| $ 1,386 \| $ 460 \| $ 2,237,661 \| \| $ 852,389 \| $ 9,563,633 \| $ 181,801 \| $ 10,597,823 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| FTM Requested Changes \| \| \| \| \| \| \| \| $ (10,000) \| \| \| $ (9,816) \| \| \| \| \| \| \| $ 1,800 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| $ 1,800 \| \| $ (31,745) \| \| $ (5,000) \| $ (36,745) \| \| \| ATM Approved Budget 6/15/2020 \| $ 4,991 \| $ 425 \| $ - \| $ 2,503 \| \| $ 200 \| \| $ 231,375 \| \| $ 500 \| $ 1,039,373 \| \| \| $ 1,187,418 \| $ 139,628 \| \| $ 483,363 \| $ 129,119 \| \| $ 100,158 \| $ 54,965 \| \| $ 74,749 \| $ 9,470 \| \| $ 1,916 \| $ 250 \| \| $ 17,264 \| $ 13,641 \| \| $ 19,574 \| $ 2,500 \| \| $ 1,386 \| $ 460 \| $ 2,235,861 \| \| $ 884,134 \| $ 9,563,633 \| $ 186,801 \| $ 10,634,568 \| \| \| Fin Com Changes \| $ - \| $ - \| \| $ - \| \| $ - \| \| $ - \| \| $ - \| $ (15,655) \| \| \| $ (150,819) \| $ (7,000) \| \| $ (29,000) \| $ (7,142) \| \| $ - \| $ (5,000) \| \| $ - \| $ - \| \| $ - \| \| \| \| $ (1,000) \| \| $ - \| $ - \| \| $ - \| $ - \| $ (199,961) \| \| $ (34,817) \| $ - \| $ - \| $ (34,817) \| \| \| Dept. Requested Budget \| $ 4,991 \| $ 425 \| \| $ 2,503 \| \| $ 200 \| \| $ 231,375 \| \| $ 500 \| $ 1,053,366 \| \| \| $ 1,338,237 \| $ 146,628 \| \| $ 512,363 \| $ 136,261 \| \| $ 100,158 \| $ 59,965 \| \| $ 74,749 \| $ 9,470 \| \| $ 1,916 \| $ 250 \| \| $ 17,264 \| $ 14,641 \| \| $ 19,574 \| $ 2,500 \| \| $ 1,386 \| $ 460 \| $ 2,435,822 \| \| $ 918,951 \| $ 9,563,633 \| $ 186,801 \| $ 10,669,385 \| \| \| FY20 Budgeted \| $ 4,845 \| $ 425 \| \| $ 2,430 \| \| $ 200 \| \| $ 194,975 \| \| $ 500 \| $ 925,853 \| \| \| $ 1,154,056 \| $ 115,481 \| \| $ 361,481 \| $ 119,856 \| \| $ 217,629 \| $ 50,315 \| \| $ 72,320 \| $ 9,470 \| \| $ 1,860 \| $ 250 \| \| $ 16,622 \| $ 12,641 \| \| $ 19,122 \| $ 2,500 \| \| $ 1,346 \| $ 460 \| $ 2,155,411 \| \| $ 998,951 \| $ 8,341,413 \| $ 181,360 \| $ 9,521,724 \| \| \| FY19 Actuals \| $ 4,750 \| $ 167 \| \| $ 2,370 \| \| $ - \| \| $ 161,002 \| \| $ 450 \| $ 779,805 \| \| \| $ 1,079,970 \| $ 110,319 \| \| $ 251,050 \| $ 139,224 \| \| $ 121,665 \| $ 38,279 \| \| $ 72,630 \| $ 5,072 \| \| $ 1,824 \| $ - \| \| $ 16,142 \| $ 9,214 \| \| $ 16,635 \| $ 2,506 \| \| $ 1,320 \| $ 104 \| $ 1,865,954 \| \| $ 991,730 \| $ 8,061,541 \| $ 138,792 \| $ 9,192,063 \| \| \| FY18 Actuals \| $ 4,462 \| $ 341 \| \| $ 2,312 \| \| $ 20 \| \| $ 176,708 \| \| $ 412 \| $ 756,459 \| \| \| $ 1,011,034 \| $ 127,470 \| \| $ 310,208 \| $ 85,549 \| \| $ 119,812 \| $ 40,576 \| \| $ 76,626 \| $ 7,104 \| \| $ 1,788 \| $ - \| \| $ 15,904 \| $ 7,662 \| \| $ 16,806 \| $ 1,866 \| \| $ 1,296 \| $ 88 \| $ 1,823,788 \| \| $ 904,825 \| $ 7,851,760 \| $ 120,435 \| $ 8,877,020 \| \| \| FY17 Actuals \| $ 4,067 \| $ 277 \| \| $ 2,256 \| \| $ - \| \| $ 155,623 \| \| $ - \| $ 715,887 \| \| \| $ 941,697 \| $ 100,402 \| \| $ 305,134 \| $ 92,963 \| \| $ 116,153 \| $ 36,434 \| \| $ 65,136 \| $ 5,491 \| \| $ 1,740 \| $ 119 \| \| $ 15,677 \| $ 8,713 \| \| $ 17,269 \| $ 2,437 \| \| $ 1,260 \| $ 85 \| $ 1,710,710 \| \| $ 916,605 \| $ 7,501,877 \| $ 96,442 \| $ 8,514,924 \| \| \| Account Description \| Total Salaries and Wages: \| Total Other Expenditures: \| Merrimack Valley Planng Comm \| Total MVPC Expenditures: \| Rent Control \| Total Rent Control Expenditures: \| Public Building \| Total Public Building Expenditures: \| Town Report \| Total Town Report Expenditues: \| Total General Government: \| Public Safety \| Police \| Total Salaries and Wages: \| Total Other Expenditures: \| Fire \| Total Salaries and Wages: \| Total Other Expenditures: \| Ambulance \| Total Salaries and Wages: \| Total Other Expenditures: \| Inspectional Services \| Total Salaries and Wages: \| Total Other Expenditures: \| Sealer of Weights and Measures \| Total Salaries and Wages: \| Total Other Expenditures: \| Emergency Management \| Total Salaries and Wages: \| Total Other Expenditures: \| Animal Control \| Total Salaries and Wages: \| Total Other Expenditures: \| Parking Clerk \| Total Salaries and Wages: \| Total Other Expenditures: \| Total Public Safety: \| Public Education \| Total Whittier Regional Voc-Tech H S: \| Total Pentucket Regional School Dist: \| Total Essex-North Shore: \| Total Public Education: \| Highway \| \| \| 28 \| 29 \| \| 30 \| \| 31 \| \| 32 \| \| 33 \| \| \| \| 34 \| 35 \| \| 36 \| 37 \| \| 38 \| 39 \| \| 40 \| 41 \| \| 42 \| 43 \| \| 44 \| 45 \| \| 46 \| 47 \| \| 48 \| 49 \| \| \| 50 \| 51 \| 52 \| \| \| FTM Changes Requested (10,000) $ (9,816) $ $ 1,800 1,800 $ (31,745) $ (5,000) $ (36,745) $ FTM Budget Requested 4,991 $ - 425 $ 2,503 $ - $ 200 $ - $ 221,375 $ - $ 500 $ $ 1,029,557 $ 1,187,418 $ 139,628 $ 483,363 $ 130,919 $ 100,158 $ 54,965 $ 74,749 $ 9,470 $ 1,916 $ 250 $ 17,264 $ 13,641 $ 19,574 $ 2,500 $ 1,386 $ 2,237,661 460 $ $ 852,389 $ 181,801 $ 9,563,633 $ 10,597,823 $ 415,434 $ $ Change from 146 FY20 - $ - $ 73 $ - $ - $ - $ 26,400 $ - $ - $ $ 103,704 $ 33,362 $ 24,147 $ 121,882 $ 11,063 $ (117,471) $ 4,650 $ 2,429 $ - $ 56 $ - $ 642 $ 1,000 $ 452 $ - $ 40 $ 82,250 - $ $ (146,562) $ 441 $ 1,222,220 $ 1,076,099 $ 24,028 $ % Change 3. 01% From FY20 0.00% 3.00% 0.00% 13.54% 0.00% 11.20% 2.89% 20.91% 33.72% 9.23% -53.98% 9.24% 3.36% 0.00% 3.01% 0.00% 3.86% 7.91% 2.36% 0.00% 2.97% 3.82% 0.00% -14.67% 0.24% 14.65% 11.30% 6.14% FY21 - Omnibus Budget \| FTM Requested Budget \| $ 81,250 \| $ 130,000 \| \| $ 12,300 \| \| $ 50,000 \| \| $ 53,908 \| $ 9,150 \| \| \| $ 46,287 \| $ 2,475 \| \| $ 8,100 \| $ 1,929 \| $ 58,791 \| \| \| $ 244,182 \| $ 33,874 \| $ - \| $ 162,705 \| $ 440,761 \| \| $ 206,707 \| $ 106,933 \| $ 600 \| \| $ 592,372 \| $ 311,855 \| \| $ (54,500) \| $ 632,436 \| $ 56,000 \| $ 7,400 \| $ 360,000 \| $ 50,000 \| $ 3,500 \| $ 15,000 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| FTM Requested Changes \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| $ 3,101 \| \| \| \| \| \| \| \| $ (2,000) \| $ (4,000) \| \| \| \| \| \| ATM Approved Budget 6/15/2020 \| $ 81,250 \| $ 130,000 \| \| $ 12,300 \| \| $ 50,000 \| \| $ 53,908 \| $ 9,150 \| \| \| $ 46,287 \| $ 2,475 \| \| $ 8,100 \| $ 1,929 \| $ 58,791 \| \| \| $ 244,182 \| $ 33,874 \| \| $ 162,705 \| $ 440,761 \| \| $ 206,707 \| $ 103,832 \| $ 600 \| \| $ 592,372 \| $ 311,855 \| \| $ (54,500) \| $ 632,436 \| $ 58,000 \| $ 11,400 \| $ 360,000 \| $ 50,000 \| $ 3,500 \| $ 15,000 \| \| Fin Com Changes \| $ (5,900) \| $ (9,100) \| \| \| \| $ - \| \| $ (23,592) \| $ (4,480) \| \| \| $ (17,993) \| $ (600) \| \| $ (23,489) \| $ - \| $ (42,082) \| \| \| $ (5,411) \| $ (7,575) \| \| $ - \| $ (12,986) \| \| $ - \| $ (1,000) \| \| \| $ - \| \| \| \| \| $ (2,000) \| \| $ (85,000) \| \| \| \| \| Dept. Requested Budget \| $ 87,150 \| $ 139,100 \| \| $ 12,300 \| \| $ 50,000 \| \| $ 77,500 \| $ 13,630 \| \| \| $ 64,280 \| $ 3,075 \| \| $ 31,589 \| $ 1,929 \| $ 100,873 \| \| \| $ 249,593 \| $ 41,449 \| \| $ 162,705 \| $ 453,747 \| \| $ 206,707 \| $ 104,832 \| $ 600 \| \| $ 592,372 \| $ 311,855 \| \| $ (54,500) \| $ 632,436 \| $ 60,000 \| $ 11,400 \| $ 445,000 \| $ 50,000 \| $ 3,500 \| $ 15,000 \| \| FY20 Budgeted \| $ 78,750 \| $ 130,000 \| \| $ 12,300 \| \| $ 30,000 \| \| $ 51,700 \| $ 9,000 \| \| \| $ 56,795 \| $ 2,475 \| \| $ 30,788 \| $ 1,929 \| $ 91,989 \| \| \| $ 232,024 \| $ 31,824 \| \| $ 129,868 \| $ 393,716 \| \| $ 201,201 \| $ 98,485 \| $ 600 \| \| $ 451,715 \| $ 210,865 \| \| $ (53,800) \| $ 570,968 \| $ 50,000 \| $ 11,400 \| $ 346,500 \| $ 46,500 \| $ 3,500 \| $ 15,000 \| \| FY19 Actuals \| $ 63,519 \| $ 136,720 \| \| $ 12,245 \| \| $ 30,000 \| \| $ 50,065 \| $ 4,885 \| \| \| $ 50,904 \| $ 2,061 \| \| $ 29,954 \| $ 84 \| $ 83,002 \| \| \| $ 222,498 \| $ 28,839 \| \| $ 122,017 \| $ 373,354 \| \| $ 195,152 \| $ 94,771 \| $ 600 \| \| $ 448,903 \| $ 124,292 \| \| $ (48,132) \| $ 536,032 \| $ 48,000 \| $ 2,946 \| $ 324,083 \| $ 42,935 \| $ 2,814 \| $ - \| \| FY18 Actuals \| $ 58,111 \| $ 171,562 \| \| $ 5,624 \| \| $ 473,068 \| \| $ 46,904 \| $ 4,634 \| \| \| $ 38,447 \| $ 1,429 \| \| $ 29,365 \| $ 1,392 \| $ 70,633 \| \| \| $ 223,077 \| $ 28,973 \| \| $ 112,058 \| $ 364,108 \| \| $ 191,906 \| $ 93,769 \| $ 600 \| \| $ 504,631 \| $ 118,736 \| \| $ (45,396) \| $ 517,003 \| $ 42,293 \| $ 5,083 \| $ 306,004 \| $ 43,454 \| $ 3,008 \| \| \| FY17 Actuals \| $ 44,319 \| $ 151,051 \| \| $ 9,497 \| \| $ 30,000 \| \| $ 42,542 \| $ 3,720 \| \| \| $ 43,442 \| $ 1,964 \| \| $ 16,952 \| $ 982 \| $ 63,341 \| \| \| $ 205,967 \| $ 24,120 \| \| $ 98,698 \| $ 328,785 \| \| $ 186,773 \| $ 91,289 \| $ 600 \| \| $ 412,238 \| $ 94,745 \| \| $ (45,252) \| $ 474,044 \| $ 37,493 \| $ 4,385 \| $ 246,432 \| $ 37,754 \| $ 606 \| \| \| Account Description \| Total Other Expenditures: \| Total Snow and Ice Expenditures: \| Parks and Recreation \| Total Other Expenditures: \| Solid Waste Disposal-Recycle-Landfill \| Total Other Expenditures: \| emetery \| Total Salaries and Wages: \| Total Other Expenditures: \| Health And Sanitation \| Board Of Health \| Total Salaries and Wages: \| Total Other Expenditures: \| Nursing Service \| Total Salaries and Wages: \| Total Other Expenditures: \| Total Health And Sanitation: \| Public Assistance \| Council On Aging \| Total Salaries and Wages: \| Total Other Expenditures: \| Veterans \| Total Other Expenditures: \| Total Public Assistance: \| Library \| Total Salaries and Wages: \| Total Other Expenditures: \| Total Other - Town Gardens Expenditures: \| Debt Service \| Total Principal: \| Total Interest: \| Unclassified \| Total Dept Benefit Reimb Offset: \| Total Retirement: \| Total Workers Comp Insurance: \| Unemployment: Total \| Total Health Insurance: \| Total Medicare: \| Total Life Insurance: \| Total Training Buyback Merit: \| \| \| \| \| \| \| \| \| C \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 54 \| 55 \| \| 56 \| \| 57 \| \| 58 \| 59 \| \| \| 60 \| 61 \| \| 62 \| 63 \| \| \| \| 64 \| 65 \| \| 66 \| \| \| 67 \| 68 \| 69 \| \| 70 \| 71 \| \| 72 \| 73 \| 74 \| 75 \| 76 \| 77 \| 78 \| 79 \| FTM Changes Requested 3,101 $ $ (2,000) (4,000) $ (10,000) $ FTM Budget Requested 81,250 $ 130,000 $ 12,300 $ 50,000 $ 53,908 $ 9,150 $ 46,287 $ 2,475 $ 8,100 $ 58,791 1,929 $ $ 244,182 $ - 33,874 $ 162,705 $ $ 440,761 $ 206,707 $ 106,933 $ 600 $ 592,372 $ 311,855 $ (54,500) $ 56,000 632,436 $ 7,400 $ 360,000 $ 50,000 $ 3,500 $ 15,000 $ $ 74,000 $ $ Change from 2,500 $ FY20 - $ - $ 20,000 $ 2,208 $ 150 $ (10,508) $ - $ (22,688) $ (33,198) - $ $ 12,158 $ 2,050 $ 32,837 $ 47,045 $ 5,506 $ 5,347 $ - $ 140,657 $ 100,990 $ (700) $ 8,000 61,468 $ - $ 13,500 $ 3,500 $ - $ - $ $ 10,000 $ % Change 3. 17% From FY20 0.00% 0.00% 66.67% 4.27% 1.67% -18.50% 0.00% -73.69% -36.09% 0.00% 5.24% 6.44% 25.28% 11.95% 2.74% 5.43% 0.00% 31.14% 47.89% 1.30% 16.00% 10.77% 0.00% 7.53% 3.90% 0.00% 13.51% 0.00% Account Description \| FTM Requested Budget \| $ 1,143,836 \| $ 90,000 \| $ 17,568,938 \| \|---\|---\|---\|---\| \| FTM Requested Changes \| $ (16,000) \| $ - \| $ (57,660) \| \| ATM Approved Budget 6/15/2020 \| $ 1,159,836 \| $ 90,000 \| $ 17,626,598 \| \| Fin Com Changes \| $ (85,000) \| \| $ (456,990) \| \| Dept. Requested Budget \| $ 1,244,836 \| $ 90,000 \| $ 18,081,926 \| \| FY20 Budgeted \| $ 1,064,068 \| $ 90,000 \| $ 15,908,783 \| \| FY19 Actuals \| $ 962,776 \| $ 256,797 \| $ 15,027,547 \| \| FY18 Actuals \| $ 926,648 \| $ 114,757 \| $ 14,929,409 \| \| FY17 Actuals \| $ 803,969 \| \| $ 13,524,455 \| \| Account Description \| Total Unclassified: \| Total OPEB: \| Total Expenditures: \| \| \| \| 81 \| \| FY17 Actuals 803,969 $ 13,524,455 $ FY18 Actuals 926,648 $ 114,757 $ 14,929,409 $ FY21 - Omnibus Budget Dept. FY19 Actuals Requested 962,776 $ 256,797 $ 15,027,547 $ 1,064,068 FY20 Budgeted $ 90,000 $ 15,908,783 $ 1,244,836 Budget $ 90,000 $ 18,081,926 $ Fin Com (85,000) Changes $ (456,990) $ ATM Budget Approved 6/15/2020 1,159,836 $ 90,000 $ 17,626,598 $ FTM Changes Requested (16,000) $ - $ (57,660) $ FTM Budget Requested 1,143,836 $ 90,000 $ 17,568,938 $ $ Change from 95,768 FY20 $ - $ 1,673,054 $ % Change 9.00% From FY20 0.00% 10.52%
Cahier 12-2011 Capital-Labor Substitution, Sructural Change and Growth Francisco ALVAREZ-CUADRADO and Ngo Van LONG Le Centre interuniversitaire de recherche en économie quantitative (CIREQ) regroupe des chercheurs dans les domaines de l'économétrie, la théorie de la décision, la macroéconomie et les marchés financiers, la microéconomie appliquée et l'économie expérimentale ainsi que l'économie de l'environnement et des ressources naturelles. Ils proviennent principalement des universités de Montréal, McGill et Concordia. Le CIREQ offre un milieu dynamique de recherche en économie quantitative grâce au grand nombre d'activités qu'il organise (séminaires, ateliers, colloques) et de collaborateurs qu'il reçoit chaque année. The Center for Interuniversity Research in Quantitative Economics (CIREQ) regroups researchers in the fields of econometrics, decision theory, macroeconomics and financial markets, applied microeconomics and experimental economics, and environmental and natural resources economics. They come mainly from the Université de Montréal, McGill University and Concordia University. CIREQ offers a dynamic environment of research in quantitative economics thanks to the large number of activities that it organizes (seminars, workshops, conferences) and to the visitors it receives every year. Cahier 12-2011 Capital-Labor Substitution, Sructural Change and Growth Francisco ALVAREZ-CUADRADO and Ngo Van LONG téléphone : (514) 343-6557 télécopieur : (514) 343-7221 email@example.com http://www.cireq.umontreal.ca Récents cahiers de recherche du CIREQ/CRDE Recent Working Papers of CIREQ/CRDE Si vous désirez obtenir des exemplaires des cahiers, vous pouvez les télécharger à partir de notre site Web http://www.cireq.umontreal.ca/publications.html If you wish to obtain copies of the working papers, you can download them directly from our Web site, http://www.cireq.umontreal.ca/publications.html 17-2010 Onatski, A., F.J. Ruge-Murcia, "Factor Analysis of a Large DSGE Model", septembre 2010, 61 pages 18-2010 Andersson, T., L. Ehlers, L.-G. Svensson, "Budget-Balance, Fairness and Minimal Manipulability", octobre 2010, 19 pages 19-2010 Ruge-Murcia, F.J., "Estimating Nonlinear DSGE Models by the Simulated Method of Moments", novembre 2010, 59 pages 20-2010 Bossert, W., K. 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Francisco Alvarez-Cuadrado CIREQ and Department of Economics, McGill University and Ngo Van Long CIREQ and Department of Economics, McGill University October 2011 Abstract There is a growing interest in multi-sector models that combine aggregate balanced growth, consistent with the well-known Kaldor facts, with systematic changes in the relative importance of each sector, consistent with the Kuznets facts. Although variations in the income elasticity of demand across goods played an important role in the initial attempts, recent models stress the role of supplyside factors in this process of structural change. Along these lines, Ngai and Pissarides (American Economic Review, 2008) focus in diﬀerential productivity growth across sectors while Acemoglu and Guerrieri (Journal of Political Economy, 2008) stress diﬀerences in factor proportions and capital deepening. We explore a general framework that encompasses, as special cases, these two supplyside mechanisms. Our model uncovers an additional driving force for structural change based on diﬀerences in the degree of capital-labor substitutability. When the ﬂexibility to combine capital and labor varies across intermediate goods and the ﬁnal sector is Cobb-Douglas, as the economy grows the fraction of capital (labor) allocated to the sector with high elasticity of substitution increases (decreases). We provide some casual evidence consistent with this new mechanism. JEL Classiﬁcation: O40, 041, O30 Key words: Capital-labor substitution, balanced growth, structural change 1 Introduction The theoretical literature on economic growth has been traditionally interested in models that exhibit a balanced growth path, a trajectory where the growth rate of output, the capital-output ratio, the return to capital, and the factor income shares are constant. It has become standard in this literature to impose restrictions on preferences and technology to be consistent with these Kaldor facts (Kaldor, 1963). Nonetheless behind this balanced process at the aggregate level there are systematic changes in the composition of output at a more disaggregated level, indicating a secular process of structural change. The seminal work of Clark (1940) and Kuznets (1966) already documented a facet of this structural transformation, particularly the continuous decrease in the share of agriculture in output and employment that accompanies long-run increases in income per capita. More recently, several authors (see for instance Kongsamut et al. 2001; Buera and Kaboski, 2011) drew attention to the increasing importance of the service sector. This second set of empirical regularities associated with the process of structural change has been dubbed by Kongsamut et al. (2001) as the Kuznets facts. The recent years have witnessed several attempts to develop multi-sector growth models that integrate both sets of regularities, the Kaldor and Kuznets facts. This literature, inspired by the early contributions of Baumol (1967) and Matsuyama (1992), has identiﬁed several channels behind this process of structural transformation that still deliver a balanced growth path. Attending to these channels, one can classify these attempts into two categories: preference-driven and technology-driven structural change. 1 In the ﬁrst category (see for instance Kongsamut et al. (2001) or Foellmi and Zweimüller (2008)), structural change is driven by diﬀerences in the income elasticity of demand across goods. 2 As capital accumulates and income rises these diﬀerences shift demand, and therefore resources and production, from goods with low demand elasticity, such as food or neccesities, to high demand elasticity goods, such as services or luxuries. In the second category, where technological diﬀerences across sectors play the dominant role, two alternative mechanisms have been identiﬁed. The ﬁrst mechanism, recently formalized by Ngai and Pissarides (2007), 1Most papers assume a closed economy framework. In this context, the interaction between preferences and technology determine sectoral allocations. In an open economy, given world prices, sectoral allocations are only determined by the supply side of the model. See Matsuyama (1992) and Ventura (1997) for models of structural change in an open economy and Alvarez-Cuadrado and Poschke (2011) for the relevance of the closed-economy assumption in the context of structural change out of agriculture. 2There is a large body of work that assumes non-homotheticity as a source for structural change. See for instance Echeverria (1997), Laitner (2000), Caselli and Coleman (2001), Gollin, Parente and Rogerson (2007), and Restuccia and Duarte (2010). hereafter NP, works through diﬀerences in the rates of TFP growth across sectors. The second mechanism, explored by Acemoglu and Guerrieri (2008), hereafter AG, places its emphasis on sectoral diﬀerences in factor proportions, i.e. the elasticity of output to capital is diﬀerent across sectors. Consequently, as sectoral levels of TFP diverge or capital accumulates, these diﬀerences generate a process of structural change and unbalanced growth at the disaggregate level that is still consistent with the Kaldor facts. 3 The main objective of this paper is to explore an additional source for technology-driven structural change consistent with balanced growth at the aggregate level: we focus on sectoral diﬀerences in the elasticity of substitution between capital and labor. Intuitively, if the degree of ﬂexibility to combine capital and labor varies across sectors, the secular change in the relative price of factors of production would lead to systematic changes in the sectoral composition of output. In this paper, we formalize this simple intuition. As we will demonstrate below, as the aggregate capital-labor ratio increases, the more ﬂexible sector (i.e., the sector with the higher elasticity of factor substitution) is in a better position to substitute away from the relatively more expensive input, labor, into the relatively cheaper one, capital, than the less ﬂexible one. As a result diﬀerences in the sectoral elasticity of substitution between capital and labor induce, in response to the secular increase in the aggregate capital stock, a process of structural reallocation of resources across sectors. Our exercise was initially motivated by the trends documented in the factor income shares at the sectoral and industry levels. Zuleta and Young (2010) construct the labor income shares for agriculture, manufactures and services between 1958 and 1996 using data from the US 35-KLEM database (Jorgenson, 2007). Over this period the labor income shares within the agricultural and manufacturing sectors fell by roughly 31 and 8 percentage points respectively, while the labor income share within the service sector increased by 2 percentage points. This process was accompanied by a decrease in the agricultural and manufacturing shares of value added in GDP of 3 and 9 percentage points respectively while the service sector's share of value added in GDP increased by more than 16 percentage points. 4 The above-mentioned trends in factor income shares at the sectoral level contrast with the relative constancy of their aggregate counterparts. 5 There is further evidence of 3Baumol (1967) suggests several mechanisms behind structural change, speciﬁcally "innovations, capital accumulation, and economies of large scale" (pg. 415). Recently, Buera and Kaboski (2011) developed a model where structural change results from diﬀerences in the scale of productive units across sectors. This is yet another source of technology-driven structural change. 4Zuleta and Young (2010) exclude construction, mineral industries and government enterprises from their calculations. 5This relative constancy of the aggregate labor income share over long intervals of time is consistent with its medium and high frequency variation documented for instance by Blanchard (1997), Caballero and these uneven patterns at an even ﬁner level of disaggregation. Figure 1 reproduces the labor income share for two selected US industries, chemicals and renting machinery and equipment, and for the aggregate economy. Not surprisingly, the same trends reported at the sectoral level are present at the industry level. The crucial role played by the elasticity of substitution for the evolution of the factor income shares suggests that this elasticity may also play an important role in the process of structural change. 6 We present a two-sector version of the Solow model, along the lines of Jensen (2003). Final output is produced using a CES aggregator that combines two intermediate inputs, which are themselves sectoral outputs produced under two diﬀerent CES production functions that use capital and labor. Under alternative parameter restrictions, we use this simple framework to capture the essence of the two diﬀerent supply-side mechanisms stressed in the previous literature and to uncover a new one. A ﬁrst case, along the lines of the AG model, arises when the elasticity of substitution in the production of ﬁnal output is less than one (i.e., the two intermediate inputs are not close substitutes) and sectoral outputs are produced using Cobb-Douglas technologies that diﬀer in terms of capital intensity. In this case, as capital accumulates the fractions of capital and labor allocated to the more labor-intensive sector increase. Intuitively, as capital accumulates, if the fraction of resources allocated to each sector were kept constant, then output in the more capital-intensive sector would grow faster. This imbalance would cause a sharp drop in the relative price of the output of the fast growing sector, shifting resources (labor and capital) into the production of the labor-intensive intermediate good. A second case, a version of the NP model, arises when the elasticity of substitution in the production of ﬁnal output is less than one and sectoral outputs are produced using identical Cobb-Douglas technologies up to sector-speciﬁc rates of TFP growth. For the sake of illustration let the rate of TFP growth in sector 2 be higher than that in sector 1. Then as the sectoral levels of TFP diverge, the fractions of capital and labor allocated to sector 1 must increase through time. Intuitively, since TFP growth is higher in sector 2, if the fractions of capital and labor allocated to each sector remained constant, output would grow faster in sector 2. Then its relative price would be falling more than proportionately, since both intermediate goods are strongly complementary in the production of ﬁnal output, a version of Baumol's cost disease. As a result, capital and labor must move into the technologically Hammour (1998) and Bentolila and Saint-Paul (2003). 6Recall that this elasticity was ﬁrst introduced by Hicks in his seminal work, The Theory of Wages (1932), to explore the distribution of income between factors in a growing economy. Pitchford (1960) was the ﬁrst to systematically analyze the relationship between the CES production function and the possibility of permanent growth in a neoclassical model of capital accumulation. laggard sector 1. 7 The third case, which illustrates our new mechanism, arises when the ﬁnal output is produced under the Cobb-Douglas technology, and the sectoral technologies are identical except for the sectoral elasticity of substitution between capital and labor. For expositional purposes, let the elasticity of substitution of sector 2 —the ﬂexible sector— exceed that of sector 1. In this case, as the aggregate capital-labor ratio increases, the fractions of capital and labor allocated to the ﬂexible sector move in opposite directions: the ﬂexible sector absorbs more capital and releases labor. Intuitively, as capital accumulates, the ratio of the wage rate to the rental rate increases and the ﬂexible sector will tend to substitute from the now more expensive input, labor, towards the relatively cheaper one, capital, at a higher rate than the less ﬂexible sector 1 is able to do. In the context of this simple framework, we characterize a balanced growth path consistent with the Kaldor facts. In contrast to the NP and AG models, where sectoral factor allocations become asymptotically trivial, in the unequal capital-labor substitution model the long run fractions of employment and capital remain positive in both sectors. These results, derived under a constant saving rate, readily extend to an optimal saving environment. Furthermore, it is worth noticing that the diﬀerences in the degree of factor substitution, although related to the diﬀerences in factor proportions stressed by the AG model, are clearly distinct, both conceptually and in terms of its implications as we have discussed in the previous paragraph. Conceptually, for a given factor price, factor proportions are determined by the interaction between the elasticity of substitution and the distributive parameter (the in the Cobb-Douglas technology). AG focus on the sectoral diﬀerences in this latter parameter, while our model stresses the diﬀerences in the former. Finally, the mechanism illustrated in this paper is related to that of Ventura (1997) and the recent literature on capital-skill complementarity initiated by Krusell, Ohanian, RiosRull and Violante (2000). Ventura (1997) presents a multi-country growth model where ﬁnal output is produced combining two intermediate goods, one of which is produced using only capital and while the other uses only labor. There is free trade in both intermediate goods, although international factor movements are not permitted. In this context, as a country accumulates capital, resources are moved from labor-intensive to capital-intensive uses, a process of structural change, while international trade converts this excess production of capital-intensive goods into labor-intensive ones. Krusell et al. (2000) present a neoclassical 7A similar, but opposite, reasoning applies when the elasticity of substitution of the ﬁnal sector exceeds unity, i.e. when sectoral outputs are close substitutes in the production of the ﬁnal output, in either the NP model or the AG model. growth model where the elasticity of substitution is higher between capital equipment and unskilled labor than between capital equipment and skilled labor. As a result, as capital accumulates the wage for skilled workers increases at a higher rate than that of unskilled ones. They use this diﬀerential response of wages to rationalize the increase in skill premium over the last 30 years of the past century. The paper is organized as follows. Section 2 sets out the basic model and explores the three cases we have just discussed. Section 3 presents the solution under optimal saving for the model with unequal sectoral capital-labor substitution. Section 4 provides suggestive evidence and explores some additional issues. The conclusions are summarized in section 5 while the Appendices include most of the proofs and some technical details. 2 A general model of structural change We model a closed economy where a unique ﬁnal good is produced under perfect competition by combining the output of two intermediate-good sectors, 1 and 2, according to a CES technology with elasticity of substitution ∈ [0 ∞): where ∈ (0 1) is the distributive share. 8 Both intermediate-good sectors use two inputs, labor, , and capital, . The labor force grows at a rate and capital depreciates at a rate . The aggregate resource constraint requires that the sum of consumption, , and investment, , be equal to output of the ﬁnal good. where the dot denotes the rate of change in a variable. Under the assumption that a ﬁxed fraction of output, , is saved and invested every period, equation (2) yields the following law of motion for the capital stock, The two (intermediate) goods are produced competitively according to 8When = 1, this equation becomes = 1 1 − 2 . where ∈ (0 1) ∈ [0 ∞) and are respectively the distributive share, the elasticity of substitution, and the levels of technology, employment, and capital for sector . 9 Both inputs are fully utilized: Technological progress in each sector is exogenous and exhibits a constant growth rate: 6 This general set up includes, as special cases, several of the mechanisms described in the theoretical literature on structural change. First, AG present a model of structural change (and non-balanced growth) driven by diﬀerences in factor proportions and capital deepening. The distinctive features of their model are recovered by setting = 1 1 = 2 = 1 and 1 6 = 2 . Second, NP present a model of structural change driven by diﬀerent sectoral TFP growth rates. Their model is recovered setting = 1 1 = 2 = 1 1 = 2 and 2 1 Third, a novel mechanism, based on diﬀerences in the degree of capital-labor substitutability across sectors, is identiﬁed under the following parametric restrictions: = 1 1 = 2 and 1 6 = 2 In the next section we will derive some previous results and present new ones. 2.1 Competitive solution Let us denote the rental rate, the wage rate, the prices of the intermediate goods and the price of the ﬁnal good by ≡ + , , 12 and respectively. 10 We solve for the demand functions for the intermediate goods under perfect competition by maximizing output (1) subject to the zero proﬁt condition 11 + 22 = . The ﬁrst order conditions for this problem, where is the Lagrange multiplier, are given by, 9Again, the possibility that = 1 is admitted, for one or for both sectors. 10We drop the time indicators when there is no risk of ambiguity. where = 1 These conditions imply the following demand functions, ﬁnal good price (that we normalize to one) and sectoral prices, that might be useful for future reference. Following AG we break the solution of our problem into two steps. First, given the vector of state variables at any point in time, (1,2), the allocation of factors across sectors is chosen to maximize ﬁnal output, (1). This is the static problem. Second, given factor allocations at each date, the time path of the capital stock follows the law of motion (3). The dynamic problem consists of examining the stability of this process. 2.2 The static problem At any point in time, the free mobility of capital and labor implies the equalization of the value of the marginal products of each factor The solution to the static problem amounts to the determinination of the sectoral allocations of capital and labor. It will prove useful to deﬁne the shares of capital and labor allocated to sector 1 as Combining (11), (12) and (13) we reach, 2.2.1 Case 1: The Acemoglu-Guerrieri model AG present a model of structural change driven by diﬀerences in factor proportions and capital deepening. We set 1 = 2 = 1 and assume sector 1 is more labor intensive, that is 2 1. These sectoral diﬀerences in the capital income shares are the distinctive feature of the AG model. Furthermore, for expositional purposes, we focus on the case where both intermediate inputs are close complements in the production of ﬁnal output, 1. For the moment, we restrict attention to the case where 1 = 2 = to abstract from the eﬀect of diﬀerences in TFP across sectors. Under these restrictions, equations (14) and (15) become where 1 1 1 (1 = − (1 ) − − 2 − − 2 ) - 1 (1 ) − 2 () 1 − 2 From equation (17) we get which shows that at each point in time the fraction of labor allocated to sector 1 is increasing in the fraction of capital allocated to that sector. Now we are in a position to evaluate how factor allocations change as the economy accumulates capital, i.e. as the aggregate capital labor-ratio increases. Proposition 1. Assume 1 = 2 = 12 1 and 1. The fractions of capital and labor allocated to the labor-intensive sector increase as the as the aggregate capital-labor ratio increases: The reverse is true when 1 Proof. See Appendix A¥ The intuition for this proposition is best understood by considering the eﬀects of capital deepening in the absence of sectoral reallocation. Suppose that when the economy-wide capital-labor ratio increases, the sectoral allocation vector () were kept unchanged, implying that the capital-labor ratio in each sector remained unchanged. Then the capitalintensive sector 2 would grow more than sector 1 because an equi-proportionate increase in capital raises the output of the capital-intensive sector by more. 11 Since sectoral outputs are close complements (substitutes) in the production of the ﬁnal good when 1 ( 1) the relative price would shift in favor of (against) the sector that grows by a smaller proportion, the labor-intensive sector. This change in relative price induces a larger (smaller) fraction of resources to be allocated to the labor-intensive sector 1. 2.2.2 Case 2: The Ngai-Pissarides model NP present a model of structural change driven by diﬀerences in sectoral rates of TFP growth. The basic features of their model are recovered by setting 1 = 2 = 1 and 2 = 1 = As before we focus on the case where 1 and assume the rate of growth of TFP is higher in sector 2, i.e. 2 1, so that 2 1 grows through time. 12 These diﬀerences in sectoral TFP growth rates are the distinctive feature of the NP model. Notice that under these restrictions equation (15) becomes, which implies that = hence capital-labor ratios are the same in both sectors, 11This is reminiscent of the Rybczinski Theorem in international trade theory. 12NP model an arbitrary number of sectors that produce a capital good and a variety of ﬁnal consumption goods. They deﬁne the instantaneous utility function as a constant elasticity aggregator of these consumption goods. In our framework, the constant elasticity aggregator is replaced by the production function for ﬁnal output, and our two intermediate inputs play the role of their diﬀerentiated varieties. As a result equation (14) becomes, Now we are in a position to evaluate how the fraction of capital (and labor) in the slow TFPgrowth sector, sector 1, changes in response to the diﬀerential productivity growth across sectors. Proposition 2. Assume 1 = 2 = 1, 2 = 1 = 2 1 ≥ 0 and 1. Then the fractions of capital and labor allocated to the technologically sluggish sector, sector 1, increase as its relative level of total factor productivity decreases, i.e. as sector 1's TFP falls relative to sector 2's TFP. The reverse is true when 1 Proof. The result is obtained by diﬀerentiating (21).¥ The intuition for this proposition is similar to the previous one. Suppose that when the relative TFP grows there were no sectoral reallocation, i.e., () were kept unchanged, implying that the capital-labor ratio in each sector remained unchanged. Then the high TFPgrowth sector 2 would expand its output relative to sector 1. Since the sectoral outputs are very complementary (substitutable) in the production of the ﬁnal good when 1 ( 1) the relative price of the good produced in the stagnant sector would increase more (less) than proportionally, inducing a larger (smaller) fraction of both capital and labor to be reallocated into that sector. Notice that, as in the AG model, the fractions of capital and labor allocated to a sector either increase or decrease, but within each sector, both move in the same direction. 2.2.3 Case 3: A model of unequal sectoral capital-labor substitution Now, we turn to explore whether sectoral diﬀerences in the degree of capital-labor substitutability could lie behind the patterns of sectoral reallocation. We impose the following restrictions. First we close the channels explored in the previous models by setting = 1. As it is clear from (19) and (22) when the production function for ﬁnal output is Cobb-Douglas neither capital deepening combined with diﬀerences in capital intensity nor diﬀerential TFP growth lead to any sectoral reallocation. Second, we set 2 = 1 = . Finally, the distinctive feature of this model is the sectoral diﬀerences in the elasticity of substitution between the two factors of production. For the sake of tractability we restrict sector 1 to be Cobb-Douglas and therefore we set 2 6= 1 = 1 Now equations (14) and (15) become, where Combining (23), (24) and (25) we reach, after some tedious manipulation, the following relationship between the shares of capital and labor in sector 1, (see Appendix C for a complete derivation). This is an important result that contrasts with those of the two previous models. Equation (26) shows that the fraction of labor in each sector is a decreasing function on the fraction of capital in that same sector. Furthermore since ≤ 1 and ≤ 1 equation (26) determines the following feasibility regions for the sectoral factor allocations, 13 Now we are in a position to evaluate how the fractions of capital and labor in the less ﬂexible sector respond to changes in the state variables. Proposition 3. Assume = 12 = 1 = and, for the sake of exposition, let sector 1 be the less ﬂexible sector, i.e. 2 1 = 1. Then the fraction of capital allocated to the less ﬂexible sector 1 falls (increases) as the economy's aggregate capital-labor ratio increases (TFP in Sector 2 increases), while its fraction of labor increases (falls). In particular, 13Similarly, using (17) and (20) one can determine the feasibility regions for the sectoral factor allocations in the AG and NP models respectively. In both cases these regions span the whole unit interval, including both end-points. where Notice that the inequality signs in (29)-(32) are reversed when sector 1 is the more ﬂexible one, i.e. 2 1 = 1. Proof. Combining (24) with (26) and taking logarithms we reach, The result is obtained diﬀerentiating (35) using (26).¥ Remarks on Proposition 3: (i) As → , () → 1 and hence () →∞. This implies that as → , both and → 0 . (ii) When the aggregate capital-labor ratio increases, both sectoral capital-labor ratios, 1 ≡ 11 and 2 ≡ 22, also increase. (See the Appendix C for a proof.) In order to understand the logic of Proposition 3 let us ﬁrst concentrate on the eﬀects of capital accumulation on the fractions of capital and labor allocated to each sector. As the economywide capital-labor ratio increases, the ratio of wage rate to rental rate increases. As a result, the more ﬂexible sector tends to substitute away from the now more expensive input, labor, towards the relatively cheaper one, capital, at a higher rate than the less ﬂexible sector 1 is able to do. Consequently the fraction of capital allocated to the more ﬂexible sector —sector 2— increases while its share on labor employment decreases. Given full employment, the converse is true for the less ﬂexible sector 1. Changes in TFP in the Cobb-Douglas sector, 1 leave the ratio of factor prices unchanged. In contrast, increases in 2, the level of TFP in the more ﬂexible sector, lower the price of eﬀective labor, and, as a result, the wage-rental ratio decreases. As before the more ﬂexible sector 2, taking advantage of this change in relative factor prices, moves into a more labor-intensive mode of production. The response of input allocations in the model with diﬀerential capital-labor substitutability contrasts with the responses in the previous two models. In both AG and NP, one of the sectors was either shedding both capital and labor, or absorbing both, while, in this model, each sector reduces its share of one of the factors while increases its share of the other. Finally, and again in contrast to the previous two models, notice that structural change takes place despite that the production function for the ﬁnal output is Cobb-Douglas, i.e. sectoral reallocations take place even when the expenditure shares on the intermediate goods remain constant. 2.3 The dynamic problem Now we turn to the characterization of the solution for the dynamic problem under our three alternative parameterizations. For added generality, we now allow the sectoral TFP growth rates to be diﬀerent in the AG model, similar to what we have assumed for the NP model. We assume that 2 1 ≥ 0. Under this restriction, sector 1 is the asymptotically dominant sector in terms of employment of both factors. This results from the fact that when 1 intermediate inputs are highly complementary in the production of ﬁnal output and therefore the slower-growing sector will determine the asymptotic growth rate of ﬁnal output. In all three models, we introduce the key variable, which is aggregate capital per head deﬂated by the TFP level of the technologically laggard sector. Then, using (3) we reach, While the dynamic equation (37) is common to all three models, we will see below that the expression for ()() diﬀers across models. 2.3.1 Case 1: Dynamics of the Acemoglu-Guerrieri model Recall that this case arises when 1 = 2 = 1 and 2 1. Again, for expositional purposes we will focus in the case where 1 and following our previous discussion we assume 2 1 ≥ 0 14 Proposition 4. Under the stated assumptions and given the initial conditions, (0) = 0 and (0) = 0, the solution to the dynamic problem satisﬁes the following system of diﬀerential equations, Proof. See Appendix A Let us deﬁne the following growth rates for the variables of interest (using an asterisk for their asymptotic, steady state, counterparts), We deﬁne a "constant growth path" (CGP) as a solution along which the aggregate capital-output ratio, , is constant. 15 Then we have the following characterization of the unique (non-trivial) CGP. Theorem 1. Under the stated assumptions, there exists a unique (non-trivial) CGP with 14 Notice that if 2 = 1 = then by normalization we can write 1 = 2 = , and using Proposition 1, we can treat (and hence ) as a function of We would then face a single ﬁrst order diﬀerential equation. In the derivations that follow we deal with the more general case where 2 1 ≥ 0 15Our deﬁnition is equivalent to that of AG and Kongsamut et al. (2001). The former paper requires a constant consumption growth rate in a model of endogenous saving. The latter deﬁnes a "generalized balanced growth path" as a trajectory along which the real interest rate is constant. the following properties, The steady state associated with this CGP is locally stable. Proof. See Appendix A¥ A couple of results require further comment. First, the two intermediate sectors grow at diﬀerent rates even along the CGP if 2 6= 1. In this sense growth is non-balanced. This unbalanced growth arises from the diﬀerential TFP growth rates across sectors. Notice that if both sectoral TFP grew at the same rate, 1 = 2 = , then the steady state sectoral per capita growth rates would coincide with the exogenous rate of TFP growth, 16 Second, although the fractions of inputs in the asymptotically dominant sector 1, and tend in the limit to one, sector 2 grows faster than the rest of the economy along the CGP. In this sense both sectors will be permanently operative although the shares of capital and employment in sector 2 become asymptotically trivial. Finally, as the economy asymptotically reaches the CGP the process of sectoral reallocation ceases. Remark on non-monotone behavior: A phase diagram analysis of the system of diﬀerential equations (38) and (39) reveals that the time path of and can be nonmonotone. (See Appendix A.) 2.3.2 Case 2: Dynamics of the Ngai-Pissarides model Recall that this case arises when 1 = 2 = 1 and 2 = 1 = . As before we restrict attention to the case where 1 Furthermore, let 2 1 so that sector 1 is the asymptotically dominant sector for the same reasons than in the previous model. Proposition 5. Under the stated assumptions and given the initial conditions, (0) = 0 and (0) = 0, the competitive equilibrium satisﬁes the following pair of diﬀerential equations, 16Notice that the condition for balanced growth in the original AG model is 11 = 22 rather than 1 = 2 since AG specify TFP as Hicks neutral while in our equations (4) and (5) we model TFP as Harrod neutral. Let's turn now to the characterization of the constant growth path. Theorem 2. Under the stated assumptions, there exists a unique (non-trivial) CGP with the following properties, The steady state associated with this CGP is locally stable. Proof. Notice that equation (42) does not contain the variable and thus can be analysed independently. This equation gives ˙ = (1 − ) (1 − ) (1 − ) (2 − 1) which is the familiar logistic equation with two steady states, ∗ = 1 and ∗∗ = 0. The ﬁrst one is asymptotically stable, and the second one is asymptotically unstable. As → 1 → −1 and → ∗ . The CGP associated with the steady state (1 ∗ ) is locally stable since, evaluated at this point, b = ( − 1) (1 − ) ( 2 − 1 ) 0 and b = ( − 1) ( + + 1 ) 0 . ¥ As in the AG model, growth is non-balanced with the two sectors growing permanently at diﬀerent rates, the fractions of capital and labor allocated to the sector with high TFP growth asymptotically vanish, and structural change asymptotically ceases as the economy approaches the CGP. Nonetheless, this last feature is speciﬁc to our simpliﬁed version of the NG model. In their original framework, with several sectors producing only consumption goods and one sector producing consumption and capital goods, structural change among the consumption-producing sectors can still take place along the CGP. 2.3.3 Case 3: Dynamics of the model of unequal sectoral capital-labor substitution Recall that this case arises when 2 6= 1 = 1 Furthermore, let = 1, 2 = 1 = and 1 () = 2 () = () which implies 1 = 2 = . Combining (36), (24) and (26) we reach the following one-to-one relationship between and , where 0 () 0 (resp. 0 () 0) for all ∈ ( 1) if 2 1 (resp. 2 1). Furthermore, it is worth noticing that when 2 1, (1) = 0 and lim→ () = ∞ and when 2 1, () = 0 and lim→1 () = ∞ Proposition 6. Under the stated assumptions, given the initial condition (0) = 0 the competitive equilibrium path satisﬁes the following diﬀerential equation: , where and Proof. See Appendix A¥ where () 0 (resp. () 0) for all ∈ ( 1) if 2 1 (resp. 2 1) Let's turn now to the characterization of the constant growth path. Theorem 3. Under the stated assumptions, there exists a unique (non-trivial) CGP that satisﬁes The steady state associated with this CGP is locally stable. Proof. Notice that (45) is an autonomous diﬀerential equation with a unique (nontrivial) steady state, ∗ . The CGP associated with this steady state is locally stable since, evaluated at that point, ˙ = 0 ( ∗ ) ( ∗ ) 0¥ This theorem has several interesting implications. First, since the sectoral TFP growth rates are identical, both sectors grow at the same rate along the CGP which, of course, is the same as the growth rate of the aggregate economy. Second, the steady state fractions of employment and capital are strictly positive in both sectors. As opposed to the previous models where the fractions of employment and capital in the sector that sheds resources asymptotically vanish, in this model both sectors reach the CGP with non-trivial shares of employment and capital. 17 Third, it is worth noticing that along the CGP the capital-output ratio and the rental rate are constant, and as a result, so is the share of capital in national income, while the wage rate grows at the exogenous rate of TFP growth, . Finally, as in the AG model, once the economy reaches the CGP the process of sectoral reallocation comes to an end. 3 Optimal growth under unequal sectoral capital-labor substitution In this section we extend the previous analysis to the case of optimal saving. Let and denote consumption and gross investment respectively. Then Let be consumption per unit of eﬀective labour, Then (where we have used (70)), and therefore the law of motion of capital per unit of eﬀective labour becomes, 17Notice that when 1 = 2 = 0 the AG model also reaches non-trivial steady-state allocations of capital and labor for both sectors. Nonetheless in this case growth eventually ceases. Similarly, non-trivial allocations along the CGP of the NP model occur when 1 = 2 = , but in this case there is no structural change and the initial fractions of capital and labor allocated to each sector remain constant forever. Let the instantaneous utility function, () take the familiar CRRA speciﬁcation where 1 (1 − ) 0 is the intertemporal elasticity of substitution of consumption. Then the discounted life-time welfare of the representative household is where is the rate of time preference and we have used the fact that population and TFP grow at the exogenous rates and respectively. The solution to the optimal growth problem amounts to ﬁnd the time path for that maximizes (50) subject to (49). Notice that given (44) is a function of and we can deﬁne Therefore (49) becomes Thus, this optimization problem reduces to the standard optimal growth problem if () is a strictly concave and increasing function of with (0) = 0. Appendix B shows that () does indeed satisfy these properties. Deﬁne and assume that is positive. Let be the shadow price of The Hamiltonian for this problem is The necessary conditions are together with the transversality condition, lim →∞ exp ( − ) = 0 The interpretation of these conditions is standard. Combining (53) and (54) we reach the familiar consumption Euler equation, that together with (52), the initial condition, (0) = 0 , and the transversality condition fully describe the dynamic evolution of the economy. The steady state satisﬁes, and the standard analysis applies. 4 Some suggestive evidence and additional issues Although the main focus of the paper is theoretical, in this section we provide some casual evidence that illustrates the relevance of the mechanism highlighted by the model and we discuss some further issues. 4.1 Factor-intensity reversals If one assumes that sectoral production technologies are Cobb-Douglas or identical across sectors, as in AG and NP, then the sectoral ranking of factor-intensity is invariant with respect to the factor-price ratio; that is, if one sector is more capital-intensive than the other at a given set of factor prices it will remain so at any set of factor prices. The absence of factor-intensity reversals is a standard assumption in the trade literature (see, for instance, Samuelson's (1948, 1949) "Factor-Price Equalization Theorem"). Nonetheless, once one allows for diﬀerent degrees of substitutability between factors, the possibility of a factorintensity reversal, a situation where the ordering of sectors by capital-intensity varies with the ratio of factor prices, reemerges. Let ≡ + denote the wage-rental ratio. Assume 1 = 2 = . Then (11) and (12) imply the following capital-labor ratios for the two sectors, Using (58) and (59) we can write the ratio of capital intensities as, It is evident from (60) that a factor-intensity reversal might occur only if the degree of factor substitution varies across sectors. Furthermore, deﬁne the (time-varying) threshold factor-price ratio, e Then a factor-intensity reversal occurs as crosses the threshold e . In particular, if 2 1 we have, e As the wage-rental ratio increases, the more ﬂexible sector 2 increases its capital-labor ratio, becoming eventually, after the relative factor price crosses the threshold e more capitalintensive than the less ﬂexible sector 1. On the empirical front, the possibility of a factor-intensity reversal was the subject of an intense and inconclusive debate in the sixties. Comparing the rankings of capital-intensity for similar U.S. and Japanese industries, Minhas (1962) concluded that factor-intensity reversals were empirically relevant. By restricting the sample to a more homogeneous set of industries Ball (1966) concluded that the adjusted rankings were not so dissimilar as to validate the CES reversals result. Along similar lines, Hutcheson (1969) failed to reject the null hypothesis of a common elasticity of substitution across industries, concluding that Minhas' case against the standard assumption of non-reversal of factor-intensity was not founded. In contrast, Kurokawa (2010), in an attempt to explain the rising skill premium in the US, provides convincing evidence of a skill-intensity reversal between the US and Mexico. Our model provides a framework to review this question in the context of a growing economy. The EU KLEMS database (O'Mahony and Timmer, 2009) provides capital-labor ratios for 32 industries, and Balistreri et al. (2002) report estimates at the industry-level for the elasticity of substitution using a 50 year panel compiled by the Bureau of Economic Analysis. Based on these estimates and on the levels of capital intensity in 1978 we choose a low elasticity sector, Rubber and Plastics, with estimates that range from 0.75 to 0.81, and a high elasticity one, Electrical Equipment, with estimates that range from 2.9 to 3.7. Figure 2 reproduces the evolution of the capital-labor ratio for these two industries. 18 At the beginning of our sample the less ﬂexible industry, Rubber and Plastics, was more capital-intensive than Electrical Equipment. Between 1978 and 2007 the US aggregate capital-labor ratio increased by almost one half. As a result the more ﬂexible industry, Electrical Equipment, increased its capital-labor ratio at a faster pace than the less ﬂexible one. The reversal took place around 1990 and thereafter the more ﬂexible industry became also more capital-intensive. Finally, when considering a long period of time one might wonder whether the observed change in the factor-intensity ratio, 12, was driven by changes in the factor-price ratio or was simply the consequence of productivity growth. Fortunately, the EU KLEMS database 18Since Balistreri et al. (2002) use two-digit SIC industry codes to estimate their elasticities of substitution while our data for capital-labor ratios at the industry level uses the NACE classiﬁcation codes, we need to map these two sources. We match "Rubber and miscellaneous plastic products" (SIC code 30) and "Rubber and Plastics" (NACE code 25). Unfortunately the EU KLEMS data does not include a direct match for "Electronic and other electric equipment" (SIC code 36). As a result we use the closest, although slightly broader, category of "Electrical and optical equipment" (NACE code 30-33). includes TFP estimates that suggest that TFP growth in Electrical Equipment outpaced by a factor of four that of Rubber and Plastics. Given that the estimate of the elasticity of the ﬂexible sector exceeds unity we can discard diﬀerential productivity growth as a source for the observed reversal. 19 4.2 Structural change out of agriculture The process of economic development is always and everywhere characterized by substantial reallocations of resources out of agriculture. As a result of this process, the diﬀerences in sectoral structure between developed and developing countries are staggering. On one side, rich countries, such as the U.S., the U.K., or Belgium employ less than 3% of their labor force in agriculture, while, on the other side, poor countries, such as Nepal, Burundi, or Niger have employment shares in agriculture above 90%. These diﬀerences in employment shares are compounded by important diﬀerences in labor productivity and capital intensity. As Restuccia et al (2008) and Chanda and Dalgaard (2008) report, the diﬀerences in agricultural labor productivity between rich and poor countries are twice as large than those in aggregate labor productivity. Mundlak (2000) ﬁnds that the distributions of the various measures of investment and capital show a much larger spread in agriculture than in the rest of the economy. Table 1 and Figures 3 and 4 use data for 50 countries collected by Crego et al. (2000) to illustrate the variation of sectoral capital-labor ratios across countries. In rich countries agriculture is more capital-intensive than the rest of the economy, while the reverse is true in poor economies. 20 These diﬀerences in capital per worker across sectors and countries are stunning. In the 5 richest countries our sample capital per worker outside of agriculture is 14 times larger than in the 5 poorest countries, while in the agricultural sector capital per worker is more than 500 times larger. 21 Given the important cross-country variation in wage-rental ratios, one may interpret the large sectoral variation in capital-labor ratios as the result of a relatively high elasticity of substitution between inputs in agriculture. This interpretation is consistent with the 2 1 (1 1 ) 19 1 1 − − 1 Allowing for sector-speciﬁc TFP we can write (60) as = . Assuming 2 µ ¶ − − 1 2 (1 2 ) − 2 2 1 sector 2 would correspond to Electrical Equipment in our example. Then for a productivity-driven reversal, it is necessary that either 1 1 and ˆ 1 ˆ 2 or 2 1 and ˆ 2 ˆ 1. In view of the evidence discussed, neither condition seems to be satisﬁed. 20The correlation coeﬃcient between capital per worker and income per worker is 0.95. 21The ﬁve richest countries in our sample are the US, Canada, Denmark, Norway and Sweden, while the ﬁve poorest ones are Tanzania, Malawi, Madagascar, Kenya and India. An example might help visualizing how these diﬀerences come about, for instance the Lexion 590R, the world's largest combine harvester, has the capacity to harvest 1,800 bushels of wheat per hour. This capacity is equivalent of 540 man-hours. estimates provided by Behrman (1972) who ﬁnds that the elasticity of substitution in agriculture, although small, is roughly three times larger than the one in services. 22 Rosenweig (1988) implicitly acknowledges this substitution capability of agricultural production when arguing that obstacles to migration out of agriculture depress rural wages inducing farmers to substitute cheap labor for capital and intermediate inputs. Along similar lines Manuelli and Seshadri (2003) provide evidence on the impact of low labor costs on the slow rate of adoption of tractors in the U.S. agriculture between 1910 and 1940. All this evidence suggests that the degree of ﬂexibility in agricultural production may be important. Figures 5 and 6 report the evolution of the shares of employment and capital in agriculture for Chile and the Netherlands between 1967 and 1992. As opposed to previous models of structural change (either technology driven as in NP and AG, or preference driven as in Kongsamut et al. 2001), that imply that sectoral factor shares move in the same direction, with sectors either increasing or decreasing their shares of both inputs, our model provides a natural rationalization for the observed patterns where the agricultural sector's employment share decreases while its capital share increases 23 . This explanation combines the ﬂexibility to substitute capital for labor in agricultural production with the secular increase in the relative price of labor. As the aggregate capital-labor ratio increases, the more ﬂexible sector, agriculture, takes advantage of the change in relative prices substituting away from the relatively more expensive labor into the relatively cheaper capital. As a result the employment share in agriculture decreases while its share in the aggregate capital stock increases. 4.3 The aggregate elasticity of substitution Evaluating the response of the economy-wide capital-labor ratio to changes in the factorprice ratio requires a measure of the degree of substitutability between capital and labor 22Services seem to be the relevant alternative since most of the sectoral reallocation takes place between these two sectors. For instance Kongsamut et al. (2001) report that the U.S. service employment share increased from 25% in 1869 to 75% in 1999, while the agricultural employment share decreased substantially over that period, from 50% to 2%. 23Notice that the actual patterns of sectoral reallocation most likely reﬂect a combination of several mechanisms which include diﬀerences in income demand elasticities, diﬀerential productivity growth, diﬀerences in capital deepening and diﬀerences in the elasticities of substitution. Given that there is consensus on the fact that the income demand elasticity of agricultural goods is below one and that TFP growth in agriculture has outpaced that of the rest of the economy over the last half of the 20th century (see Alvarez-Cuadrado and Poschke, 2011), one can conclude that the ﬁrst two mechanisms tend to reduce the fractions of labor and capital allocated to agriculture. Table 1 suggests that capital deepening is more important in agriculture than in the rest of the economy. As a result the third mechanism tends to increase the fraction of labor employed in the less ﬂexible non-farm sector. Nonetheless, Dennis and Iscan (2009) ﬁnd that the qualitative importance of capital deepening is second order when compared to the other two mechanisms. at the aggregate level. Acemoglu and Guerrieri (2008) address this question by evaluating the impact of capital accumulation on the capital share in national income. Since in their model, under the assumption that 1, they ﬁnd a negative relationship between those two variables, they conclude that the economy-wide elasticity of substitution is less than one. An attractive alternative way of evaluating this aggregate elasticity follows the dual approach developed in Jones (1965). Lemma 4.3.1 The aggregate elasticity of substitution is a weighted average (i.e. the coeﬃcients add up to one) of the three primary elasticities: the elasticity of substitution between the two intermediate inputs in the production of the ﬁnal good, and the two sectoral elasticities, 1 and 2: where. and is the income share of factor in sector Proof: See Appendix A¥ Although the primary elasticities are constant, in general the aggregate elasticity of substitution, , varies with the sectoral composition of output with three notable exceptions. First, when the three primary elasticities are equal, = 1 = 2 the aggregate elasticity is constant and equal to the primary ones. For instance, reinterpreting the production function for ﬁnal output as an utility aggregator, this happens when preferences and sectoral technologies are Cobb-Douglas as in Antras and Caballero (2009). Second, it is constant and equal to the elasticity of substitution in the ﬁnal-good sector, when one of the sectors uses only capital and the other only labor as in Ventura (1997). And ﬁnally it is also constant when the sectoral factor income shares and the sectoral elasticities are equal, i.e. 1 = 2 and 1 = 2 This last case includes the NP model where 1 = 2 = 1 and 1 = 2 = . Intuitively, if factor income shares in both sectors are equal then the aggregate elasticity of substitution is independent of the elasticity of substitution of the ﬁnal sector, 0 = 0. As a result, the aggregate elasticity reduces to a weighted average of the sectoral elasticities and it is constant when both sectoral elasticities coincide. The aggregate elasticity of substitution in the AG model, where 1 = 2 = 1, is given by, In this case the aggregate elasticity, which varies with the process of structural change, exceeds unity if the elasticity of substitution between inputs in the ﬁnal sector is above one. Notice that (61) reduces to a weighted average of the elasticity in the ﬁnal sector, and 1. As a result, whether the aggregate elasticity of substitution exceeds unity depends only on the elasticity of substitution in the ﬁnal-good sector. A ﬁnal interesting case arises under the parameterization used in the model of unequal sectoral capital-labor substitution presented before where 2 6= 1 = = 1. In this case, the aggregate elasticity of substitution is given by, where is a weighted average of 1 and one of the sectoral elasticities, 2. So necessarily 1 iﬀ 2 1. 4.4 A numerical example Since the actual patterns of structural change arise from a combination of several forces, of which diﬀerences in the sectoral elasticity of substitution is only one, our goal in this section is not to reproduce these patterns but rather to illustrate numerically some of the features of the model. In order to focus on the impact of diﬀerences in the elasticity of substitution we set both sectoral levels of TFP constant and equal to 1, 1 = 2 = 1. Furthermore, we normalize the labor force to 1. For illustration purposes it proves convenient to track the evolution of key variables in terms of the wage-rental ratio, . Notice that given , (58) and (59) determine the sectoral capital-labor ratios, () (where = 1 2). These ratios allow to calculate the sectoral factor income shares, given by () = () + , then (4) and (5) determine the levels of per capita sectoral output, () and marginal products, 0 ( ) Combining these results with (11) determines the relative price of intermediate goods, () ≡ 1 2 = 0 2 ( 2 ) 0 1 ( 1 ) and imposing the sectoral market clearing condition that equates relative supply, ( ) 1 2 = ( ) (1 − ) 2 ( 2 ) 1 ( 1 ) to relative demand, given by (8), we recover the sectoral factor allocations, ( ) and ( ) Finally, the aggregate labor income share and capital-labor ratio are given by = 1 +(1 − ) 2 and = 1 respectively. In order to explore the evolution of these variables we need to choose speciﬁc values for four parameters; 1 and 2. Consistent with our goal, illustration rather than realism, we assume that both intermediate inputs are equally important in the production of ﬁnal output, = 12, and we set the distributional share of capital at one third, = 13 for = 1 2. Finally, we set the sectoral elasticities around the Cobb-Douglas threshold with 1 = 08 and 2 = 12 and therefore we refer to sector 2 as the ﬂexible one. 24 Figure 7 presents the results of these simulations. As the aggregate capital-labor ratio increases the rental rate falls relative to the wage and therefore the wage-rental ratio increases. The ﬂexible sector is in a better position to take advantage of this decrease in the relative price of capital and, therefore, as capital accumulates the fraction of labor (capital) that it employs falls (increases). Notice that when labor is relatively abundant, (for instance = 1), the ﬂexible sector employs roughly 52.5% of the labor force and only 44% of the capital stock but this situation is reversed as labor becomes relatively scarce. For instance as increases to 10 the ﬂexible-sector share of labor falls by more than 6 percentage points while its share in the capital stock increases by almost 16 percentage points. As a result, the ﬂexible sector is more labor-intensive (capital-intensive) when the aggregate capital-labor ratio is low (high) than the less ﬂexible sector. This change in the ranking of capital intensities, a capital-intensity reversal, takes place when the aggregate capital-labor ratio is equal to 1 (see (60)). The third panel of Figure 6 reports the evolution of the labor income share. The relevant threshold to understand its evolution is given by the Cobb-Douglas case. When the elasticity of substitution equals one, factor income shares are independent of relative factor prices. In this case an increase in the relative factor price leads to a proportional decrease in the relative factor use, leaving the factor income shares unchanged. Now, since the elasticity of the ﬂexible sector exceeds one its labor income share, 2, falls with the wage-rental ratio since a decrease in relative price of capital leads to a more than proportional increase in the capital-labor ratio in this sector. The reverse is true in the other sector where the elasticity of substitution is less than one and therefore its labor income share, 1, increases as capital accumulates. Given our parameter choices, i.e. the equal importance of both sectors for ﬁnal production and the symmetry of the sectoral elasticities around one, this third panel resembles the data reported in Figure 1, with sectoral factor income shares moving in opposite directions while the aggregate labor income share is roughly constant. 24An additional issue concerns the range of we consider in our numerical exercise. Figure 6 reports, in most cases, values in the range ∈ [2 20]. To get a sense of the meaning of this range, consider a Solow model with = 02 = 005 = 002 and = 001, then if we move from 10% to 200% of the steady state capital stock the wage-rental rate ratio increases from 2.5 to 16. If the same exercise is conducted assuming = = 0 the wage-rental rate ratio increases from 2 to 17.5. Finally, a realistic parameterization of a multi-sector CES model requires the normalization concept introduced by Klump and de La Granville (2000). In general, aggregation dampens sectoral variation. In our example, sectoral variation (almost) perfectly cancels out at the aggregate level. The last panel of this ﬁgure presents the evolution of the relative price of the intermediate goods and of the aggregate elasticity of substitution. As the capital-labor ratio increases there is a tendency for the less ﬂexible sector to increase its production at a slower pace than that of the more ﬂexible one, since the elasticity of substitution in the ﬁnal-good sector is one this relative scarcity of the less ﬂexible intermediate input leads to a continuous increase in its relative price. Finally, we know from the previous analysis that the aggregate elasticity of substitution, , is simply a weighted average of the sectoral elasticities. Nonetheless the weight placed on the ﬂexible sector increases as capital accumulates and therefore also increases with development. This result is robust to alternative parameter conﬁgurations as long as the ﬁnal sector is Cobb-Douglas. 25 Along these lines, Duﬀy and Papageourgiou (2000) use World Bank data on capital stocks for 82 countries over 28 years to estimate the parameters of the CES. They use 4 subsamples and they ﬁnd that the elasticity of substitution increases with development. In the view of our model, diﬀerences in sectoral elasticities coupled with the secular process of capital accumulation might lie behind this relationship between ﬂexibility in production and the level of development. 5 Conclusions We have developed a two-sector model where diﬀerences in the sectoral elasticity of substitution between capital and labor lead to a process of reallocation of resources. The mechanism behind this model is simple. As the wage-rental rate ratio changes, more ﬂexible sectors —industries with a higher elasticity of substitution between capital and labor— are in a better position to take advantage of these changes than less ﬂexible ones. As a result if the ﬁnal-goods sector is Cobb-Douglas, as capital accumulates the ﬂexible sector increases its share in the aggregate capital stock while it reduces its share in employment. Despite this process of structural change, the economy eventually reaches a constant growth path where the fractions of employment and capital in both sectors are positive and constant. Both the 25 We have conducted several simulations with = 1 The results are qualitatively similar to the general patterns illustrated in ﬁgure 7. Nonetheless, two diﬀerences are worth mentioning. First, as the elasticity of substitution in the ﬁnal-goods sector falls well below unity, for instance 0 5 the relationship between the AES and development is reversed. Second, for large values of the elasticity of substitution in the ﬁnal sector, for instance 2 , the relationship between sectoral factor allocations and relative factor prices becomes non-monotonic. As in the general case illustrated in ﬁgure 7, the fraction of capital allocated to the less ﬂexible sector, , falls as the wage-rental rate ratio increases but, in this case, the fraction of labor allocated to this sector, , ﬁrst increases and then decreases. The (high) ﬂexibility to substitute intermediate inputs in the production of the ﬁnal good lies behind this non-monotonic adjustment. transitional behavior and the steady state conﬁguration of the unequal capital-labor substitution model are in sharp contrast with those of the existing models of structural change that exhibit a CGP, speciﬁcally the AG and NP models. 26 In these models, a sector is either shedding both capital and labor or absorbing them and the sectoral shares of employment and capital asymptotically vanish for certain sectors. Additionally, we show how our main results extend to a Ramsey environment, where saving is endogenous, and provide some suggestive evidence on the relevance of the mechanism stressed by this unequal capital-labor substitution model. Although our main focus was analytical we relied on a numerical example to illustrate some of the key features of the model. The main contribution of this paper is theoretical and qualitative. A natural extension would be to explore the quantitative importance of the mechanism stressed by the model for the actual patterns of structural change. This will require a more realistic framework that incorporates other sources of sectoral reallocation that seem to be qualitatively important such as non-homothetic preferences and diﬀerential TFP growth. Furthermore, we could explore numerically whether structural change is consistent with quasi-balanced growth, i.e. whether changes in factor allocations are ﬁrst-order (in magnitude) when changes in the great ratios are already of second-order. Additionally, although there are several papers that estimate the aggregate elasticity of substitution, see Antras (2004) for a recent example, the empirical literature on the sectoral elasticities is sparse. Another natural extension of our line of work would pursue the estimation of these elasticities at diﬀerent levels of aggregation. These sectoral estimates could be used to contrast some of the predictions of the model. In principle, existing datasets, such as the 35-industry KLEM developed by Dale W. Jorgenson and the EU-KLEMS gathered by the Groningen Growth and Development Center, provide the sectoral level data required for these estimations. 26In the model with non-homothetic preferences developed by Kongsamut et al (2001) exhibits similar patterns. In the limit one of the sector dissapears and along the CGP sectors grow at diﬀerent rates. Appendix A Proof of Proposition 1. Diﬀerentiating (16), treating as a function of , we obtain where and Therefore which is equivalent to (19).¥ Proof of Proposition 4. Log-diﬀerentiating (36) and using (3) we reach, We must ﬁnd an expression for in terms of our two endogenous variables, and . Notice that (16) implies, and dividing both sides of (1) by 1 we have, Combining these two expressions we reach, Then, which, when combined with (64), yields (38). Now using equation (65) we reach Substituting (68) into equation (67), using = 1 2 (1 − 2) (1 − 1) µ ¶2 and = µ1 − 1 − ¶ µ1 2 ¶ µ1 − 2 1 − 1 ¶ we arrive at which after some manipulation yields (39).¥ Proof of Theorem 1. Consider the curve b = constant. Diﬀerentiating (38) (keeping b = constant) we reach a positive relation between and along the b = constant schedule, Thus this schedule is upward sloping in the space (). In particular, the curve b = 0 meets the line = 1 at ³ −1 ++1 ´ 1 1− 1 Below this curve, we have b 0. Setting (39) equal to zero requires (1 − ) (2 − 1) (ˆ + 2) = 0 which implies either = 1 or ˆ 6= −2. The latter case cannot be a steady state. Therefore the only non-trivial steady state allocation of capital is ∗ = 1, i.e. the relevant b = 0 schedule that determines the steady state is 31 the horizontal line = 1 in the space (). Since the b = constant schedule is strictly increasing in there exists a unique (non-trivial) steady state given by (40). The growth rates of the asymptotically dominant sector (and therefore of the overall economy) are derived by combining the steady state solutions and the growth rates of the exogenous variables with (13), (36), and (66). The growth rates for sector 2 are given by the solution of the system of three equations on ∗ 2 ∗ 2 and ∗ 2 that results from the logdiﬀerentiation of (5), (11) and (12). Now, we turn to the dynamic properties of this steady state. The linear approximation of (38) and (39) around (40) is given by, with, It follows that the determinant of the Jacobian is positive and its trace negative. As a result the linear system has two negative eigenvalues and the steady state associated with this CGP is locally stable. 27 Global analysis using arrows shows that paths converging to the steady state ( ∗ ∗ ) can display non-monotone behavior. 27Notice that when 2 1 then the determinant of the Jacobian would be negative and therefore the steady state exhibits the saddlepoint property. Nonetheless, the steady state under evaluation, ∗ = ∗ = 1 was characterized under the assumption that sector 1 is the assymptotically dominant one. When one reverses labor intensities one changes the assymptotically dominant sector and therefore the stability properties of Proof of Proposition 5. Using (64) we need an expression for in terms of our two endogenous variables. Under the NP restrictions, equation (1) can be written as, where we have used the fact that the capital-labor ratios are identical across sectors, implying = . The preceding equation gives from which we obtain (41).The derivation of (42) is straight forward from (21). Proof of Proposition 6. Using (36) we can rewrite (24), which, after using (26) to replace , becomes Given (36) and 1 = 2the rate of change of the normalized capital stock is, where 0 ( ) 0 (resp. 0 ( ) 0 ) for all ∈ ( 1) if 2 1 (resp. 2 1) . Furthermore, it is worth noticing that when 2 1 , (1) = 0 and lim → ( ) = ∞ and when 2 1 , ( ) = 0 and lim → 1 ( ) = ∞ b = b − c 1 − b = − − − Since = 1 and sector 1 has the Cobb-Douglas technology while sector 2 has the CES technology, the agregate output-capital ratio is given by the steady state characterized under the initial ranking of factor intensities. In fact, under our assumption 2 1, there is a trivial steady state, ∗ = ∗ = 0, that exhibits the saddle path property, since at that point ˙ = ( 2 − 1 ) 2 (1 − ) 0 while ˙ 0 which can be expressed using (23), (25), (26), and (44) as where and () are deﬁned by (46) and (47) respectively. Notice that when 2 1 ( respectively, 2 1), () is an increasing resp. decreasing) function deﬁned over the interval [ 1], with () = 0 (resp. () = ∞) and lim→1 () = ∞ ( resp. (1) = 0). Therefore Finally log-diﬀerentiating (44) where () is deﬁned by Then where the terms inside [ ] is equal to i.e. which is positive for all ∈ [ 1]. Combining (72) with (71) yields (45). Proof of Lemma 4.3.1. This proof follows Jones (1965) and Miyagiwa and Papageourgiou (2007). The dual relationship between sectoral prices and input prices and factor endowments and sectoral outputs are given by, where () is the unit cost function for good = 1 2 and are its partial derivatives with respect to each factor price = Diﬀerentiating the previous expressions we reach the following relationships, where are the factor income shares, = , in each industry. Subtracting (77) and (78), and using the fact that the sectoral production functions are homogeneous of degree one we reach, where the second equality uses the fact that () is homogeneous of degree 0. As a result Replacing (82) and (83) in (79) and (80) and subtracting them we reach, . Finally, we use (7) to reach where Θ ≡ 1 1 + (1 − ) 2 2 + 1 1 + (1 − ) 2 2 ˆ 1 − ˆ 2 = − (b 1 − b 2) (85) Since the aggregate elasticity of substitution is deﬁned as ≡−³ ˆ − ˆ ´ ( ˆ − ˆ ) we combine (81) and (84) in (85) to reach (61). Appendix B In order to show that () is a strictly concave and increasing function of with (0) = 0, we develop below a general framework for the analysis of the aggregate production using properties of the sectoral production functions. Assumption P1: There are two intermediate goods, produced by capital and labor under concave, twice-continuously diﬀerentiable production functions with the following properties: (i) (0) = 0 = ( 0), (ii) () = () for all 0,(iii) is strictly increasing and strictly concave in each argument, i.e. (iv) the marginal product of an input tends to inﬁnity as the input tends to zero and (v) is strictly quasi-concave, in particular, the following suﬃcient condition for a strictly quasi-concave function is met: Assumption P2: The production function of the ﬁnal good is a concave, twice-continuously diﬀerentiable production function where (i) (02) = 0 = (1 0), (ii) (12) = (12) for all 0, (iii) is strictly increasing and strictly concave in each argument, i.e. (iv) the marginal product of an input tends to inﬁnity as the input tends to zero and (v) is strictly quasi-concave, in particular, the following suﬃcient condition for a strictly quasi-concave function is met: From the above assumptions, we can obtain useful information about the aggregate production function, = () which we will deﬁne below. Let us deﬁne the function and use the following notations Note that Lemma A1: The function (1122) is (i) homogeneous of degree one in (1122) (ii) concave in (1122) (iii) strictly increasing in each argument, (iv) strictly concave in each argument, (v) strictly quasi-concave. Proof: Part (i): Straight forward from homogeneity of degree one of 1 , 2 and Part (ii): For simplicity of notation in the following proof, deﬁne the vectors Take any pair x x 0 ∈ R 4 + , such that x ≡ ( u v ) 6 = x 0 ≡ ( u 0 v 0 ) , and let x ≡ x + (1 − ) x 0 where ∈ (0 1), we must show that (x) ≥ (x) + (1 − )(x 0 ). Now where u ≡ u + (1 − )u 0 and v ≡ v + (1 − )v 0 . Then because is concave and is increasing in 12, ¢ because is concave in 12 Parts (iii) and (iv): Straightforward. Part (v): We consider the following bordered Hessian Note that a set of suﬃcient conditions for to be strictly quasi-concave is that the sign of (−1) det 0 for = 1 2 3 4, where is of order ( + 1) × ( + 1) (see e.g. Takayama (1985)). Making use of the fact that 0 and 0, it is routine to evaluate the sign of the above determinants¥ Next, we deﬁne the following aggregate production function : R 2 + → R + where Lemma A2: The function () is (i) homogeneous of degree one in () (ii) concave in () hence ≤ 0 and ≤ 0 (iii) strictly increasing in each argument (iv) strictly concave in each argument Proof: Part (i): Given () (0 0), let x ∗ ( ∗ ∗ ∗ ∗ ) be the solution of the problem and let Let 0 be any positive real number. Consider the problem max ( 1 1 2 2 ) s.t. 1 + 2 ≤ and 1 + 2 ≤ Since () is homogeneous of degree 1 (by Lemma A1), it follows that ( ∗ 1 ∗ 1 ∗ 2 ∗ 2 ) solves this problem, and ∗∗ ≡ ( ∗ 1 ∗ 1 ∗ 2 ∗ 2 ) = ( ∗ 1 ∗ 1 ∗ 2 ∗ 2 ) = ∗ . This proves that () is homogeneous of degree one in (). Part (ii): Consider any pair of endowment vectors ( 0 0 ) and ( 00 00 ). Let x 0 ∈ R 4 + be the solution when () = ( 0 0 ) and x 00 ∈ R 4 + be the solution when ( ) = ( 00 00 ) . For any ∈ (0 1), let Clearly, when () = (), a feasible output is (x) where x ≡ x 0 + (1 − )x 00 and since is concave, Thus, by deﬁnition, It follows that () is concave in (). This implies that ≤ 0 and ≤ 0 Part (iii): Since is an increasing function and any increase in allows both 1 and 2 to be increased, thus aggregate output is increasing in the aggregate capital stock. So 0 and similarly, 0. Part (iv): Set up the Lagrangian By the envelope theorem, Using the ﬁrst order conditions for problem (86) it is a standard, although tedious, exercise on comparative statics to show that 2 2 = 1 0 ¥ Notice that it is trivial to extend the previous analysis to allow for Harrod neutral technological progress. Now, given (36) and Lemma A2(i) we deﬁne aggregate output per unit of eﬀective labor as Lemma 1: () is strictly increasing. Proof: From (44) we know that there is a monotone decreasing (increasing) relationship between and if 2 1 (2 1). So we need to show that ()() is decreasing (increasing) in if 2 1 (2 1) Combining (47) and (44) we have that, where ≡ ((1 − )) 2 2−1 . Then we can express (87) as and therefore Log-diﬀerentiating (88) we reach that after re-arranging becomes where and ¤ Lemma 2: () is strictly concave. Notice that () is a strictly convex function that attains a minimum at = 1 − + = . Furthermore evaluated at we ﬁnd () 0, so it follows that () ≥ () 0 for all ∈ [ 1]. Therefore, we conclude that µ ln ¶ = (1 − 2)¥ Proof: Straight forward from Lemma A2. Lemma 3: The function () has the following properties: (0) = 0 and (∞) = ∞. Proof: Consider the case 2 1. As → 0, () → 1, and since lim→1 () = 0, we have (0) = 0. As →∞, () → and since lim→ () = ∞, we have (∞) = ∞. A similar reasoning can be applied when 2 1¥ Appendix C (not intended for publication) In this appendix we provide additional details on some of the derivations. Section 2.3.3. 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Source: EU KLEMS database http://www.euklems.net/ Source: EU KLEMS database http://www.euklems.net/ Electrical Equipment Electrical Equipment Rubber and Plastics 10 20 30 40 50 Capital-labor ratio 1970 1980 1990 2000 2010 year year year Electrical Equipment Rubber and Plastics 10 20 30 40 50 Capital-labor ratio 1970 1980 1990 2000 2010 year Source: EU KLEMS database http://www.euklems.net/ Figure 2. US Capital-labor ratio: Selected industries. A Capital-intensity reversal. Source: EU KLEMS database http://www.euklems.net/ Figure 2. US Capital-labor ratio: Selected industries. A Capital-intensity reversal. TZA TZA MWI MDG KEN IND ZWE PAK PHL IDN LKA DOM MAR EGY GTM PER COL TUR TZA MWI MDG KEN IND ZWE PAK PHL IDN LKA DOM MAR EGY GTM PER COL TUR 0 0500 500 1000 1500 Capital-Labor ratio agriculture 0 02000 2000 4000 6000 8000 10000 Capital-Labor ratio total economy TZA MWI MDG KEN IND ZWE PAK PHL IDN LKA DOM MAR EGY GTM PER COL TUR 0 0500 500 1000 1500 Capital-Labor ratio agriculture 0 02000 2000 4000 6000 8000 10000 Capital-Labor ratio total economy Source: Crego et al (2000) Duarte and Restuccia (2010) and GGDC Total economy database Figure 4. Capital-Labor ratio for developing countries: Agriculture vs. total economy. Source: Crego et al (2000) Duarte and Restuccia (2010) and GGDC Total economy database Figure 4. Capital-Labor ratio for developing countries: Agriculture vs. total economy Source: Crego et al (2000) and Duarte and Restuccia (2010) Source: Crego et al (2000) and Duarte and Restuccia (2010) Share of Employment Share of Employment Share of Capital .04 .05 .06 .07 .08 1965 1970 1975 1980 1985 1990 year year year Share of Employment Share of Capital .04 .05 .06 .07 .08 1965 1970 1975 1980 1985 1990 year Source: Crego et al (2000) and Duarte and Restuccia (2010) Figure 6. Shares of employment and capital in agriculture : The Netherlands. Source: Crego et al (2000) and Duarte and Restuccia (2010) Figure 6. Shares of employment and capital in agriculture : The Netherlands.
e-ISSN: 2278-0661, p- ISSN: 2278-8727Volume 16, Issue 2, Ver. III (Mar-Apr. 2014), PP 64-71 RDR Cube Cipher an Extension to Vigenere Cipher Rahul Sourav Singh, Rupayan Das, Dipta Mukherjee, Prannay Bothra Dept. of Computer Science & Engineering University of Engineering & Management, Jaipur, India Abstract: Vigenere Cipher is an encrypting method of alphabetic text using different Shift ciphers or additive based on letter of keywords [1]. It works on the set of 26 alphabets; however its scope is not just limited to English alphabets. Being an old method it's been vulnerable to many attacks. The proposed algorithm is to add a new dimension to this traditional method thus increasing its complexity and hence further reducing its vulnerability to different Vigenere Attacks. The keyword also called Encryption key used in Vigenere is used to select different table for encryption accordingly by the communicating parties using a modulus function. The more randomly the Table is varied based on the random selection of tables from a set of table virtually appearing like a cube more unpredictable the Encrypted text becomes hence increasing the complexity of the algorithm further. Different tables also reduces the variances of the characters hence making it more complex to analyze using the already existing Vigenere Analysis Algorithms. Keywords: Vigenere Cipher, Cryptanalysts, Cryptography, Encryption, Encryption Key, Decryption. I. Introduction Cryptology is a study of designing technique to encrypt messages using different algorithms and also regaining the original text using same or different algorithms. The normal messages also referred to as plain text is encoded based on some mathematical formula or algorithm to yield a coded message also called Cipher text. The algorithm used for performing the encryption is called Encryption Key. Again at the receiver end the Cipher Text is again processed or decrypted using the same or different algorithm to get the original text. Cryptanalysis is the study of designing system that will defeat such techniques to regain the message or forge the message. Together they came to be called as Cryptology. [1]With the dawn of computer and increasing dependency on it for communication also raised concerned about Information Security. Various security majors were introduced to ensure security of valuable information from being hacked or forged. Algorithms and methods were introduced to provide security at computer level, network level and internet level. Among various algorithm and techniques designed to provide Network Level and Internet Level Security Vigenere Cipher was one of them. However cryptanalyst designed techniques to defeat it. In this paper, we propose an algorithm that will further improve the Vigenere Cipher Algorithm, making it less vulnerable to the attacks designed for it. The proposed algorithm focuses on the Encryption Key and the Vigenere Table. Unlike existing algorithm it is based on the elements of Encryption Key and introduces different 26 x 26 alphabet Table. This procedure is repeated number of times depending on the parameters selected by the communicating party. As a result the proposed algorithm makes the Encryption Key more complex and the Vigenere Table Formatting becomes dynamic resulting in an unpredictable encryption. The existing cryptanalysis algorithm designed for Vigenere Cipher algorithm are based on prediction of the letter based on the letter frequency calculated through different surveys. [1][2][3][4][5] Rest of the paper is organized as follow. Section 2 describes the Vigenere Algorithm, the mathematical expression and the different attacks to break the cipher. Section 3 describes the proposed algorithm, its mathematical expression, block diagram. Section 4 describes the performance of the proposed algorithm and analysis of result. Conclusion is presented in Section 5. II. Vigenere Cipher Vigenere Cipher is a combination of several Shift Ciphers in a sequence with several shift values. [1][5] In shift ciphers each level is shifted by some value. If we shift letter D by 3 it becomes G. In Vigenere Cipher a sequence of such shift is organized in a table as shown in table 2.a. The table is called Tabula Recta or Vigenere Square or Vigenere Table. It's a 26 * 26 table where shift every row is equal to the number of the row. Suppose a plaintext to be encrypted is: MEET ME AT GROUND ZERO And the keyword is ―RELATION‖; the keyword is repeated to match the length of the plaintext. To derive the Cipher text using the Vigenere table, for every letter in the plaintext, the intersection of row given by the keyword letter and the column given by the plaintext letter is chosen as Cipher text letter. Keyword: RELAT IONSR ELATI ONR Plaintext: MEETM EATGR OUNDZ ERO Cipher text: DIPTF MOGXV ZUGLN RIS Decipherment of an encrypted message: Algebraic Description In Vigenere Cipher the alphabets A to Z are considered as numbers 0 to 25, and addition operation is performed using modulo 26, then Vigenere encryption E using the key K can be written, C= E (M) = (M + K) mod 26 (2.1a) And decryption D using the key K, i k i i i Where M = M0M1…..Mn-1Mn is the message, Mi. = Dk (Ci) = (Ci – Ki C = C C …… C C is the Cipher text And K = K 0 1 n-1 n 0 K 1 ….. K m-1 K m is the used key. Cryptanalysis There are many techniques developed to break a Vigenere Algorithm Encipherment. Different techniques are enlisted below: Frequency Analysis: Vigenere ciphers are very vulnerable to frequency analysis. Though it's a polyalphabetic cipher where by using matrix a one to many relations is created still after tracing frequency of a particular letter in a Cipher Text can help to detect which English alphabet it substitute. Frequency of English letters in a word had been calculated through various surveys. Here two bar charts chart 2.2.1a and chart 2.2.1b shows the relative frequency of each English alphabet in a text and the relative frequency of each English alphabet as the first character of a word respectively. [2][3][4][6][7] Comparing the Cipher text obtained from Vigenere Cipher Algorithm with the Frequency Chart enlisted here the original letters can be predicted. Kasiski Examination: In Kasiski's method the distance between repeated bigrams are measured to find the length of the keyword. [8] Friedman Test: This test applies index of coincidence. It implies the unevenness of Cipher text Frequency to analyze the Cipher. The key length is calculated by using the mathematical expression: Where, c is 26(for English alphabet) N is equal to the length of the text And N1 to Nc are the Cipher text letter frequencies (integer) III. Proposed Algorithm 3.1 Methodology: The proposed methods employs a RDR (Rahul - Dipta - Rupayan) cube, Directory Table, Look-Up Table, Encryption Key and Plain Text. RDR cube have six different Vigenere Table like Tables of dimension 26 x 26 each having different orientation of alphabets. The users have the liberty to choose their own orientation of elements for tables present in each face of the RDR Cube but it has to be same per Encryption. Each face of the RDR cube is numbered from 0 to 5. Directory Table is a Table of size 26 containing English alphabets at different position. No repetition of alphabets are allowed. Users have the freedom to choose the position at which they want to store an alphabet but for a given Encryption – Decryption it has to be same. Look-Up Table containing English alphabets. No repetition of alphabets are allowed. Each character of Encryption Key is searched in the directory and the position of the alphabet in the Directory Table is taken as its integer representation. Further modulo 6 operation is performed over the integer representation of selected Key character and the result of the operation is used to select the face of the RDR cube for it. The table in the selected face of the RDR Cube is used to encrypt the corresponding Plaint Text character in accordance with the selected character of the Key. This process is repeated for the encryption of each character present in the Plain Text. For Decryption similar mechanism is followed. For each character of Encryption Key a face of RDR cube is selected based on modulo 6 operation over the integer representation of selected character of the Key. He table present in the selected face of the RDR Cube is used to decrypt the Cipher Text character corresponding to the selected Encryption Key character. 3.2 Implementation: Data Structure: A. RDR Cube: 6 x 2D Matrices, each representing each side of the Virtual Cube represented by a 3D Array of dimensions [6 x 26 x 26]. Only two of the six matrices are included in the paper. B. Look Up Table: 2 x 1D used for mapping Plaintext and Key represented a matrix each. C. Directory: 1D Table of size 26 containing alphabets at different cell index matching the integer representation of each English alphabet selected by the user for the following encryption process. Matrices: Matrix 1 Matrix 2 Matrix 2: 3.2.1 Block Diagram: Block diagrams of our proposed algorithm for encryption and decryption are given below 3.3 Mathematical Representation: D n i mod 6 F RDR RDR Cube Consists of Six faces f i j It is an integer number locates the current face of RDR cube It represents one face of a RDR cube at a time J Set of face pointers p Key Length cp E Plain Text Cipher Text p Encryption Function D cp Decryption Function RDR n face F i Selecting the faces from Now F i f Now J j where i f is the co product of So the formula to encrypt the plain text is: F IV. Result and Analysis: A. Encryption using the proposed algorithm Plain text ―I WANDERED LONELY AS A CLOUD THAT FLOATS ON HIGH OVER VALES AND HILLS WHEN ALL AT ONCE I SAW A CROWD A HOST OF GOLDEN DAFFODILS‖ and a User defined F RDR Key ―RELATION‖ to prove our algorithm. The alphabet positions are taken according to their occurrence in English alphabet list. Plain Text: IWAND EREDL ONELY ASACL OUDTH ATFLO ATSON HIGHO VERVA LESAN DHILL SWHEN ALLAT ONCEI SAWAC ROWDA HOSTO FGOLD ENDAF FODIL S Key: RELATION R E L Numerical representation: 18 5 12 Modulo of 6: 0 5 0 1 2 3 3 2 Different face of the RDR cube calculated by modulo 6 of integer values for each character of key is selected for each character of the Encryption Key. Use the selected face to implement the Encryption using the table represented in that face of the cube. Performing the mentioned procedure for each character of the Plain Text we get: Cipher Text: ZYLRF ATAUN ZRGHA WJCNP QQFPY CEJNK CPJQY LKCJK MGCZC HGORP OLKHN ONJNR CHNWK QYGGE UWNCN TQSFW YQDXQ BIKCF NRFWH BEFTP U B. Encryption using Vigenere Cipher [1] Plain Text: IWAND EREDL ONELY ASACL OUDTH ATFLO ATSON HIGHO VERVA LESAN DHILL SWHEN ALLAT ONCEI SAWAC ROWDA HOSTO FGOLD ENDAF FODIL S Key: RELATION Cipher Text: ZALNW MFRUP ZNXTM NJENL HCRGY EEFEW OGJSY HBOVB MICVT TSFRR OHBTZ FNLPN TTZNK SYCXQ GNNEN RHERN YSDTH NUBCH PNWIT SFHTL L A 1 T 20 I 9 O 15 N C. Decryption of Cipher Text generated by the proposed algorithm Cipher text ―ZYLRF ATAUN ZRGHA WJCNP QQFPY CEJNK CPJQY LKCJK MGCZC HGORP OLKHN ONJNR CHNWK QYGGE UWNCN TQSFW YQDXQ BIKCF NRFWH BEFTP U‖ and a User Defined Key ―RELATION‖ to prove our algorithm. Cipher Text: ZYLRF ATAUN ZRGHA WJCNP QQFPY CEJNK CPJQY LKCJK MGCZC HGORP OLKHN ONJNR CHNWK QYGGE UWNCN TQSFW YQDXQ BIKCF NRFWH BEFTP U Key: RELATION R E L Numerical representation: 18 5 12 Modulo of 6: 0 5 0 1 2 3 3 2 Now we need to select the different face of the cube calculated by modulo 6 of integer values for each character of key. Use the selected face to implement the Encryption using the table represented in that face of the cube. Performing the mention the procedure and by performing Vigenere Cipher we get respectively: Plain Text Generated by Proposed Algorithm: IWAND EREDL ONELY ASACL OUDTH ATFLO ATSON HIGHO VERVA LESAN DHILL SWHEN ALLAT ONCEI SAWAC ROWDA HOSTO FGOLD ENDAF FODIL S Plain Text Generated by Vigenere Cipher: IUARM SFNDJ ORNZM JSYCP XIRCH YTJUC OCSMN LRUVX VCRZJ ZSBAL DLRZZ BWFCR JZZJT MNGNW GJWYC TXKRJ HMSXX TUXLB CRMOT ONBIP B Table 1: \| Cryptanalysis \| Vigenere cipher \| Proposed algorithm \| \|---\|---\|---\| \| Index of Coincidence \| 0.047 \| 0.044 \| \| Max probability of occurrence \| 0.128 \| 0.099 \| \| Min probability of occurrence \| 0.009 \| 0.009 \| \| Average probability of occurrence \| 0.068 \| 0.054 \| \| Keyword Length \| 1 \| 1 \| \| Variance \| 0.005 \| 0.002 \| \| Standard Deviation \| 0.068 \| 0.054 \| V. Conclusion There is a 60% decrease in variance in the proposed algorithm compared to classical Vigenere Cipher. Inclusion of 6 different matrices for the calculation of cipher text have made the algorithm dynamic and also increased its complexity. We have tried the normal attacks meant for Vigenere cipher to decipher our algorithm. These algorithms failed to analyze the cipher text generated by our proposed algorithm. Also the contents of the matrices can be varied randomly and so the mod function meant to choose the matrices. Thus the complexity can further be enhanced. References [1] William Stallings: ―Cryptography and Network Security: Principles and Practices 4th Edition, Prentice Hall‖ [2] "What is the frequency of the letters of the alphabet in English?‖ Oxford Dictionary. Oxford University Press. Retrieved 29 December 2012. [3] Mička, Pavel. "Letter frequency (English)". Algoritmy.net. [4] Statistical Distributions of English Text [5] Dara Kirschenbaum:‖Advances in Cryptography History of Mathematics‖ Beker, Henry; Piper, Fred A 1 T 20 I 9 O 15 N [6] (1982) Cipher Systems: The Protection of Communications. Wiley-Interscience. p. 397. Table also available from Lewand, Robert (2000). Cryptological Mathematics. The Mathematical Association of America. p. 36. ISBN 978-0-88385-719-9. [7] Calculated from "Project Gutenberg Selections" available from the NLTK Corpora [8] Kasiski, F. W. 1863. Die Geheimschriften und die Dechiffrir-Kunst. Berlin: E. S. Mittler und Sohn [9] Henk C.A. van Tilborg, ed. (2005). Encyclopaedia of Cryptography and Security (First Ed.). Springer. p. 115. ISBN 0-387-23473X. [10] Bruen, Aiden A. & Forcinito, Mario A. (2011). Cryptography, Information Theory, and Error-Correction: A Handbook for the 21st Century. John Wiley & Sons. p. 21. ISBN 978-1-118-03138-4 [11] Martin, Keith M. (2012). Everyday Cryptography. Oxford University Press. p. 142. ISBN 978-0-19-162588-6. [12] Smith, Laurence D. (1943). "Substitution Ciphers". Cryptography the Science of Secret Writing: The Science of Secret Writing. Dover Publications. p. 81. ISBN 0-486-20247-X. [13] Knudsen, Lars R. (1998). "Block Ciphers— a survey". In Bart Preneel and Vincent Rijmen. State of the Art in Applied Cryptography: Course on Computer Security and Industrial Cryptograph Leuven Belgium, June 1997 Revised Lectures. Berlin; London: Springer. p. 29. ISBN 3-540-65474-7. [14] Singh, Simon (1999). "Chapter 2: Le Chiffre Indéchiffrable". The Code Book. Anchor Books, Random House. pp. 63–78. ISBN 0385-49532-3. [15] David, Kahn (1999). "Crises of the Union". The Codebreakers: The Story of Secret Writing. Simon & Schuster. pp. 217–221. ISBN 0-684-83130-9 Rahul Sourav Singh received his Bachelor in Technology from Rajiv Gandhi Technical University, Madhya Pradesh and Master in Technology degree in Computer Science & Engineering from West Bengal University of Technology, West Bengal. He has worked as an Assistant Professor at Institute of Engineering & Management Kolkata. Now, he is working as an Assistant Professor at University of Engineering and Management, Jaipur, India. Area of interest are Network Security, Cloud Computing, Image Processing, Neural Networks, Artificial Intelligence, Compiler, Theory of Computation, Natural Language Processing and Computer Architecture. Rupayan Das: Assistant Professor at University of Engineering & Management (UEM), Jaipur. Has achieved Bachelor in Technology in Information Technology and Masters in Technology in Information Technology from West Bengal University of Technology and has worked as a teaching assistant at Institute of Engineering & Management (IEM).Interested in Network Security, Cloud Computing, and Image Processing. Dipta Mukherjee received his Bachelor in Technology and Master in Technology degree in Computer Science & Engineering from Kalyani University, West Bengal. He has worked as an Assistant Professor at Institute of Engineering & Management Kolkata. Now, he is working as an Assistant Professor at University of Engineering and Management, Jaipur, India. Prannay Bothra: Graduate student of Computer Science & Engineering, University of Engineering & Management, Jaipur
research-article 1034635 research-article2021 Article Students as co-researchers in a school self-evaluation process Shivaun O'Brien, Gerry McNamara, Dublin City University, Ireland Joe O'Hara, Martin Brown and Craig Skerritt Abstract School self-evaluation (SSE) or data-based decision making is now a common feature of mainstream education in an increasing number of jurisdictions. The participation of stakeholders including students, is promoted internationally as a key feature of effective SSE. Despite this, very little research has been carried out on how education systems might involve students in SSE and even less research has explored how student involvement can move beyond mere tokenism. Similar to many other jurisdictions, Irish schools are encouraged to include students in SSE. However, the research to date would indicate that while students are frequently consulted through the use of surveys they have little or no involvement in decisions that are made as part of the SSE process at a whole school level. This case study explores an atypical approach to student engagement in SSE which was tested in one Irish post-primary school where students participated as co-researchers along with their teachers in the SSE process. In doing so, student participation in SSE shifted from student as data sources to students as co-researchers. Students became members of the SSE Team, responsible for consulting with the wider staff team, student body and parents. They were actively involved in the completion of a whole school self-evaluation report on assessment and the development of a school improvement plan. The study outlines the key stages of the project and how student participation evolved through the process. Interviews conducted with both the teacher and student members of the SSE Team illuminates the experience of the students and staff on the SSE team. The findings indicate that this approach resulted in significant positive outcomes for the school and the individuals involved, but there were also a number of challenges. Student involvement resulted in greater awareness among, and participation of the wider staff team in the SSE process. However, it required more resources and time than is usually the case for an SSE process in Irish schools. The research suggests that this level of participation by students may require a more systematic and sustained engagement of students in decision making at a classroom level in order to build capacity of students to contribute to decision making at a whole school level on an ongoing basis. This study may have an application in jurisdictions aiming to include students in SSE, particularly at a higher level, and it also provides a glimpse into the deliberate planning and structures required if schools are to move beyond an instrumentalist, compliance model of 'student voice' towards a more authentic model of inclusive democracy. Keywords School self-evaluation, student voice, students as co-researchers, students as decision makers Corresponding author: Email: email@example.com Improving Schools Improving Schools 2022, Vol. 25(1) 83–96 © The Author(s) 2021 https://doi.org/10.1177/13654802211034635 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/13654802211034635 journals.sagepub.com/home/imp Introduction School self-evaluation (SSE), described as an evidence-based improvement mechanism has acquired increasing traction in most education systems and has become an expectation or a legal requirement for schools in many jurisdictions (OECD, 2013) and is compulsory in two-thirds of European countries (European Commission/EACEA/Eurydice, 2015). While there are many differences in how SSE is conceptualised and operationalised across jurisdictions, the participation of stakeholders including students, is generally seen as a key feature of effective SSE. However, student participation in SSE is under researched and there are few studies exploring the specific involvement and contribution of students in the process. In theory, SSE is intended by policy makers to promote democratic forms of school governance through inclusion of a range of stakeholder perspectives. Yet while SSE is championed as a mechanism for school improvement and a vehicle of empowerment by its proponents it has equally drawn scathing criticism from scholars who see it simply as another manifestation of the managerialist agenda of low trust accountability and diminished professional autonomy (Ball, 2012; Thrupp & Willmott, 2003). Wrigley (2003) claims that the school improvement movement is in practice antidemocratic. Discussing the impact of compliance and audit on educational organisations and systems, Mockler and Groundwater-Smith (2015) similarly claim that these are counterproductive to democratic or transformative educational practices and that they make 'uncomfortable bedfellows'. Various commentators have highlighted the damaging effects of so called school improvement policies, suggesting it has led to tight controls on the curriculum, teaching to the test, disempowering reductionism and problematic use of standardised testing (Biesta, 2009; Taubman, 2009; Wrigley, 2019). Various studies have explored approaches used by schools to involve key stakeholders, such as students, in the evaluation process (Brown et al., 2019, 2021; OECD, 2013). These studies report that efforts to promote student voice, distributed leadership and an inclusive democracy within schools certainly exist but largely in ways that are either prescribed and top down or simply tokenistic. Brown et al. (2021) highlighted the recommended roles for students in national SSE guidelines of four European countries: a role as informants (Ireland); a role in representative membership of the SSE team and informants (Portugal and Turkey); no national guidelines on the role of students in SSE (Belgium). Approaches where students are used as sources of evidence for quality assurance regimes have been criticised as a subversion of the student voice 'project' that feeds an instrumentalist, compliance agenda (Biesta, 2009) and often serves to legitimise decisions made by adults (Mockler & Groundwater-Smith, 2015). A major challenge to the authentic integration of student voice in SSE is the power imbalance at the heart of school relationships and the possibility of a genuine partnership approach to student involvement remains contested. The current research presents a case study of an atypical approach to student engagement in SSE which was tested in one Irish post-primary school (second level school with students aged 13–18) where students participated as co-researchers along with their teachers in the SSE process. In doing so, student participation in SSE shifted from student as 'data sources' to students as 'coenquirers' (Fielding, 2011a). Students became members of the SSE Team, responsible for consulting with the wider staff team, student body and parents, towards the completion of a self-evaluation report and the development of a school improvement plan. This study explores the experience from the perspectives of the students and staff on the SSE team. It highlights one example of 'what an explicit commitment to democratic ways of learning, working and living together might look and feel like' (Fielding, 2011b). The findings may have relevance for countries aiming to improve the level of student participation in SSE and other decision making processes at a whole school level. Student participation in school improvement Participation of stakeholders in decision making is a widely promoted value in many domains. Flynn (1992) provides arguments in support of participative approaches, which can be applied to the involvement of students in SSE, which include: ethics, expediency, expert knowledge and motivating force. Student participation and student voice is frequently promoted as a right (Fleming, 2016), legitimised by the UN Convention on the Rights of the Child which promotes consultation with children on all matters that affects them (United Nations, 1992). Lundy (2007) further elucidates on the Rights of the Child, claiming that children and young people should not only be afforded an opportunity to express their views but should be actively facilitated to do so. Further, their views should be listened to by relevant others and acted upon. Positioning the student as 'speaker' rather than learner (Biesta, 2010) suggests that student voice is an important right for all students throughout their education, rather than representative democracy which 'privileges those who are already politically mature' (Fielding, 2011a). However, involvement of students in school improvement can mean many different things in practice. Attempts to include Irish students in SSE rarely goes beyond exploring students' views via questionnaires (O'Brien et al., 2019). Operational norms in Irish schools indicate that an SSE Team is typically comprised of authority figures such as teachers and members of school management, who consult other stakeholders such as parents and students, but who ultimately are the key decision makers in the process (Brown et al., 2019; O'Brien et al., 2017, 2019). Mounting evidence indicates that school reform requires a much greater role for students in leading change and argues that such practices will also lead to improving the social and academic capacities of students as well as teachers' abilities to work with students in a change process (Brasof, 2015). According to Chapman and Sammons (2013, p. 22), 'a wider range of perspectives is likely to offer more detailed and complex insights into the depths of the organisation'. They suggest that students have a detailed knowledge of what happens in individual classrooms and a unique perspective on the experience of teaching and learning conditions. Although, MacBeath (2006) argues that students do not merit a privileged status against the voices of parents or teachers. Criticism of student involvement in school improvement While the concept and practice of student voice appears to have gained significant traction in the education community, there remains many critics and sceptics of this phenomenon. Brown et al. (2019) categorised resistance, objections and drawbacks to student voice in schools under three headings: the idealistic nature of student voice; the divisive nature of student voice and the threatening nature of student voice. Concerns in relation to reliability and validity (Burr, 2015); immaturity and ability (Jones & Bubb, 2005; Rudduck & Fielding, 2006); and lack of realism (Bragg, 2007) have been highlighted. Critics also raise the question of 'whose voice' as it would be incorrect to view students as a homogeneous group with a single view on any given issue. Gunter and Thomson (2007) acknowledges that students differ in their ability to speak, argue and influence, raising questions of equity. Research also suggests that students may not want to be consulted and prefer that teachers made the decisions (Bergmark & Kostenius, 2009). Mockler and Groundwater-Smith (2015) argue that standardisation and bureaucratisation have not only reduced the opportunity for student voice in education but claim what little opportunity there exists is ceded to the elites. Some teachers choose to listen to students who might confirm their information bias (Keddie, 2015). Others are ideologically opposed to the idea of student voice, believing that the teacher holds a position of authority, and as a professional, is best informed to make decisions in the classroom (Burr, 2015) and to inform whole-school decision making (Flutter, 2007). Some teachers do not wish to invite negative feedback on their teaching (Mitra, 2008). Teachers' attitudes to consulting students are generally more positive and constructive when the information gathered is associated with classroom-based improvements, relevant to their own classroom needs rather than accountability or compliance (Jimerson, 2014). Eagle and Brennan (2007) contend that a simplistic application of 'the customer is always right' slogan within an education setting would be corrosive to the educational process and is likely to have results that are contrary to the best interests of the students themselves. Student voice in SSE in Ireland The Department of Education and Skills' (DES) have clearly encouraged student participation in SSE since the process was introduced as a mandatory requirement for Irish schools in 2012 (Department of Education and Skills, 2016). Recent research would suggest that some schools in Ireland are now more open to including the views of students in SSE than they would have been in the past (Cosgrove & Gilleece, 2012; Harvey, 2015). In a study exploring data-used by Irish schools for the purpose of SSE, 12 out of 13 schools had consulted students on their attitudes to numeracy, literacy, teaching and learning and student behaviour. In all cases, students completed surveys which informed the schools' SSE reports, and were used to establish baseline data for target setting and improvement plans (O'Brien et al., 2019). Similarly, a study by Young et al. (2018) indicated that Irish school leaders and teachers were very positive about involving students in consultation about curriculum content and goals. Brown et al. (2019) analysed a sample of 20 post-primary school websites from across Ireland and concluded that while student voice is a common theme in both the rhetoric and the reality of many schools, a great deal of inconsistency was found across the schools involved in the study. Out of 20 schools, 12 referred to the importance of student voice as a value or guiding principle, 13 involved students in SSE processes and only 3 referred to the involvement of student voice in policy development. Overall, it could be argued that staff in Irish schools have adopted a benign stance to the involvement of students in SSE which may not be surprising, given the low-stakes system of accountability in the Irish mainstream education system and the perception that SSE is primarily an improvement rather than an accountability mechanism (O'Brien et al., 2019). However, Brown et al. (2019) suggest that the lack of resistance from school staff may also be due to the fact that SSE: generally focuses on whole school practices rather than individual teachers; is a controlled process where school staff decide on the focus of the evaluation, what questions to ask, what feedback from students is included in SSE reports and what aspects of the evaluation report is shared with the school community. Further, the study stated that there was no evidence that students are involved in the decision making or action planning stages of SSE. Students as co-researchers in a school improvement process Engaging students as co-researchers in SSE could be described as an atypical approach to student engagement in SSE. This approach is described as atypical as it is a highly unusual approach within the SSE landscape in Ireland and differs considerably from the more usual approach where students are involved as data sources. This study explores the experience of students engaging as coresearchers alongside their teachers, as members of a whole school SSE Team. Students as coresearchers, situates them as 'joint contributors and investigators' (Given, 2008). This approach validates the experiences and perspectives of students, conferring on them the status of collaborator rather than mere sources of information in the SSE process. Mockler and Groundwater-Smith (2015) presented findings on the 'Students as Co-researchers Project' which extended over a 4-year period, and aimed to reform the nature of the relationship between students and teachers. This initiative was underpinned by belief that respectful dialog was central to reform and the project was described as 'a radical interruption to the normal asymmetries inherent in school relations' (p. 54). In practice, the students formed a 'Steering Committee' and became participant-researchers investigating aspects of the school. Students were taught research skills such as gathering and analysing data, teacher observation and presenting findings to the whole staff team. Despite many positive outcomes, the authors acknowledged the challenging nature of the initiative and the practical, structural and cultural barriers, stating that the project was both 'applauded and rejected' by school staff. From their study of student participation in the research process as a contribution to school improvement, Bergmark and Kostenius (2009) propose ways to share power with students by inviting them to set the agenda, letting them influence 'from the beginning' of a project, providing supports in order to for students to carry out their responsibilities and encourage student initiative. Student as co-researcher project Building on previous research into models of support for schools engaging in SSE, the Centre for Evaluation, Quality and Inspection (EQI) at Dublin City University, developed an intervention to support an individual school to further enhance it work on 'student voice' and in particular its capacity to engage students, more meaningfully, in SSE. The project was implemented in a large, post-primary school with over 1,000 students, and approximately 80 staff. The school, and specifically the SSE Co-ordinator, had been involved in a number of SSE training programmes provided by EQI and had developed the capacity and confidence to undertake the project. In addition, the school had a positive track record in promoting student voice, which was a priority for the Principal and senior management team. School management selected assessment as the focus of the SSE process. This involved the establishment of an SSE team including 7 students and 5 teachers. A very detailed project plan was developed including deadlines for each stage of the project. The SSE co-ordinator, under the guidance of EQI, led the SSE team and the project at school level. The key activities of the SSE team are outlined in Table 1. The work of the SSE Team concluded with the development of the School Improvement Plan. Methodology A case study methodology is used as the study required a detailed analysis of an atypical intervention in an individual school, rather than a search for general truths (Newby, 2014). It is exploratory and descriptive in nature. Data was collected by conducting in depth interviews with members of the SSE Team involving five students and four members of staff (teachers and management). The interviews were audio recorded and transcribed verbatim. In order to ensure credibility, a rigorous and systematic approach was used to reduce and interpret the data. The data was analysed following Braun and Clarke's (2006) six step approach to thematic analysis using the qualitative data analysis software Nvivo Pro. This involved reading the transcripts and recording initial codes, developing categories, coding on, data reduction and consolidation. Both a deductive and inductive approach to thematic analysis was employed. The former was informed by themes from the literature review (e.g. trust; impact on teachers; speaking in the group; training), while the latter resulted in the identification of codes that had not been preconceived by the researchers (e.g. awareness among the wider student body; teambuilding; disengagement). In total, the data analysis resulted in 34 categories. An identity code was established for research participants with staff referred to as T1 to T4 and students as S1 to S5. Full consideration of research ethics was afforded to this research study which received ethical approval from Dublin City University Research Ethics Committee. Table 1.Key activities of the SSE Team. Findings Selection of SSE Team members The SSE team included five teachers: the SSE Team Leader, two members of school management, as well two other teachers who had volunteered to participate. Three of the five teachers had previously engaged in SSE, and were familiar with the process, whereas for two teachers it was a new experience. An open invitation was offered to senior cycle fifth year and Transition Year Students (approximate age 16–17 years). These year groups were selected by school management as it was felt that the students would have the sufficient experience, maturity and ability to participate fully in the process and also did not have the distraction of final year high stakes Leaving Certificate examinations. From these cohorts, 16 students expressed an interest in the project, all of whom participated in a workshop that explored the theme of assessment and also the details of the project, including the role of students and the time commitment. Following the workshop, seven students volunteered to continue with the project and all seven became members of the SSE Team. Therefore, at the start of the project the SSE Team consisted of 12 participants. Student motivation to be involved Students were motivated to volunteer for the SSE Team for different reasons, one cited an interest in data analysis that related to future college and career interests. Some expressed an interest in learning more about educational practices while others welcomed the opportunity for a new experience. Other students were motivated by the opportunity to represent the student body. I saw it as a way to represent other students, directly to the Board of Management . . .. and I felt like the way it was described to us, it was going to make a change in our school and I thought like it was important for the students to be involved. (S2) The motivation of participating students appeared to be at odds with participants' perspectives on the student body more broadly. Team members frequently referred to the lack of student interest in or even awareness of SSE, which was described as 'very much a teacher notion' (T3). Participating students presented on SSE to the wider student body in assemblies but as one student claimed his classmates were 'uninterested' and 'very caught up with other things in life' (S2) while other students suggested that fellow students may not have understood what they were talking about, considering that the wider student body had no training is assessment. Teething problems A number of interviewees reported some initial difficulties when students and teachers first started to work together on the SSE Team. These included a lack of clarity about the student role, and a lack of confidence among students to speak up. It was evident that the role of co-researcher needed to be explored by team members. it wasn't about those Student's opinions, they were researchers and that was an issue that we had with them at the beginning, that we had to clarify, you know? It's not about them seeing just their voice in this. It's about them being part of the process that allows us to present everybody's voice, whether it was the, you know, second year's, the fifth year's, the Teacher's, the Parent's (T4) It was clear that students initially believed that they were involved in order to inform teachers about their perspective on assessment, and while that was partly the case, as co-researchers they also had a role in facilitating consultation with other stakeholder groups and reflecting the voice of all key stakeholders in the final SSE Report. Students were initially unsure about speaking openly and honestly in front of the teachers. Okay, so from the first. . .the initiative itself was that 'We're going to include you guys, so that you guys can be part of it.' I remember our first meeting. . .. I was very anxious, because I knew there was a line, despite what being said, about how honest I could actually be (S4) It was apparent that students raised concerns about the process with a teacher on the SSE Team outside of the team meetings. Both students and teachers agreed that it would have been useful if there had been a formal structure established at the start where students could voice concerns and have issues dealt with outside of team meetings. Training and team building Two workshops on assessment were provided by teachers on the SSE Team to students on the team. Students found these useful and many admitted that the topic of assessment was 'complex' (S3). Asking teachers to facilitate these workshops forced the teachers to be clear about their own understanding of assessment which was also seen as important for the process. A 1-day workshop for the full SSE Team was facilitated by an external expert in assessment which appeared to support a shared understanding of not only the issues relating to assessment but also the roles of team members. Many participants referred to the significance of this workshop in moving forward the work of the team. Students confirmed that their understanding was deepened through the team-based active tasks that took place as part of the workshop in particular. I learned a lot. Like it's a lot more than you would have learned if you were just told about it. Because we got to see in-depth how it is, why it's in place and everything. Whereas in Junior Cycle you're just told 'This is what's happening, just do it.' (S5) It is interesting to note that all the students in the SSE Team had experienced the new Junior Cycle, which was a major curricular reform that has been introduced to Irish schools from 2014 and which aimed to promote assessment as a support of learning and teaching rather than solely a means to making summative judgements (MacPhail et al., 2018). Students were unclear about reasons for the reform and were fascinated to learn about and understand how the changes to teaching and assessment in particular were intended to support their learning. The workshop proved to be a significant team building exercise, despite the fact that the original plan for the workshop was solely for the purpose of developing shared understanding of assessment. However, it was apparent that issues of roles, trust and respect and communication were raised at the workshop, and were responded to by the facilitator. She (facilitator) made us go through the motions, and do the rules, make up the rules and talk about. . . create a sort of - why are things like this, stating the obvious, and the common sense, and all the rest. You kind of have to go through the rules about respect and civility and not holding against someone, when you walk out the room, and it's not personal and all that. (S3) A number of participants referred to the importance of an external person to facilitate this discussion, and some suggested that the facilitation of the process from the start by an external person may have ensured a better working relationship between members of the team from the start of the process. Roles of the SSE Team and impact of including students on the SSE Team The SSE Coordinator led the process and tried to ensure that meetings and tasks were completed within the allocated timeframes. She also facilitated the meetings and tried to ensure that all members of the team had opportunities to contribute ideas and make comments. The members of the Senior Management team tried to ensure that the decisions made were realistic and consistent with the overall vision, plans and obligations of the school. All members of the team were involved in the design and implementation of surveys, although teacher-student sub groups were formed to gather and analyse data from the wider student, parent and teacher groups. As intended from the design of the project, students provided a student perspective and staff provided a staff perspective on all matters, which resulted in a dialog that emphasised listening and understanding. It was great to hear their voice and to hear exactly what their thoughts and everything were. It definitely changed how I looked at things, I suppose we always see them as students. And they're not passive, but you know, I think when you give them the chance to step up, my God do they step up. (T3) So I think they need to hear from the students how it feels from their perspective and what actually works. So I do think it's. . .and vice versa, because we don't understand everything from their point of view, that there are things they definitely know, that we don't, from age, from experience, but from training. So I definitely think it needs to be in tandem, definitely. I don't think there's any point in doing it without the students. (S3) The inclusion of students reportedly brought a new impetus to the SSE process in the school. This had been one of the key reasons why school management decided to include students as it was hoped that their inclusion might also bring more attention to the process among the wider staff team. So more energy about this one. . . fresh, just proper collaboration. . ..it definitely reinvigorated the whole thing. It freshened it up completely. It made it kind of an exciting project. Like because we were gathering data on an issue, a teaching and learning issue that was so relevant to teachers and so relevant to students, it was very real, like very tangible and it was just interesting as a result of that. (T4) While the main role of the SSE Team members was as researchers they were also 'the researched' (T4) in that the students also participated in the student focus groups and surveys, and the teachers participated in the teacher surveys. Therefore, all involved had opportunities to anonymously evaluate and make recommendations to the SSE Team. All members worked collaboratively, to draft the SSE report based on stakeholder consultation and also the school improvement plan. Students had a specific role in relation to communication and consulting with the wider staff team as is outlined below. The Impact that student participation in the SSE Team had on the wider staff body One of the most significant impacts of student involvement appeared to be on the wider staff team. Research by O'Brien et al. (2019) claimed that engaging the wider staff team in SSE is particularly challenging. As this approach to SSE had not (to the best knowledge of all involved) been attempted previously in Irish mainstream education, it raised a great deal of interest and attention among the staff team. Students, with assistance from teachers, made initial and final presentations on SSE to the full staff team and also presented the findings of the student survey, facilitated staff to complete the staff survey and engage in a discussion on assessment. The latter appeared to have the greatest impact on the staff team. However, it was clear that views were mixed. some staff thought that it was excellent that we were finally doing something about student voice in more than a wishy washy, vague way and actually incorporating students into the process of growth, development and change in their everyday reality. Whereas other members of staff were really concerned about the extent to which a student could make an academic contribution, if they could comprehend the concept or that they might gain access to data or information about the school that they were uncomfortable with. (T1) While the school had a track record of promoting student voice, many teachers were reportedly surprised about the level of student involvement in decision making at a whole school level. A number of teachers spoke about previous efforts to engage staff in SSE and claimed that they are generally not interested when survey results are presented but claimed the dynamic was different when the students presented survey findings. I thought it was brilliant. . . when we put the students in front of our staff at a staff meeting to explain the process and what they had done. And hearing the results of a survey, like we have often presented survey results to staff but hearing the students deliver what came back from the student surveys was very powerful. . .. it was amazing to see, teachers like they were sitting up, they were listening, the read in the room, was really positive.(T3) Apart from the SSE process, the feedback from students on assessment appeared to have impacted immediately on the staff team as it was reported that there was a noted improvement in the type of feedback teachers gave students on their mock Leaving Certificate exam, than would previously have been the case. Students on the SSE Team were less aware of the impact of their involvement, on the wider staff team but felt that it was important for the staff team to hear their views. Respect, opportunities to speak and make decisions In general, the students and staff that were interviewed agreed that students were treated respectfully during the process, and that they were given opportunities to speak and make decisions. I think they definitely valued our opinions, you know, equally as the teachers. (S1) I wasn't intimidated or anything. Like I felt very comfortable. Like when you first came in you were a bit like 'Whoa, this is a change.' But I think by the second meeting that was fine. (S5) A number of students reported that it was difficult at times to say as much as they wanted to say at SSE Team meetings due to time pressures, an awareness among students that teachers knew more about the SSE process and at times students felt unsure about questioning or challenging teachers. Students were very aware of the power dynamic despite the respect shown to students. staff were trying to see us as equals, but of course, because of the fact that they are still our teachers, we're never going to be equal in the full sense of the word. (S4) However, it was not a positive experience for all students as two students left the SSE Team at an early stage in the process as they 'were unhappy with how things were going, they just felt in meetings they didn't have a voice as much as they wanted to' (S4). The SSE Team members who were interviewed generally agreed that students had opportunities to feed into the evaluation report and the school improvement plan, but there was also a clear sense that all their recommendations were not included as they had to be balanced against the other competing pressures and the feasibility of introducing major changes over the coming years. they had to be pared right back. . . like I'd say maybe they're a bit disappointed by it, by how little it is. I think they were thinking really, really big and really fast, you know? At the beginning of the process it was like 'We can change the world' and that's just not how change happens, you know? (T4) Students also raised disappointment about the format of the report and plan, which was completed using the sample templates provided by the Department of Education and Skills (2016) for SSE. Students felt that the language used in the final documentation was very formal, and presented in a way that was not student friendly. Teachers on the team reported that they believed that they needed to finalise the documentation in the format expected by the DES Inspectorate. Discussion The inclusion of students as co-researchers with their teachers on the SSE Team was an ambitious project for the school involved and atypical of the approach to student participation in SSE among Irish mainstream schools. Building on its experience of promoting student voice, the school tried to implement an approach to school improvement that redistributed power and privilege and as such was a 'radical interruption' (Mockler & Groundwater-Smith, 2015) to the normal school decision making process. Students were actively facilitated and prepared to participate, they generally felt respected, their views were listened to by relevant others and acted upon (Lundy, 2007). The student perspective brought valuable insights to the process (Chapman & Sammons, 2013). While the project had many positive outcomes for the SSE Team members and the wider staff team, it was apparent that a number of challenges arose which were similar to those identified in the literature (Brown et al., 2019). The task of completing an SSE cycle in accordance with Department of Education and Skills (2016) guidelines was achieved to the point of developing an SSE Report on assessment practices within the school and a school improvement plan to further develop assessment systems and approaches at a whole school level. It was not possible, within the timeframe of the study, to measure or assess the degree to which the school implemented actions arising from the SSE process as these were due to be implemented over the following years. Student involvement as co-researchers in SSE moved student participation, we would argue, from the usual level 4 (assigned but informed) or 5 (consulted and informed) to level 6 (adultinitiated shared decisions) of Hart's (1992) ladder of participation. In terms of Fielding's (2011a) hierarchy of patterns of partnership between students and teachers, students could be described as 'co-enquirers' or even 'joint authors', although the decision to focus on assessment was made by school management and the process was planned and managed by the teachers involved. Of concern is the allocation of resources which appear to benefit a relatively small number of seemingly articulate, confident 'politically mature' (Fielding, 2011a) students, raising questions about the equity of representative structures (Gunter & Thomson, 2007). Yet the findings suggest that the wider student body appeared disinterested in the SSE process (Bergmark & Kostenius, 2009). While students were certainly engaged in the process and their recommendations were included in the improvement plan, there appeared to be an element of naivety in the expectations of students regarding the level of change that was possible given the competing pressures within the school (Bragg, 2007). The resources, mainly in terms of time, required to involve students as co-researchers was considerably greater than the resources typically required to engage students as data sources (O'Brien et al., 2019). It is clear that the experience resulted in considerable learning for the students involved. They had participated in decision making at a whole school level, developed an understanding of the relationship between learning and assessment, applied a range of data use skills and facilitated consultative workshops with teachers. One wonders why such powerful learning opportunities are not more typical in schools, suggesting the need to systematically build the capacity of student voice for decision making at a classroom level, rather than occasionally invoking it for accountability purposes. A focus on participative democracy emphasises student voice, not so much through representative structures but rather through a whole range of daily opportunities in which young people can listen to others and be listened to. This reflects Fielding's (2011a) notion of 'fellowship' which values inclusion and social justice and one which might better prepare the foundations for students and staff to engage in a more authentic model of inclusive school improvement. It could be argued that student engagement in school improvement and SSE in particular would be enhanced if the structures, format and language of documented outputs were more 'student friendly' as opposed to the bureaucratic, adult language of 'target setting' and 'evaluation criteria' which Mockler and Groundwater-Smith (2015) claim are more about accountability and standardisation rather than student voice. Some participants suggested that the process be renamed in order to capture the interest and imagination of students rather than using the less appealing term 'school self-evaluation'. It was clear that while students recognised their input in the decision making and final documents, they felt that it had been changed to 'adult language' which can stray from the intentions behind students' words (Mitra, 2008). Of significance was the overwhelmingly positive impact of students on the wider staff team. This element of the project appeared to achieve what has been extremely difficult to achieve in many SSE processes, in that it raised greater awareness and engagement of the wider staff team than has been evident in other research (O'Brien et al., 2019, 2020) and which may subsequently, have a more positive impact on the implementation of actions by the staff team. Conclusion This case study attempted to explore 'what an explicit commitment to democratic ways of learning, working and living together might look and feel like', (Fielding, 2011b) in one Irish post-primary school. The findings indicate that the involvement of students on the SSE team was, overall, a positive experience for the students and teachers involved. All stages of the SSE cycle were completed within the given timeframe of 1 year, and all required outputs of the SSE process were achieved by the SSE Team including the completion of an SSE Report and a School Improvement Plan. A number of recommendations were made regarding possible improvements to the process in future iterations which included the design of a more student friendly SSE process, the inclusion of a safe process for students to raise concerns and the facilitation of the entire process by an external facilitator. The research highlighted the importance of careful planning, training for SSE team members, team building and group development processes. However, the study raises a more fundamental question about the importance of developing the ability of all students to speak and to participate in decision making as a common feature of classroom practice. This may promote an inclusive approach to student voice and participation while at the same time developing the capacity of students to participate more regularly in decision making at a whole school level. 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research-article 976240 2020 GPHXXX10.1177/2333794X20976240Global Pediatric HealthKumaratne et al Treatment with Vitamin D3 in Vitamin D Deficient Adolescents: A Pilot Study Mohan Kumaratne, MD, FAAP 1 , Franck Vigneron, PhD 2 , and Jasmine Cisneros, BS, RN 3 Abstract Multiple epidemiological studies have shown that vitamin D deficiency is highly prevalent amongst adolescents in the USA. However, recommendations regarding the treatment of vitamin D deficiency in healthy adolescents are not well defined. We carried out a prospective pilot study, to determine whether treatment with 2000 international units of vitamin D3 daily for 3 months, would normalize the vitamin D levels in vitamin D deficient adolescents. Following treatment there was a 56.02% increase in the vitamin D levels from the mean baseline values and 80.39% of the subjects normalized their vitamin D levels. There were no adverse effects associated with this intervention. This study offers complementary guidelines to the existing recommendations from the American Academy of Pediatrics on the optimal dose and duration of vitamin D3 therapy in vitamin D deficient, but otherwise healthy adolescents. Further prospective, large scale, case control studies are indicated to validate our results. Keywords vitamin D, vitamin D deficiency, treatment of vitamin D deficiency, vitamin D deficiency in adolescents Received February 24, 2020. Received revised October 15, 2020. Accepted for publication November 4, 2020. Introduction The primary role of vitamin D is the mineralization of bone by regulating osteoblast activity and facilitating the absorption of calcium and phosphorus from the intestines and calcium from the kidneys via its active metabolite 1,25 dihydroxy vitamin D. 1,2 Therefore vitamin D deficiency results in rickets in growing children and adolescents and osteomalacia in adults. 3 Additionally, recent epidemiological studies have linked vitamin D deficiency to cardiovascular disease, 4,5 dyslipidemias, 6-8 diabetes mellitus, 9,10 cancers, 5,11,12 and auto immune diseases, 3,13,14 although causality has not yet been established. Thus, vitamin D deficiency effects not only musculoskeletal health, but potentially a wide range of acute and chronic medical conditions. It is therefore important to recognize and treat vitamin D deficiency promptly and effectively. of the population studied. 16-19 In a previous study we reported that 27.8% of healthy Hispanic adolescents presenting to our community clinic for routine physical examinations were vitamin D deficient. 20 Guidelines from the AAP and the IOM, regarding vitamin D supplementation for infants, children, adolescents and adults are well established. 3,22 Whilst there are evidence based guidelines for treating vitamin D deficiency states such as rickets 3,21,22 and those associated with chronic medical conditions such as chronic kidney disease 23,24 and cystic fibrosis, 25-27 there are no recommendations from the AAP or the IOM, regarding the treatment of vitamin D deficiency in otherwise healthy adolescents. We conducted a prospective pilot study to determine whether treatment with 2000 international units (IU) of vitamin D3 (Cholecalciferol) daily for 3 months, would normalize the vitamin D levels in vitamin D deficient, but The American Academy of Pediatrics (AAP) and the Institute of Medicine (IOM), defines vitamin D deficiency, as a serum 25 -hydroxyvitamin D level of < 20 ng/ml. 3,15 By this definition, the prevalence of vitamin D deficiency amongst healthy US adolescents varies from 21% to a high of 42%, depending on the geographical location, ethnicity, sex, sun exposure, BMI and the diet 1Fountain Valley Regional Hospital, Fountain Valley, CA, USA 2California State University Northridge, Northridge, CA, USA 3Azusa Pacific University, Azusa, CA, USA Corresponding Author: Mohan Kumaratne, 17692 Beach Blvd Ste 200, Huntington Beach, CA 92647, USA. Email: firstname.lastname@example.org https://doi.org/10.1177/2333794X20976240 Global Pediatric Health Volume 7: 1–5 © The Author(s) 2020 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/2333794X20976240 journals.sagepub.com/home/gph otherwise healthy adolescents, who were not taking vitamin D supplements. Design Prospective interventional study, with each patient acting as a retrospective control. Subjects and Methods The study was conducted between December 1st 2017 and July 31st 2019, in a community based pediatric and adolescent medicine practice in Huntington Beach, CA. Healthy adolescents 13 to 19 years of age presenting for routine physical examinations were eligible for the study. Adolescents with acute or chronic medical problems, dietary restrictions, abnormal labs, and those taking vitamin D supplements were excluded. At time of presentation detailed history, complete physical examination and standard labs to include complete blood count (CBC), comprehensive metabolic panel (CMP), blood sugar, thyroid stimulating hormone (TSH), 25-hydroxyvitamin D level, and urinalysis were done. According to AAP parameters, those adolescents with a serum 25-hydydroxyvitamin D level below 20 ng/ml were considered to be vitamin D deficient and were empirically treated with 2000 IU of vitamin D3 (cholecalciferol) daily for 3 months and advised to return in 3 months for a follow up examination and measurement of their CMP, serum 25-hydroxyvitamin D level, and for a urinalysis. All participants were counselled about a vitamin D adequate diet, exercise and sun exposure. Written informed consent was obtained from all the adolescents and their parents, prior to recruitment for the study. Formal ethics approval was deemed not necessary by the pediatric peer review committee at Fountain Valley Regional Hospital, since the study involved treatment with vitamin D, a vitamin supplement freely available over the counter to the public. Results During the study period, 312 consecutive adolescents with no acute or chronic medical problems, who were not taking vitamin D supplements, presented for annual physical examinations (PE) and consented for the study. The flow chart for patients eligible for vitamin D3 treatment are in Figure 1 below. Table 1.Baseline Characteristics of Study Group. N = 51. Table 2.Laboratory Values Following Treatment. N = 51. The baseline characteristics of the study group are in Table 1 and the laboratory data following treatment are in Table 2. There was a 56.02% increase in the mean serum 25-hydroxyvitamin D level from the mean baseline value following treatment Tables 1 and 2. 41 patients (80.39%) in the study group had normalized their serum 25-hydroxyvitamin D level to ≥ 20 ng/ml and in 10 patients (19.61%) it was yet deficient (≤19.9 ng/ml). The follow up serum calcium, blood sugar, and urinalysis were within the normal range. There was no evidence of hypercalcemia, nephrolithiasis, or any other adverse symptoms associated with the vitamin D3 therapy. Discussion The dose for vitamin D supplementation in healthy adolescents is well defined by the AAP 3 and the IOM. 22 However there are no guidelines from the AAP or the IOM, regarding the optimal dose and duration of vitamin D3 therapy, in the treatment of vitamin D deficiency in otherwise healthy adolescents. Talib et al has reported that treatment with 5000 IU of vitamin D3 daily for 8 weeks corrected the vitamin D deficiency in a cohort of predominantly hispanic and black adolescents. 28 Following a placebo controlled, double blind, pilot study, Wu et al have reported that both 50,000 IU vitamin D3 monthly or 150 000 IU 3 monthly for 1 year safely and effectively corrected vitamin D deficiency in a population of adolescents from Tasmania, Australia. 29 The Indian Academy of Pediatrics recommends 60 000 IU/week of vitamin D for 6 weeks in the treatment of vitamin D deficiency in adolescents. 30 In adolescents, in order to avoid toxicity, as well as for cost and logistical reasons, it is important to treat vitamin D deficiency, with the least concentrated dose for the shortest duration that normalizes the vitamin D levels. Treatment with 2000 to 5000 IU of vitamin D3 daily has not been associated with vitamin D toxicity, 31,32 whilst super high doses for prolonged periods have been reported to cause hypercalcemia and nephrolithiasis. 33-35 In our population of healthy vitamin D deficient adolescents, we empirically treated the vitamin D deficient subjects with 2000 IU of vitamin D3 daily for 3 months. Following treatment with vitamin D3, there was a 56.02% increase of the mean vitamin D levels from the mean pretreatment values and the levels normalized in 80.39% of the subjects. There was no hypercalcemia, nephrolithiasis, or any adverse symptoms associated with this intervention. The AAP does not recommend routine screening for vitamin D deficiency in healthy adolescents presenting for annual physical examinations. However epidemiological data shows that vitamin D deficiency is highly prevalent across the US, and in our community the prevalence was 27.8%. This warrants screening for vitamin D deficiency during annual physical examinations and prompt and effective treatment, in order to avoid skeletal and extra skeletal morbidities, in those who are vitamin D deficient. We conclude that in a cohort of otherwise healthy, vitamin D deficient adolescents, who were not taking vitamin D supplements, treatment with 2000 IU of vitamin D3 daily for 3 months, increased the 25-hydroxyvitamin D level by 56.02% from the mean baseline values and normalized the vitamin D levels in 80.39% of the subjects. This was a pilot study, where the study sample was small, 98% of the subjects were of Hispanic ethnicity, there was no control population and the study were limited to the community in Huntington Beach, California. In order to test the hypotheses further, prospective, large scale case control studies, from across the USA is indicated. Acknowledgments The authors wish to thank Vicenta Cisneros and Meguen Salazar for secretarial help, and Shanti Gunawardena, MD for reviewing the manuscript. Author Contributions All authors contributed equally to the paper. Declaration of Conflicting Interests The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article. Funding The author(s) received no financial support for the research, authorship, and/or publication of this article. ORCID iD Mohan Kumaratne https://orcid.org/0000-0003-1307-2962 References 1. Holick MF. Vitamin D deficiency. N Engl J Med. 2007;357:266-281. 2. Kennel KA, Drake MT, Hurley DL. Vitamin D deficiency in adults: when to test and how to treat. Mayo Clin Proc. 2010;85:752-758. 3. Misra M, Pacaud D, Petryk A, Collett-Solberg PF, Kappy M. Vitamin D deficiency in children and its management: review of current knowledge and recommendations. Pediatrics. 2008;122:398-417. . 4. 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